ML20059N058
| ML20059N058 | |
| Person / Time | |
|---|---|
| Issue date: | 09/26/1990 |
| From: | Bryanprell S, Wiggins E NRC OFFICE OF ADMINISTRATION (ADM), SCIENCE APPLICATIONS INTERNATIONAL CORP. (FORMERLY |
| To: | |
| Shared Package | |
| ML20059N057 | List: |
| References | |
| CON-FIN-L-1290, CON-FIN-L-1290-0, CON-NRC-02-90-002, CON-NRC-2-90-2 NUDOCS 9010090224 | |
| Download: ML20059N058 (189) | |
Text
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R A i SNG OF.
WAutb i n
. AWARD / CONTRACT 1 s'agng,T" lvAuL se ASi C So f1 Ej 3!
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. 2. CON T R AC T tl' rot. Jnst. Jden t.s NO.
- 4. EF F ECT ave DAT E
- 4. HEQua54 s aONiPvHCMAbE REQvES T,PROJEGI NV.
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jNRC-02-90-002
'//,M / G r; PS-NMS-90-00?
- s. assVED ev l.
ei. AOuiNi5 TI.acL's v ist orner an.n eteni.+s
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lU.S. Nuclear Regulatory Commission U.S. Nuclear Regulatory Comission
- ]
y Div. of Contracts & Property Mgmt.
Div. of Contracts & Property Mgmt.
' Contract Neg. Branch No. 1, P-1020 Contract Administration Branch No.
P-902 Washington, DC 20555 Washington, DC 20555
- 8. DEbe v E R v Science Applications International Corporation O FOS ORIGIN
]OTHERtmcacinws J1710 Goodridge Drive
,,,,3ccv,,,on,,c,,,,,,,E,,
McLean, VA 22101 NET l
- 10. SUBMIT INVOICES
. TEM R
(4 copws unaess utner-wuc socctned: TO THE
{ - 6, CODE lF ACILITY COOE ADDRESS SHOWN IN' I
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.it. seno T O/M AHn F O R CODE I
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CODE I
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See Section F.5 U S, Nuclear Regulatory Commission Division of Accounting & Finance; GOV /COM Accounts Section. Washinaten. OC 20555
- 13. AUTHORtTY FOR USING OTHER TMAN FULL ANO OPEN COMPET1 A4. ACCOUNTING ANO APPROPn, AT ION OAT A N N:
B&R 050-19-31-020: APPN: 31X0200.050
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. FIN L1290-0; Obligated:
$201,037
'O io u.S C. :ac.iten O 4i u.s c. 253 ten i
i 15A. ITEM NO I 158. SUPPLIES /SE RVICES l
15C. QU AN TITY l150. UNIT I 15E. UNIT PRICE I 15F AMOUNT
'1 The U.S. Nuclear Regulatory ammission hereby' accepts Science Applications International Corporation's technical proposal dated February 6, 1990, as 1
revised on June.4, 1990, and as further revised on July 10, 1990, all of i
which are incorporated herein by this-reference and made a part'of this' contract, to perform the work in accordance with Solicitation No.
RS-NMS-90-002 which is attached herein and made a part of this contract.
This cost plus-fixed-fee contract is completed as follows: (Continued on next page)
ISG. TOTAL AMOJNT oF CONTRACT kl$ 201,037.00
- 16. TABLE OF CONTENTS f/) I SEC. !
OESCRIPTION IP AG E (S) V)ISEC l OESCRIPTION lPAGEIS)
PART I-THE SCHEDULE PART II-CONTR ACT CLAUSES j
X A I SOLICITATION / CONTRACT FORM i
Xi i i CONTRACT CLAUSES l'
X B i SUPPLIES OR SERVICES AND PnlCES/ COSTS i
PART lli-LIST OF OOCUMENTS. EXHIGITS AND OTHER ATT ACH.
(
X1 C i OESCRIPTION/SPECSMIORK STATEMENT l
Xl J l LIST OF ATTACHMENTS i
X} O l PACK AGING AND MARit.ING l
PART IV - REPRESENTATIONS ANO INSTRUCTIONS Xl E l INSPECTION AND ACCEPTANCE I
K REPRESENTATIONS. CERTIFICATIONS AND
~
X F l OELIVERIES OR PERFORMANCE -
I OTHER STATEMENT $t OF OFFERORS l
X G l CONTRACT ADMINISTR ATION DATA
}
l L l lNSTRS..CONOS. ANO NOTICES TO OFF4RORS
{-
'i XiN I SPECI AL CONTR ACT REQUIREMENTS.
I IM l EVALUATION F ACTORS FOR,AWARO l
CONTRACr/NG OFFICER Will COMPL ETE f REM 17 OR 18 AS APPlICABL E
@ CONTRACTOR S NEGOTIATEt) AGREEMENT (Contr.ctor u re.
18.
AWARD (Cont,uctor is not requered to orts thu documentJ Your 17.
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19A. N AME ANO TITLE OF SIGNER ITyp. or pemts 20A. NAME OF CON TR ACTING OF FICER st o': I Sally Bryan-Prell, Contracts Manager Neo Nza Energy Systems Group.
Elois J. Wiggins Ot l
, (h O'N 198. NAME OF CON TR ACTOR 19C. O A TE. 54G N ED 200. UNITEO ST ATES OF AMERICA 20C. OATE 54GNEO h
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BY e=A [r., Q 43stnBure of 9.rHn eutneru.4 to enen#
tSagneture of Contr.eunt Offleers OcMC D
sTAN.D.A.Ro FORM 26 (REV. 4 33 NSN 7540 Ol+1S2 4049 26107 P,eect o oy G5A,
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NRC-02-90-002 Page 2 1.
Section B.3, " CONSIDERATION AND OBLIGATION--COST PLUS' FIXE 0 FEE" is 3
deleted in its entirety and the following.new Section B.3 is; 4g substituted in lieu thereof:
"B.3 CONSIDERATION AND OBLIGATION--COST PLUS FIXED FEE.(JUNE 1988) f ALTERNATE I (JUNE 1988)'
a.
The total e.timated cost to.the Government for full performance of Tasks 1, 2a, 3 and 4 of this contract is $201,037.00, of.,
which the sum of $186,105.00 represents the total estimated reimburseable costs, anc of which $14,892.00 represents the fixed fee.
t b.
There'shall be no adjustment in the amount of the l
Contractor's fixed fee by reason of differences between any estimate of
. cost for performance 1of Tasks 1, 2a,-3 and 4 of this contract and'the r
o t
' actual cost for performance of that work.
j c.
The. amount presently obligated by the Government with respect' to this contract is $201,037.00.
d.
It is estimated that the amount currently allotted will cover performance of Tasks 1,'2a, 3'and 4 of this contract.
.j (End of Clause)"
.i t.
2.
Section F.5, " PLACE OF DELIVERY," is completed as Niows:
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"a.
Project Officer (Number of copies as specified in Section C)
U.S. Nuclear Regulatory Commission i.
Office of Nuclear Material. Safety and Safeguards b
Medical and Commercial Use. Safety Branch, INMS
' Attn: Josephine Piccone, Mail Stop:
6H3 Washington, DC 20555 o
l :-
3 b.
Contracting Officer (1 copy)
I 1
U.S. Nuclear Regulatory. Commission Contract Number: NRC-02-90-002-Division of Contracts and Property Management J"
Contract Adminstration Branch, Mail Stop P-902' Washington, DC 20555" 3.
Under Section F.6, " DURATION OF CONTRACT. PERIOD," 'the first sentence' is
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O completed as follows:
"This contract shall commence on the effective date and shall expire q
twelve months thereafter."
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NRC-02-90-002-
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Paragraph a.nunder Section G 1
. INDIRECT COST RATES is completed as M
follows:
"a.
Pending:the establishment.of final indirect rates-which shall be negotiated. based on audit of. actual costs, the Contractor shall be y-reimbursed for allowable! indirect costs, during the duration of this j
contract period, as follows:
Overhead.(On-Site at SAIC Facilities).
39.5% of direct labor j
Fringe Benefits 82.6% of direct labor i
General and' Administrative Expens(
10.0% of total cost" j
y 3
5.
Paragraph a. under Section G.2 - PROJECT OFFICER AUTHORITY is completed as follows:
,3 "a..The. Contracting Officer's-authorized representative hereinafter-l ~
referred to as the Project Officer for this contract is:
l Q
Name:
. Josephine Piccone j
Address:
U.S'; Nuclear Regulatory Commission Office of Nuclear Material Safety and Safeguards'
-i Division of Industrial and Medical Nuclear Safety-Medical and Commercial'Use Safety Branch l
- Washington, DC 20555
' Telephone Number:
(301) 492-0571!'
6.
Paragraph a.;under Section G.3 - TRAVEL REIMBURSEMENT.is completed to-read as folicws:
q "a~.
Total expenditure for domestic' travel shall not exceed
$12,994.00 without the prior approval of the Contracting Officer."
i 3
Also, Paragraph c under Section G.3 - TRAVEL-REIMBURSEMENT is deleted.
'l in its entirety and the following Paragraph c.-is.substitutad in lieu; thereof:
-. i "c.
The Contractor shall be reimbursed for travel related' expenses in accordance with FAR 31.205-46 -- TRAVEL COSTS and the Contractor's Employee Business Expense Policy."
j a
7.
Section G.4 - REMITTANCE ADDRESS is completed as follows:
" Address:
Science Applications International Corporation j
P.O. Box 64115 Baltimore, MD 21264" u
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3._.
f gA f-M NRC-02-90-002 r
p,g, 4 8.
Paragraph.a. under Section H.1 - KEY PERSONNEL _is completed to read as follows:
"a.
The following individuals are considered'to be essential to the
' successful perfornnce of the work hereunder:
Irwin J. Lefman Mr. Coleman Rosen Dr. Richard Cumberlin The Contractor agrees that such personnel shall' not b'e removed from the contract work or replaced without compliance with paragraphs b and c-hereof."-
9.
Section H.5'- ORGANIZATIONAL CONFLICTS OF INTEREST (OMB CLEARANCE:
NUMBER 3150-0112) (JUNE 1988) is deleted in its entirety'and the following new-Section H.5 is ins'erted in lieu thereof:
"H.5 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST (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 41'CFR S20-1.5402(f) in the activities covered by_this clause.
(c) Work for others. Notwithstanding any other provision of this contract, during the term of this contract, the contractor agrees to forego entering into consulting or other contractual arran tments with-any firm or organization, the result of-which may giveJrise to a -
conflict of interest with respect to the work-being performed _under.
this contract.
The contractor shall. ensure that all employees under this contract abide by the provision of this clause.
If the contractor has-reason to believe with respect to itself or any employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the contractor shall obtain the written approval'of the contracting officer prior to execution of such contractual arrangement.
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. d) Disclosure after award.
(
-(1) 'The contractor warrants that..to.the best'.of.'its>
t knowledge and belief, and except as otherwise set forth in thisz contract, it does not have any organizational, conflicts of
~ interest as defined in 41 CFR $20-1.5402(a)..
(2) -The contractor agrees that,' if af ter award, it discovers R:
organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure:in writing to the contracting officer._ This statement must include a
- description of the action which the contractor.has taken or proposes to take-to avoid or mitigate such conflicts. The NRC-may, however, terminate the contract if termination is'in the best
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interest of the Government.
U' (e) Access to and use of information.
i (1) If the contractor.in the performance-of this contract I
obtains access to information, such as NRC plans, policies, i
reports, stufies, financial plans, internal data protected by the
-Privacy Act if-1974 (Pub. L.93-579), Lor-data-which has not been' released.to the public, the contractor agrees not to:
. )
(i) Use this information for any private purpose'until j
the information has been released to the public; r
j (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 the information-to the public, whichever is first; 1
(iii) Submit an unsolicited proposal to the Government based on the information until one year.after the release of the information to the public, or i
(iv) Release the information without prior written approval by the contracting officer unless the information has previously been released to'the public by the NRC, (2) In addition, the contractor agrees +. hat, to the extent-it receives or is given access to proprieh ry data, data. protected
.by the Privacy Act of 1974 (Pub. L.93-579), or other confidential
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or privileged technical, business, or. financial information under.
l this contract, the contractor shall treat the information in:
accordance with restrictions placed on use of the information.
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NRC-02-90-002'
.Page-6 v
(3) The contractor shall have, subject to patent.and..
a
- security
- provisions of this contract, the right:.to use technica1'.
3 datalit produces under this contract ~for private purposes'provided!
~
- that all. requirements of this Leontract have been met.
-(f), Subcontracts.
Except as provided in 41 CFR $20-1.5402(h),
.the contractor shall include this' clause,, including this~ paragraph, in subcontracts.of any tier. The terms " contract," " contractor," andu
" contracting officer," must be appropriately modified to preserve the Government's. rights.
l-l.;
(g) Remedies.
For breach of any'of the..above restrictions,.or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract'or for such 1
erroneous representations that necessarily imply bad faith,zthe
-Government may terminate the contract for default, disqualify the'
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. contractor from subsequent contractual efforts, and pursue other J
. remedies. permitted by law or this contract.
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.(h) Waiver. A request for waiver under this clause must be directed in writing through the contracting officer to the Executive ~
i Director.for Operations (EDO) in accordance with the procedures outlined in.41 CFR S20-1.5411.
"t (End of Clause)"
-[
l 10.
Under Section I - CONTRACT CLAUSES, the following by-reference clauses are DELETED in their entirety:
"52.215-2 -ApR 1988 AUDIT--NEGOTIATED 52 219-8 JUN 1985 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL DISADVANTAGED.
BUSINESS CONCERNS' y
-52.219-9 AUG 1989 SMALL BUSINESS AND SMALL-DISADVANTAGED BUSINESS--
SUBCONTRACTING PLAN"J The following new by-reference clauses are SUBSTITUTED in lieu of the above deleted by-reference clauses and ~re hereby made a part of this a
contract:
q "52.215-2 DEC 1989 AUDIT--NEGOTIATED 52.219-8 FEB 1990 UTILIZATION OF SMALL BUSINESS 4
CONCERNS AND SMALL DISADVANTAGED 1
BUSINESS CONCERHS u
52.219-9 FEB 1990 SMALL BUSINESS AND SMALL DISADVANTAGED BUSINESS SUBCONTRACTING PLAN" l
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'Under Section I~
CONTRACT CLAUSES, the following by-reference' clauses 11.
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are hereby added:and made a part of the contract:.
"52.215-22-APR 1988 PRICE REDUCTION FOR DEFECTIVE ~
J "4-.
. COST OR PRICING DATA E
52.215-24 APR 1985 SUBCONTRACTOR' COST OR PRICING DATA l 152.230-3 SEP'1987 COST ACCOUNTING STANDARDS
'52.230-4: SEP.1987 -ADMINISTRATION OF COST'ACCONTING STANDARDS-52.230-5 LSEP'1987 DISCLOSURE AND CONSISTENCY OF COST Ji ACCOUNTING PRACTICES" I
12.
Under.Section I CONTRACT CLAUSES, the following full-text clauses are DELETED in.their entirety:
o.
"52,22222 APR 1984 PAYMENT FOR OVERTIME PREMIUMS 52.223-6 ~ MAR 1989 DRUG-FREE WORKPLACE" The'following'new full-text clauses are' SUBSTITUTED in: lieu of the above deleted full-text clauses and are hereby made a.part of this
,=
contract:
"52.222-2 =JUL 1990 ~ PAYMENT FOR OVERTIME PREMIUMS -
1 52.223-6 JUL 1990 DRUG-FREE WORKPLACE" 13.
Under Section I - CONTRACT CLAUSES,'the following full-text clause is i
hereby added and made a part of the contract:
"52.'203-12' LIMITATION.ON PAYMENTS TO. INFLUENCE CERTAIN FEDERAL
-TRANSACTIONS (JAN 1990)
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-(a): Definitions.
" Agency", as used in this clause, means executive. agency as
--defined in 2.101.
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" Covered Federal action," as used in this' clause, means any of.the
'a following Federal actions:
i~
(a) The awarding of any Federal contract.
(b) The making of any Federal grant.
(c) The making of any Federal loan.
(d) The entering into of any cooperative agreement.
(e) The-extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative g
agreement.
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" Indian trib'e" and "triba1 ' organization," as used 'in thi.s clause,~-
,.have the meaning provided in'section-4 of the Indian Self-Determiration and Education Assistance Act (25 U.S.C. 4508)'and include Alaskan-
- Natives.-
" Influencing or attempting to influence," as.used in this clause, means making,'with'the intent to 1.7 fluence, any communication to or appearance:before an officer'or employee of any agency, a Member of;
-Congress. an officer or. employee of Congress, or an employee of a Member of Congress in connection with any covered Federal action.
" Local. government," as used in this clause, means a unit of-a government in a_ State and, if chartered, established, or otherwise
.l recognized by a State for the performance of a governmental duty,
- including!a local public authority, a special' district, an intrastate district, a
- council-of governments,-a sponsor group. representative'
,i organization, and any other instrumentality of a-lecal government.
'" Officer or employee of an agency," as used in this clause, includes,the following individuals who are employed by an agency:
(a) An individual who is appointed to a position in the Government ~under~ title'5, United States Code, including.a position Eunder a temporary. appointment.
(b) A member of.the uniformed services, as defined-in subsection 101(3), title 37, United States Code.
(c) A special Government employee, as defined in-section 202,
, title 18, United States Code.
L committee, as defined by the Federal' Advisory Committee Act, title 5,-
~
(d)~ An individual who is a member of a Federal advisory l
l United States Code, appendix 2.
" Person," as used in this clause, means an individual, corporation, company, association, authority, firm, partnership, society,-State, and local government, regardless of whether such entity is operated fear profit, or not for profit.
This term' excludes an l-Indian tribe, tribal organization, or any other Indian organization with respect tt expenditures specifically. permitted by other Federal law.
4 L
" Reasonable compensation," as used in this clause, means, with respect to.a regularly employed officer or employee of any person, i
compensation that is consistent with the normal compensation for such l
l officer or employee for work that is not furnished to, not funded by, L'
or not furnished in cooperation with the Federal Go nt, t
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. " Reasonable payment," as used in this clause, means, with respect
.to professional and.other technical. services, a payment in an amount'-
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-that is consistent with the amount.normally paid for such. services'in.
W the private' sector.
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" Recipient," as used.in this clause, includes the Contractor'andi j
all subcontractors. This term excludes an-Indian _ tribe, tribal l
organization, or any other Indien organization with respect to
-expenditures specifically permitted by other Federal law.
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" Regularly employed," as used in this clause,~means, with respect J
,W to an officer or. employee of a' person requesting or receiving a Federal!
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contract. an officer or employee who is employed by such person for at t
least 130 working days within 1 year immediately preceding the date of
-the' submission that initiates agency consideration of such person for receipt'of such contract. An officer or employee who is employed :by such person for less than~130 working days within 1 year immediately:
preceding-the date of the submission that initiates agency m
consideration of such person shail: be considered to be: regularly employed as_-soon as he or sheLis employed by such person-for 130 working days.
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" State," as used in this clause, means a State of-the United q
E States.-the District of Columbia, the Commonwealth of' Puerto Rico, a D
territory or possession of the United States, an agency or' d
M4 instrumentality of a State, and a multi-State, regional, or interstate
~
entity having governmental duties and powers.
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(b) Prohibitions.
4Q (1)~Section 1352 of title 31, United States Code, among other
~
' things, prohibits =a recipient of a Federal. contract,. grant, loan, or-a-
cooperative agreement from using appropriated funds to pay any person.
for influencing or attempting to influence -an officer or employee of '
any agency, a Member of C)ngress, an officer'or employee of Congress, 4
or an employee of a Member of Congress in connection with any of the
- E following covered Federal actions
- the awarding of 'any' Federal:
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contract; the making of any Federal grant; the making of any Federal loan; the entering into of any cooperative agreement; or the 1
modification of any Federal contract, grant, loan, or cooperative
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agreement.
(2) 'The Act also requires Contractors to furnish a disclosure if any funds other than Federal appropriated funds (including profit or a
fee received under a covered Federal transaction) have been paid, or
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NRC-02-90-002.
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sill'be: paid,Lto any person for influencing or attempting to influence; 3
an officer or employee of any agency, a Member of Congress,.anLofficer U
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-or employee of Congress, or an employee'of a Member of Congress in-
- J connection with a Federal contract, grant, loan, or cooperative
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.:greement.
,j (3) The; prohibitions of the Act do,not apply under the following conditions:
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th (i) Agency and legislative liaison by own employees, lh (A) The prohibition on the use of ' appropriated funds,;in 1
- paragraph -(b)(1) of this clause, does not apply in the case of a
-psyment of reasonable compensation made to an officer or employee of a-m peren requesting or receiving'a covered Federal. action if the payment is'for egency and' legislative liaison activities not directly related.
Q to a covered. Federal action.
.(B) For purposes of subdivision (b)(3)(1)(A) of'this c1ause, providing any informat1on specifically requested by an agency or--
Congress is permitted at any time.
(C) The following agency. and legislative, liaison ' activities-
'are permitted at-any time where they are not.related to a specific solicitation.for any covered Federal action:
1 (1) Discussing with an agency.the qualities and characteristics (including' individual-demonstrations) of the person's products or services, conditions or terms'of sale, and service-capabilities.
(2) Technical discussions and other activities regarding the application or adaptation of the person'.s products or J
services for an agency's use.
(D) The following agency and legislative' liaison activities are permitted where they are prior to formal solicitation of any covered Federal action--
1 4
(1) providing any information not specifically requested L'
but necessary for an agency to make an inforrned decision about initiation of a covered Federal action;
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(2) Technical discussions regarding the preparation of j
L an unsolicited proposal prior to its official submission; and I
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'i NRC-02-90-002 4
g Page 11 (3) Capability presentations by persons seeking awards from an agency pursuant to the provisior: of the Small Business Act, as j
amended by Pub. L.95-507, and subsequent aaiendments.
j (E) Only those activities expressly authorized by subdivision m.
(b)(3)(1)(A) of this clause are permitted under this clause.
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(ii) Professional and technical services.
(A) The prohibition on the use of appropriated funds, in subparagraph (b)(1) of this clause, does not apply in the case of--
t ky.[
(1) A payment of reasonable compenration made to an officer or employee of a person requesting or receiving a covered y
J Federal action or an extension, continuation, renewal, amendment, or i
b modification of a covered Federal action, if payment is for professional or technical services rendered directly in the preparation, submission, or negotiation of any bid, proposal, or application for that Federal action or for meeting requirements imposed by or pursuant to law as a condition for receiving that Federal action.
(2) Any reasonable payment to a person other than an officer or employee of a person requesting or receiving a covered Federal action or an extension, continuation, renewal,. amendment,.or modification of a covered Federal action if the payment is for 1
7 professional or technical services rendered directly in the j
"L preparation, submission, or negotiation of any bid, proposal, or cpp11 cation for that Federal action or for meeting requirements imposed a
r by or pursuant to law as a condition for receiving that Federal action.
Persons other than officers or employees of a person requesting or receiving a covered Federal action include consultants and trade associations.
(B) For grposes of subdivision (M(3)(ii)(A) of this clause,
'" professional and technice services" shal' oe limited to advice and analysis directly applying any professionaJ or technical Jiscipne.
l For exampie, drafting of a legal document accompany 1 % < bid or proposal by a lawyer is allowable.
Similt ly, technical advice provided by an engineer on-the performance or operational capability of a piece of equipment rendered
.i directly in the negotiation of a contract is allowable.
- However, y
communications with the intent to influence made by a professional i
(such 4 a licensed lawyer) or a technical' person (such as a licensed m'
accountant) are not allowable under this section unless they provide-advice and snalysis directly applying their professional or technical-i f*
s x
!.e NRC-02-90-002-Page 12 expertise and unless the advice or analysis is rendered directly and L
solely in the preparation,. submission or negotiation of a covered L
Federal action.
Thus, for example, communications with the intent to influence made by a lawyer that do not provide legal advice or analysis directly and solely related to the legal aspects of his or her client's J
proposal, but generally advocate one proposal over another are not allowable under this section because the lawyer is not providing professional legal services. Similarly, communications with the intent to influence made by an engineer providing an engineering analysis prior to the preparation or submission of a bid or proposal are not allowable under this section since the engineer is providing technical services but not directly in the preparation, submission or negotiation of a covered Federal action, i
(C) Requirements imposed by or pursuant to law as a condition for receiving a covered Federal award include those required by law or regulation and any other requirements in the actual award documents.
(D) Only those services expressly authorized by subdivisions
- i (b)(3)(ii)(A)(1) and (2)'of this clause are permitted under this clause.
(E) The reporting requirements of FAR 3.803(a) shall not apply with respect to payments of reasonable compensation made to
?
regularly employed officers or employees of a person.
(iii) Disclosure.
m 7
(A) The Contractor who requests or receives from an agency a "i
Federal Contract shall file with that agency a disclosure form, OMB standard form LL, Disclosure of Lobbying Activities, if such person has made or has agreed to make any payment using nonappropriated funds (to include profits from any covered Federal action), which would be prohibited under subparagraph (b)(1) of this clause, if paid for 1
appropriated funds.
(B) The Contractor shall file a disclosure form at the end of each calendar quarter in which there occurs any event that materially affects the accuracy of the information contained in any disclosure form previeusly filed by such person under subparagraph M
(c)(1) of this clause.
An event that materially affects the accuracy of the information reported includes--
+
(1) A cumulative increase of $25,000 or more in the.
amount paid or expected to be paid for influencing or attempting to influence a covered Federal action; or p
j o
i~
q I
3; x
i t
(
N NRC-02-90-002 Page 13 j
(2) A change in the person (s) or individual (s) influencing or attempting to influence a cevered Federal action; or i
i (3) A change in the officer (s), 'mployee(s), or Member (s) contacted to influence or attempt to influence a covered Federal action.
(C) The Contractor shall require the submittal of a-certification, and.if required, a disclosure form by any person who requests or received any subcontract exceeding $100,000 under the Federal contract.
(D) All subcontractor disclosure forms (but not.
certification) shall be forwarded from tier to tier until received by the prime Contractor. T5e prime Contractor shall submit all disclosures to the Contracting Officer at the end of the calendar l
quarter in which the disclosure form is submitted by the i
subcontractor.
Each subcontractor certification shall be retained in the subcontract file of the awarding Contractor.
(iv) Agreement.
The Contractor agrees not to make any payment A
prohibited by this clause, 5
-(v) Penalties.
(A) Any person who makes an expenditure prohibited under Paragraph (a) of this clause or who fails to file or amend the l
disclosure form to be filed or amended by paragraph (b) of this clause shall be subj=ct to civil penalties as provided for by 31 U.S.C.1352.
An imposition of a civil penalty does not prevent the Government from seeking any other remedy that may be applicable.
j
'l (B) Contractors may rely without liability on the 4
representation made by their subcontractors in the certification and-d disclosure form.
(vi) Cost allowability.
Nothing in this clause makes allowable ur reasonable any cost? which would otherwise be unallowable or unreasonable.
Converstly, costs made tpecifically unallowable by the requirements in this clause will not be made allowable under any other provision.
(End of clause)"
- 14. All other terms and conditions remain unchanged.
b e
1
-.. u
's SOLICITATION, OFFER AND AWARD Page 1
- 1. This contract is a rated order under DPAS(15 CFR 350) RATING:
2.-CONTRACT NO.
l3. SOLICITATION NO.
l4. TYPE OF SOLICITATION l
RS-NMS-90-002-l
( ) SEALED BID (IFB) l l
(X) NEGOTIATED (RFP)
- 5. DATE ISSUED l6. REQUISITION / PURCHASE REQ. N0'.
December 22, 1989 l
NMS-90-002
'. ADDRESS OFFER TO l8
- 7. ISSUED BY CODE l
(If other than Item 7)
U.S. Nuclear Regulatory Commission Offer must be addressed as shown Div. of Contracts & Property Mgmt.
l in Item 7.
Handcarried offers Contract Neg. Branch No.1; P-1020 l
(including Express Mat 1) must be Washington, DC 20555 l
delivered to the address in Item 9 NOTE: In sealed bid solicitations, " offer" and " offeror" mean " bid" and
" bidder".
SOLICITATION
- 9. Sealed offers in original ad I signed copies for fu'nishing the supplies or i
e services in the Schedule will be received at the place specified in Item 8, or if handcarried, in the depository located in Room 1011, 7920 Norfolk Avenue, Bethesda, MD 20814, until 10:00 A.M. local time on02/06/90. CAUTION-LATE Submissions, Modifications, and Withdrawals: See Section L. Provision No.
52.214-7 or 52.215-10. All offers are subject to all terms and conditions contained in this solicitation.
- 10. FOR INFORMATIONlA. NAME:
lB. TELEPHONE NO. (Include Area Code)
CALL:
lMrs. Helen Hagey l
(NO COLLECT CALLS) l l
l (301)492-9449 l
- 11. TABLE OF CONTENTS X SEC DESCRIPTION PAGE(S)
PART I - THE SCHEDULE A
SOLICITATION / CONTRACT FORM B
SUPPLIES OR SERVICES AND PRICES / COSTS C
DESCRIPTION / SPECIFICATIONS. WORK STATEMENT D
PACKAGING AND MARKING E
INSPECTION AND ACCEPTANCE F
ufLIVERIES OR PERFORMANCE G
CONTRACT ADMINISTRATION DATA H
SPECIAL CONTRACT REQUIREMENTS
- ) ART II - CONTRACT CLAUSES t
I CCNTRACT CLAUSES PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS J
LIST OF ATTACHMENTS PART IV - REPRESENTATIONS AND INSTRUCTIONS K
REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFER 0RS L
INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFER 0R$
M EVALUATION FACTORS FOR AWARD OFFER (Must be fully completed by offeror)
)
NOTE:
Item 12 does not apply if the solicitation includes the provision at 52.214-16, Minimum Bid Acceptance Period.
EXCEPTION TO STANDARD FORM 33 (PEV.4-85)
Prescribed by GSA FAR(48CFR)53.214(c)
i SOLICITATION, OFFER AND AWARD Page 2 l
- 12. In compliance with the above, the undersigned agrees, if this offer is accepted within calendar days (60 calendar days unless a different period is inserted by the offaror) from the date for receipt of offers specified above, to furnish any or.all items upon which prices are offered at tSe price j
set opposite each item, delivered at the designated point (s), within the time specified in the schedule.
l
- 13. DISCOUNT FOR PROMPT PAYMENT (See Section I, Clause No. 52.232-8) 10 CALENDAR DAYS 20 CALENDAR DAYS 30 CALENDAR DAYS CALENDAR DAYS-l
- 14. ACKNOWLEDGEMENT OF AMEN 0MENTS (The offeror acknowledges receipt of
. amendments to the SOLICITATION for offerors and related documents numbered and dated:
AMENDMENT NO.
DATE AMENDMENT NO.
DATE 1
15A. NAME AND l CODE l l
FACILITY l l16. NAME AND TITLE OF PERSON ADDRESS l
l AUTHORIZED TO SIGN OFFER OF l
l (Type or print)
OFFER 0R l
l l'
l l
158. TELEPHONE NO. (Include Area l15C. CHECK IF REMITTANCE ADDRESS IS Code) l (-) DIFFERENT FROM ABOVE - ENTER SUCH l
ADDRESS IN SCHEDULE I
- 17. SIGNATURE:
- 18. OFFER DATE:
l AWARD (To be completed by Government) 19.-ACCEPTEDASTOITEMSNUMBERE0j20. AMOUNT l21.ACCOUNTINGANDAPPROPRIAlION
~
- 22. AUTHORITY FOR USING OTHER THAN FULL AND UPEN COMPETITION:
( ) 10 U.S.C. 2304(c)( )
( ) 41 U.S.C. 253(c)( )
- 23. SUBMIT INVOICES TO ADDRESS SHOWN IN l ITEM (4 copies unless otherwise specified) l
- 24. ADMINISTERED BY CODE l l25. PAYMENT WILL BE MADE BY CODE l (If other than Item 7) l U.S. Nuclear Regulatory Commission l
Olvision of Accounting and Finance GOV /COM Accounting Section 1
l Washington, DC 20555
- 26. NAME OF CONTRACTING OFFICER l27. UNITED STATES OF AMERICA l28. AWARD (Type or Print) l l
DATE (SignatureofContractingOfficer)l IMPORTANT - Award will be made on this Form or on Standard Form 26, or by other authorized official written notice.
EXCEPTION TO STANDARD FORM 33 (REV.4-85) l O
e
~
SOLICITATION, OFFER AND AWARD
- 1. This contract is a rated order under DPAS(15 JR 350) RATING:
- 2. CONTAACT NO.
l3. SOLICITATION NO.
l4. TYPE OF SOLICITATION l
RS-NMS-90-002 l
( ) SEALED BID (IFB) l l
(X) NEGOTIATED (RFP) i
- 5. DATE ISSUED l6. REQUISITION / PURCHASE PEQ. NO.
December 22, 1989 l
NMS-90-002
- 7. ISSUED BY CODE
!8.ADDRESSOFFERTO l
(If other than Item 7)
U.S. Nuclear Regulatory Commission 1
Offer must be addressed as shown Div. of Contracts & Property Mgmt.
l in Item 7.
Handcarried offers Contract Neg. Branch No.1; P-1020 l
(including Express Mail) must be Washington, DC 20555 j
delivered to the address in Item 9 i
NOTE: In sealed bid solicitatiins, " offer" and " offeror" mean " bid" and
" bidder".
SOLICITATION
- 9. Sealed offers in original and I signed copies for furnishing the supplies or services in the Schedule will be received at the place specified in Item 8, or if handcarried, in the depository located in Room-1011, 7920 Norfolk Avenue, Bethesda, MD 20814, until 10:00 A.M. local time on02/06/90. CAUTION-LATE Submissions, Modifications, and Withdrawals: See Section L, Provision No.
52.214-7 or 52.215-10. All offers are subject to all terms and conditions contained in this solicitation.
- 10. FOR INFORMATIONlA. NAME:
lB. TELEPHONE NO. (Include Area Code)
CALL:
lMrs. Helen Hagey l
(NO COLLECT CALLS) l l
(301)492-9449
~
- 11. TABLE OF CONTENTS X SEC DESCRIPTION PAGE(S)
PART I - THE SCHEDULE A
3OLICITATION/ CONTRACT FORM B
S'IPPLIES OR SERVICES AND PRICES / COSTS C
D BCRIPTION/ SPECIFICATIONS / WORK STATEMENT D
PACXAGING AND MARKING E
INSPECTION AND ACCEPTANCE F
DELIVCRIES OR PERFORMANCE G
CONTRALT 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 0FFER0RS L.
INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS M
EVALUATION FACTORS FOR AWARD OFFER (Must be fully completed by of feror)
NOTE:
Item 12 does not apply if the solicitation includes the provision at 52.214-16, Minimum Bid Acceptance Period.
EXCEPTION TO STANDARD FORM 33 (REV.4-85)
Prescribed by GSA FAR(48 CFR) 53.214(c)
.i
SOLICITATION, OFFER AND AWARD Page 2
]
q
~ 12. In compliance with the above, the undersigned agrees, if this offer is l
b accepted within calendar days (60 calendar days unless a different period is inserted by the offeror) from the date for receipt of offers spectfied 1
above, to furnish any or.all items upon which prices are offered at the price set opposite each item, delivered at the designated point (s), within the time
- speci.fied in the schedule.
- 13. DISCOUNT FOR PROMPT PAYMENT (See Section I, Clause No. 52.232-8) 10 CALENDAR DAYS 20 CALENDAR DAYS 20 CALENDAR DAYS.__ CALENDAR DAYS i
j 1
' 14. ACKNOWLEDGEMENT OF AMENDMENTS (The of feror acknowledges receipt of
.l I
. amendments to the SOLICITATION for offerors and related documents numbered and dated:
AMENDMENT NO.
DATE AMENDMENT NO.
DATE ISA, NAME.AND l CODE l l
FACILITY l l16. NAME AND TITLE OF PERSON ADDRESS l
l AUTHORIZED TO SIGN OFFER OF l
l (Type or print) 0FFEROR l
l l
158. TELEPHONE NO. (Include Area l15C. CHECK IF REMITTANCE ADDRESS IS Code) l ( ) DIFFERENT FROM ABOVE - ENTER SUCH l
l ADDRESS IN SCHEDULE
- 17. SIGNATURE:
- 18. OFFER DATE:
l AWARD (To be completed by Government)
- 19. ACCEPTED AS TO ITEMS NUMBERED l20. AMOUNT l21. ACCOUNTING AND APPROPRIATION l
- 22. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION:
( ) 10 U.S.C. 2304(c)(-)
( ) 41 U.S.C. 253(c)( )
- 23. SUBMIT INVOICES TO ADDRESS SHOWN IN l ITEM (4 copies unless otherwise specified) l t
l
- 24. ADMINISTERED BY CODE l l25. PAYMENT WILL BE MADE BY CODE l (IfothcrthanItem7)
U.S. Nuclear Regulatory Commission l
Division of Accounting and Finance l
GOV /COM Accounting Section 1
l Washington, DC 20555
- 26. NAME OF CONTRACTING 0FFICER l27. UNITED STATES OF AMERICA l28. AWARD (Type or Print) l l
DATE j(SignatureofContractingOfficer)l l
IMPORTANT.- Award will be made on this Form or on Standard Form 26, l
or by other authorized official written notice.
EXCEPTION TO STANDARD FORM 33 (REV.4-85)
. d '.
i
TABLE OF CONTENTS PAGE 3 SOLICITATION, OFFER AND AWARD....................
1 TABLE OF CONTENTS..........................
3 PART I - THE SCHEDULE..............
8 SECTION B - SUPPLIES OR SERVICES AND PRICE / COSTS..........
8
~
B.1 PROJECT TITLE.......................
8 B.2 BRIEF DESCRIPTION OF WORK (MAR 1987)............
8 B.3 CONSIDERATION AND OBLIGATION--COST PLUS FIXED FEE.....
8 (JUNE 1988) ALTERNATE I (JUNE 1988)
SECTION C - DESCRIPTION / SPECIFICATION................
10
/ WORK STATEMENT C.1 STATEMENT 0F WORK.....................
10 C.2 TRAVEL APPROVALS (MAR 1987)................
17 SECTION D - PACKAGING AND MARKING..................
18 0.1 PACKAGING'AND MARKING (MAR 1987)..............
18 SECTION E - INSPECTION AND ACCEPTANCE................
19 E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE.
19 SECTION F - DELIVERIES OR PERFORMANCE................
20 F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE.
20 F.2 PREPARATION OF TECHNICAL REPORTS (JUNE 1988) 20 F.3 TECHNICAL PROGRESS REPORT (JUWE 1988)...........
20 (OMB CLEARANCE NUMBER 3150-0112)
F.4 FINANCIAL STATUS REPORT (JUNE 1988)............
21 (OMB CLEARANCE NUMBER 3150-0112)
F.5 PLACE OF DELIVERY--REPORTS (JUNE 1988)...........
21 F.6 DURATION OF CONTRACT PERIOD (MAR 1987)...........
22 F.7 DRAFT AND FINAL TECHNICAL LETTER REPORTS..........
22 F.8 QUALITY ASSU RANCE.....................
22 SECTION G - CONTRACT ADMINISTRATION DATA..............
23 G.1 INDIRECT COST RATES (JUNE 1988)...............
23 G.2 PROJECT OFFICER AUTHORITY (JUNE 1988)...........
23 G.3 TRAVEL REIMBURSEMENT (JUNE 1988)..............
25 G.4 REMITTANCE ADDRESS (MAR 1987)...............
26 s
G.5 BILLING INSTRUCTIONS....................
26 SECTION H - SPECIAL CONTRACT REQUIREMENTS..............
27 H.1 KEY PERSONNEL (JUNE 1988).................
27 H.2 DISSEMINATION OF CONTRACT INFORMATION (MAR 1987) 28 H.3 PRIVATE USE OF CONTRACT INFORMATION AND DATA (JUNE 1988)..
28-H.4 DRAWINGS, DESIGNS, AND SPECIFICATIONS (JUN 1988)......
28 H.5 ORGANIZATIONAL CONFLICTS OF INTEREST............
28 (DMB CLEARANCE NUMBER 3100-1112) (JUNE 1988)
H.6 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE.PROVIDED..
30 (eUNE 1988)
H.7 GOVERNMENT-P,. :ilSHED MATERI AL...............
30 PART II - CONTRACT CLAUSES..................
32 1
I i
iABLE OF $0NTENTS PAGE 4 1
CONTRACT CLAUSES...................
32
'SECTION I I.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE.
32 I.2 OPTION TO EXTEND THE TERM OF THE CONTRACT.........
33 (FAR 52.217-9) (MAR 1989)
'I.3 PAYMENT FOR OVERTIME PREMIUMS...............
34 (FAR 52.222-2) (APR 1984)
I.4 DRUG-FREE WORKPLACE (FAR 52.223-6).............
35 (MAR 1989) 1.5 PROMPT PAYMENT (FAR 52.232-25) (APR 1989).........
36 I.6 ELECTRONIC FUNDS TRANSFER PAYMENT METHODS (FAR 52.232-28),
41 (APR1989)
I7 CLAUSES INCORPORATED BY REFERENCE.............
42 (FAR 52.252-2) (JUN 1988)
I.8 TERMINATION OF DEFINED BENEFIT PENSION PLANS........
43 (FAR 52.215-27) (SEP 1989)
PART III - LIST OF DOCUMENTS, EXHIBITS...............
44 AND OTHER ATTACHMENTS SECTION J - LIST OF ATTACHMENTS...................
44
)
J.1 ATTACHMENTS ( MAR 1987)...................
44 5
REPRESENTATIONS AND INSTRUCTIONS............
45 PART IV SECTION K - REPRESENTATIONS, CERTIFICATIONS ANO.
45 OTHER STATEMENTS OF OFFER 0RS K.1 CONTINGENT FEE REPRESENTATION AND.............
45 AGREEMENT (FAR 52.203-4) (APR 1984)
K.2 TAXPAYER IDENTIFICATION (FAR 52.204-3) (SEP 1989).....
45 l
K.3 CERTIFICATION REGARDING DEBARMENT, SUSPENSION,.......
47 PROPOSED DEBARMENT, AND OTHER RESPONSFaLITY
~
l MATTERS (FAR 52.209-5) (MAY 1989)
K.4 TYPE OF BUSINESS ORGANIZATION (FAR o2.215-6) (JUL 1987)..
48 K.5 AUTHORIZED NEGOTIATORS (FAR 52.21s-11) ( APR 1984).....
48 K.6 PLACE OF PERFORMANCE (FAR 52.215-20) (APR 1984)......
48 K.7 SMALL BUSINESS CONCERN REPRESENTATION 49 (FAR 52.219-1) (MAY 1986)
K.8 SMALL DISADVANTAGED BUSINESS CONCERN............
49 REPRESENTATION (FAR 52.219-2) (APR 1984) l K.9 WOMEN-0WNED SMALL BUSINESS REPRESENTATION.........
50 1
(FAR 52.219-3) (APR 1984)
K.10 PREFERENCE FOR LABOR SURPLUS AREA CONCERNS.........
50 (FAR 52.220-1) ( APR 1984)
K.11 CERTIFICATION OF NONSEGREGATED FACILITIES.........
51 (FAR 52.222-21) (APR 1984)
K.12 PREVIOUS CONTRACTS AND COMPLIANCE REPORTS.........
52 (FAR 52.222-22) (APR 1984)
K.13 AFFIRMATIVE ACTION COMPLIANCE...............
52
. (FAR 52.222-25) (APR 1984)
K.14 CLEAN AIR AND WATER CERTIFICATION.............
52 (FAR 52.223-1) (APR 1984)
K.15 CERTIFICATION REGARDING A DRUG-FREE WORKPLACE,......
53 (FAR 52.223-5) (MAR 1989)
K.16 NOTICE OF RESTRICTIONS ON CONTRACTING WITH...
55 y
4 TABLE OF CONTENTS PAGE 5
SANCTIONED PERSONS (FAR 52.225-12) (MAY 1989)
K.17 COST ACCOUNTING STANDARDS NOTICES AND..........
55 CERTIFICATION (NONDEFENSE) (FAR 52.230-2) (SEP 1987)
K.18 ORGANIZATIONAL CONFLICTS OF INTEREST (JUNE 1988)......
57 K.19 CERTIFICATION REGARDING DEBARMENT STATUS (JUNE 1988)....
57 K.20 QUALIFICATIONS OF CONTRACT EMPLOYEES (JUNE 1988).....
57 K.21 CURRENT /FORMER AGENCY EMPLOYEE INVOLVEMENT (JUNE 1988)...
37 SECTION L - INSTRUCTIONS, CONDITIONS, AND NOTICES..........
59 TO OFFERORS 1
L.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED,...
59 BY REFERENCE L2 CONTRACTOR ESTABLISHMENT CODE (FAR 52.204-4) (AUG 1989)..
59 L.3 FACILITIES CAPITAL COST OF MONEY..............
60 (FAR 52.215-30) (SEP 1987)
L. 4 TYPE OF CONTRACT (FAR 52. 216-1) ( APR 1984).........
60 L.5 SERVICE OF PR0"EST (FAR 52.233-2) (NOV 1988) 60 L.6 SOLICITATION FR0 VISIONS INCORPORATED BY,.....,...
61 REFERENCE (FAR 52.252-1) (JUN 1988)
L7 LEVEL OF EFFORT (JUNE 1988)................
61 L.8 ESTIMATED DURATION (JUNE 1988)...............
61 l
L.9 ACCEPTANCE PERIOD (MAR 1987).................
61 L.10 SMALL BUSINESS SIZE STANDARD AND PRODUCT CLASSIFICATION..
61 (MAR 1987) ALTERNATE I (MAR 1987)
L.11 AWARD NOTIFICATION AND COMMITMENT OF PUBLIC FUNDS.....
61 l
(JUNE 1988)
L.12 DISPOSITION OF PROPOSALS (JUNE 1988)..........,.
62 L.13 PROPOSAL PRESENTATION AND FORMAT (JUNE 1988)........
52 L.14 0FFEROR QUALIFICATIONS AND PAST EXPERIENCES........
66 L.15 NONDISCRIMINATION BECAUSE OF AGE (FAR 22.901) (MAR 1987)..
68 L.16 SUBCONTRACTING PROGRAM PLAN FOR UTILIZATION OF SMALL....
68 BUSINESS AND SMALL DISADVANTAGED BUSINESS CONCERNS (JUNE 1988)
L 17 TIMELY RECEIPT OF PROPOSALS / BIDS (JUNE 1988)........
68 SECTION M - EVALUATION FACTORS FOR AWARD..............
69 e
L M1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED....
69 BY REFERENCE i
M.2. EVALUATION OF OPTIONS 69 (FAR 52.217-5) (JUN 1988) l M.3 CONTRACT AWARD AND EVALUATION OF PROPOSALS (JUNE 1988)...
69 M.4 EVALUATION CRITERI A (MAR 1987)...............
70 l
l l
4
-s
['" 14 <
Page 6-i i
9 THIS PAGE INTENTIONALLY LEFT BLANK i
a
?
t 9
'g>
'q 1
- c -
PAGE 7 0FFERORS/ BIDDERS PLEASE NOTE:
An (*) means the information is to be incorporated by the Contracting Office into any resultant contract.
Any reference to the Contractor Spending Plan herein '; not applicable to this contract.
l l
i i
l i.
9 Page 8 RS-NMS-90-002 Section B j
PART I - THE SCHEDULE SECTION B - SUPPLIES OR SERVICES AND PRICE / COSTS
.i B.1 PROJECT TITLE The title of this project is as follows:
Quality Assurance in the Medical Use of Byproce:t Material (End of Clause)
'B.2 BRIEF DESCRIPTION OF WORK (MAR 1987)
. (1). I@ntify regulations, standards, and guidelines for quality
[-
assuranc.0 in the medical use of byproduct material; -(2) (Optional)
, measure the extent of their use by conducting a mail survey of NRC i.
Emedical licensees and follow-up with on-site reviews; (3) interview the Health Care Financing Administration'and the Joint Commission on l
-the-Accreditation of Healthcare Organizations to assess the scope and-detail of their inspection and enforcement programs which specifically relate to diagnostic and therapeutic uses of byproduct material; and (4) perform an analysis of information collected by 4
.NRC. inspectors from NRC licensees regarding medical quality
. assurance.
3 (EndofClause) l L
B.3 CONSIDERATION AND OBLIGATION--COST. PLUS FIXED FEE l
(JUNE 1988) ALTERNATE I (JUNE 1988) c.
The total estimated cost to the Government for full
. performance-of this contract is __*
,.of which the sum of represents the estimated reimbursable costs, and of.which represents the fixed fee, b.
There shall be no adjustment in the amouat of the Contractor's fixed fee by reason of differances between any estimate of cost for performance of the work under +1s contract and the actual cost for performance of that work.
c.
The amount presently obligated by the Government with respect to this contract is d.
It is estimated that the amount currently allotted will
' q.,
- 9
- i Page 9
. RS-NMS-90-002 Section B t
cover performance through (End of Clause)
- \\
F i
L
-2L L
h t
5
?
- 1
.n
- l. '
7 Page 10
.RS-NMS-90-002' Section C
(
SECTION C - DESCRIPTION / SPECIFICATION
/ WORK STATEMENT C.1 STATEMENT OF WORK C.1.1.
BACKGROUND:
The Commission has determined that new rules and regulatory guidance on quality assurance may be needed to provide adequate public health and safety in the medical use of byproduct material, i
This determination was based on reports submitted pursuant to 10
(,
CFR 35.33, " Records and Reports of Misadministrations." However, l
the Commission does not have an accurate measure of the extent to L
which NRC medical use licensees have developed and implemented quality assurance programs.
This measure-is a necessary factor in
~
determining how NRC should proceed in future actions.
In October 1987, the NRC published a proposed rule entitled " Basic Quality Assurance in Radiation Therapy" and an advanced notice of proposed rulemaking entitled " Comprehensive Quality Assurance in Medical Use and a Standard of Care." The Commission was briefed by the NRC staff on March 22, 1988, and by medical representatives on April 7, 1988. The medical representatives stated that the prescriptive _ proposed rules were not needed and did not recognize that.there are differences in medical care delivery throughout the t
United' States. The Commission directed the staff to prepare an options paper providing rulemaking alternatives and.to provide L
further information on specific topics related to quality.
assurance programs. Based on that options paper, the Commission then directed the staff to prepare a performance-based proposed rule, a draft regulatory guide for quality assurance in the
~
medical use of byproduct materials, and a pilot program to assess l-the effectiveness of the proposed rule and draft regulatory guide.
i l
C.1.2.
CONTRACT OBJECTIVES:
The objectives of this contract are: (1) to identify the current regulations, standards, and guidelines that are required or recommended by various government and non government organizations for quality assurance in the medical use of byproduct material; (2) to identify the regulations, standards, and guidelines that are currently being used by NRC licensees for quality assurance in the medical use of, byproduct material on a required or voluntary basis; (3) to identify the scope and level of detail of the inspections performed by the Health Care Financing Administration and the Joint Commission on the Accreditation of Healthcare Organization.(JCAHO) for quality of care at medical facilities; and (4) to perform an analysis of information that has been collected by the NRC from NRC medical use licensees in response to f
i a
a Page 11 RS-NMS-90-002 Section C 4
the NRC " Medical Use Quality Assessment" questionnaire.
C.1.3.
SCOPE OF WORK / DELINEATIONS OF TASKS
]
~
TASK 1.
IDENTIFICATION OF REGULATIONS, STANDARDS, AND GUIDELINES I
The Contractor shall conduct interviews with the organizations j
listed below and any others identified by the Contractor and approved by the NRC Project Officer, to collect information identifying the current regulations, standards, and guidelines for i
quality assurance in the medical use of byproduct material. The Contractor shall use a physician and a medical physicist who have 1
expertise in diagnostic and/or therapeutic radiology using
)
byproduct materials to conduct the interviews. The information
~
from the interviews shall identify the regulations, standards, and u
guidelines that are required or recommended by each organization surveyed for each topic area in 10 CFR Part 35 - Medical Use of
.I Byproduct Material, Subparts B - General Administrative Requirements through Subpart I - Teletherapy.
The Contractor shall conduct interviews with the following organizations-1.
Health Care Financing Organization (HCFA); _
2.
Joint Commission on the Accreditation of Healthcare Organizations (JCAHO);
3.
Food and Drug Administration (FDA);
4.
American College of Radiology (ACR);
5.
Society of Nuclear Medicine (SNM);
6.
Radiologic Physics Center at the M.D. Anderson Hospital i
and Tumor Institute; 7.
American Association of Physicists in Medicine; 8.
College of American Pathologists; and, 9.
Any other organization identified by the Ccatractor and approved by the NRC Project Officer.
Reporting Requirements:
Within fcur months of the contract award, the Contractor shall,
.upon completion of the interviews, review and analyze the information collected and submit five copies of a draft technical jl letter report, which documents the results of this review, to the NRC. Project Officer.
Again, the Contractor shall use a physician and a medical physicist who have expertise in diagnostic and/or therapeutic radiology using byproduct materials to review and analyze the information and write the report. The report shall include the NRC regulations, standards, and guidelines for quality assurance in the medical use of byproduct material. However, it
.will not be necessary for the Contractor to perform a literature search or to conduct interviews to obtain information related to the NRC regulations, standards and guidelines related to_ medical use quality assurance, as the NRC Project Officer will provide this information to the Contractor at the beginning of the contract. The report shall list and describe the current regulations, standards and guidelines of the organizations i
+
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Page 12 1
RS-NMS-90-002 Section C surveyed as well as those of NRC. The report shall also present in a matrix format any o ns, overlaps, and conflicts between the NRC's regulations, stant.cds, and guidelines and those of the organizations surveyed.
The NRC Project Officer will furnish any comments on the draft report to the Contractor within one month after receipt of the draft report. Based on the Project Officer's comments, the Contractor shall submit, within six months of the contract award, ten copies of the final technical letter report which documents all work performed in accordance with Task 1.
Refer to Section F
- Place of Delivery--Reports for distribution and mailing addresses.
TASK 2.
MAIL SURVEY OF NRC MEDICAL LICENSEES AND FOLLOW-UP DN-SITE REVIEWS The specific objective of this task is to determine the regulations, standards, and guidelines that physicians, medical physicists and medical technologists working for NRC medical licensees are currently using for quality assurance for each type of use the licensee is, authorized under 10 CFR 35, Subparts D -
Uptake, Dilution, and Excretion through Subparts I - Teletherapy.
Subtask a.
Design Mail Survey Form The Contractor shall design a mail survey form to assess the current level of quality assurance which now exists at NRC medical use licensees. To perform this task, the Contractor shall use a l
physician and a medical physicist with expertise in diagnostic and/or therapeutic radiology using byproduct materials and also an individual experienced in performing surveys.
The mail survey form shall bo designed to obtain the following information:
a.
an. identification of the regulations, standards, and l
guidelines that each licensee is following for quality assurance for each type of use authorized under 10 CFR Part 35, Subparts D through I; b.
a determination as to whether the licensee is implementing the identified regulations, standards, and guidelines on a voluntary or mandatory basis; and c.
an 14ntification of the organization (s) that are requiring or recommending that the NRC licensees implement the identified regulations, standards, and guidelines.
Reporting Requirements:
Within thrce months of the contract award, the Contractor shall provide fin e copies of the mail survey form to the NRC Project Officer foe review and written approval.
Refer to Section F -
'i i
o L
Page 13 RS-NMS-90-002 Section C p,
= Place of Delivery--Reports for distribution and mailing addresses.
NOTE: Upon'the NRC's receipt and acceptance of the mail survey form, the NRC will request Office of Management and Budget (OMB) approval of the mail survey form before NRC can authorize the
' Contractor to proceed with the work as detailed under subtask 2.b.
t below. This subtask 2.b. is ther= fore an optional subtask.
Delineated below are two versions of subtask 2.b. of which the NRC may exercise only one version. The first version of the optional subtask 2.b. is to only mail the survey form to the NRC medical 1
use licensees and submit both a draft and a technical letter:
report. The second version of the optional subtask 2.b. is to not only mail the survey form to the NRC medical use licensees but to also perform 25 on-site reviews as well as submit both a draft and a final technical letter report.
If the Government determines to exercise either version of the optional subtask 2.b., the NRC Contracting Officer will issue a modification to the contract and will identify which of the optional subtask 2.b. shall be performed by the Contractor. (Refer to Section I, Clause No.
52.21P 9 - Option to Extend the Term of the Contract.) The cost for either version of the optional subtask 2.b. shall be separate from each other and from the cost for performance of all other tasks under this. contract.
(Refer to Section L of the Solicitation - Proposal Presentation and Format.)
FIRST OPTIONAL Subtask 2.b.
Mailing the Mail Survey Form Upon execution of the modification to exercise this option, the Contractor shall mail the approved mail survey form developed under subtask 2.a. above to all of the approximately 2,400 NRC medical use licensees. The NRC Project Officer will provide the Contractor with the appropriate mailing list. The Contractor shall instruct the licensees to return the forms to the Contractor, who will then assemble and organize the findings of the survey.
Reporting Requirements:
Within ten months of contract award, upon completion of the mail survey,.the Contractor shall submit five copies of a draft technical letter report to the NRC Project Officer documenting the results of the mail survey.. The report shall not identify specific NRC licensees by name.
Instead, the results shall be in a format to group the NRC licensees by the category of authorized use of byproduct material for medical use, as stated in 10 CFR Part 35, Subparts D through I or by some other. grouping method, such as type of medical licensee (government, university, not for profit, geographic region, number of patients handled per year, or patient / worker ratio). The Contractor shall obtain approval of the NRC-Project Officer for the format and groupings of information prior to submitting the report.
The NRC Project Officer will furnish any comments on the draft reports to the Contractor within one month after receipt of the draft report. Within twelve months of the contract award, the
)
A Page 14 RS-NMS-90-002 Section C Contractor shall. provide ten copies of the final technical letter report.
Refer to Section F - Place of Delivery--Reports for
' distribution and mailing addresses.
SECOND OPTIONAL Subtask 2.b.
Mailing the Mail Survey Form and On-site Reviews Upon execution of the modification to exercise this option, tne Contractor shall mail the approved mail survey form developed under subtask 2.a. above to all of the approximately 2,400 NRC medical use licensees. The NRC will provide the Contractor with the appropriate mailing list. The Contractor shall instruct the licensees to return the forms to the Contractor, who will then assemble and organize the findings of the survey.
The Contractor shall perform twenty-five (25) on-site reviews at the facilitie' of those NAC licensees respending to the survey, to confirm that the. informs'cion provided by the licensee is accurate. The on- ' ceviews shall include interviews of personnel and review and observation of the quality assurance procedures described by the licensee in the mail survey. The Contractor shall ootain written approval by the NRC Project Officer prior to each on-site review. The NRC Project Officar will provide prior announcements to the NRC licensees for all on-site reviews.
Reporting Requirements:
Within ten months of contract award, upon completion of the mail survey and the on-site reviews, the Contractor shall submit five copies of a draft technical letter report to the NRC Project Officer documenting the results of the mail survey and the on-site reviews. The report shall not identify specific NRC licensees by Instead, the results shall be in a format to group the NRC name.
licensees by the category of authorized use of byproduct material for medical use, as stated in 10 CFR Part 35, Subparts D through I or by some other grouping method, such as type of medical licensee (government, university, not for profit, geographic region, number of patients handled per year, or patient / worker ratio). The Contractor shall obtain approval of the NRC Project Officer for the format and groupings of information prior to submitting the report.
.The NRC Project Officer will furnish any comments on the draft report to the Contractor within one month after receipt of the draft report. Within twelve months of the contract award, the Contractor shall provide ten copies of the final technical letter report.
Refer to Section F - Place of Delivery--Reports for distribution and mailing addresses.
-TASK 3 SURVEY OF HEALTH CARE FINANCING ADMINISTRATION (HCFA) AND THE JOINT COMMISSION ON THE ACCREDITATION OF HEALTHCARE ORGANIZATIONS (JACH0)
The Contractor'shall interview personnel and collect information
=,
f
r
.s.
Page 15 RS-NMS-90-002 Section C
. to review the scope and detail of the " quality of care" inspections conducted by the HCFA and JCAHO at medical institutions.
The Contractor shall use a physician and medical physicist with experience in diagnostic and/or therapeutic radiology using byproduct material to conduct the interviews and review the scope and detail of the inspections. The Contractor shall.also review HCFA's and the JCAHO's inspections of Radiology and Nuclear Medicine departments to determine the level of detail of review for quality assurance for medical use of byproduct material for the topics identified in 10 CFR Part 35 - Medical Use of Byproduct Material, Subpart B - General Administrative Requirements through Subpart I - Teletherapy.
Reporting Reovirements:
Within four months of the contract award, upon completion of the review, the Contractor shall provide five copies of the draft technical letter report to the NRC Project Officer documenting the results of this review. The NRC Project Officer will provide any comments on the draft report to the Contractor within one month after receipt of the draft report. Within six months of the contract award, the Contractor shall provide 10 copies of the final technical letter report.. Refer to Section F - Place of l
Delivery--Reports for distribution and mailing addresses.
TASK 4 REVIEW AND ANALYSIS OF COMPLETED NRC MEDICAL QUALITY ASSESSMENT SURVEY FORMS The NRC is currently conducting a separate survey on medical use quality assessment, using a 15 page questionnaire, entitled
" Medical Use Quality Assessments". A copy of this questionnaire is attached (Refer to Section J - List of Attachments.) It is expected that there will be approximately 1,000 completed questionnaires over an eight month period.
Upon award of the contract, the NRC Project Officer wil1~begin to provide the Contractor with the completed questionnaires. The NRC Prcject Officer will continue to provide completed questionnaires to the Contractor at monthly intervals throughout the eighth month of the contract period. The Contractor shall review and analyze the data contained in the completed questionnaires by sorting the data, grouping the results, and summarizing.the results in a report to the NRC Project Officer.
The results shall be in a format, approved by the NRC Project Officer, such as by the category of authorized use of byproduct material for medical use, as stated in 10CFR Part 35, Subparts D through I or by some other grouping methods, such as type of medical licensee (government, university, not for profit, geographic region, number of patients handled'per year, or the patient / work ratio.).
The Contractor shall use a computer program to sort and group the data whicn she il be compatible with the existing NRC software and computer systems.
(Refer to Section J - List of Attachments for
l
~s s
l RS-NMS-90-002-Seetion C
-i requirements for development of software, data or other l
machine-readable deliverables for the NRC.)
\\
Reporting Requirements:
Within t'en months of the contract award, the Contractor shall.
provide five copies of the draft technical letter report which documents all work in accordance with Task 4.
The NRC Project Officer will furnish any comments on the draft report to the i
Contractor within one month after receipt of the draft report.
Within twelve months of the contract award, the Contractor shall provide the software media and ten copies of the final technical letter report.
Refer to Section F. Place of Delivery--Reports y
I for distribution and mailing addresses.
C.2 SCHEDULE i
ACTION MONTH NRC Awards contract / Post Award Orientation 0
Contractor submits' proposed protocol for 3
mail survey for Task 2, subtask a Contractor submits draft report to NRC 4
.for. Task 1 and Task.3 Contfactor meets NRC in Rockville, MD 4
NRC PO submits comments to Contractor 5
for Task I and Task 3 Contractor submits final reports to NRC 6
for Task 1 and Task 3 If Optional subtask 2.b..is exercised, Contractor to' initiate mail survey form 6
Contractor meets NRC in Rockville, MD 8
Contractor submits draft report to NRC 10 for Task 2 and fask 4 Contractor briefs NRC in.Rockville, MD 10 NRC PO submits comments to Contrcetor 11 L
for Task 2 and Task 4 Contractor submits final report to NRC 12 for Task 2 and Task 4 l
i r
o RS-NMS-90-002 Section C f
C.3 tiEETINGS AND TRAVEL The Contractor shall meet with the NRC Project Officer according to the schedule in Section C.2.- Schedule for the purpose of discussing the status of work under this contract.
These meetings shall be of one-day duration and s'.all be held at the NRC Office in Rockville, Maryland. The date and time for each meeting shall be mutually agreed upon by the Contractor and the NRC Project Officer. (Refer to Section G " Travel Reimbursement".)
(End of Clause)
C.4 TRAVEL APPROVALS (MAR 1987) a.
All domestic travel-requires the prior approval of the Project Officer.
b.
All foreign travel must be approved in advance by the NRC on NRC Form 445 and shall be in compliance with 52.247-63 Preference-For U.S. Flag Air Carriers. Such approval will be communicated in writing through the Contracting Officer.
(End of Clause)
~
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., l' Page 18 RS-NMS-90-002 Section D 0
1
{
i SECTION D - PACKAGING AND HARKING-I 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 :arrier and safe delivery. at destination. Containers and closures shall comply with the Interstate Commerce Commission Regulations, Uniform Freight Classification Rules, or regulations of other ccrriers as applicable to the' mode of transportation. On the front of the package, the Contractor shall clearly identify the contract number under which the produact is being provided.
(End of Clause) 1
\\
+
9 Y
[
- e RS-NM5-90-002 Seetion E t~
u SECTION E - INSPECTION AND ACCEPTANCE E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE 3'
NOTICE: The following solicitation provisions and/or contract clauses _ pertinent to this section are hereby incorporated by reference:
FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) c, '
NUMBER DATE TITLE 52.246*5 APR 1984 INSPECTION OF SERVICES--
COST-REIMBURSEMENT
.s a
f1
- S
Tl' wye oc.
i' [ ' c1 ' '
Page 20 m i RS-NMS-90-002 Section F SECTION F - DELIVERIES OR PERFORMANCE F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE NOTICE:
The following solicitation provisions and/or contract clauses pertinent to this section are hereby incorporated by reference:
FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1)
NUMBER.
DATE TITLE 52.212-13 AUG 1989 STOP-WORK ORDER ALTERNATE I (APR 1984)
F.2 PREPARATION OF TECHNICAL REPORTS (J'INE 1988)
.All technical reports required by.Section C and all Technical Progress P.eports required by Section F are to be prepared in accordance with the attached NRC Manual Chapter 3202.
NRC Manual Chapter 3202 is not applicable to any Contractor Spending Plan (CSP) and any Financial Status' Report that may be included in this contract. (See Section J for List of Attachments).
i l'
(End of Clause)
F.3 TECHNICAL PROGRESS REPORT (JUNE 1988)
(OMB CLEARANCE NUMBER 3150-0112)
The Contractor shall provide a monthly Technical Progress Report to the Project Officer and the Contracting Officer. The l
);
report is due within 15 calendar days af ter the end of the report L
period and shall identify the title of the project, the contract L
number, project manager and/or principal investigator, the contract l-period of performance, and the period covered by the report.
Each report shall include the following for each discrete task:
A listing of the :fforts completed during the period; a.
milestones reached or, if missed, an explanation provided; 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 requiremen~cs, level of effort (cost) or schedule delay, the Contractor shall submit a separate letter to the Contracting Officer identifying the i
required change and estimated cost impact).
s c.
A summary of progress to date; and
.d.
Plans for the next reporting period.
.s.'
- s-
\\k'
,.Q !','
Page 21 1
RS-NMS-90-002 Section F F.4 FINANCIAL STATUS REPORT (JUNE 1988)
(OMB CLEARANCE NUMBER 3150-0112)
The Contractor shall provide a monthly Financial Status Report to the Project Officer and the Contracting Officer. Thc 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, r
project manager and/or principal investigator, the contract period of performance, and the period covered by the report.
Each report shall include the following for each discrete task:
j Provide total estimated cost (value) of the project as a.
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.
1
- 4) Total Costs Incurred To Date.
- 5) Balance of Obligations Remaining.
-6) Balance of Funds Required To Complete Contract.
L4 b.. Detail of all direct and indirect costs incurred during p
the reporting period for each task.
1 7
Update the approved Contractor Spending Plan (CSP} if j
c.
required under this contract.
If there have been no changes to the l'
projections, a certification to that effect may be provided with the l
Financial Status Report in lieu of the CSP.
1 (End of Clause)
F.5 PLACE OF DELIVERY--REPORTS (JUNE 1988)
The items to be furnished hereunder shall be delivered, with all charges paid by the Contractor, to:
a.
Project Officer (Number of copies as specified in Section C)
'l b.
Contracting Officer (1 copy)
U.S. Nuclear Regulatory Commission
'l Contract Number:
Division of Contracts and Property Management ll a-
/
.~
e RS-NMS-90-002 Section F Contract Administration Branch Wtshington, D.C.
20555 (End c' clause)
F.6 DURATION OF CONTRACT PERIOD (MAR 1987)
This contract shall commence on and will expire on The term of this contract includes the optional J
subtask 2.b. as described herein.
i (End of Clause)-
F.7 DRAFT AND FINAL TECHNICAL LETTER REPORTS The Contractor shall submit a draft and a final technical letter report for each of the four tasks in accordance with Section C -
Description / Specification / Work Statement.
i F.8 QUALITY ASSURANCE-All draft and final reports must be reviewed by the Contractor's management and be approved with two signatures. One of these approval signatures must be from the Contractor's management, at a level above the Program Manager.
When revisions of those draft reports are issued, each session 3
shall.show the superseded text in the draft report as well as the s
revised text.
(End of Clause) 1 2
h
.9
p c-Page 23 RS-NHS-90-002.
Section G SECTION G - CONTRACT ADMINISTRATION DATA G. I.
INDIRECT COST RATES (JUNE 1988) a.
Pending the establishment of final indirect rates which shall be negotiated based on audit of actual costs, the Contractor shall be reimbursed for allowable indirect costs as follows:
a b.
The Contracting Officer may adjust the above ratesfas-appropriate during the term of the contract upon acceptence of any revisions proposed by the Contractor.
It is the Contractor's responsibility to notify the Contracting Officer in accordance with 52.232 Limitation of Cost or 52.232-22 -- Limitation of Funds,
p as applicable, if such change (s) affect (s) performance of work within the established cost or funding limitations.
(End.of Clause)
G2 PROJECT OFFICER AUTHORITY (JUNE 1988) a.
-The Contracting Officer's authorized representative hereinafter referred to as the Project Officer for this contract is:
Name:
Address:
Telephone Number:
1:
L b.
Performance of the work under this contract shall be
.j L
subject to the technical direction of the NRC Project Officer.
The term " Technical Direction" is defined to include the following:
n 1)
Technical direction to the Contractor which shifts J
work emphasis between areas of work or tasks, fills in details or 1
otherwise serves to accomplish the contractual statement of work.
j 2)
Provide advice and guidance te the Contractor in the
.i preparation of drawings, specifications or technical portions of the work description, j
4 3)
' Review attd, where required by the contract, approval
/j
- 1 1
4.
4 q
g?
1 l
-page 24
.RS-NMS-90-002 Section G h>'#
of technical' reports, drawings, specifications and technical J
.information to be delivered by the Contracter to the Government under.'the contract.
c.
Technical direction must be within the general statement of work stated in the contract. -The Project Officer does-not have the
-authority to and may.not issue any technical' direction which:
3
.A
- 1) Constitutes an assignment of additional work outside the. general scope of the contract.
p
- 2) Constitutes a change as defined in the "Che.nges" clause of this contract.
W
- 3) In'any way causes an increase or decrease-in.he total estimated contract cost, the' fixed fee, if any, or the time required for contract performance.
~
a
~
O %anges any of the expressed terms, conditions or i
specificata of the contract.
- 5) Terminates tb W.ract, settles any Laim or dispute t
,4 arising;under the contract, m issues any unilateral directive j
whatever.
1 s
l: :
i' d.
All technical'd'rections shall be issued in writing by the
. Project Officer or shall be-confirmed by such person in writing L
within ten (10) working' days after verbal issuance. A copy of said L
written direction shall be furnished to the Contracting Officer.
'j o
e.
The Contractor shall proceed promptly with the performance of technical directions duly issued by the Project Officer in the l
l.
manner prescribed by this clause and within such person's authority i
lf under the= provisions of this clause.
L f.
If, in-the opinion'of the Contractor, any instruction or direction. issued by the: Project Officer is within one of the-1 categories as defined in-c above, the Contractor shall not proceed j
but:shall notify the Contracting Officer in writing within five (5) working days after the receipt of any such instruction or direction and.shall request the Contracting Officer to modify the contract accordingly. 'Upon receiving such notification from the Contractor, the Contracting Officer shall issue an appropriate contract j
modification or advise the Contractor in writing that, in the l
Contracting Officer's opinion, the technical ~ direction is within the 3
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 a.nd may even result in the Contractor expending funds for unallowable costs under the contract.
j h.
A failure of the parties to agree upon the nature of the instruction ~ or direction or upon the contract action to be taken s.
t,
- f:
,,g E '
t Page 25 f *e*f Section G-d RS-NMS-90-002 gm
[% "
1 W
. with respect thereto'shall be subject to 52.233-1 --Disputes.
- I j
- 1. ~In addition to providing technical direction as defined i) 0-above,' the Project Officer is responsible for:
- {
l
- 1). Monitoring.the Contractor's technical progros,
~
.. ?..
including surveillance and assessment of periormance, and-jg recommending toLthe Contracting Officer changes in. requirements, e
,F
-2) Assisting the Contractor in the resolution of technical
[,
problems encountered during performance.
(
e
- 3) Reviewing all costs requested for reimbursement by the
?.
Contractor and submitting to-the Contracting Officer recommendations
)I for approval, disapproval, or suspension of_ payment for supplies and services required under this contract.
N (EndofClause) y L
G.3 TRAVEL REIMBURSEMENT (JUNE 1988) a a.
Total expenditure for domestic travel shall not exceed j
- 3* without the prior approval of the Contracting Officer.
~
- b. - The Contractor is encouraged to use Government contract
'l L
airlines, AMTRAK. rail service, and discount hotel / motel properties l-in order to reduce the cost of travel under this contract. The Contracting Officer will, upon request, provide each additional L
- traveler-with a-letter of identification which is required in order
~ to participate.in this program. The Federal Travel Directory (FTD) identiftes 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 g
i this contract. The FTD,.which is issued monthly, may be purchased L
from the U.S. Government Printing Office, Washington, DC 20402.
J d
c.
The Contractor will be reimbursed for reasonable domestic L,
travel costs incurred directly and specifically in-the performance of this contract. The cost limitations for travel costs are determined by the Federal Travel Regulations that are in effect on
-l the date of the trip. These Regulations specify the daily maximum per diem rates for. specific localities within the Conterminous United States (CONUS), the standard CONUS rate, the allowance for meals' and incidental expenses (M&IE), the cost of travel by-privately' owned automobile, and the items which require receipts. A 5
copy of the Regulations may be obtained from the Superintendent of Documents, Government Printing Office, Washington, DC 20402.
d.
When the Gover:' ment changes the Federal Travel
~
b Regulaticas, it is the responsibility of the Contractor to notify
- be Contracting Officer in accordance with the Limitation of Cost L
clause of this contract if the Contractor will be unable to make all of the approved trips and remain within the cost and fee liritations of this contract due to the changes.
l
s g,
6 i
Paae-26 J
RS-NMS-90-002' faction G d
j
.Theirateshfor, foreign travel are established by the U.S.-
i e.
. Department of_ State and~areL11sted in a-publication entitled 4
- - " Maximum Travel Per Diem Allowances For Foreign Areas".
Copies of
- o this~ publication may' be obtained-from-the U.S. Government Printing Office, Washington, D.C,-
20402.
(End of. Clause)
.t G.4 REMITTANCE. ADDRESS (MAR 1987)
U i
If item 15C. of'the Standard Forn 33 has been checked, entes the remittance address'below.
Name:'
Address:
4 (EndofClause) j G.5' BILLING' INSTRUCTIONS The Contractor.shall refer to the attachment in Section J of this contra:t, entitied;" Billing Instructions."
(End of Clause)
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la,-
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m,,
-RS-NMS-90-002.
Section H 1
7 SECTION H - SPECIAL' CONTRACT REQUIREMENTS 4g t
H.1 KEY PERSONNEL (JUNE 1988)
The following, individuals are considered tote ~ esser 41a1 to-a
.a.
the successful performance of the work hereunder.
i o
l
'l i
The Contractor' agrees.that such personnel shall not be removed 4
from the contract work or replaced without compliance with paragraphs b and c hereof.
j b.,
If one or more of the key personnel, for whatever reason-i 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 4
indicated in the proposal or. initially anticipated, the Contractor
~
shall immediately notify the. Contracting Officer and shall, subject.
to-the concurrence of the Contracting Officer, promptly' replace such personnel with personnel of at least substantially equal ability and qualifications.
ll c.
All requests for approval of substitutions hereunder must be in writing and provide a detailed explanation of the circumstances necessitating.the proposed substitutions. They must contain a complete. resume for the proposed substitute and other information i
requested by the Contracting Officer to approve or ? sapprove the proposed substitution.
The Contracting Officer will evaluate such requests and promptly notify the Contractor of his/her approval or disapproval thereof in writing.
d.
If the Contracting Offi_cer determines that:
- 1) Suitabie.and timely replacemm t of key personnel who have l
been reassigned, terminated or have :;herwise become unavailable for the contract-work is not reasonabis tarthcoming; or U
- 2) That the resultant reduction of effort would be so substantial.as to impair the successful completion of the contract, L
the contract may be terminated by the Contracting.0fficer.for default'or for the convenience of the Government, as appropriate. If the Contracting Officer finds the Contractor at fault for the l
condition, the cor ract price or fixed fee may be equitably adjusted i
downward to com.pensate the Government for any resultant delay, loss or damage.
4 i
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Page_28-RS-NMS-90-002-Section-H H
i4 H.2 - DISSEMINATION OF CONTRACT INFORMATION (MAR 1987)
The Contractor shall comply with the requirements of the attached NRC Manual Chapters 3202 and 3206 (3ee 'Section J for List' of Attachments) regarding publications or dissemination to the.
public of any information, oral or written, concerning the work performed under this contract.
Failure to comply with this cla'use shall be grounds for termination of this contract.
(End of Clause)
H.'3 PRIVATE USE OF CONTRACT INFORMATION AND DATA (JUNE 1988)
Except as specifically authorized by this contract, or as otherwise approved by_the Contracting Officer, information and other data developed or acquired by.or furnished.to the Contractor.in.the performance of this contract shall be used only in connection with g
the work under this contract.
m a -
(End of Clause)-
i H.4 DRAWINGS, DESIGNS,'AND SPECIFICATIONS (JUN 1988)
All. drawings, sketches, designs, design data, specifications, notebooks, technical-and scientific data,,and all photographs, negatives, reports, findings, recommendations, data and memoranda of i
every description relating thereto, as well as all copies of the foregoing relating to the work or any part thereto,-are subject to l
1 inspection by the Commission at all reasonable times (for which inspection the proper facilities must be afforded the Commission by the Contractor and~_its subcontractors), are the property of the j
. Government and may be used by the Government for any purpose whatsoever without any claim on the part of the Contractor and its 1
subcontractors and vendors for additional compensation and must, subject to the right of the Contractor to retain a copy of the material for its own use, be delivered to the Government, or -
otherwise disposed of by the Contractor either as the Contracting Officer may from time to time direct during the progress of the work or in any event as the Contracting Officer shall direct upon 1
completion or termination of this contract. The Contractor's right of retention and use is subject to the security, patent, and use of information provisions, if any, of this contract.
(End of Clause)
H.5 '0RGANIZATIONAL CONFLICTS OF INTEREST (OMB CLEARANCE NUMBER 3150-0112) (JUNE 1988) a.
Purpose. The primary purpose of this clause is to aid in ensuring that the Contractor:
- 1) Is not placed in a conflicting role because of current or s'
C
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.Page 29 RS-NMS-90-002-Section H planned interests-(financial, contractual, organizational, or.
otherwise) which relate to the work under this contract, and 1
- 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 particitation by the Contractor as defined in 41 CFR 20-1.5402(f) in
- the.ac.tivities covered by this clause.
c.
Work for others.. Notwithstanding any other provision of
~
this contract, during'the. term of this contract,-the Contractor agrees to forgo ~ entering into consulting or other contractual arrangements with any firm or organization, the result of which may
' give' rise to a conflict of interest with respec.t to the work being
-performed under this contrart. The Contractor shall ensure that all employees under.this contract ebide by the provision of this clause.
'If the Contractor believes with respect to itself or any employee that,any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the Contractor shall obtain the written approval of the Contracting Officer prior to execution of such contractual arrangement,
,d. Disclosure after award.
- 1) The~ Contractor warrants to the best of its knowledge and belief, and except as otherwise set forth in this-contract, that it does not have any organizational conflicts of interest, as defined in 41 CFR 20-1.5402(a).
- 2).The Contractor agrees that, if after award, it discovers organizational conflicts of interest with respect to this contract,
'it shall make an-immediate and full disclosure in writing to the Contracting Officer. This statement must include a description of
-the action which the Contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, terminate the contract if termination is in the best-interest of the Government.
e.
Access to and use of information.
- 1) If the Contractor in the performance of this contract obtains access to information, sech as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L.93-579), or data which has not been released to the public, the Contractor agrees not to:
(i)
Use this information for any private purpose until the information has been released to the public; (ii) Compete for work for the Commission based on the information for a period of six (6) months after either the
. completion of this contract or the release of the information to the public, whichever is first; 4
=----'-i-=---
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Page 30 t:.m
-RS-NMS-90-002 Section H ppf y o
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based on the information until one year after'the release of the (iii) Submit an unsolicited proposal.to the Government-hi information'to the public, or-s 1
(iv)'sRelease the information without prior written y
4 approval by the Contracting Officer unless the information has 1
V,o previously been released to-the public by the NRC.
~
3 m
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- 2) 'In addition, the Contractor agrees that to the extent it
[
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- receives or is given ace s to proprietary data, data protected by J
Oj t
the~ Privacy Act ui % (Pub. L.93-579), or other confidential or M
privileged technical, business, or financial information under this i
Ta-c entract, the Contractor shall treat the information in accordance i
g4r '
tith restrictions-placed on use of the information.
Wl h,
- 3) The Contractor shall have, subject to patent and security.
provisions of this contract, the right to'use technical data it
.0'">
produces under this contract for private purposes provided that all requirements of this contract have been met.
-l
_ f.
Subcontracts.
Except as provided in.41 CFR 20-1.5402(h),
t
. the Contractor shall include this clause. including this paragraph, in subcontracts of any tier.
The: terms " contract," " Contractor "
j and " Contracting Officer," must be appropriately modified to j
1 preserve the Government's rights.
l g.
Remedies.
For breach of any of the above restrictions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations that necessarily. imply bad faith, the Ls Government may terminate the contract for default, disqualify the Contractor from subsequent contractual efforts, and pursue other l;
~'
remedies permitted by law or this contract.
M,
.h.
' Waiver. A request for waiver under this clause must be directed in writing through the Contracting Officer to the Executive L.
l.
Director for Operations (EDO) in accordance with the procedures outlined in 41 CFR 20-1.5411.
j L
(End of Clause)
H6 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED L
(JUNE 1988) i.
The Government will not provide any equipment / property under
-this nntract.
(End of Clause)
H.7 GOVERNMENT-FURNISHED MATERIAL Upon award of the contract, the NRC Project Officer will furnish the Contractor the following:
l l
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5
.Page 314 J' LF RS-NMS-90-002L_
Section Hi 1; Copies of'rel'evant-Federal Register Notices and NRC
- regulations,' Commission Papers, transcripts, and'other-documents that are needed~to obtain further information as
- discussed in C.1.1. - Background.
2.
Copies!of relevant NRC regulations, standards and..
guidelines for quality assuranceJas-noted in C.1.3. - Scope-of-Work / Delineation-of Tasks, under Task 11 - Identification ofl Regulations, Standards,-and Guidelines.
3.
Copies of the! completed NRC Medical Quality. Assurance-
. survey forms-as noted in Task 4 - Review and Analysis'of' Completed NRC. Medical-Quality Assessment Survey Forms.
(End of Clause) 1 R
M I-t um '
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M Pago 32.
RS-NMS-90-002 Section I.
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[7 PART II - CONTRACT CLAUSES:
SECTION I - CONTRACT CLAUSES I.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE
~
NOTICE: The following solicitation provisions and/or contract 6
clauses pertinent to this section are hereby incorporated by reference:
FEDERAL ACQUISITION' REGULATION ~(48 CFR CHAPTEP, 1)
'i NUMBER-DATE TITLE i
52.202-1 APR 1984' DEFINITIONS.
J 52.203-1 APR 1984' 0FFICIALS NOT TO BENEFIT 52.203-3 APR 1984-GRATUITIES d
/
52.203-5 APR-1984:' COVENANT AGAINST CONTINGENT FEES 52,203-6
'JUL 1985 RESTRICTIONS ON SUBCONTRACTOR
- SALES TO THE GOVERNMENT 52.203-7 -OCT 1988 ANTI-KICKBACK PROCEDURES 52.209-6 MAY 1989: PROTECTING THE GOVERNMENT'S 1
INTEREST WHEN SUBCONTRACTING 4l i WITH CONTRACTORS DEBARRED,
-SUSPENDED, OR PROPOSED FOR DEBARMENT 4
i 52.215-1 APR 1984 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL si 52.215-2 APR 1988 AUDIT -- NEGOTIATION-52.215-31 SEP 1987' WAIVER OF FACILITIES s
CAPITAL COST OF MONEY
.l 52.215-33 JAN 1986 ORDER OF PRECEDENCE
-(
52.216-7 -APR 1984 ALLOWABLE COST AND PAYMENT 52.216-8 APR 1984 FIXED FEE
-i 52.217-8 AUG 1989 OPTION'TO EXTEND SERVICES 1
52.219-8 JUN 1985 UTILIZATION OF SMALL BUSINESS.
CONCERNS AND SMALL DISADVANTAGED BUSINESS CONCERNS 52.219 AUG 1989 SMALL BUSINESS AND'SMALL DISADVANTAGED BUSINESS SUBCONTRACTING PLAN 52.219-13 AUG 1986 UTILIZATION OF WOMEN-OWNED SMALL BUSINESSES 52.219-16 AUG 1989 LIQUIDATED DAMAGES - SMALL BUSINESS SUBCONTRACTING PLAN 52.220-3 APR 1984 UTILIZATION OF LABOR SURPLUS AREA CONCERNS 52.220-4 APR 1984 LABOR SURPLUS AREA SUBCONTRACTING PROGRAM ye f
ly.
}
[+
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^
^
Page.RS-NMS-90-002 Section-I' y,
- 52.222-1 APR 19841 NOTICE?T0/THE GOVERNMENT' 0F LABOR' DISPUTES-A'
- 52.222-3 APR 1984-CONVICT LABORi 52.222-26 APR 1984 EQUAL OPPORTUNITY.
a m
52.222-35 APR 1984 AFFIR;iATIVE ACTION FOR SPECIAL DISABLED ANDEVIETNAM ERA VETERANS j
52'.222-36 APR 1984' AFFIRMATIVE' ACTION FOR HANDICAPPED WORKERS 52.'222-37 JAN 1988 EMPLOYMENT REPORTS ON SPECIAL DISABLED VETERANS.AND-VETERANS OF THE VIETNAM ERA 52.223-2 APR 1984: CLEAN AIR AND WATER" 52.225-13 MAY 1989 RESTRICTIONS ON? CONTRACTING WITh SANCTIONED: PERSONS 52.227-1 APR 1984 AUTHORIZATION.AND CONSENT s
52.227 APR 1984 NOTICE AND' ASSISTANCE REGARDING 4'
. PATENT.AND COPYRIGHT INFRINGEMENT 52.227-3 APR 1984 ' PATENT INDEMNITY' 52.228 APR 1984 INSURANCE --: LIABILITY T0 THIRD PERSONS-s y'
52.232-9
.APR 1984i LIMITATION ON WITHHOLDING 0F. PAYMENTS l
52.232-17 -APR 1984 INTEREST-j.
52.232-22 APR 1984 LIMITATION OF FUNDS
. 52.232-23 'JAN 1986 ASSIGNMENT OF CLAIMS F
52.233-1; APR 1984 DISPUTES i
52 ?33 AUG 1989 PROTEST AFTER AWARD ALTERNATE I (JUN 1985) 52.242-1 APR'1984 NOTICE 0F INTENT TO DISALLOW COSTS 52.243 AUG 1987 CHANGES -- COST-REIMBURSEMENT ALTERNATE I (APR 1984) 52.244-2 JUL 1985 SUBCONTRACTS (C0ST-REIMBURSEMENT 11 AND LETTER CONTRACTS) 52.244-5 APR'1984 COMPETITION IN SUBCONTRACTING-
- 52.245-5 JAN'1986 GOVERNMENT PROPERTY-(COST-REIM -
BURSEMENT, TIME-AND-MATERIAL, OR LABOR 'l0C*l CONTRACTS) 52.249-6 MAY 1986 TERMINATIG (C0"-REIMBURSEMENT) 52.249-14 APR 1984 EXCUSABLE DEL'
.c I.2' OPTION TO EXTEND THE TERM OF THE CONTRACT (FAR 52.217-9) (MAR.1989) 4 i
.(a) The Government may extend the term of this contract by written
. notice to the Contractor within 60 days provided, that the Government shall give the Contractor a preliminary written notice of
~ its. intent to extend'at least 60 days before the contract expires.
The preliminary notice does not commit the Government to an extension.
(b) If the Government exercises this option, the extended contract shall be considered to include this option provision.
(c) The total duration of this contract, including the exercise of
,1
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'i Page 34 RS-NMS-90-002<
Section I-9-
i any options under this clause,.shall not exceed 12 months.
(End of Clause) a.
1.3 PAYMENT FOR 0VERTIME PREMIUMS
.(FAR 52.222-2) (APR 1984) i
.(a) The use of overtime is authorized under this contract if the' overtime-premium _ cost.does not exceed $0.
In addition to this dollar ceiling, overtime is permitted only for work--
(1) Necessary to core with emergencies such as those resulting-from accidents,. natural' disasters, breakdowns of production equipment, or occasional production bottlenecks of a sporadic nature; A
(2) By indirect labor employees such as those performing duties in connection with administration, protection, transportation, maintenance, standby = plant. protection, operation of utilities, or
.i accounting;-
(3) To perform tests, industrial processes, laboratory procedures,11oading or. unloading.of transportation conveyances,.and operations in' flight or afloat that are continuous in nature and cannot reasonably be-interrupted or completed otherwise; or
'(4) That-will result in lower overall costs to the Government.
-i (b) Any request.for estimated overtime premiums that exceeds the amount specified above shall include all estimated overtime for 1
contract completion and shall--
]
(1) Identify the work unit; e.g., department or section in which a
the requested overtime will :be used, together with present workload, i
staffing,.and other data of the affected unit sufficient to permit the Contracting Officer.to evaluate the necessity for the overtime; i
(2) Demonstrate the effect that denial of the request will have on the contract l delivery or performance schedule; i
(3) Identify the-extent to which approval of overtime would affect the performance or payments in connection with other Government contracts, together with identification of each affected
(
contract; and (4) Provide reasons why the required work cannot be performed by -
using multishift operations or by employing additional personnel.
(End of Clause) 4 i
.i
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a Page 35'
.RS-NMS-90-002-Section I
.I.4
' DRUG-FREE WORKPLACE (FAR 52.223-6)
'(MAR 1989)-
(a). Definitions.
As used in this clause, " Controlled Substances" i
means.a controlled substance in schedules I through V~of section 202
~
of the Controlled Substances Act (21 U.S.C. 812) and as further
- defined in' regulation at 21 CFR 1308.11-1308.15.
'" Conviction" means'a finding of guilt (including a plea of-nolo contendere) or imposition of sentence, or both, by any judicial. body charged with the responsibility to determine violations of the
' Federal or State criminal drug statutes.
" Criminal' drug statute" means a Federal or non-Federal criminal statute involving the manufacture, distribution,' dispensing, possession or use of any controlled substance.
" Drug-free workplace" means a site for the performance of work done in connection'with a specific contract at which employees of.
the Contractor are prohibited from engaging in the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance..
Employee" means an employee of a Contractor directly engaged in 1
the performance of work under-a Government contract.
" Individual" means an offeror / contractor that'has no more than or.< employee. including the offeror / contractor.
^
(b) The Contractor, if 'other than an individual', shall-(L (1) P:blish a. statement notifyicg its employees that the unlawful manufacture, distribution, aispensing, possession, or use
.of a controlled-substance is prohibited in the contractor's
.workplace and specifying the actions that will be taken against employees for-violat ons of such prohibition; (2) Establish'a drug-free awareness program to inform such employees about-
~(1)
The daigers of drug abuse in the workplace; I
(ii) The contractor's policy of maintaining a drug-free workplace; (iii) Any available drug counseling, rehabilitation, and employee assistance programs; and.
(iv) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace.
L l
(3) Provide all employees engaged in performance of the contract with. a copy of the statement required by subparagraph (b)(1) of this
- clause;
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Page '36 l'
RS-NMS-90-002 Section I
~
- )[(
@. [('4)L) Notify such employees in the statement required by
.jsubparagraph (b)(1)1of this clause, that as~a condition of continued 3 Eemployment'on this contract, the employee vill-
.(i) Abide by the terms of the statement; and'
_. (ii) Notify ~the' employer of any criminal drug statute
. conviction, for a violation occurring in the workplace no later than
- ftve (5)' days after such conviction.
.(5)f Notify the contracting officer within ten (10)-days after y
receiving notice under subdivision (b)(4)(ii) of.this clause, from g
'an. employee or otherwise receiving actual notice of such conviction;
'(6) 'Within"30 days after receiving notice under subparagraph
-(b)(4)(ii) of this clause of a conviction, impose'the following sanctions or remedial measures.~on any employee who is convicted of
. drug. abuse violations' occurring in the workplace:
(i)~ Taking appropriate personnel action against such
- employee, -up to and including termination; or L (ii). Require such emp' se to satisfactorily participate in a drug abuse assistance or rehabilitation program approved for such 9
purposes by a~ Federal, State, or local health, law enforcement, or d
.other appropriate agency.
- (7) Make a good faith effort to maintain a drug-free workplace
{
through implementation of subparagraphs (b)(1) through (b)(6) of m
this clause, ti
.(c) The Contractor,- if an. individual, agrees by award of the contract or acceptance of a purchase order, not to engage in the-i unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance in-the performance of this contract.
'l I
(d) In addition to-othe'r remedies available to the Government, the Contractor's failure to comply with the requirements of I
paragraphs (b) and (c) of this clause may, pursuant to FAR 23.506, render.the contractor subject to suspension of contract payments, y
termination of the contract for default, and suspension or 1
debarment.
(End of Clause)
I.5 PROMPT PAYMENT (FAR 52.232-25) (APR 1989) o Notwithstanding any other payment clause in this cor. tract, the.
Government willlmake invoice payments and contract financing i
payments under the-terms and conditions specified in this clause.
Payment shall be considered as being made on the day a check is dated or an electronic funds transfer is made. Definitions of pertinent terms are set forth in 32.902. All days referred to in
-.=
6 Page.37:
5
.RS-NMS-90-002 Section I this clause are calendar days,.-unless otherwise specified..The term
" foreign vendor" means an. incorporated concern not incorporated in the United. States, or unincorporated concern having its pr.incipal
. place of business outside the United States.
^
(a) Invoice Payments.
-(1) For. purposes of this ciause, " invoice payment" means a
-Government disbursement of.mories to a Contractor under a contract or other author'f.ation for supplies or services accepted by-the Government. This includes payments for partial deliveries-that have been accepted by the Government and final-cost or fee payments where amounts owed'have been settled between the Government and the Contractor.
-(2) Except as-indicated:in subparagraph (a)(3) and paragraph (c) of this clause,.the due date for making invoice payments by the designated payment office shall be the later of the following.two events:
.(1) The 30th day-after the desig.ated billing office has received a proper invoice from the Contractor.
^(ii) The 30th day after Government acceptance of supplies i
delivered or services performed by the Contractor. On a final invoice where the payment amount,is subject to contract settlement actions, acceptance shall be deemed to have occurred on the effective-date of the contract settlement. However, if the j
designated billing office fails to annotate the invoice with the actual,date of receipt, the invoice payment due date shall be deemed to be the 30th day after the date the Contractor's invoice:is dated, D
provided a -proper invoice is received and there is no disagreement over quantity,. quality, or Contractor compliance with contract -
requirements.
(3) The due date on contracts for meat and meat food products, contracts for perishable agricultural commodities, contracts for dairy products, edible fats or. oils, and food' products prepared from-edible fats or. oils, and contracts not requiring submission of an invoice shall be as follows:
y
-(1) The due date f. r meat and meat food products, as. defined i
o
'in section 2(^ )(3) of the Packers and Stockyard Act of 1921 (7 l
a U.S.C.182(3)) and further defined in Pub.. L.98-181 to include any-w edible-fresh or frozen poultry meat, any perishable poultry meat
'q food product, fresh eggs, and any perishable egg product, will be.as close as~ possible:to, but not later than, the-7th day after product delivery.
(ii) The due date for perishable agricultural commodities, as defined lin.Section 1(4) of the Perishable Agricultura1' Commodities Act of 1930 (7 U.S.C. 499a(44)), will be as close as possible to, but not.later than, the 10th day after product delivery, unless another,date is specified in the contract.
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- Page 38 W-RS-NMS-90-002:
Section 1 i.
(iii) The due date_for dairy products. as defined in Section
. 111(e) of the Dairy Production' Stabilization Act of_1983 (7 U.S.C
- 45G2(e)),' edible fats or oils, will. be as close as possible to, but
.not'later than, the 10th day after the date on which a prope.-
- invoice has been received.
-(4) Antinvoice is the Contractor's bill or written request for payment-under the contract for supplies delivered or services performed.- An invoice shall be prepared and submitted to the designated billing office specified in the contract. -A proper i
- invoice must. inuude the items listed in subdivisions (a)(4)(1) through (a)(4)(viii) of the clause.
If the invoice does not comply 4
- with these requirements,.then.the contractor will be notified of the defect'within 7 days after receipt of the invoice at the designated 4
billing office (3 days for meat'and meat food products and 5 days for perishable agricultural commodities, edible' fats or oils, and y
food products prepared from edible fats or oils). Untimely.
l notification wi11 be taken into account in the computation of any
(
. interest penalty owed the Contractor in the manner described in 4
subparagraph-(a)(6)-of this clause.
L (1) Name and address of the Contracter.
!~
(11). Invoice date.
q "s.
(iii) Contract number or other autharization for. supplies i'
delivered or services performed (including order number and contract line item number);
p i
(iv) Description,-quantity, unit of measure, unit price, and
[
extended price of supplies delivered or services performed.
(v) Shipping and payment terms (e.g., shipment number ai'd date of_ shipment, prompt payment discount terms). Bill of ladi.ig number and weight of shipment will be shown for shipments on Government bills of lading.
(vi.) Name and address of Contractor official to whom payment
'is to be sent (must be the -same as _that in the contract or in a proper notice of assignment).
?
l (vii) Name (where practicable), title, phone. number and mailing address of person to be notified in event of a defective invoice.
(viii) Any other information or documentation required by l
L other requirements of the contract (such as evidence of shipment).
(5) An interest penalty'shall be paid automatically by the l
Government, without request from the Contractor, if payment is not s
made by the due date and the conditions listed in subdivisions
-(a)(5)(1).through (a)(5)(iii) of this clause are met, if applicable.
An interest penalty'shall not be paid on contracts awarded to foreign vendors outside the United States for wo n performed outside the' United: States.
g; ng >
~Page 39
.RS-NMS-90-002 5:ction I p
"(1)LAL proper invoice was received by the designated billing-office; (ii) A receiving ' report er other Government documentation authorizing payment vas processed and there was no disagreement over quantity, quality, or contractor compliance with any contract term or condition.
. (iii) In the case of a final invoice for any balance of funds.
'due~the Contractor for supplies delivered-or services performed, the amount was not subject to further contract settlement actions
'between the Government and the Contractor.
(6) The interest penalty-shall be at the rate' established by the Secretary of the Treasury under Section 12 of the Contract Disputes Act of 1979 (41 U.S.C. 611) that is in effect on the day after the-due date, excapt where the interest penalty is prescribed by other novernmental authority. This rate is referred to as the-
~
"Renegotiacion' Board Interest Rate," and it is published in the Federal ~ Register -semiannually on or about. January 'I and July 1. The
' interest penalty shall accrue daily on the irvoice payment amount i
approved by the Government and be compounded in 30-day increments.
inclusive ~from the first day after the-due date through the payment date.. That is, interest accrued at the end of any 30-day period-e will be added to the approved invoice payment amount and'be subject
'to interest penalties ^1f not paid in the succeeding 30-day per.iod.
D If the designated billing office failed to notify the contractor of a defective. invoice.within the periods prescribed in subparagraph L
-(a)(4) of thb lause, then the due date on the corrected invoice
- f
?
will be aajusted by subtracting the number of days taken beyond'the prescribed notification of defects period. Any ii..erest penalty c
owed the Contractor will be based on this adjusted due date.
Adjustments will be made by the' designated _ payment office for errors l
in calculating interest penalties, if-requested-by the Contractor.
b
~(i) For the sole purpose of computing an interest penalty.
_that might be due the contractor, Government acceptance shall'be i
deemed.to have occurred. constructively on the 5th day after the contracter delivered the supplies'or performed the' services in accordance with the terms and conditions of:the contract,'unless b
there is a disagreement over quantity, quality, or contractor L.
compliance with n' contract provision.
In the event that actual acceptance occurs within the constructive acceptance period, the determination of an interest penalty shall be based on the actual l
H.
date.of. acceptance. The constructive acceptance requirement-does not,:however,' compel Government officials to accept supplies or ag services, perform contract administration functions, or make payment prior to fulfilling their responsibilities.
(ii) The following periods of time will not be included in t
the determination of an interest penalty:
(A) The period taken to notify the contractor of defects in invoices submitted to the Government, but this may not exceed 7
z
-Page 40 RS-NMS-90-002 Section I i,
a days (3 days for meat and meat food products and 5 days for perishable agricultural commodities, dairy products, edible fat'or oils, and' food products prepared from edible fats or oils).
l (B) The period between the defects notice and resubmission' of the corrected invoice by the Contractor.
(iii) Interest penalties will not continue to accrue after
-l the filing of a claim for such penalties under.the clause at y-52.233-1, Disputes, or for more than 1 year.
Interest penalties of
- less than $1.00 need not be paid.
. (iv) Interest penalties are not required on payment delays
- due.to disagreement between the Govern:aent and Contractor over the payment amount-or other issues involving contract compliance or on amounts temporarily withheld or retained in accordance with the terms of the contract.-Claims involving disputes, and any interest z
that may be payable, will be resolved in accordance with the clause' at 52.233-1, Disputes; 1
(7) An-interest' penalty shall also be paid automatically by the designated payment office, without request from the contractor, if a discount for prompt payment is taken improperly. The interest penalty'will be calculated as described in subparagtaph (a)(6) of this clause on'the amount of discount taken for the period beginning with the first day after the end of the discount period through the date when the Contractor.-is paid.
(8). If this contract was awarded on or after October 1,1989, a penalty amount ~, calculated in accordance with regulations issued by the Office of Management and Budget, shall be paid _in addition to
' the interest penalty amount if the contractor:
(i) Is owed an interest penalty;
_ (ii).Is not paid the interest penalty within 10 days after l;
the date the invoice amount-is paid; and D
(iii) Makes a written demand, not later than 40 days after the date the invoice amount is paid, that the agency pay such a 4
- penalty, i
(b) Contract Financing Payments.
L (1) For purposes of this' clause, " contract financing payment" means a Government disbursement of monies to a Contractor under a contract clause or other authorization prior to acceptance of supplies or services:by the Government.
Contract financing payments include advance payments, progress payments based on cost under the clause at 52.232-16, Progress Payments, progress payments based on a percentage or. stage of completion (32.102(e)(1)) other than those made under the clause at 52.232-5, payments Under Fixed-Price a
l-
- Construction Contracts,-or the clause at 52.232-10,' Payments Under Fixed-Price Architect-Engineer Contracts, and interim payments on cost type contracts.
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$F M[i Page 41 Section I W,
RS-NMS-90-002' i,
L 4
n
- t, t
.(2)For-contractsthatprovideforcontractfinancing,_ requests e,
' [,'ji l
for. payment shall be-submitted to the designated billing -office as
^
specified in this: contract or as directed by:the Contracting.
J0f ficer.l Contract financing payments shall be made on the 30th day
' after receipt of a proper contract financing request by the Jdesignated billing: office.
In the_ event that an audit or other A'
l@ '
W-l review-of a' specific financing request is required to ensure D W t
compliance with the terms and conditions _of the contract, the
- designated pay'.ent office is not compelled to make payment by the.
4
'due!date specified.
x 4<'
..(3)'For advance payments, loans, or other arrangements that do
' not involve recurrent submissions of contract financing requests, f.
' payment shall be'made in accordance with the corresponding-contract terms or as directed by the Contracting Officer.
M (4) Contract financing payments shall not be assessed.an interest penalty for payment delays.
,(c) If.this contract contains the clause at 52.213-1, Fast Payment-J',
. Procedure, payments will be made within 15 days after the.date of receipt of the invoice.
' m i
(End of Clause) 1.6 ELECTRONIC FUNDS TRANSFER PAYMENT METHODS (FAR 52.232-28)
(APR 1989) payments under this contract will be made by the Government either by check or electronic funds transfer (through. the Treasury Fedline Payment System (FEDLINE) or the Automated Clearing House (ACH), at the option _of the Government..After award, but no later than 14 days before an invoice or contract financing request is submitted, the Contractor shall designate a financial institution for' receipt of electronic funds' transfer. payment,_and shall submit this
' designation to the Contracting Officer or other Government Official,.
.as directed.
(a) For payment through FEDLINE, the Contractor shall provide the following information:
(1) Name, address, and telegraphic abbreviation of the financial institution receiving payment.
(2) The American Bankers Association 9-digit identifying number for wire transfers of the financing institution receiving payment if the institution has access' to the Federal Reserve Communications System.
(3) Payee's account number at the financial inst.tution where funds are to be transferred.
(4) If the financial institution does not have access to the
t.
i Page 42 n
RS-NMS-90-002 Section'I Federal; Reserve Communications System, name, address, and telegraphiciabbreviation of the correspondent _ financial institution-
.through.which-the financial institution receiving payment obtains wire transfer activity.
Provide the telegraphic abbreviation and
~
the American_ Bankers Association identifying number for the correspo'ndent institution.
(b)_ For payment:through ACH, the Contractor shall provide the
- following information:
-(1) Routing transit number of the financial institution receiving payment (same as American Bankers. Association identifying number used for FEDLINE).
(2) Number-of account to which funds are to be deposited.
(3) Type of depositor account ("C" for checking, "S" for savings).
(4) If the Contractor is 'a new-enrollee to the ACH system, a
" Payment Information Form," SF 3881, must be completed before payment can be processed.
(c) In the-esent the. Contractor, during the performance of this contract, elects to designate a different financial bstitution for the receipt of_ any payment made using electronic funds transfer procedures, notification of such change and.the required information specified above must be received by the appropriate Government
. official'30 days prior to the date such change is to become effective.
(d) The. documents furnishing the information required in this clause nust be dated and contain the signature, title, and telephone number af the Contractor official authorized to provide it, as well as the' Contractor's name and contract number.
(e)- Contractor. failure to properly designate -a financial _
institution or to' provide appropriate payee bank account information may delay payment of amounts otherwise properly due.
(End of Clause)
I.7 CLAUSES INCORPORATED BY REFERENCE (FAR52.252-2)(JUN1988)
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.
(End of Clause) a
..,...,_.,,.,5
Page 43 RS-NMS-90-002-.
Section I-m i
I.8 TERMINATION OF DEFINED BENEFIT PENSION PLANS (FAR 52.215-27)- (SEP 1989)
The Contractor shall promptly notify the Contracting Officer in writi.1; when it determines that it.will terminate a defined benefit 3
pension plan or otherwise recapture such pension. fund assets.
If pension' fund assets revert to the Contractor or are constructively
~
received by it under a termination or otherwise e Contractor shall make a refund or. give a credit to the 6u.ernment for its l
equitable share as required by FAR 31.205-6(j)(4)..The' Contractor
.l shall include the substance of-this clause;in all subcontracts under
.i this contraut which meet the applicability requirement of FAR
'15.804-8(e).
r
-(End of clause) o L
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Page 44 R5-NMS-90-002 Section J
)
i 4
i PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS i
i I
f i
SECTION J - LIST OF ATTACHMENTS l
i f
I
[
J.1 ATTACHMENTS (MAR 1987) j i
Attachment Number Title l
i 1
Billing Instructions t
2 NRC Contractor Organizational Conflicts of I
Interest (41 CFR Part 20) l 3
NRC Manual Cnapter 3202 l
4 Standard Form 1411 with Instructions 5
Succontracting Plan r
6 Development, Submittal, Distribution and Documentation Requirements for Deliverable 7
Medical Use Quality Assessment Sample f
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ATTACH'iENT OflE -
REVISED 8/89!
BILLING INSTRUCTIONS FOR COST-REIMBURSEMENT TYPE CONTRACTS General: The contractor shall prepare vouchers / invoices for reimbursement of costs in the manner and format described herein. A sampi=
..oucher/ 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.
Number'of' Copies: An original and three copies, including. supporting documentation shall be submitted. A copy'of all supporting documents must be attached to each copy of your voucher / invoice.
Failure to: submit all-the. required copies will result in rejection of the voucher / invoice ~as improper.
Desionated Agency Billina Office:
Vouchers / invoices-shall be.submittea to the following address:
U. S. 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 JHTf EXPEDITE PROCESSING BY NRC However, should you choose:to deliver vouchers / invoices.
by hand,-including delivery by any express mail services or special delivery services which use a courierlor other person to deliver the voucher / invoice in person to the NRC, such vouchers / invoices must be addressed to the above Designated Agency Billing Office and will only be accepted at the following location:
U. S. Nu' clear Regulatory Commission One White Flint North 11555 Rockville Pike Mail Room Rockville, Maryland 20852
' HAND-CARRIED SUBMISSIONS WILL NOT BE ACCEPTED AT OTHER THAN THE ABOVE ADORESS.
LNote that the official receipt date for hand-delivered vouchers / invoices will be.the date-it is received by the official agency billing office in the Division of Contracts and Property Management.
Agency Payment Office: Payment will continue to be made by the office designated in the contract in Block D&oof SF 26 or Block 25 of SF 33, whichever is applicable.
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>c REVISED 8/89 J;
Page 2 o
l JE Frecuency: ' The contractor shall submit claims for reimbursement once
,1!
'each; month, unless otherwise authorized by the Contracting Officer.
.i Form: Claims should be submitted in the format. depicted on the attachea m
1
? sample form entitled " Voucher for Purchases and Services-Other than
.d' Personal." The sample form is provided for guidance.only. The form is not U
l.
required for submission of a' voucher / invoice.
Alternate formats are Jpermissible provided all requirements of the billing instructions are
, addressed. ' Additional copies of the form-are available from the ac,s (Contracting Officer. The instructions for preparation and itemization of
?the ' voucher / invoice are included with the sample form.
i 00%
' inL Task Orderino Contracts:
If the contractor bills.for more than one task' order under a voucher / invoice, detailed cost information for each L
individual taskforder shall be submitted, together with a cumulative
' summary of all. charges billed on the voucner/ invoice.
This includes all applicable cost elements discussed in paragraphs (a) through (p)' of.the L
attacned instructions,.together with appropriate supporting information.
R Billing of Cost After Expiration of Contract:
If costs are incurred
'during the contract period ana claimed'after the contract has expired..the period during which these costs were-incurred must be~ cited. To be.
considerea a: proper expiratien voucher / invoice, contractor shall clearly mark-it " EXPIRATION VOUCHER" or " EXPIRATION INVOICE."
a L
. Final voucners/ invoices 'shall be marked " FINAL VOUCHER" or " FINAL INVOICE."
L L'
- Currency:, Billings.may be expressed in the currency normally used by the k Oa contractor in maintaining his accounting records; payments will be made in.
that: currency. However,'the U. S. dollar. equivalent for all.
~
vouchers / invoices paid under tne. contract may-not exceed the total U. S.
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collars autnorized in'the contract.
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it Supersession:
These instructions supersede any previous billing instructions.
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m, s.:3 43 REVISED 8/89-
- 2Th +
VOUCHERS FOR PURCHASES AND SERVICES OTHER TilAN AR50aAL Page 3 m
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' Official Agency Billing Office (a) Contract Number q;.
U. S. Nuclear Regulatory Conniission Ta er No. (1 f n' pplicable) gl:
~ Division of Contracts and Property
~
Management, P-902
(
. Title of Project
..!ashington, D.C.
20555
- ;,~
Pavec's name and Address
,4 (c) Voucher' Number (d) Project Offic'er 1
.E" Individual to Contact (e) Date of. Voucher 4
Recardin9 This Voucher:
nh (f) - Contract Amount I*I' " *
(g)
Fixed Fee f
t.
(n) This voucher repreicnts reimbursable Cosis from
'*hru _
h.c Gilico (1 ) Current :criod (m).incentior. :o Date 4
l(i) Direc: Cost:
I Dirc:: tat:r
- i (d fringe conc'ils l'
l L
lii : moutec as cercentace (3) Capitai12cc Monc4cncabic Ecui-ent l.
(c) -tuteria ls, Supplies ano i:oncaritalizec Ecuinment i
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($
Preew 1 var i
($)
'.cns u i ta.n t !
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Trave - Ocmestic
- foreicn *
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i (8) Subcon t ra c t g
(9) Otber Costs *iotal Otrcct L,osts
( j) INDIRECT COSTS A) Overncao
% of
-(indicate Base)
Subto tal i
B) General I. Administrative Expense
% of Cost Elements Nos.
Total Costs (k) rixEO.FEC EARNED (Formula)
(n) Total Amounts Claimed (0) ~ Adjustments outstandin'; Suspensions
, (p). Gr.irn! ;r,ta l'
! *(RE0 VIRES SUPPO:,TillG IllFORiiAT10ll--SEE ATTACHED) l
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REVISED 8/89 f,.j f, '
Page 4 j0T Instruction for Itemiration of Costs and Supporting Information:
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preparation and Itemization of the Voucher / Invoice:
InJorder to constitute a. proper invoice, the contractor shall furnish all the information set forth below. These notes are keyed to the entries on the
,.4y'
. sample voucher / invoice.
? Pay'ee's name and address:
Show the name of the contractor as it appears m-in the contract and its correct address. When an approved F
assignment has been made by the contractor, or a different payee or ac'dressee has been designated, -insert the.name and address of the payee.
Indicate the name and telephone number'of the individual responsible for answering any questions that the NRC may have regarding the i
invoice.
(a) Contract Number.
Insert'the NRC contract number Task Order Number, if applicable.
Insert the task order number.
(b) ' Title of project.
List the full title of the-project being performeo unoer the contract.
(c).Secuential voucher / invoice number.
The appropriate secuential numoer-
.of the voucher / invoice, beginning with 001 should.be designatec.
Contractors may also include individual internal accounting nuOers, if cesired, in addition to the=3-digit sequentias number.
- (d) Project Officer's name and mailstop as designated in the contract.
(e) Date of voucher / invoice.
Insert the'date the voucher /invcice is prepared.
(f).Co.ntract Amount.
Insert the total estimated cost of the contract.
exclusive of fixed-fee.
Include this information as it applies to individual task orders as well.
(g) Fixed-Fee.
Insert total fixed-fee.
Include this information as it l
applies to. individual task ord.ers as well.
' ( h). Billing Period.
Insert ne ceginning and ending dates (day, month, year) of the period during'which costs were incurred and for which i
reimbursement is claimed.
(1). Direct Costs.
Insert the major cost elements:
(1)' Direct' Labor.
This consists of salaries and wages paid (or accrued) for direct performance of the contract itemized as follows:
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ell W, W".QW* '
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M' Labor-Labor Hrs.
Hours Cumulative'
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I'..'.N Category Negotiated. Billed Rate Total Hours Billed
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(2) Fringe Benefits. This represents fringe benefits applicable to j
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b direct-labor and billed as a direct cost. Where a rate is usea,-
p indicate the rate.
Fringe benefits included in direct labor or j
1 >n / ' ?
d in other indirect cost pools should not be identified 'ere.
u e g nw
~b (3) Direct Equipment.
For educational institutions, list each item.
>1 "i%.
' costing $500.00 or.more and having a life expectancy of more than
.one year.
For contractors other than educational institutions,-
c$
list each item costing $200.00 or more and having a life i
jikt; expectancy.of more than one year.
List only those items of' equipment for which reimbursement is requested.
A reference
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shall be made to the following (as applicable):
(a) the item
,j J
V' number for the specific piece of equipment listed in the
- i propert,v schedule of. the; contract; (b) the Contracting 4
. Officer's approval letter.1f the equipment is not covered by
,c the property schedule; or (c) be preceded by an asterisk (*)
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if the equipment is below the approval level.
Further-Ng,
itemization'of vouchers / invoices shall only be required for items-5 i9' having specific' limitations set forth in the contract.
j y[EO (4) Materials,. Supplies, or Other Expendable Items. These are j
consumable materials, supp' lies, and equipment other than that i
1, described in (3) above.
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(5) Premium; Pay.
This is remuneration in excess of the basic hourly rate.
(Requires written approval of the Contracting 2
Officer.)
y (6) Consultant's Fee.
The. supporting information must include the j
m name, hourly or daily rate of the. consultant, and reference the i
- N,
'y NRC approval (if not specifically approved in the' original-contract).
(7). Travel. Domestic' travel is travel within the United States, its territories, possessions, and Canada..It should be billed i
separately from foreign travel.
r All costs associated.with each trip must be shown in the following format:
Date Traveler Destination Purpose Cost i
m From To From-To 5
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'7
yr,
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4" REVISED 8/89' 9
Page 6 1
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-(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.
s
~
i (j). Indirect Costs - 0verhead.
Cite the formula (rate and base) in
~
effect during the time the cost was incurred and for which reimbursement is claimed.
(k) Fi.1ed Fee..If the contract provides for a fixed fee, it must be 1
claimed as provided for by the contract.
Cite the formula or metnod of computation.
The contractor may bill for fixed fee only up to 85% of total fee.
(1) ' Amount Billed for Current Period.
Insert the amount billed for the major cost elements,1 adjustments-, and total amount for the period.
(m) Cumulative Amount from Inception to Date of Current Billing.
Insert-the cumulative amounts billed for the major cost elements and
. adjusted amounts claimed during this contract.
.(n) Total Amounts Claimed.
Insert the total amounts claimed-for the current and cumulative periods.
(o) Adjustments. This includes cumulative amounts billed.that ' ave.bcen.
}
h susoended or. disallowed.
(p) Grand Totals.
(*) Supporting Information.
Cost elements requiring detailed supporting J
information -sample attached.
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' REVISED 8/80
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Page:7 b
Supporting _information - Sample si M
I)) Direct t. abor - 52400
' labor llours llours Cume1ative.
I Labor JCatcoory
. Neco tia ted Dilled Rate To tal Iburs 0111ed Senior-Engineer i 2400-
.100 514.00 51400 975
' Erigincer 1500 50-
$10.00'
'5500 465 Computer : Analys:
700 100 55.03 5500 320 D400 j
3): Direct fouiorent s.
5pectrereter - General Electric (es cpproved fr Property Sc..cciale, $5.000 i
l
-.: ) Materiais. Sunalics 5 Other Exoancable Items
$1100.00 10 Rac::n Tubes 0 1110.00L
=
5900.00 G rairr Eicctmsut:: Gloves 0 51",0.00
=
T2000. 00 s
4
.rra-:u: Tay wa :c-Muren. - 10 :: curs 0 510.00 Per tiour = $100 t:. NRC in. etter dated 2/6/89. )
3 l
(This as approvec:
t
- 't (cnsur*an';* i.? O Or, Carne,. - ; hour *$100
= $100
(
' 7}- Travei
.i Date Traveler De s tina t i_on Purpose C::t:_
From To F rom
.i.n._
3/1/89.3/6/89 Villia, King Chicago, Wash..
Meeting with IC?
It DC
. Project
-Officer-i i
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- 8) Subcontracts s
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XYZ. CORP.
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'80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br /> 0 $20.00 per hour = $1600.00 i
Direct Labor:
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- 0/H,
9-5200 a
9 50% '.
=
5000.00
$400.00 d
Travel - 2 Trips - Wash., DC
=
to Boston, M 4)$ N.
Profit
. 9 7:
k $200.00) hs
-.TOTAt.: '
53000.00
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fi 117.500. Total Fixed fee for this Contract 1
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!ndicates wount dthheld fre voucher 400;. n:- :: proved by Contracting-I'
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ATTACHMENT TWO j
?
!y PART 20-1 -- GENERAL Subpart 20-1.54--Contractor' Organizational Conflicts of Interest l
Sec.
E 20-1.5401.
Scope and policy.
i c
20-1.5402 Definitions.
20-1.M03 Criteria for recognizing contractor organizational sonflicts of interest.
1
-l 20-1.5404 Representa*,1on.
]
20-1.5405-Contract clauses.
20-1.5405 1 General contract clause.
1 20-1.5405-2
-$recial contract provisions
- 20-1.5406
. Evaluation, findings, and contract award..
'l 20-1.5407-Conflicts identified after award.
20-1.5408 (Reserved)
J 20-1.5409 (Reserved) l 20-1.5410 Subcontractors.
'20-1.5411 Waiver.
20-1.5412 Remedits.
ic D
AUTHORI Y: Sec. 8, Pub. L.95-601, adding Sec.170A to Pub. L.
1 83-703, 68 Stat. g19, as amended (42 U.S.C. ch.14)
L 120-1. 5M1 Scope and Policy (NRC)(a)'
It is the policy of the U.S. Nucitar Regulatory Commission to avoid, eliminate or neutralize. contractor organizational conflicts.
of interest.: The NRC achieves this objective by requiring all prospective o
I' contractors to submit information describing relationships, if any, with organizations or persons (including those regulated by NRC) which may give rise to actual-or potential conflicts of interest in the event of contract award.
(b) Contractor conflict of interest determinations cannot be made automatically or routinely; the application of sound judgment on virtually a case-by-case basis t necessary if the policy is to be applied so as E
l' to satisfy the overall public interest.
It is not possible to prescribe in advance a specific method or set of criteria which would serve to l
identify and resolve all of the contractor conflict of interest situations i
l which might arise; however, examples are provided in these regulations to guide application of the policy. NRC contracting ~and program officials
~
must be alert to other situations which may warrant application of this policy guidance.. The ultimate test is: Might the contractor, if awarded
.i the contract, be placed in a position where its judgment may be biased, or where it may have an unfair competitive advantage?
(c) The conflict of interest rule contained in this subpart apolies to contractors and offerers only.
Individuals or firms who have'other relat'ionships with NRC (e.g., parties to a licensing proceeding) are not covered by this regulation. This rule does not apply to the accuisition N
. of consul ^ing services through the pe'sonnel appointment orecess. NRC 1
b L
\\; r
r 4
7590-01 agreements with other government agencies, international organizations.
or state, local or forei governments; separata procedures for avoiding conflicts of interest wi be employed in such agreements, as appropriate.
i 120,1.5402 Definitions
-(a) " Organizational conflicts of interest" means that a relationship exists whomby a centractor or prospective contractor has present or.
Planned interests related to the work to be performed under an NRC contract which: (1) May diminish its capacity to give impartial, technical..,
sound, obPctive assistance and advice or may otherwise result in a biased work pr*ct, or (2) may result in its being given an unfair competitive advartapc.
1 (b) *ptsaarch" means any scientific or technical work involving theomtical analysis, exploration, or experimentation.,
(c)
- Evaluation activities" means any effort involving the. appraisal of a technology, process, product, or policy.
1 (d) " Technical consulting and management support services" means I
i internal assistance to a componenf of the NRC in the formulation or administration of.its prvgrams, projects, or policies which normally
!=
require the contractor to be given access to infomation which has not l
been made available to the public or proprietary information. Such services typically include assistance in the preparation of program plans; and preparation of preliminary designs, specifications, or statements of work.
' (eI '" Contract" means any contract, agreement, or other arrangement with the NRC except as provided in Section 20-1.M01(c)
(f) " Contractor" means any person, fim, unincorporated association, joint venture, co-sponsior, partnership, corporation, affiliates thereof, or their werae', ors in interest, including their chief executives.
directors, key personnel (identified in the centract), proposed consultants or subcontractors, which is a party to a contract with the NRC.
(g) " Affiliates" means business concerns which are affiliates of each other when either directly or indirectly one concern or individual controls or has the power to control another, or when a third party controls or has the power to control both (41 CFR s1-1.606-1(e)).
', (h)' " Subcontractor" means any subcontractor of any tier which L
performs work under a contract with the NRC except subcontracts for r
supplies and subcontracts in amounts of $10,000 or less.
(i) " Prospective contractor" or " offeror" means any person, firm,
)
unincorporated association, acint venture, partnership, corporation, or affiliates thereof, including its chief executive, directors.. key personnel (identified ir. the proposal), proposed consultants, or subcontractors, suomitting a bid or proposal, solicited or unselicited, to the NRC to obtain a contract.
l
.g.
t 1
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7590-01 l
(j) " Potential conflict of interest" means that a factual situation 1
exists that suggests (indicates) that an actual conflict of interest may arise from award of a proposed contract. The um " potential conflict of interest" is used to signify those situauons which merit investigation prior to contract award in order to ascertain whether award would give
]
rise to an actual conflict or which must be reported to the contracting z
y officer fr Svestigation if they arise during contract performance.
i 20J 14M A teria for recognizing contractor organizational ct P, o.f interest (a) ?sneral. Two questions will be asked in detemining whether actual or potential organizational conflicts of interest exist: (1)Are there conflicting roles which might bias a contractor's judgment in a
relation to its work for the NRCt (2) May the contractor be given an unfair competitive advantage based on the perfomance of the contract?
.The ultimate detem nat on by NRC as to whether organizational conflicts l
i i
of interest exist will be made in light of comon sense and good business i
judgment based upen the relevant facts disclosed and the work to be performed. While it is difficult to. identify and to prescribe in advance a specific method for avoiding all of the various situations or relationships which might involve potential organizational conflicts of interest, NRC L
personnel will pay particular attention to proposed contractual requirements which call for the rendering of advice, consultation or evaluation l
l activities, or similar activities that lay direct groundwork for the l
NRC's decisions on regulatory activities, future procurements, and 1
research programs.
(b) Situations or. relationships which may give rise to o manizational 1
confilets of interest.
(1) The offeror or contractor shall disclose infomation concerning relationships which may give rise to organizational conflicts of interest under the following cire mstances:
(i) Where the offeror or contractor provides advice and recommendations to the NRC in a technical area in which it is also providing consulting assistance in the same arec to any organization regulated by the NRC.
(ii) Where the offerer or contractor provides advice to the NRC on the same or similar matter in which it is also providing assistance to j
any organization regulated by the NRC.
(iii) Where the offeror or contractor evaluates its own products or services, or the products or services of another entity where the offeror or contractor has been substantially involved in their development or marketing.
(iv) Where the award of a contract would otherwise resuit in placing the offeror or centractor in a confiicting role in which its judgment may be biased in relation u its work for the NRC or may otherwise result in an unfair competitive avae. age for the offerer or contractor.
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7590-01 (2) The contracting officer may reevest specific infotination from an offeror or contractor or may recuire special contract precisions such as provided in 120 1.5406 2 in the following circumstances:
(1) Where the offerer or contractor prepares specificauons which are to be used in competitive procurements of products or services covered by such specifications.
(ii) Where the offeror or contractor prepares plans for specific approaches or methodologies that are to be incorporated into competitive procurements using such approachas or methodologies.
(iii) Where the offeror or contractor is granted access to infomation not available to the public concerning NRC plans, policies, or programs which could fem the basis for a later procurement action.
(iv) Where the offeror or contractor is granted access to proprietary infomation of its competitors.
(v) Where the award of'a contract might otherwise result in placing the offeror or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC or may otherwise result in an unfair competitive advantage for the offeror or contractor.
(c) Policy application guidance. The following examples are illustrative only and are not intended to identify and resolve all contractor organizational conflict of interest situations.
(1) Example.
The XYZ Corp., in response to a request for proposal '(RFP), proposes to
- undertake certain analyses of a reactor component as called for in the RFP. The XYZ Corp, is one of several companies considered to be technically well qualified. In response to the inquiry in the RFP, the XYZ Corp.
advises that it is currently perfoming similar analyses for the reactor manufacturer.
Guidance. An NRC contract for that particular work nomally would not be awarded to the XYZ Corp. because it would be placed in a position in which its judgment could be biased in relationship to its work for i
NRC.. Since there are other well-qualified companies available, there i
would be no reason for considering a waiver of the policy.
-(2) Example. The ABC Corp., in response to a RFP, proposes to perfom certain analyses of a reactor component which are unique to one type of advanced reactor. As is the case with other technically qualified
. compantes responding to the RFP, the ABC Coro. is perfoming 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 perfom the work outlined in the RFP.
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7590-01 Guidance. An NRC contract normally could be awarded to.the ABC 1
Corp. because no conflict of interest exists which would motivate bias with respect to the work. An appropriate clause would be included in the contract to preclude the ABC Corp, from subseouently contracting for work during the performance of the NRC contract with the private sector which could create a conflict. For example, ABC Corp. would be precluded 1
frge the perfomance of similar work for the company developing the advanced. reactor mentioned in the example.
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i (3) Example.. As a result of operating problems in a certain type of commercial nuclear facility, it is imperative that NRC secure specific data on various operational aspects of that type of plant so as to assure adequate safety protection of the public. Only one manufacturer j
has extensive experience with that type of plant. Consequently that company is the only one with whom NRC can contract which can develop and
'l conduct the testing programs required to obtain the data in reasonable i
time. That company has a definite interest in any NRC decisions that might result from the data produced because those decisions affect the reactor's design and thus the company's costs.
H Guidance. This situation would place the manufacturer in a role in which its judgment could be biased in relationship to its work for NRC.
Since the nature of the work required is vitally important in terms of i
NRC's responsibilities and no reasonable alternative exists, a waiver of' the policy may be warranted.. Any s'uch waiver shall be fully documented and coordinated in accordance with thw waiver provisions of this policy with particular attention to the establishment of protective mechanisms to guard against bias.
(4) Example. The ABC Co. submits a proposal for a new system for i
evaluating a specific reactor component's perfomance for the purpose of developing standards that are important to the NRC program. The ABC Co.
has advised NRC that it irstads to sell the new system to industry once its-practicability has bee' demonstrated. Other companies in this j
business are using older systerns for evaluation of the specific. reactor component.
Guidance. A contract could be awarded to the ABC Co. provided that the contract stipulates that no infomation Emduced under the contract will be used in the contractor's private activities unless such infomation has been reported to NRC. Infomation which is reported to NRC by contractors-will nomally be' disseminated by NRC to others so as to preclude an unfair competitive advantage that might otherwise accrue. When NRC furnishes information to the contractor for the perfomance of contract work, it shall not be used in the contractor's private activities unless e
such infomation is generally available to others. Further, the contract will stipulate that the contractor will infom the NRC contracting i
officer of all situations in which the infomation developed-under the contract is proposed to be used.,
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(5). Example. The ABC Corp., in response to a RFP proposes to assemble a map showing certain seismological features of the Appalachian fold belt.
In accordance with the repmsentation in the RFP. and 120-1.5403(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.
. Guidance. The contracting officer would nomally conclude that award of a contract would not place ABC Corp. in a conflicting role where its'.iudgment might be biased. The work for others clause of I20-1.5405-1(c) would preclude ABC Corp, from accepting work during the tem of the NRC contract which could create a conflict of interest.
.(d) Other considerations.
(1) The fact that the NRC can identify and later avoid, eliminate, or neutralize any potential organizational conflicts arising from the perfomance of a contract is not relevant to a determination of t:.e existe.tce of such conflicts prior to the award of -
a contract.
(2) It is not relevant that the contractor has the professional i
reputation of being able to resist temptations which arise from organizational conflicts of interest, or that a follow-on.procumment is not involved, or that a contract is awarded on a competi*.tve or a sole source basis, i
s20-1.5404 Representation (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 particular offeror or contractor.
(b) Representation procedure. The following organizational conflicts of interest representation provision shall be included in all solicitations an'j unsolicited proposals for: ' (1) Evaluation services or activities; (2) technical consulting and management support services; s
(3) research; and (4) other contractual situations where special organizational conflicts of interest provisions are noted in the solicitation and would be included in tne resulting contract. This representation requirement shall also apply to all'apdifications 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 provision has previously been submitted with regard to the contract being modified, only an updating of such statement shall be required.
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x 7590-01 ORGANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION I represent to the best of sty knowledge and belief that:.
The award to of a contract or the modification of an existing contract does ( ) or does not ( )(involve situations or relationships Of the type set forth in 41 CFR I20-1.5403 b)(1).
(c) Instructions to offerors. The following shall be included in all NRC solicitations: (1) If the representation as completed indicates that situations or relationships of the type set forth in 41 CFR a 20-1.5403(b)(1) are involved, or the contracting officer otherwise detemines that potential organizational conflicts exist, the offerer shall provide a statement in writing which describes in a concise manner s
all relevant facts bearing on his representation to the contracting officer.- If the contracting officer detemines that organizationa.
(1)Imposeappropriate conflicts. exist, the following actions may)be taken: disqualify the offeror, or conditions which' avoid such conflicts. (ii (iii) detemine that it, is otherwise in the best interest of the United States to seek award of the contract under the waiver provisions of m
I20-1.5411.
l (2)-The refusal to provide the representation required by i 20-L 1.5404(b) or upon request of the contracting officer the facts required by 's20-1.5404(c), shall result in disqualification of the offeror for award.. The nondisclosure or misrepresentation of any relevant interest
]
.may also result in the disqualification of the offeror for award; or if such nondisclosure:or misrepresentation is discovered after award, the E
The offeror may also be disqualified resulting contract may be teminated.
from subsequent related NRC contracts and be subject to such other it
- remedial actions provided by law or the resulting contract.
(d) The offeror may, because of actual or potential organizational conflicts of interest, propose to exclude specific kinds of work from the statements of work contained in a RFP unless the RFP specifically prohibits such exclusion. Any such proposed exclusion by an offerer will be considered by the NRC in the evaluation of proposals. If the l'.
NRC considers the proposed excluded work to be an essential or integral part of the required work and its exclusion would work to the detriment of the competitive posture of the other offerers, the proposal must be rejected as unacceptable.-
(e) The offeror's failure to execute the representation required:
by subsection (b) above with respect to invitation for bids will be I
considered to be a minor informality, and the offeror will be pemitted to correct the omission.
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- i I20-1.5405 Contract clauses s'20-1.5405-1 General contract clause 0
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7590 01 All contracts of the types set forth in i 20-1.5404(b) shall inclun the following clauses:
(a)
Purpose. The primary (purpose of this clause is to cid in ensuring trat'the cot; tractor:
- 1) Is not placed in a conflicting role
. because of current or planned interest (financial, contractual, organizational, or othemise) which relate to the work under this contract, and (2) does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract.
(b) Scope.
The restrictions described herein shs11 apply to performance or participation by the contractor as defined in 41 CFR s 20-1.5402(f) in the actitities covered by this clause.
'(c) Work for others. Notwithstant;ing any other provision of this L
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 respect to the work being perfomed under this contract.
The contractor. shall ensure that all employees who are employed full time under this contract and employees designated as key personnel, if y
any, under.this contract abide by the provision of this clause..~1f the l
contractor believes with respect to itself or any such employee that any i
proposed consultant or other contractual arrangement with any fim-or
' organization may involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting officer prior to
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execution of such contractual arrangement.
(d) Disclosure after award.
(1)Thecontractorwarrantsthatto the best of its knowledge.and belief and except as otherwise set forth in'this contract, it does not have any organizational conflicts of interest, as defined in 41 CFR 520-1.5402(a).
F (2) The contractor agrees.that if after. award it d.iscovers o ganizational conflicts of intemst with respect to this contract, it shall make an 1:enediate and full disclosure in writing to the contracting officer, This statement shall include a description of the action which the contractor has taken or proposes to take to avoid or mitigate such b
conflicts. The NRC may, however, teminate the contract for conveniem e l
if it deems such temination to be iti the best interests of the governaient.
L (e) Access to and use of infomation.
(1) If the contractor in I
the perfomance of this contract obtains access to infomation, such as l
NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L.93-579), or data which has
. not been released to the pubtfe, the contractor agrees not to: (1)Use I
such information for any(prhete purpose until the infomation has been L
released to the public; ii) compete for work for the Consnission based L
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7590-01 on such ir. formation for a period of six (6) months after either the complet4n of this contract or the release of such information to the public, whichever.is first, (iii) submit an unsolicited proposal to the gov 9rnment based on such infomation until one year after the release of scch infomation to the public, or (iv) release the information without pricr. written approval by the contracting officer unless such information has previously been released to the public by the NRC.
(2)
In addition, the contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L.93-579), or other confidertial or privileged technical, business, or financial information under this contract, the i
contractor shall treat such informatiort in accordance with restrictions placed on use of the information.
(3) The contractor shall have, subject to patent and security provisions'of this contra *t, the right to use technical data it products under this contract for private purposes provided that all requirements 1
of this contract have bee's met.
]
(f) Subcontracts. Except as provided in 41 CFR 520-1.5402(h), the contractor-shall.inclur'e this clause, including this paragraph in subcontracts of any t er. The. terms " contract," " contractor," a M
" contracting officer," shall be appropriately modified to preserve *he government's rights.
(g) Remedies. For breach of any of the above proscriptions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations as necessarily imply bad faith, the government may terminate the contract for default, disqualify the contractor-from
- 1 subsequent contractual efforts, and pursue other remedies as may be permitted by law or this contract.
(h) Waiver. A raquest for waiver under this clause shall be directed in writing through the contracting officer to the Executive I
Director for Operations'(EDO) in accordance with-the procedures outlined ini20-1.5411.
I20-1.5405-2 Special contract provisions.
(a) If it is detemined from the nature of the proposed contract that organizational conflicts of interest exist, the contracting officer may determine that such conflict can be avoided or after obtaining a waiver in accordance with !20-1.5411, neutralized through the use of an appropriate special contract provision.
If appropriate, the offeror may negotiate the terms and conditions of these clauses, including the extent and time period of any such restriction, These provisions include but are net limited to:
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'(1) Hardware exclusion clauses which prohibit the acceotance cf procuction contracts following a related nonprocuction contract previously performed by the contractor; (2) Software exclusion clauses; (3) Clauses which require the contractor (and certain of his key personnel) to avoid certain organ 12ational conflicts of interest; and (4) Clauses which provide for protection of corfidential data and guard against its unauthori2eo u;c, (b) The following additional contract clause may be included as section (1) in the clause set forth in120-1.5405-1 when it is determined that award of a follow-on contract would constitute an organizational conflict of interest.
(1) Follow-on effort.
(1) The contractor shall be ineligible to participate in NRC contracts, subcontracts, or proposals therefor (solicited or unsolicited) which stem directly from the contractor's performance of work under this contract. Furthennore, unless so directed in' writing by the contracting officer, the contractor shall not perform any technical consulting or. management support services work or evaluation activities under this contract on any of its products or services or the products 1
or services of anotner firm if the contractor has been substantially involveo in-the devclopment or marketing of such products or services.
(2) If the contractor under this contract prepares' a complete or essentially complete statement of work or specifications, the contractor shall be ineligible to perform or participate in the initial. contractual effort which is based on such statement of work or specifications. The coritractor shall not incorporate its products or services in such statement of work or specifications unless so directed in writing by the contracting officer, in which' case the restriction in this subparagraph shall not appiy.
P (3) Nothing in. this paragraph shall preclude the contractor from-offering or selling its standard conenercial items to the government.
I 20-1.5406 Evaluation, findings, and contract awar'd The contracting officer will evaluate all relevant facts submitted by an offeror pursuant to the representation requirements of 120-1.5404(b) and other rekvant.infomation. After evaluating this information-against the criteria of 5 20-1.5403, a finding will be made by the contracting officer whether organizational conflicts of interest exist with respect to a particular offeror.
If it has been determined that conflicts of
- interest exist, then the contracting officer shall either:
(a) Disqualify the offeror from award, 10 4
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b 1
1590-01
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4 (b) Avoid or eliminate such conflicts by appropriate measures; or (c) Award the contract under the waiver provision of s 20-1.5411.
-120-1.5407 Conflicts identified after award.
If potential organizational conflicts of interest are identified.
after award with respect to a.particular contractor, the contracting officer determines that such conflicts do. in fact, exist and that it would not be in the best interests of, the government to terminate the contract as provided in' the clauses required by s 20-1.5405, the. contracting i
officer will.take every reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with s 20-1.5411, neutralize the effects of the identified conflict.
120-1.5408 (Reserved) s20-1.5409-(Reserved) l 120-1.5410 Subcontracts The contracting' officer shall require offerors and contractors to submit a representation statement in accordance with 120-1.5404(b) from subcontractors and consultants. The contracting officer shall require i
the contractor to include contract clauses in accordance with 120-1.5405 in consultant' agreements or subcontracts involving performance of work under a prime contract covered by this -subsection.
I20-1.5411 Waiver In the first instance, determination with respect to the need to seek a waiver for specific contract awards shall be made by the contracting officer with the advice and concurrence of the program office director i
L and the Office.of Executive Legal Director. Upon the recomendation of p
the contracting officer, and after consultation with the Office of the General Ccunsel, the EDO may waive the policy in specific cases if he p
determines that it is in the best interest of the United States to do L
's o.
Such action shall be strictly limited to those situations in which:
(1) The work to be perfomed under contract is vital to the NRC program; (2) the work cannot be satisfactorily performed except by a contractor whose interests give rise to a question of conflict of interest; and (3)-
contractual and/or technical review and supervision methods can be employed by NRC to neutralize the conflict. For any such waivers, the justification and approval documents shall be placed in the Public
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Document Room.
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7590-01 620-1.$412 Remedies In addition to such other remedies as may be pemitted by law or contract for a breach of the restrictions in this subpart or for any intentional misrepresentation or intentional nondisclosure of any 5
relevant interest required to be provided for this section, the NRC may debar the contractor from subsequent NRC contracts..
e Dated at Washinetbn. D.Cthis 27th day of March 1979.
For the Nuclear Regulatory Comission c%m ca.<.t m
Samuel '. Cnilk Secretary of the Commission
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ATTACHMENT THREE i
(1 76) i U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL TRANSMITTAL NOTICE
(
CliAPILR NRC-3202 PUBl.CCATION OF 'IECH!{ICAL REPORTS PREPARED BY NRC CONITC,7IORS, INCLUDIN3 REPO*PS PREPARED UNDER OR PURSt% 7 'ID INTERAGENCY AGPSPMENTS SUPERSEDED:
TRANSMITTED:
Number Date Number Date TN
-3200-21 Chapter NRC-3202 L 29/82 Chapter NRC-3202 8/29/84 Page Page
. i 1
Appendix UEC-3202 h/29/62 Appendix NRC-32C2 S/29/84 REMARKS:
1 This revision of Chapter 3202 expands the chapter from coverage of
' J 4
unclassified reports to include the markirs and handling of sensitive unclassified infomation (Official Use Only and Limited Official Use Information, Safeguards Infomation, Proprietary Infomation) and classified infomation (Top Secret, Secret, and Confidential). A section has also been added to set forth procedures for the handling of unclassified reports en NRC cooperative pmgrams with foreign governments and organizations and with U.S. irdustry.
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W
n U.S. NUCLEAR REGULATORY COMMISSION NRC MANUAL Volume:
3000 Information and Foreign,Activi' s
Part :
3200 Technical Information and Docu at Control ADM CHAPTER 3202 PUBLICATION. OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS l
3202-01 COVERAGE This chapter and its appendix handbook establish responsibilities, basic requirements, standards and procedures for the documentation, production and dissemination of technical reports prepared by NRC consultants and grantees and by NRC contractors and their subcontractors, including reports prepared under or pursuant to interagency agreements or memorandums of understanding.
These reports arr hereafter referred to as contractor re-ports. This chapter does not cover NRC staff-generated documents, NRC docket material, or the ' documents generated by NRC boards, panels,
advisory committees and Offices that report to the Commission.
3203-02 OBJECTIVES 0 21 to assure production and. dissemination.of technical reports as required by the Energy Reorganization Act of 1974 and the Freedom of Infor-o 1
mation Act.
1.
022 to assure that dissemination of technical reports is consistent. with D
requirements for public availability of information.
023 to assure that national security, patent rights, copyrights, proprie-tary rights and rights in other sensitive unclassified information are not 7
compromised by the release, distribution, or dissemination of technical reports L
from NRC.
l 024 to assure that formal NRC contractor reports will carry the regis-tered NRC desienation NUREG/CR or NUREG/CP as the prime identification.
025' to provide for coordination of press or other media releases.
3202-03 RESPONSIBILITIES AND AUTHORITIES L
031 The Director, Office of Administration:
a.
develops and maintains, in consultation with Directors of Offices and Divisions and Regional Administrators NRC standards, proce-l
\\
dures and guic'es for the production and dissemination of technical 1
contractor reports.
Approved:
August 29, 1984
y PUBLICATION OF TECHNICAL REPORTS PREPARED BY o
NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-032 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS J
b.
periodically surveys report ' activities throughout NRC to ascertain that the provisions of this chapter are adequate ar. d are being implemented; makes any changes needed.
032 The Director, Division of Technical Information' and Docu nent Control:
develops and administers a central report control system for identi-a.
fying, printing and distributing contractor reports and responding to requests for unclassified reports.
b.
develops and maintains guides and standards for the documentation.
formatting, printing, dissemination, and public sale of unclassified contractor reports.
c.
assures that a system exists for review of unclassified contractor reports for adherence to patent, copyright and disclosure policies prior to dissemination.
d.
establishes and administers interagency agreements necessary for the dissemination and public sale of unclassified contractor reports and controls duplication and printing of contractor reports to assure adherence to. the Government Printing and Binding Regulations issued by the Joint Committee 'n Printing (JCP), Congress of the United States.
e.
in response to requerits of Directors of Offict s 2d Regional Administrators, establishes distribution data banks, r ains official standard distribution lists for automatic distribution t unclassified contractor reports, and controlo distribution to assure adherence to the Government Printing and Binding Regulations, the Privacy Act, and the Freedom of Information Act.
033 Directors of Offices and Regional-Administrators:
f a.
establish the contract or Standard Order for Work
- provisions,
including those required' by this chapter and its appendix; Chapter NRC-3203, Distribution of Unclassified NRC Staff-and Contractor-Generated Documents and its appendix; Chapter NRC-0260, Print-
' in g, Copying, Graphics and Photography and its appendix; and Chapter NRC-1102, Procedures for Placement of Work with the Department of Energy.* In the Statement of Work:
(1) specify what reports will be reviewed for-policy, management, and legal issues by NRC staff in draft prior to printing and distribution. If the report is to be reviewed by NRC staff.
give the conditions under which the contractor may publish documents in the event of unresolvable differences relative to the draft, including
- the type of disclaimer to be used in addi-tion to the standard government disclaimer (see Exhibit 6).
In the case of - DOE work, this is NRC Form 173, Standard Order for DOE Work.
See Chapter NRC-1102.
Approved: August 29, 1984 f'
w PUBLICATION OF TECHNICAL REPORTS PREPARED GY NRC CONTRACTORS, INCLUDING REPORTS PREPALED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-034 (2) provide for the reviews necessary to insure that the national security, patent rights,- copyrights, proprietary rights and rights in other sensitive unclassified information are not compromised by the release or dissemination of the reports.
if DOE contractors are to be authorized to make the reviews.,
designate the contractor olficials who are authorized to sign NRC Form 426A prior to NRC distribution of reports (see i
Appendix, Part IV).
Assure that sensitive unclassified and classified reports are marked' and handled properly -(see Appendix,- Part V).
(3) specify that all formal reports carry NUREG/CR or NUREG/CP numbers as the. prime identification, as illustrated in the appendfx.
(4) specify whether formal reports shall be printed by NRC or 'he contractor if the contractor has a JCP-authorized federal print-ing plant (see Appendix, Parts 11 and IV).
H (5) specify that all formal reports required by NRC shall be distributed by NRC.
j (6) establish the number of copies the contractor may retain or i
j.
request for internal and external distribution and charge.
against NRC. Written justification must be provided, and approval obtained of the NRC JCP representative (the Director.
Division of Technical Information and Document Control) when i
the number exceeds the 50 copies authorized by JCP for=
'l unclassified reports.
the. protection of classified and sensitive unclassified (7) assure information, if any, in contractor reports (see. Appendix,
Part V).
b.
assure adherence to instructions and. authorizations regarding the reproduction and distribution of reports.
recommend standard distribution category (ies) for contractor reports c.
to the Division of Technical Information and Document Control.
d.
provide changes to the official standard distribution lists to the Division of Technical Information and Document Control.
i establish procedures for review of contractor's proposed press _ and e,
other media releases.
034 The Office of the Executive legal Director provides legal 1
review and advice to NRC c'aff on questions regarding inventions, patents,
)
sf copyrighted material, national security, and proprietary information, ut<
other sensitive unclassified and classified information, t
d.-
035 The Director, Office of Public Affairs, upon request of the project manager, reviews proposed contractor's press or other media releases for appropriateness.
Approved:
August 29, 1984 v
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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-036 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 036 The Director, Division of Security:
a.
administers the overall information security program which includes management of the security classification program and other programs for the protection of sensitive unclassified information.
b.
advises ' staff of NRC Offices-and Regions on the preparation and hantiling of reports containing classified, proprietary and other sen--
sitive unclassified information.
'037 The Director, Division of Contracts:
a.
coordinates the flow of all reports to and from contractors (other than DOE contractors) where such reports may result in alterations in the terms and conditions of applicable contracts as they pertain to report production and distribution.
b.
advises the contractor as to the source and method for obtaining reports required from the government for performance of the contract.
c.
provides contractor with copies of NRC 'hapters 0260, 3202, 3203, 3207, and 3210, when appropriate.
d.
determines when requests for proposals and invitations for bids, as well as subsequent contracts, should include statements requiring contractor compliance with Chapters NRC-3202, 3207, and 3210 and the Government Printing and Binding Regulations.
ensures that appropriate clauses are included in contracts regarding e.
the - private use and protection of classified, proprietary and 'other sensitive unclassified information.
3202-04 DEFINITIONS
- 0 11 camera-ready cooy - 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).
042 central report control system - means for developing and maintaining the policies, procedures and guides needed to identify and produce regulatory '
and technical reports and to assure adherence to requirements and standards for documentation, formatting, printing and distribution.
043 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.
Words underscored in definitions are also defined in list.
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. Approved:
August 29, 1984
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p PUBLICATIC OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED p
UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-044 044 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 littrary, dramatic, musical, artistic, and certain other intellectual works. This protection is available to both published and unpublished works.
Copyrighted material may not be reproduced without the permission of the author or publisher.
045 disseminate - to announce the publication of reports and make them available for free distribution, sale or copying.
046 distribute - to dispense reports to specific organizations and indi-viduals to assure their participation in the regulatory process and support of reseorch and technological investigations. Such distribution may be accom-plished by the uce of standard distribution data banks established and main-tained by the Div.'sion of Technical Information and Document Control based on the requests of.de originating Office or Region.
047 documentation - classification and associated markings required for classified or sensitive unclassified documents, the NRC report number unique to.the report, title (and subtitle, if any), author or correspondent (if any), organization identification and contract ' number (or FIN nuinber), date
'1 and availability.
,e 048 draft or final material for inclusion in " Safety Evaluation Reports" or " Environmental Statements" (ES) - written material requested for input to i
SERs or ESs to be issued as NUREGs Such material may be edited or modi-i fied at the discretion of the NRC staff.
049 formal technical reports - the final product of research, an original investigation, or a significant compilation of information. This product is a formal technical' report for publication in the NUREG/CR series. For extensive long-term projects, formal monthly, quarterly or semiannual and annual peri-i odic technical reports may be required. A draft of the final or periodic report may be requested for comment prior to preparation of the camera-ready copy.
0410 NRC project manager - the NRC staff member responsible for the work performed by consultants or - contractors and their subcontractors, or for work performed under or pursuant to an interagency agreement.
l examination by legal staff to assure protection 0411 patent review rights in inventions.
0412 proprietary information - trade secrets; privileged or confidential i
research, development, commercial or financial information, exempt from manda-and under tory disclosure under 10 CFR Part 2 (Sections 2.740 and 2.790) 10 CFR Part 9 (Section 9.5); and other information submitted in confidence to the NRC by a foreign source and determined to be unclassified by the NRC, 0413 publiclv available documents - information (reports and references) which is available in the NRC Public Document Room (PDR) for public inspec-
[
tion and copying or available in the public domain.
l Approved:
August 29, 1984 m
v PUBLICATION OF TECHNICAL REPORTS PREPARED BY i
NRC CONTRACTORS, INCLUDING REPORTS PREPARED i
N R C-3202-0414 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 0414 reproducible masters "- camera-ready copy which includec (1) origi-l nals of line drawmgs (or prints that can be copied), (2) glossy prints of black and white photographs (colored photographs cannot be reproduced),
i (3). original. typed or printed text, tables, cover, title page, contents and j
abstract, or (4) other fonns of the materials listed in (1), (2) and (3) that a J
printer can reproduce.
0415 technical reports - information on the technical aspects of contract work. The3e may be interim or final technical letter reports, draft or final formal technical reports for publication in the NUREG/CR or NUREG/CP series, or draf t or final material for inclusion in SERs or ESs.
0416 technical letter reports (also called technical' evaluation reports)
- interim or final letters that provide information on the technical aspects of contract work.
Interim technical letter reports may be required at various stages of.a project. These reports usually are followed by a final technical letter report or a formal technical report.
Final technical letter reports are usually specified in situations where the technical work is review and eval-untion of work of others or work to be used by the staff in the licensing and 4
regulation process.
Interim -letter reports may include, but are not limited to, ' informal (interim) progress reports, quick-look reports, data reports,
. status summary reports, project descriptions, pre-tested predictions. model verifications, experiment safety analyses, experiment. operating procedures, facility certification reports, and test result reports.
I 0417 unique identification - NRC identification used on a report and its attachments, revisions, and supplements that is not used on any other report.
.B ASIC REQUIREMENTS r
0 51 Applicability. The provisions of this chapter and its appendix apply to NRC consultants, grantees, contractors and subcontractors, including those working under interagency agreements, whose contracts require the prepara -
tion of technical reports. Because of the unique requirements of NRC boards, panels,
advisory committees and Offices which report directly to the Commission, the handling of reports prepared by consultants and contractors
-te them are governed by the Board or Panel Chairman and, in the case of advisory committees, by the Advisory Committee Management Officer, or the Commission.
These exceptions do not preclude the use of the NUREG/CR series designation on reports prepared for these entities that are to be given wide public dissemination.
1 L
052. Forms. NRC Form 426A, " Publication Release for Unclassified NRC L
Contractor and Consultant Reports"' (Exhibit 5), NRC Form 335, "Biblio-
. graphic Data Sheet" (Exhibit 7), and NRC Form 190, " Cover Sneet for Reports Containing Proprietary Information" (Exhibit 19), shall be used as provided in the appendix.
053 Appendix 3202. This appendix contains standards and procedures i
for the preparation of reporting requirement portions of Statements of Work, and for the documentation, production, and dissemination of technical reports
~;
prepared by contractors and other government agencies in accordance with contract requirements or interagency agreements.
Approved:
August 29, 1984
, _ _. _ _ _ _ - -. _ _. - - - - - - - ----- +
,t, PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS,-INCLUDING. REPORTS PREPARED
' UNDER OR PURSU ANT TO INTERAGENCY' AGREEMENTS
- N R C-3202-054
- {;
054 Preparation Requirements a.
Reports to be Printed by NRC. All contractor reports to be printed by NRC shall be prepared according to. Appendix 3202. The repro-ducible masters for the requisite distribution shall be transmitted to the Division of Technical Information and Document Control accom-panied by completed NRC Form 426A and NRC Form 335.
'o..
Reports Printed by Authorized Federal Printing Plants. 'All contrac-l tor. reports to be prtnted by the contractor (as specified by the contract, agreement, or standard order for. work) shall be prepared according to Appendix 3202, and a reproducible master and suffi-cient copies for standard and incidental distribution shall be sup-plied to the Division of Technical Information and Document Control.
accompanied by completed NRC Form 426A, signed by the autliorized contractor official. Each such report shall include, as the last pa;;e.
a completed NRC Form 335.
j 055 References. The NRC chapters referenced and NUREG-0794 (ref. j) and NUREG-0650 (ref.. i)'are available from the Division of Technical Informa.
L tion and Document Control. The other publications are available from the l[
. Government Printing Office.
a a.
Chapter NRC-0260. " Printing. Copying, Graphics and Photography,"
4 b.
Chapter a' d Appendix NRC-2101. "NRC Security Program."
g c.
Chapter NRC-3203, " Distribution of Unclassified NRC Staff-and Contractor-Generated Documents."
d.
Chapter NRC-Il02. " Procedures for Placement of Work with the Department of Energy."
e.
Chapter NRC-3206. "NRC Contractor Speeches. Papers and Journal Articles on Regulatory and Technical Subjects."
f.
Chapter NRC-3207, " Conferences and Conference Proceedings. "
g.
Title 44, U.S. Code, "Public Printing and Documents." Government Printing Office.
h.
Government Printing and Binding Regulations of the Joint Committee on Printing, Congress of the United States, No. 24, April 1977 (JCP Regulations). Government Printing Office.
i.
Title S.
U.S.
Code, "Governrant Organization and Employees. "
u Government Printing Office.
.i Approved:
August 29, 1984
.i
~
['
~~ PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-055
-UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS j.
" Technical Writing Style-Guide." A. W. Savolainen et al., compilers, U.S.
NRC Report NUREG-0650, November 1979, and Supplement 1.
February 1982.
k.
" Protection of Unclassified Safeguards Information," D. J. Kasun.
USNRC Report NUREG-0794. October 1981.
1.
Chapter NRC-0255, " Mail Management," and Appendix 0255, Part V, Annex A.
a
[
Approved: August 29, 1984 t
c
y a
v PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC: CONTRACTORS.. INCLUDING REPORTS PREPARED
.NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS
'e
.I k -
CONTENTS PAGE M-PART I PREPARATION OF REPORTING-REQULREMENTS PORTIONS OF STA1EMENTS j
OF WORK'FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR DOE WORK A.
LIST OF TECHNICAL REPORT REQUIREMENTS.........................
1 B.
REQUIREMENTS FOR FORMAL REP 0RTS...............................
2 1
C.
REQUIREMENTS FOR DRAFT REP 0RTS................................
2 0.
PUBLISHING UNCLASSIFIED NON-SENSITIVE INFORMATION IN OPEN LITERATURE AND PRESENTING PAPERS......................
3 E.
TYP0 GRAPHY.........................................
4 F.
REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION........................................
4 l
G.
PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES 1
AND WORKSH0PS.................................................
4
.1
- t-t H.
WRITING AND PUBLISHING UNCLASSIFIED B00KS.....................
S 1.
DISTRIBUTION OF REPORTS TO CONTRACTORS........................
S J.
COORDINATION OF PRESS OR OTHER MEDIA RELEASES OF UNCLASSIFIED INFORMATION...................................
5 PART II~
UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC...
7 7
A.
DOCUMENTATION.................................................
7 1.
Applicability..........................................
2.
Front Cover and Title Page...............................
7 9
3.
Availability Information.................................
9 4,
Disclaimer...........................
S.
Previous Reports in Series...............................
9 9
6.
Abstract.................................................
7.
References and Bibliographies............................
9 10 8.
Bibliographic Data 5heet.................................
10 B.
PATENT AND SECURITY REVIEWS...................................
10 1.
Patent Review............................................
10 2.
Security Review..........................................
i Approved:
August 29, 1984
~
sr PUBLICATION OF TECHNICAL REPORTS PREPARED' BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED i.
NRC Appendix 0202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS CONTENTS (Continued)
PAGE
-C.
PROCEDURES FOR PRINTING AND DISTRIBUTING......................
11 1.
Printing.................................................
11.
2.
Reprinting...............................................
11 3.
Distribution of Reports..................................
11 EXHIBITS 1.
Sample Cover.for Unclassified Formal Contractor-Prepared Reports, Excluding Those Printed by DOE Laboratories with JCP Authorized Federal Printing Plants...........................................
13 2.
Sample Title Page for Unclassified Formal Contractor-Prepared Reports, Excluding Those Printeo by DOE Laboratories with JCP Authorized Federal Printing P1 ants................................
14 3.
Sample Cover for Unclassified Formal Reports Printed by DOE Laboratories with JCP Authorized Federal Printing Plants.......
15 4.
Sample Title Page for Unclassified Formal Reports Printed by 00E Laboratories with JCP Authorized Federal Printing P1 ants............................................................
16 5.
NRC Form 426A, Publications Release...............................
17 6.
Disclaimer and Availability Statements............................
18 7.
NRC Form 335, Bibliographic Data Sheet............................
19 PART III UNCLASSIFIED TECHNICAL LETTER REP 0RTS........................
21 A.
F0RMAT.......................................................
21 1.
Applicability...........................................
21 2.
Requirements............................................
21 B.
PATENT AND SECURITY REVIEWS................................
21 1.
Patent Review..........................................
21 2.
Security Review........................................
22 PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE OFFICE
'0F NUCLEAR REGULATORY RESEARCH BY DOE LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS......................
23 A.
DOCUMENTATION................................................
23 1.
Applicability..................................
23 2.
Front Cover and Title Page.............................
23 Approved:
August 29, 1984 11 1
+
t it.
i i
' PUBLICATION OF TECHNICAL REPORTS PREPARED BY
. NRC CONTRACTORS, INCLUDING REPORTS PREPARED a
UNDER OR PURSUANT'TO INTERAGENCY AGREEMENTS - NRC Appendix 3202 CONTENTS (Continued) 7 PAGE 3.
Availability and Price Information.....................
25 4.
Disclaimer..............................................
-25 5.
Previous Reports in Series.............................
25 6.
Abstract...............................................
25 J
7.
References and Bibliographies..........................
26
)
8.
Bibliographic Data Sheet...............................
26 1
2 L
B.
PATENT AND SECURITY REVIEWS.................................
26 1.
Patent Review..........................................
26 2.
Security Review........................................
26 C.
PROCEDURES FOR PRINTING AND DISTRIBUTING....................
27 1.
Printing..............................................
27
+
2.
Reprinting.............................................
27
+
3.
D i s t r i b uti o n. o f Re p o rt s.................................
27
.i PART V REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION......................................
29 A.
APPLICABILITY.........................................
29 p
B.
OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION......
29 C,
PROPRIETARY INFORMATIL 30 O.
SAFEGUARDS INFORMATION......................................
31 E.
CLASSIFIED INFORMATION......................................
31 EXHIBITS 8.
Sample Cover for a Contractor Report Containing Official Use 33 Only Information..................................................
9.
Sample Title Page for a Contractor Report Containing Official 34 Use Only Information.............................................,
- 10. -Sample Back Cover for a Contractor Report Containing Official 35 Use Only.Information..............................................
11.
Sample Cover for a Contractor Report Containing Limited Official.Use Information..........................................
36 12.
Sample Title Page for a Contractor Report Containing Limited I.
Official Use Information..........................................
37 l
l 1
iii Approved: August 29, 1984 1:
ll-l
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix-3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS l
CONTENTS (Continued)
PAGE 13.
Sample Back Cover for a Contractor Report Containing Limited O f f i c i al U s e I n f o rma t i o n..........................................
38 14.
Sample Cover for & Contractor Report Containing Proprietary Information Obtair.3d from a U.S.
Organization.....................
39 15.
Sample Cover Page for a Contractor Report Containing Proprietary Information Obtained f rom a Foreign Source............
40 16.
Sample Title Page for a Contractor Report Containing Proprietary Information Obtained f rom a U.S. Organiaation.........
41 17.
Sample Title Page for.a Contractor Report Containing Proprietary Information Obtained from a Foreign Source............
42 18.
Sample Back Cover for a Contractor Report Containing P ro p r i e t a ry I n f o rma t i o n...........................................
43 19.
Cover Sheet for Reports Containing Proprietary Information........
44 20.
Sample Cover for a Contractor Report Containing Unclassified Safeguards Information...............................
45 21.
Sample Title Page for a Contractor Report Containing Unclassified Safeguards Information.....................
46 22.
Sample Back Cover for a Con. tractor Report Containing Unclassified Safeguards Information.............................
47 23.
Cover Sheet for a Contractor Report Containing Unclassified Safeguards Information....................................
48 PART VI.
HANDLING OF UNCLASSIFIED INFORMATION ON NRC COGPERATIVE-PROGRAMS WITH FOREIGN GOVERNMENTS AHO ORGANIZATIONS AND WITH INDUSTRY.....................................................
49 A.
PREPARATION OF DRAFT PREllMINARY REPORTS FOR COMMENT.........
49 B.
DISTRIBUTION BY NRC PROJECT MANAGERS.........................
50 C.
COMMENT PERIOD AND ISSUANCE-0F NUREG/CR REPORT...............
50 D.
REPORT 10F.NTIFIERS............'...............................
50 E.
MAILING TO PROGRAM PARTICIPANTS...................
51 F.
SECURITY...................
51 Approved: August 29,19&4 iv Y
cj.
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS.' INCLUDING REPORTS PREPARED UNDER OR-PURSUANT TO INTERAGENCY AGREEMENTS - NRC Appendix 3202 CONTENTS (Continued)
PAGE EXHIBITS-24.
Sample Cover for a Draf t Preliminary Report. (Code) for Comment...
52 25.
Transmittal Letter from Contractor to NRC Project Manager for Draft Preliminary Report (Code)....................................
53
- 26. Transmittal' Sheet for Requesting Mailing to Cooperative Program j
^
Participants......................................................
54 1
i i
\\
i t
i L.[
v Approve:d : - August 29, 1984
_ m
.p JO Hii PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANO 10 INTERAGENCY AGREEMENTS NRC Appendix 3202-l l
PART1
^
. PREPAR ATION OF REPORTING REQUIREMENT PORTIONS' OF STATEMENTS OF WORK FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR DOE WORK
?
A.
LIST OF TECHNICAL REPORT REQUIREMENTS List. the.~ technical reports required from each project, task or subtasa, as applicable. State when and to whom they should be submitted and what they should contain. These reports may be. unclassified, sensitive unclassified or classified.
Standards for each of these. categories are presented in~ Parts.11 through V.
The following definitions describe the types of reports that may be specified-technical reporte - information on the technical aspects of contract work. These may be interim or final technical letter reports, draft
'4 or-final formal technical reports for publication in the NUREG/CR or NUREG/CP series, or draft or final material for inclusion in SERs or ESs (see definitions below).
1 v
technical letter reports (also called technical evaluation reports) o, interim or final letters that provide information 'on the technical j
aspects of the contract work. Interim technical letter reports may be required at various stages of a project.
These interim letters usually are followed by a final technical letter report o'r a formal l
technical report. Final technical letter reports are-usually specified i
in situations where' the technical work is review and. evaluation of work of others or work to be - used by the. staff in the licensing
=
and regulation process. Interim letter reports may include, but are not -limited to, informal (interim) progress reports, quick-look reports,- data reports, status summary reports, project descriptions, pre-test predictions, model verifications, experiment. safety anal-
- yses, experiment ' operating' procedures, facility certification reports, and test result reports.
These reports must be-identified 3
with the financial number (FIN) ' assigned to. the project. They are i
not to be identified with DOE. registered report codes.
The num-ber of copies to be prepared and the distribution of those copies will be specified by the project manager.
formal technical reports - the final product of research, an original investigation or a significant compilation of information. This pro-duct is a formal technical report for publication in the NUREG/CR or NUREG/CP series. For ext ^nsive long-term projects, formal monthly, quarterly or semiannual and annual periodic technical reports may be.
3 required. A draft of the final or periodic report may. be requested l
for comment prior to preparation of the camera-ready copy.
j i
j 1
Approved:
Au gust - 29, 1984 i
~
"( I -
w
y ll; < *l
?i A
M 4
PUBLICATION OF TECHNICAL REPORTS ~ PREPARED BY >
lNRC. Appendix 3202. - NRC CONTRACTORS, INCLUDING REPORTS PREPARED e
- p.,,
. Part I-UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS y
draft or final material for publication or inclusion in SERs,- ESs, letters, or license amendments - written material requested for use
'in the NRC-heensing process. Such material may be -(1) abstracted P
in a = NUREG report or attached to a NUREG report... (2) attached to 4
g a letter or an amendment to the license, or (3) abstracted and used as ' necessary by the ' NRC staff.
NRC requires patent review and' full management review of this material by the performing organiza-tion.
This material is to be submitted to NRC as 'a technical letter report addressed to the project manager and identified -by the FIN-aumber.
n For purposes of this Part, contractor mean:; a private contractor, con-sultant, grantee, another State or Federal Agency working under an interagency agreement, or. a DOE / facility or National Laboratory -(con-tractor) and subcontractors.
B.
REQUIREMENTS FOR FORMAL REPORTS If the contractor is to prepare a final formal technical report for publi-cation, state that it will be printed and distributed by NRC from camera-ready copy. submitted by the contractor, unless the work is being done for-the Office _of Nuclear-Regulatory Research by a DOE facility or
. Laboratory ; with a JCP-authorized printing plant.
The camera-ready copy is to be prepared in accordance with the provisions of this appen-dN. Parts 11 and V1 (for contractors other than DOE contractors), or
' Parts IV and V of this appendix and Chapter 1102 (for DOE contrac-
.j tors ).
A. style guide is also available free, upon request (NUREG-0650).
If the report is to be printed by NRC and it is unclassified, the camera-re.ady copy is to be submitted. by the contractor to the Director, Division of TechnicalInformation and Document Control, NRC, Washington, D.C.
20555, ' by first' class mail.
For handling of sensitive unclassified "nd classified reports see Part V of t!* appendix and NRC Appendix 2101.
'.*nciassified reports printed for the G. ' 'e of Nuclear Regulatory Research should be handled -in accordance with
.rts IV and V of this appendix and/or Chapter '1102.
C.
' REQUIREMENTS FOR DRAFT REPORTS
.lf a draf t is desired prior to completion of a final technical letter report, formal technical report, final material for inclusion in an SER or ES, or for comment by participants in cooperative programs with foreign gov-ernments and organizations and with U.S. industry, state that require-ment 'and the time frame for delivering the final camera-ready copy Lafter e
- receiving NRC and/or participant comments on the draft. State that all draft material should be submit.ted to the cognizant project manager.
m When' the contractor is to submit draft material for comment prior to the preparation of the final report, state that if there are NRC program and/or participant comments the contractor will be asked to make changes.
If agreement on the changes is reached, the NRC manager will authorize the contractor to prepare the final copy and submit it to the project manager, if it is a letter report or input to an SER or ES, or to 'the Director, Division of Technical Information and Document Control,.if it is Approved:
August 29, 1984 2
g%'
53:
. s; PUBLICATf0N OF TECHNICAL REPORTS PREPARED BY
- NRC CONTRACTORS, INCLUDING REPORTS PREPARED
' NRC Appendix-3202
'UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 1 q
camera-ready copy for printing and distribution. This is to be; done to assure proper publication,. handling, and distribution - and, among other
- things, to preclude further changes-that might nullify the agreement. If caveats 1were agreed to and the project manager wishes to check the final
- document for; their presence. he/she should inform TIDC of that' desire-.
In' that <.se, upon ceceipt of the camera-ready copy by TIDC, the project -
manager 'wili be informed and requested to prepare and sign the NRC
- Form 426A.
Also state that. if agreement on changes to a-formal technical report to be issued in the NUREG/CR series is not reached, the NRC~ project -
manager may request the contractor-to pTepare the camera-ready copy-with,< in addition to the standard disclaimer required on all contractor formsl reports -(see. Exhibit 6), any caveata deemed necessary to cover 4-NRC objections, Such caveats may range from the "The views expressed 5 this report > are not necessarily those of the U.S. Nuclear Regulatory Commission" 'to the addition of a preface setting forth the NRC opinion or footnotes at appropriate locations within the text.
State that if NRC objections cannot be covered in this manner, NRC can refuse to publish the report, in the case of DOE / National Laboratory reports, 'the. DOE Operations Office Manager responsible for that labora-tory should be informed by the NRC Office Director or Regional Adminis-
- trator of the : decision and the reasons therefor, with a copy to-the Laboratory Director. In the case of another Federal agency, a State, or h
a private contractor, the person who executed the contract should simi-larly be-informe i by the NRC Contracting Officer. The-contractor is then free to publish without NRC identification of the report.
Project manager or. higher level decisions may be appealed to the NRC Executive Dircctor for Operations.
D.
PUBI.lSHING UNCLASSIFIED. INFORMATION OPEN LITERATURE AND PRESENTING PAPERS If the contractor's principal investigato.. to we t1 >wed -to publish' in the open literature instead submitting a final report and/or present papers at public or association meetings during the course of the work, Md the following statement to the Statement of Work:
.The principal investigator (s) may publish the results of this work in the open literature instead of submitting a final report and/or present papers at public or association meetings at interim stages of
'the work, if the project manager wants to review the paper or journal article prior to presentation or submission for publication, state' this in the Statement of Work, as follows:
. The principal investigator (s) may publish the' results of this work in the open literature instead of submitting a final report and/or pre-
- L sent papers at public or association meetings at interim stages of the I
work, if the article or paper has been reviewed by the NRC project 3
Approved :
August 29, 1984
.,7 h.
u
__-___-._m.
m2________m__--_m__.____--__.-_.__-.m-_____--___--__.__.__-_.-_--__.______.___.__-____2-_.______--m
PUBLICATION OF TECHNICAL R2P",RTS PREPARED BY
. NRC Appendix 3202-NRC CONTRACTORS, INCLUDING REPORTS PREPARED 3
' Part 1:
UNDER OR PURSUANT TO ' INTERAGENCY AGREEMENTS, M
' manager in - draft form and-agreement has been reached-on the con-tent. The applicable procedures set forth in. Chapters NRC-3206 or
' NRC-1102 must be followed.
~
If. agreement is not reached NRC may also ask 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 objectians. If NRC objections cannot be covered in,this -
a L
manner. - NRC can refuse to authorize publication in the open litera-ture and/or presentation of papers.
g in the latter case, NRC will inform the contractor of the decision, as stated above for formal' reports (see Section-C, paragraphs 3 and 4).
The contractor. is then free to publish without NRC identification of the information.
This will not affect payment of the contract work costs.
Project manager or, higher level. decisions may be appealed to the NRC Executive Director for Operations.
If the contractor proposes to publish in the open literature or present the information at meetings in addition to sulamitting the required. tech-e g
nical reports, approval of 'the proposed article or presentation should be obtained from the NRC project manager. - The NRC project manager shall either ^ approve the material as submitted, approve it subject to NRC-z-
suggested revisions, or disapprove it. In any event,. a project manager may - disapprove or delay presentation o publication of papers on infor-mation that is subject to Co..;missioner epproval that has not been ruled upon or which has been disapproved.
(Se'e Chapter 3206 for provisions relating to payment of page charges and travel costs for presentation of papers.)
El TYPOGRAPHY The text of reports must be single spaced on 8\\ x 11-in, paper, unless otherwise 'specifically authorized. Occasionally, reports with many sym-bois and mathematical expressions may require one and one-half spacing to provide for superscripts and subscripts. This spacing should be
' allowed where needed. -but should be considered an exception, not the standard.
F.
' REPORTS 'CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION Details of the marking of reports designated Official Use Only, Limited Official Use, Proprietary. Infocmation.
Safeguards Information,
and classified (Confidential, Secret, and ' Top Secret) re provided 'in Part V of this appendix and in NRC Appendix 2101.
G.
PUBLISHING UNCLASSIFIED PROCEEDINGS OF C N FERENCES AND WORKSHOPS NRC publishes or assists in the publication of compilatiot s of pcpers presented at meetings,
conferences, and symposiums in which NRC i;
?
C Approved:
August 29, 1984 4
\\
-.i Jt
.e s
s
,e
.i'
}
' ' PUBLICATION OF TECHNICAL. REPORTS PREPARED ~ BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202' j
UNDER OR! PURSUANT TO INTERAGENCY AGREEMENTS Part 1 u 7 3
t participates as a sponsor or cosponsor.
Chapter NRC-3207, " Conferences
-l 4
and. Conference Proceedings," provides general information and guidance.-
. for this~.
More detailed guidance is available from TIDC upon request.
H.
. WRITING AND. PUBLISHING UNCLASSIFIED BOOKS :
NRC may, under 'certain circumstances,.. publish books prepared by.
grantees or contractors.
For general information and guidance on book publishing, see Chapter NRC-3210. " Book Writing and Publishing."
q 1.
DISTRIBUTION OF REPORTS TO CONTRACTORS!
Up to 50 copies of unclassified formal technical reports may be retained y
byt or will be. bulk shipped to the contractor by NRC, for internal use.
4 If fewer -than 50 copies are needed, indicate the desired quantity on NRC Form 426Ac Single copies for specific individuals in organizations ' other L
&an the. contractor's organization who are not included in the distribution p
quested-by the NRC project manager may be requested on a project ws' or on 'a report-by-report basis. The request, with written,justifi-cation, should be addressed to the NRC project manager, with a copy to 1
NRC/TIDC.
If the! additional distribution is approved. by the NRC:
project manager, the contractor shall-send these copies (if. printing is done ' by ; the contractor) and address labels, even if printing. is. done by L
NRC, to NRC/TIDC, where the distribution will be made along' with the standard distribution.
Distribution of sensitive unclassified and classi-fied reports will.be made by. the project manager on a case-by-case basis.
H J.
COORDINATION CF PilESS OR OTHER MEDI A RELEASES OF UNCLASSI-FIED INFORMATION A contractor may request permission to -issue a press or other media release on - the work being done. Such request shall' be made to the n
. project manager', who will consult with his/her management and with t.4e Office of Public Affairs. The contractor may not issue a press release on-nonroutine information without _this prior coordination. This coordination -
l may be accomplished by telephone, with the NRC project manager respon-sible for expeditious handling. ' Decisions not to release information or delays in handling by the project -manager may be appealed to the'NRC i
. Executive Director for Operations.
i
~
- l
,+
i 5
Approved:
August 29,1984
h,'c
- PUBLICATION OF TECHNICAL REPORTS PREPARED BY:
NRC CONTRACTORS,. INCLUDING REPORTS PREPARED
- UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS - ~ NRC Appendix 3202
{
3 PART 11 UNCLASSIFIED FORMAL CONTRACTOR REPORTS' TO BE PRINTED BY NRC t
.i
'A.
DOCUMENTATION 1.
Applicability =
a.-
The requirements.of this part apply to contractor and inter -
-agency - agreement reports that. are to < be printed.by NRC.
Contractors may not print reports prepared for NRC except those DOE laboratories with JCP-authorized printing plants and then only' those creports' prepared for NRC's Office of Nucinar i
Regulatory ; Research.
]
b.
With respect to sensitive unclassified and classified reports.
the requirements set forth in Part'V of this appendix shall be -
used in conjunction with NRC Appendix 2101.
s u
c.
The1 requirements.of this part do not apoly to consultants. and
]
contractors of the NRC boards, panel'.
and advisory commit--
i,
. tees which report directly to the Commission.
~'(
2.
Front Cover and Title Page j
Separate covers and -title.pages are rec,uired (see, Exhibits 'I a.
and 2' for contractor reports and Exhibits 3_ and 4 for reports j
prepared under or pursuant to' interagency agreements).* -
b.
The i.
shown in Exhibits 1 through 4 and discussed-below shall
,, pear ' on the title. page and cover, as appropriate.** =
d (1) NRC Report Number
'Each report shall be identified - by an NRC-controlled
. alpha-numeric designation as the prime designation unique to that report.
The centralized report control system for unique identification.is. maintained by the Division of' Technical Information and Document Control.
Numbers -
3 r
may be obtained by calling, the Division of Technical Infor-mation and Document Control or by submitting a copy :of NRC Form 426A (Exhibit 5) with a request for. a number.
- Reproducible copy of' the. cover of the performing organization may be sub-mitted; however, the data elements shown in Exhibit 1 must be included.
These requirements meet the specifications of American National Standard
{
- i-ANSI Z39.18-1974, Guidelines for Format and Production of Scientific and Technical Reports, and ANSI Z39.23-1974, Technical Report Numbers.'
.i 7
Approved:
August 29, 1984
-(
w y
p R
x c
c PUBLICATION -OF TECHNICAL REPORTS.. PREPARED BY :
NRCJ Appendix 3202 NRC CONTRACTORS,. INCLUDING REPORTS-PREPARED l
=Part'Il UNDER ORL PURSUANT TO INTERAGENCY AGREEMENTS
' The NRC identificatfori number will have the form:
-);
s
'NUREG/CR-XXXX or NUREG/CP-XXXX where CP indicates : conference ; proceeding.
The contrac-L tor's report number, if any, may - be' inserted Ebelow the' NUREG number on; the. title. page and cover, as shown.in '
Exhibits 1 through 4, if desired by:the contractor.
When a report consists of more 'than one volume or bind '
ing or Lis issued in more. than one edition, an appropriate?
volume, suppler' t,
part orz revision designation shall appear immediately below the report ' number.
t (2) Title 'and Subtitle-o (a). Use ' a brief title - that indicates clearly the subject
_g matter covered-in the report.
(b) When a : report is prepared in more than one volume, 1
repeat the primary title on each' volume, (c) If appropriate, show the type - of. report (e. g.,.
annual report, final report. - thesis, etc. ) and the 9
' period covered as part of the subtitle.
(3) Personal Author (s)' Name(s)
) j Authors' names should be given on the title page and cover unless this is impractical, as in the case of annual reports which have many contributors. If authors' contri-butions are as editors. compilers, etc.. so indicate on the
- title page following the names. In addition, ~ list affiliation of each author only if affiliated with an. organization other than the organization generating the document.
(4) Organization Identification' I
On the title page and cover, provide information of the
-l 6
type illustrated in Exhibits 1 through 4.
1 (5) Basis for Report Date(s)
H
-(a) ' The basis for dating may be shown 'along with the.
i date on the title page. Various bases for dating a~re 3
possible; e.p, date report completed, date reviews R-completed, date published, date : distributed,' etc.
(b) More than one date, with the basis for each, may be a
shown where this is necessary.
I t
' Approved: L August 29, 1984 8
._0 l'
- v (n s -
li
- PUBLICATION'OF TECHNICAL REPORTS PREPARED BY
~ NRC CONTRACTORS, INCLUDING REPORTS PITEPARED NRC-Appendix 3202-
- UNDER OR 'PURSU ANT TO INTERAGENCY AGREEMENTS Part II, P
3.
Availability Information' -
. All' formal reports will be-made available for sale by NRC and by.
- the' National Technical-Information Service (NTIS).
Exhibit 61 will be inserted on' the inside of ' the ' front cover by the Division ' of Technical Information and Document Control.
4.
Disclaimer
- The following notice will be added: during _ the-printing. step on the
+
inside front cover (Exhibit 6): "This report 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 employees, makes -any warranty, expressed or implied, orc assumes any legal liability; or; responsibility for any; third party's use, or. the results of such use, of any information, t
l
. apparatus, product or process disclosed in this report, or repre-sents that its use. by such third party would not-infringe privately
. owned rights." The following additional statement,
The ' views expressed in this report are not necessarily those of the U.S;
, Nuclear Regulatory Commission" will be printed below the standa'rd disclaimer. if appropriate.
Other qualifying statements may be added if needed (see Part-1.C., Requirements for.Draf t Reports).
5.
- Previous Reports in Series
'~
If the. report being prepared is one -in an ongoing series,l list all previous reports in the. series, include report numbers 'and issu--
ance dates.
Place this list on the back of the title page.
m 6.
Abstract
.An abstract -of 200 words or less shall be prepsred for each formal report. _ Within the report, the - abstract - shall appear on a separate page between the-' list of previous documents in the series and the
. contents page.* '
'i.
References and Bibliographies Reports or other documents referenced.in text, reference sections,.
bibliographies,. and appendixes of unclassified regulatory and technical ' reports in the NUREG series must be available tc the public - either in the public domain (as in a public library, at the.
Government Printing Office, at the-National Technical Information Service, or at other reference or sales outlets) or in the NRC Public Document Room.
This means ' that references should not be made to personal communications and interviews, unpublished 4
- This preferred positioning of the abstract in the report need not be followed if the style manual of the originating. organization requires a different i
location.
9 Approved:
August 29, 1984
- .m l
PUBLICATION' OF TECHNICAL REPORTS PREPARED BY.
-i NRC Appendix ?3202 - NRC CONTRACTORS, INCLUDING. REPORTS PREPARED-4
~ Part II UNDER OR PURSUANT TO' INTERAGENCY AGREEMENTS 1
l information.. and. :information with restricted distribution (e. g.,;
~1 proprietary, national security, official use _ only, etc. ).
If_ the
.unretrievable --information is important and unrestricted, it ' can be, quoted in the text, in footnotes, or in appendixes.
If credit is due-to, individuals,; they can be mentioned in the text or.in an acknow-1 ledgement.section.
Avaliability may be t,tated collectively for all entries (see E 'tibit 6).
Guidelines - for developing and presenting re'erence ' material !are
~ ',
provided in. NUREG-0650,
" Technical Writing
. Style. Guide,"
published : :in' November 1979 (see. Appendix A, pp. 19-23, for -
4 specific guidance) and' Supplement 'l dated February 1982.
8.
-Bibliographic Data Sheet NRC Form 335' (Exhibit 7) shall be prepared. and included in : the camera-ready copy as the final. right-hand page.
B.
PATENT AND : SECURITY REVIEWS i
1.
Patent ' Review Patent implications shall be: considered prior to approval _ of reports-
. for public release so. that disclosure will not -adversely affect the L
patent rights.of NRC or the contractor.
If the -work:being reported -
p' is. contractually managed through ano'her government agency (e.g.,
j g
DOE laboratories),- that government : agency. should: be -requested by
- ' j p
the' contractor to perform the patent review.
The' result of such
~
review. shall be reported on NRC Form 426A in. item 11 (Exhibit 5).
If-NRC directly_ administers the contract or the contractor is unable to obtain a patent clearance from the. government agency _ administer-
-i ing, the contract, the responsible NRC contracting officer shall be consulted, ~ and the responsible NRC project manager shall consider L
the patent ? implications,-
If there Dis no need for patent. review y
because -of f the certainty that the report contains no description of novel technical developments which:may be' of an inventive nature,-
l NRC Form. 426A may be. completed. with' the statement "Not. Appli-L cable" or "N/A" in the space for the Patent Counsel's signature. 'If there is a possibility that there is disclosure of developments of an' inventive nature, the -. contracting officer shall request assistance from the NRC Patent Counsel, Office of. the Executive Legal _
Director.
2.
Security Review i
in most cases, contractor reports will be unclassified.
Should ' a f
report of sensitive unclassified -or' classified work be required, -
.however, the. NRC project manager must work with the NRC 1'
Division of Security to establish the appropriate procedures and inform the contractor vf such procedur es through the contracting officer.
The standards for marking md handling such reports are given in Part-V of this appendix and NRC Appendix 2101.
Approved:
August 29, 1984
'.10 m.
M, Jn /,
a "g
%l# ': PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC-CONTRACTORS. INCLUDING REPORTS-PREPARED NRC Appendix.3202
' UNDER' OR' PURSUANT 'TO INTERAGENCY = AGREEMENTS Part IID J C '.i PROCEDURES FOR PRINTING 'AND DISTRIBUTING i
y l
1.
Printin g ~
. Beproducible masters prepared in - accordance' with this appendix i
shalli be transmitted to the Division of Technical Information and Document' Control, accompanied by completed NRC Form 426A
- (Exhibit 5).
NRC Form 426A must. be signed by the NRC-project manager or a. contractor ~ official authorized by the project manager.
Such authorization shad be reported in. writing to TIDC.
The Division ' of ' Technical Information and : Document Control will.
't review the masters for adherence to the standards set forth in this-chapter and. nppendix and will arrange for. printing and distributing ~
.the report.
Unsatisfactory masters will be reported to the NRC _
3 l
,m 6,
project manager for appropriate contractual action' by the' contract-ing, officer or, in the case of government agency or interagency-
- agreement work, the publications manager of the performing L
. organization..
1 2.
Reprinting Requests for reprinting' any report subsequent to the initial print-
'ing require approval of the Division of Technical Information and
.~
Document Control. Each request shall include a written justificationc and :the project manager's approval for reprinting along with. ad-
" ]j
((L dress labels for the recipients.
A 1
3.
. Distribution of Reports -
.I
.1 9
All' copies of unclassified formal contractor. reports will be distrib-u*.ed by the Division of Technical Information and Document Control in accordance with instructions on NRC Form 426A (Exhibit 5). The Division. of Technical Information ~ and Document c Control will also; arrange automatic distribution' of: these reports - to the.NRC Docu-'
3 ment-Control-System, the NRC Public Document Room the National Technical ' Information - Service - (NTIS), the' Government Printing i
Office and the Depository Library Service, H
If any distribution is to be made other than, or in addition to,.the m
standard distribution established for the report, written justification r
and - the - project manager's approval-for printing additional' copies
. shall accompany the reproducible masters. when submitted : to the Division of Technical Information and Document Control.. Address T
labels for the additional distribution-must be -supplied.
i L
Distribution of sensitive unclassified and classified reports will be made by the NRC project manager on a case-by-case basis.
d l.
i 11 Approved:
August 29, 1984 1
- 4 ;
lW
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A 3,h J
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EUBLICATION OF TECHNICAL REPORTS. PREPARED BY
.NRC. CONTRACTORS, INCLUDING REPORTS PREPARED.
NRC Appendix 3202
.UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS
' $c1 '
, ' t;
. EXHIBIT 1 1.
SAMPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR PREPARED l
DOCUMENTS, EXCLUDING THOSE PREPARED UNDER 09 PURSUANT TO B.
INTERAGENCY AGREEMENTS
.3 g
4 -0,.,
f-i NUREG/CR 1676 l
. NRC Report No.
NUSAC 556 Contractor Report No. (if any)
Vol.1 l
. Vol., Part, Rev., etc. (if any)
L
^ me.
Using: Advanced Process? Monitoring-L
- to Improve. Material Control-
' r,
,.j.
J Subtitle and Type of Report Final Report O.4 (Annual, Topical, etc.)
September 1979 September 1980
-q Author (s)
Preo.d av n. L. Hawkms. R. L. Lynen. R F. Lumb.
i l'
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Contractor NUSAC Incorporated NRc-
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August' 29, 1984 i.
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r-g n;
i PUBLICATION OF TECHNICAL-REPORTS PREPARED BY
-1
- NRC Appendix' 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED
.1
. Part 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 1 1 EXHIBIT 2--
l SAMPLE TITLE PAGE :OR UNCLASSIFIED FORMAL CONTRACTOR.
PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR
.i PURSUANT TO INTERAGENCY AGREEMENTS 1
1 NRC REPORT No.
NUREGICR 1676 Contracte r Report No. (if any)
NUSAC 586 V I Vol., Patt, Rev., etc. (if any)
Distribetion Category No. (if any)
Using' Advanced Process Monitoring
. ri,i,
.to mprove Material Control l
i 4
' Subtite and Type of Report
' Final Report c( Annual, l opical, etc.)
September 1979 September 1980 -
~
Report Dates and Basas -
ugu c
ro m Author (sliEditor(s), --
e,.
Compiler (s), etc.
t
. Contractor Name guja g w, g g and Address wte.a va mo2 g
NRC Sponsorship,
- Prepared for Division of Seftewares Office of Nuclear Malenal Safety and Safeguards wS Nucteer Regulatory Commission U.
hington. o c. 20ess
$ NRC Contract No.
NRC FIN BOU7
{
.n 2
?
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Approved:
August 29, 1984 14
-f l
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D.
u PUBLICATION OF TECHNICAL: REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRP Annandiv 3909 UNDER OR PURSUANT TO-INTERAGENCY AGREEMENTS Pm:!
EXHIBIT 3 SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 4
. NRC Report No.
NUREG/CR 1952 Contractor Report No.
SAND 810151
. Vol., Part, Rev., etc.
1 LOCA-Simulation Thermal-Shock s
Test of Sliding-Link Terminal Blocks Type of Report independent Verification Testing Program
-or Subtitle' Independent Verification Test 1 4
- Author (s), Editor (s)
"''"'k'nga,on,o,e,M eteif N C e,,, w
^"
L'*
- Contrsetor.
s na,, u,,,
n.i t,..,,,,,5..
Sponsorship h7*$*,N',',n,,,,,,,,
i Comensseion 4
15 Approved:
August.29,1984 u
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. PREPARED BY
- PUBLICATION OF-TECHNICAL REPORTS NRC : Appen_ dix 3202
- NRC CONTRACTORS, INCLUDING REPORTS PREPARED -
- Part !!
UNDER OR PURSU ANT TO INTER AGENCY ' AGREEMENTS :
.p-E'XHIBIT 4
- SAMPLE TITLE PAGE ~FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 4
i o
NRC Report No.
Contractor s' Report No.
g,
- Vol., Part, Rev., etc.
SAND 814151 Distribution R4 Category 4
LOCA-Simulation Thermal-Shock we Test of Sliding-Link Terminal Blocks J
Subtitle independent Venhcation Testing Program independent Verihcation Test 1 l-f.
Report Dates vpum;qg iw
- Author (s), Editor (s) e i
Contractor's sm N'e='**
l I
. Name and Address NRC Sponsorship
[',y,q'dj,*(,, g,,
[
Office of Inspection and Enforcement U S. Nucleae Regulatory Commission -
l Washington O C. 20606 NRC FIN No.
NRC FIN 83101 1
L i
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1 Approved :
August 29.-1984 16 7,
h - ;. -
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4 s
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s PUBLICATION OF TECHNICAL REPORTS PREPARED.BY' NRC CONTRACTORS,; INCLUDING REPORTS PREPARED NRP Appendix -3202 4
UNDER OR PURSUANT-TO INTERAGENCY AGREEMENTS
'Pa-t II
,. [..
S
' EXHIBIT 5 NRC FORM 426A, PUBLICATIONS RELEASE FOR UNCLASSIFIED NRC CONTRACTOR AND CONSULTANT 3EPORTS.
a,,ss.e, oew essa us nuttsaa neou6atoev seemesseon i nasoat %w eia. e
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a
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PUBLICATIONS RELEASE FOR UNCLASSIPIED
.., m...,,o= 6. i e r,oa. =o
~ NRC CONTRACTOR ANO CONSULTANT REPORTS
"'a-
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3 eeesa a=0 swevet6s esesse e som a ene== e, ase.neen.
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August 29, 1984 e
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I H
I' I.
1 n
PUBLICATION OF-TE CHNICAL REPORTS PREPARED BY NRC Appendix 3202 : NRC CONTRACTORS INCLUDING REPORTS PREPARED.
hi t t 11 UNDER OR PURSUAN T TO INTER AGENCY AGREEMENTS i
EXHIBIT 8.
. DISCLAIMER AND AVAILABILITY STATEMENTS (BACK OF COVER)
L-
-)
NOTICC This reset oss preserad as e assount of serf esoneered by a eseney of des unlead tiene Genernment. Ne6ther ten Urweed Semen Generionant nor any acuter teoreof, or any of sluir e8Wlooses mebes any warranty, sopreund er hasted, er comunes any tegel llettily of so.
1 scenestdsey ter any teusd party's use, er IIIe temstes of such use, of any internuelen espeseque.
4 product er presses destesse in teue report, er represones that 6ts use by aseh 10ued party sendd not anfrage priestely cased nptes.
l4 l.
[
NOTICE Avedatiirty of Reference Metereis Cated in NRC Publiestiere Meet documens sited in NRC putinestens w6ll be eveilsbee from one of the follounne eeuress:
1,.The NRC Public Document Room 1717 H Street, N.W.
L.
- Weehmgeon, DC 2tE06
(\\
2.. The NRC/GPO SLies Provem. U.S. Nucleet Repletory Comm:emen. -
Weenangeon.DC 20586 ls
- 3. The National TechrJeol informeten $srvice. Sonagt eld. VA 22101
)'
- Although tne lating that follone represents the moperity of documente cated ln NRC puedicatione.
it is not intended to be eahaustsee.
Referenced desumenu oweinahee for inspecten end copying for a fee from the NRC Pubias Des >
mont Room include NRC correspondence end intemet NRC memorende; NRC Offee of Irepection and Enfossement bulletms, twouters informeten notices. enspecten and muestigsten notises:
Licenese Event Resorts; vender resors and corresponmence. Commsemen geners, and espiacent and
~f i cerese desumens and corresoondense The following desumene in the NUREG enross are evedside for surenese from the NRC/GPO Setes Propom; formel NRC stoff and contractor repora. NRC teorested conference proceedings, and NRC bookies and brochures. Alee evodelde are Repletery Guides. NRC requietiers in the Coaht of
- Feebrer ?r
, and Nuecer Aapudesery Commensen /euenssa i
Documene suedotte from the Noteenet.Technieel Information Senries 6nclude NUREG series.
resers and techneet resorte presored by other federal agensie and regera presered by the Atomic Energy L
_, forerunner egency to the Nue6eer Repletery Conumamen.
Documenes suedotto from public and spesiel technieel librarisa irutude oil osan literature items.
i euch as books, journet end periodissi artistes, and trerusetiene. Feemret Aspesar notsees, federal and sente legaisten, and conpeamenet reports een usuelty be obtained from these libreries.
Desumenes asch as theess, dauertetsons, fotopi remru and treneistions, and non N RC conferense preesodenge are evodeado for purehees from the organisaten egensonne the pubhastion cited, m-Single copies of NRC draft reports are eredette free, to the estent of msooty, upon wertten request to the Dmeien of Techneel Intermeten and Document Control. U S. Nuclear Repletory Com.
i mismen.Washmeten. DC 20E48.
I
- Cooms of irusustry code end stonderes used in a sutenentive menner in the NRC repletery process are meansemos et the NRC Litrary, 7920 Norfolk Avenue. Setheads, Marviend. end are russistie
- there for reference use by the pubhe. Codes and stendere are usually cooynghted end may be purehesed from the ersginetung orgeneasten or, if they are American Notenal Stendere, from the Amorecen Netional StensIstds institute.1430 Broedaey New York, NY 10018.
H o w n.esee m
' A p twow ci - - Aiigtnt 29, 1981 18 et'
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- l. PUBLICATION OF TECHNICAL ~ REPORTS PREPARED BY i NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annendix 3202 V
- UNDER OR PURSU ANT TO INTERAGFNCY AGREEMENTS Tart li 1
I~
t-EXHIBIT 7 u
NRC FORM 335 - BIBLIOGRAPHIC DATA SHEET r
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.......n L,
,r 11-
....a l
19 Approved:
August 29, 1984 l
i.
,J
~
PUBLICATION 'OF TECHNICAL REPORTS PHEPARED BY
. NRC Appendix;3202 NRC CONTRACTORS,: INCLUDING - REPORTS - PREPARED -
- Part 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 8
+
~
,i EXHIBIT 7 (Continued) f BACK OF NRC FORM 335 W.
i b
DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT iNernUCTsoNs i
NAC POmM 338. EleLIOGRAPMfC OATA SMEET.18 SASEO ON GUIOGLINES POA PORMAT AND PRODUCTION OF SCIENTipic
?i AND TECHNICAL REPORTS. ANSI 239.18-1974 AVAILASLE PROM AMERICAN NATIONAL STANDAMOS INSTITUTE.1430 -
SROAOWAY, NEW YOME. NY 10018. EACH SEPARATELY SOUNO REPORT-POR EXAMPLE. E ACM VOLUME IN A MULTIVOLutet -
SET-SMALL MAVE 178 UNIOUE 015LloonArntC OATA SMEET.
L6 1.
REPORT NUMBER. Esen indveducily movad resort snell
- 10. SPONBORING ORGANIZATION. List NMC Oms oa. Office.
j~
I carry a uneowe elonenumeric esegnetion INUMEG) easionert U S. Nweieer Regwistory Commisesoa. Ween agten. OC 20Sgs.
Dy the Division of Tocanecol Informotion and Document
-- Centro!. ADM, in accoreense wita Amorecen feetiones
- 11. e. TYPE OF REPORT. State eref t f. net. orehm.nery. toosses.
[t Sisaderd ANSI 239.23-1974 Tecan.cos mesort Nummer tocan.ces, regwietory, overteny, etc. and. d econcesee, t
ISTmN). Use vocercose ietters. Aree.c numeress, sieenes, and.
.acivesve estes nyoneas only. c? in the followeae esemoses. NURE40100 NUREGICP.0010 NUREG/CR-0100, and NUMEG/5P?0010.
- m. PEmlOOCOVEREO.
For reporte in a series ade Vol., Swee., Revie.on. 2ms '
Aseeacum, waea awesesry. Add contractor croe>ceference ~
- 12. SUPPLEMENT ARY NOTES. Enter insormation aos inciveed identification numeer til enyl getow NUMEQ numeer, e s.,
eisonnere owt veef ul, even es Preoeres in cocoerotion wien.
PN L.X X X X.' SA NO X X.X X X X, sal.X X X X.
Pressated at confereace of -. To go gues.sned.
Docket No
. Whea e reoort is revised. ad.cate w etner one new n
- 2. ' TITLE ANO SUSTITLE. Title snowld enecate c'estly end -
report superesoes or swooiements tne oeeer resort-DF4 fly sne swDioct (covertoel of tne resort. incaveng eny
- swbtitle to Ine mein title When a resort is propered in more -
- 13. ASSTRACT Inclues e Dr.el 1700 words or lesel f actues swm-
'-/
e then oat voiume, receet tne primary title, sed volumg n eriber mary of the most s.ga.ficcat entormat.on coateined on tne w
and enci de swDtitle for the seccihe volume. Use upper end report 18 194 -resort coateins e s. gad.ceat 0.thogreony or w
lower caen letters. But caostelite comogger coes nemes. De
' hieretwee survey or multioso volumes;meatsoa it ner, Anstreet not use acronyms and initialeems ni titles; may tuo odded e is to be orecered Dv evinor or proiect menager l.
cereatnesis. -
- 14. DOCUMENT ANALYSIS la' 1 LEAVE OLANK.
l li
- s. KEY WOMOS/OESCRIPTOR$. Sewet from tae Energy Date Bees Sweeect ineesvr s. OCE/ Tic.700m m.S. tne l
4.
DATE REPORT COMPLETEO. Esen report snell carry a este u
ind44 ting monta God yeer protect / test completed.
orocer evtnorised terms tnet.eentdy tne me.or concept of the resserca and are sufficientiv soecdse end precise to j_
S.
AUTMOnts) Give namels) in conventiones order le e. Joan be weed es indes entries for catsios.ng
+
i l
R. Doe. J. Monert Doel. List author's offihetion if it is differ.
' eat from tne performing orgeneastion.
D. IOENTIFIERS ANO CoEN-ENOGO teres. Use ieenti.
bers for protect names, coes nomes ooviament ces gaetors, l
.'DATE REPORT 188UE0. Eocn resort snell carry a date etc use ocea.enced ineywords) terms written in esecreover
. 8.
(
. mdicatsag mentn ene voor ovehened.
form 1944) for those suoiests for wnwa no descriptor i
i essets in tne enessu es.
r
- 7. - PERPORMING. ORGANIZATION NAME ANO MAILING ADOA888, - Give aeme, street, city state, and ZIP coes.
18.' AVAILASILITY STATEMENT, Oeacte ouhne resesseo hty, p-List no more tnen two levees of en orgenstetionef neererenv.
for enamo8e "unhmited". or hmitetson for reasons otaer
!?
Disotev tne name of the organisation esectiv es follows:
tnen escurity.
l 0.v sion, Office, Orseaination or Government agency, and l-oderees.
- 18. SECUmlTV CLAS$1PICATION. Eater U S Security Ciessih.
[ ;;
catson #M occordence wita U S Seewrity Regusations h e.,
& PROJECTfrASM/WOMM UNIT.NUMSER. Use tne protect.
u ciessified).
n unit n mbers -under waign ene resort was i
test sad wort u
,@o
- preoered tif eay).
- 17. NUMSER OF PAGES. Leeve tient. I Added av NTIS)
{
Ib i
lD 9.
PIN OR QAANT NUMSER. lasert tne PIN or great n mber
- 18. PRICE. Leeve biens. ( Added Dy NT.8) u t
wader anica,e o,t mee o,co,,ed.
l l
}
)
Approved: - August' 29, 1984 20 i
i
}4 e
11
~-
vy r"
i PU'BLICATION OF TECHNICAL REPORTS ' PREPARED BY-7 NRC CONTRACTORS, INCLUDING -REPORTS PREPARED.
~ UNDER OR' PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART III
]
' UNCLASSIFIED TECHNICAL LETTER REPORTC A.
FORMAT
-1.
Applicability
~
The requirements of _this part apply t'o unclassified contractor a.
technical letter reports. (See Part 1. A for definition.)
b.
.The requirements of this part do not. apply to consultants and.
contractors to the NRC boards, panels, :and advisory commit-tees which report directly to the Commission.
9.
Requirements Technical letter reports are prepared,' duplicated and distributed in accordance _ with-the requirements' of the Statement of Work in the.
contract or in the Standard Order for DOE Work. Each such report must be identified with the financial number. (FIN) assigned to the
- project. The number of copies to be prepared and the distribution f(L of those copies will be 'specified by the project manager.
If unclas-
,o sified and' non-sensitive, the NRC project manager is responsible for making such reports available in the NRC~ Public Document Room (PDR) by sending them to the PDR through the NRC Document L
Control System.
B.
PATENT AND SECURITY-REVIEWS
- c
- 1.
Patent Review Patent implications shall be considered prior to approval of reports K
for public release so that disclosure will not adversely affect the patent rights of NRC. If the work being reported is contractually managed through another government agency (e.g., DOE labora-p'
. tories), that government agency should be requested by the con- -
tractor to perform the patent review.
If NRC directly administers the contract or the contractor is unable to obtain a~ patent-clearance from the government agency administer-ing _ the contract, the responsible NRC contracting officer shall be m
consulted, and the' responsible NRC project manager shall' consider L
Og the. patent implications.
If there is a possibility that there is disclosure of developments of an inventive nature, the NRC contracting officer shall request L
assistance from the NRC Patent Counsel, Office of the Executive Legal Director.
21 Approved:
August 29, 1984
.o
-j l
PUBLICATION OF. TECHNICAL REPORTS. PREPARED BY-
- l NRC ~ Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS-PREPARED Part III
- UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS 1
l2.
Security Review:
~i 1
i Ini-most cases, contractor technical letter reports will be unclassi -
fied. Sheuld a report of. sensitive unclassified or classified; work be required,s however, the project manager must work with the.
a
~ Division of.-' Security: to establish the appropriate security procedures
-l and : inform the contractor of such procedures.
The standards: for marking. and-. handling. such reports are given in Part V, of this appendix and NRC Appendix 2101.
-1
- 4 i
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l2 I
p l
l l
I L
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p.
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Approved:
August 29,'1984 22 c
a, t '
g 2 4.
If
y ' l6 s
PUBLICATION-OF TECHNICAL REPORTS PREPARED BY-NRC CONTRACTORS,-' INCLUDING REPORTS PREPARED 1
- UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix '3202 -
b
' PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE NRC OFFICE OF NUCLEAR REGULATORY RESEARCH BY DOE LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS -
(
- A.
DOCUMENTATION f
i E
1.
Applicabilig -
{
a.
The requirements - of this part apply. to NRC staff. who are 9d
' responsible, for = agreements with DOE Laboratories and their contractors who print regulatory and technical reports - re--
. quired by NRC. ~ (See also Chapter NRC-1102).
1 b.
With respect to sensitive unclassified and classified reports the requirements set forth in.Part V of this appendix shall:be
'l used in conjunction' with NRC Appendix 2101, c.-
'The requirements of this part do not fapply to consultants and' contractors to the NRC boards, panels and advisory committees which report directly -to the Commission.
(:.
2.
Front Cover and Title Page j
i a,
. Separate covers (of-different paper than ~that of the text) and
.)
title page are required *
.I b.
. Items such as-those shown in Exhibits 3 and 4 and.. discussed below shall appear 'on the front cover and. title page, as appro-p riate. ** While layouts and typefaces need not be exactly the-
'i same.as in Exhibits 3 and 4, the' items shall appear in approxi-mately-the locations indicated ' and -with the same relative prominence.
7 d
(1) NRC Report Number.
Each report shall be identified by an NRC-controlled -
4 alpha-numeric designation as the prime designation unique to that document. The centralized report control system -
for unique identification is' maintained by the Division of Technical Information and Document Control. ' Numbers may-l S
- The cover - stock of the performing organization may be used; however it l
must include the data elements shown in Exhibit 3.
i es
~.
These requirements meet the specifications of American National Standard ANEI Z39.18-1974, " Guidelines for Format and Production of Scientific and-Technical Reports," and ANSI 239.23-1974, " Technical Report Numbers. "
23 Approved: August 29,'1984 q
n
{
?
8
+
- g q
4 Qf
~
m PUBLICATION OF TECHNICAL REPORTS PREPARED-BY 1
LNRC Appendix 13202-NRC CONTRACTORS, INCLUDING REPORTS PREPARED' Part IV
-UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS' be Lobtained by. calling the Division 'of ' Technical :Informa-tion : and-' Document Control or by submitting a' copy. 'of; NRC Fonn 426A (Exhibit 5) with a request for a number.
The NRC identification number will have the form:
NUREG/CR-XXXX or NUREG/CP-XXXX
- The contractor's report number, ifc any, - will be ' inserted below the NUREG number on the title page and cover, as shown in Exhibits 3 and 4, 'if desired by the contractor.
When a report consists. of more than one volume or bind-ing.or is issued in more than one edition.an appropriate volume, supplement, part, or revision designation shall-appearimmediately below the report. number (s).. NRC-re;. ort; numbers on covers and title pages shall be shown d
entirely on one line to facilitate computer processing.
(2)- Title and Subtitle (a) Use a brief title, which indicates clearly the subject 4
matter covered in the report.
(b) When a report is prepared in more than one volume,
' repeat the primary title on _each volume.
't
,3 (c) If appropriate, show the type of ' report (e.g.,
annual - raport, -final report, etc.) and.the period -
covered as part of the subtitle.
L(3) Personal Author (s)' Name(s) o (a) Authors' names should be given on' the title page and cover unless this is impractical, as in the -case i
of annual reports which have' many contributors. If-authors' contributions are as editors,- compilers, etc., so indicatezon title page and cover following the names. In.~ addition, list affiliation of each author i
only if' affiliated with an ' organization other than.the organization generating the report.
-(b) Authors may be identified on' backstrips (spines) of.
bound volumes.
(4) -Organization identification (a) On. the cover, provide the name of the contractor.
responsible for preparing the report, followed by
" Prepared for the U.S.
Nuclear Regulatory Commission. "
t Approved: August 29, 1984 24 y
- qe.
e 5.-
4 e
n
! PUBLICATION OF TECHNICAL REPORTS PREPARED -BY s
LNRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS
'Part IV A
g 4
4
, 4:
~
-(b) On : the title page, provide' information of the type
' illustrated ~ in Exhibit = 4.
v (5) Basis ~ for Report Dates (s)
(a) The basis for dating may be t hown along with ~ the' date on the title page. Various bases for dating are possible; e.g.,- date report _ completed, date reviews completed, date published, date distributed, etc.
(b) More than one date, with the basis for each, mayl be shown.where this is necessary.
3.
Availability and Price Information All formal reports will be made available for sale by NRC and NTis.
The statement shown in l Exhibit 6_ is required on the inside of. the front cover.
s 4.
Disclaimer-
'The following! notice r. hall be added during the printing step on the insideM front cover (Exhibit 6): "This report ~ was prepared as an-account-of : work sponsored.by : the United States Government.
j.
Neither the United States Government nor any agency thereof, or any of their employees, makes any. warranty, expressed: or implied, o
- or; assumes any legal liability or responsibility for 'any third. party's use, or. the results of tsuch use, of.any information, apparatus, product or process: disclosed, or represents that its use by such third iparty would not infringe privately owned rights." The follow-ing ' additional statement, "The-views expressed in this report are not necessarily. those of the U.S.. Nuclear Regulatory Commission"-
will be printed below the standard disclaimer, if appropriate. Other qualifying - statements may be added, if needed- (see Part_1.C.,
Requirements for Draf t Reports).
.5.
Previous Reports in Series If the report being prepared is one in an ongoing series, list all 4
previous reports in the series. Include report numbers and issuance o
dates. Place this list on the back of the title page.
6.
Abstract An abstract of-200 words or less shall be prepared for each formal:
report Within the report, the abstract shall appear on a separate page between the list of previous documents in the series and the m
contents page.*
j This preferr ed positioning of the abstract in the document need not be fol-
-lowed if the style manual of the originating organization requires a different location,
25 Approved:
August 29, 1984 y
I.
as
m lW 1 -
- PUBLICATION OF TECHNICAL. REPORTS-PREPARED -BY NRC Appendix 3202 NRC CONTRACTORS', INCLUDING. REPORTS PREPARED Part IV UNDER OR PURSUANT TO INTERAGENCY ACREEMENTS y
=i
.7c. References and Bibliographies e
Reports or other documents referenced in text, ~ reference sections,.
bibliographies, and appendixes of. unclassified regulatory ~and technicala reports in the1 NUREG series must be available ' to the.
~
i
. public either, in the public domain (as in a public library, at the.
Government Printing Office, at the National Technical Information a
- Service,- or at other reference ' or sales ' outlets) :or - in the NRC
. Public Document LRoom'.
This means that references should 'not be
~!
made7 to personal communications ~ and interviews, unpublished i
information-and infcf mation with restricted distribution (e.g.,
j t
- 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. :lf credit is due.
to individuals,: they can be' mentioned in the text-or in an acknow-r ledgement section.
Availability may be stated collectively for all
'5,
. entries (see Exhibit-6).
[
Guidelines for ' developing. and presenting - reference : material are provided - ' in NUREG-0650, " Technical Writing Style Guide," pub-lished. in November 1979. (see Appendix A, pp.19-23, for specific r
guidance) and. Supplement I dated February:1982.
8.
Bibliograpic Data Sheet S
NRC Form 335 (Exhibit 7) shall be. prepared and included in the '
camera-ready copy.as the final right-hand page.
- 1
'B.
PATENT AND SECURITY REVIEWS 1.
- Patent Review Patent implications shall be considered prior to approval of.~ reports for public release so that disclosure, will. not adversely affect the patent rights of NRC or the co.ntractor. The DOE Operations Office' o
responsible for the : contractor should perform' the patent review'.
The results of such review. shall be reported by the contractor on y
.NRC Form 426A in -item '11 (Exhibit 5).
3
[
jJ 2.
Security Review
^
In most cases, reports will be unclassified. Should a report of sen-p
?
sitive unclassified - or classified work be required, however, the NRC: project. manager must-work with the Division. ~of Security to l
establish the appropriate ciascification procedures and inform the contractor.
The standards for marking and handling such reports are given in ' Part V of this appendix ; and NRC Appendix 2101.
' Approved: August. 29, 1984 26 I Ih i
v
g?;
- r. f_ g *
- c w.
' L
}
f 4..,
S 1
LPUBLICATION OF TECHNICAL REPORTS PREPARED BE
!NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC: Appendix 13202
.k UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV
-t
' PROCEDURES FOR PRINTING AND DISTRIBUTING
-C.
l.
Printing i
Ci cractor reports may be printed ~only by a JCP-authorized print-in < nlant and then only if prepared fort the NRC ~ Office of-Nuclear Rs
' tory Research. Reports. printed by. the contractor and. one repra tibk master 'shall be submitted to the Division of Technical.
Informatior, and Document Control, with : completed; NRC Form 426A'.
The number of copies specified by the Statement of Work for stand-:
U ard an'd _-incidental' distributica shall be provided. The appropriate.
--7 identifying number (NUREG/CR _) may be 'obtained as discussed in Section.A.2.b.(1).
7 2.
Reprinting Requests. for reprinting of any. report at NRL expense subsequent j
to-the initial printing requires' approval of the Division of Technical information' and Document Control.
The requer t shall include a
+
written justification and the project managers app roval for the-re-
~
printing, along with address labels for the recipien:s.-
u i
3.
Distribution of Reports il?,
All copies of uncla'ssified formal contractor reports will be distrib-
~L uted by the Division of Technical Information and Document' Control in accordance with instructions on NRC Form 426A (Exhibit < 5).
M-NRC Form 426A must be signed by 'a contractor official authorized-by 'the project manager. Such authorization shall be reported in writing to the Division of ~ Technical' information -and Document Con trol.
l 1
if any distribution is to be made other than, or in addition to, the-
. standard distribution established for the report, written justification' E
and the. project manager's approval for printing. additional copies b'
shall-accompany the reproducible' masters when submitted to the a
p Division :of Technical Information and Document Control.. 'Addres s -
L labels for the additional distribution must be supplied ~.
15' The' Division of Technical-Information and Document Control will arrange automatic distribution of these reports -to the NRC Docu-ment Control System, the NRC Public Document Room,- the -National Technical Information Service (NTIS), the - Government Printing Office and the Depository' Library Service.
Distribution of seasitive (unclassified) and classified reports will be
}
made -by the NRC project manager on a case-by-case basis.
'l
\\
.n i
27 Approved:
August 29, 1984 4.
. +,
y
j [.? 7,;
.w
- PUBLICATION OF TECHNICAI) REPORTS PREPARED' BY-
- 7 w/
NRC. CONTRACTORS, INCLUDING: REPORTS PREPARED-UNDER OR PURSUANT -TO ' INTERAGENCY AGREEMENTS NRC Appendix-3202 S
t m
PART V REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION A.
- APPLICABILITY These procedures.and savhibits of this part apply to sensitive unclassi-fled and-classified reports prepared by NRC contractors.
These reports-include those designated:
Official Use Only Limited Official Use Proprietary Information Safeguards Information Confidential Secret Top Secret
~Only sufficient _ information is presented here to aid in the preparation of the properly marked covers, - title pages, back covers, and text pages,
' Details of-the NRC Security Program and specific provisions for deter-mining when to use the-markings exhibited are contained in NRC c
i Appendix ~ 2101.
The reports. covered; are defined as sensitive unclassified or classified.
Sensitive unclassified information refers to information designated Official Use ~ Only, Limited Official Use, and Proprietary :Information.
Sensitive unclassified information also - includes Safeguards Information that must, be protected from unauthorized - disclosure - pursuant to 10 CFR 73,21 and ' Section 147 of the Atomic Energy Act of 1954, as amended. information-withheld from public dissemination under the
~
Freedom of Information Act or Privacy Act, and information not to be exported 'to or disclosed to foreign countries.
. Classified. information as used in this part includes Restricted Data, Formerly Restricted Data or National Security Information that requires protection in one of the ' three - classification categories described in Executive Order 12356: Top Secret, Secret or-Confidential.
The uses of each of the sensitive unclassified. and classified categories and the markings required on reports are discussed and exhibited in the following sections.
All sensitive unclassified and classified reports are to be sent directly to the project manager.
B.
OFFICIAL USE ONLY AND LIMITED OFFICli.L USE INFORMATION.
NRC regulations require an Official Use Only marking.to be placed on a j _
report only when. the originator er other holder believes the marking is 29 Approved:
August 29, 1984 l
L.
a s
PUBLICATION-OF TECHNICAL REPORTS PREPARED BY" l
NRC ' Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED'-
Part V UNDER' OR PURSUANT TO INTERAGENCY AGREEMENTS R
essential to ensure proper handling.
Reports designate'd ' Official Use Only' will contain only unclassified information originated by or furnished to an NRC contractor which is'to be withheld from public disclosure. The report on which' the marking appears must be reviewed at the time a request for release is received to determine its releasability. The Official Use Only marking is notice of the originator's determination of the applica-bility of_ an exemption under the Freedom of Information Act or Privacy
- Act or both at the time of origination.
Official Use Only NRC contractor reports shall be marked as shown in Exhibits _8 through 10.
Limited Official Use information is information originated by the U.S.
. Department of State.
A report originated by an NRC contractor that 4
contains Limited Official Use information shall be marked as shown in Exhibits 11 through 13.
_ Procedures for reproducing, transmitting, protecting, and handling reports containing Official Use Only and Limited Official Use information
.?
and removing such reports from those categories are detailed in :NRC
- Appendix 2101.
h C.
PROPRIETARY INFORMATION n
Proprietary information is a specific type of Official Use Only informa-tion.
Proprietary information includes:
1.
trade secrets, m
2.
privileged or confidential research, development, _ commercial or financial-information exempt from mandatory disclosure under y
10 CFR Part 2, " Rules of Practice for Domestic Licensing Proceed-ings," Sections 2.740 and 2.700 and under 10 CFR Part 9, "Public-Records," Section 9.5, " Exemptions."
3.
information submitted in confidence-to NRC by a foreign source, which has-been determined by NRC to be unclassified.
4 Unclassified NRC contractor reports containing proprietary information shall be marked as shown in Exhibits 14 through '18.
In each instance, the optional wording that describes the material being. presented should
'be selected.
n If a report contains both Official Use Only information and proprietary information, the front cover shall be marked as proprietary information and :may also be marked as Official Use Only information, if necessary.
Pages in -the. report that contain proprietary information may. be marked
. accordingly, including, marginal or other indicators of the specific wording that is proprietary.
Similarily, the pages that contain Official
-Use Only information without proprietary information may be marked Official'Use Only 1
Approved: - August 29, 1984 30 lf L.1
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' PUBLICATION OF TECHNICAL REPORTS PREPARED BY
.NRC~ CONTRACTORS, INCLUDING REPORTS PREPARED.
NRC Appendix 3202 UNDER OR-PURSUANT TO INTERAGENCY AGREEMENTS Part V 7
p Procedures for reproducing, transmitting,. protecting and handling pro-l prietary' information reports t.nd. removing them from the proprietary information category 'are detailed in NRC Appendix 2101. A cover sheet l(Exhibit 119). is to be placed on each hard copy of-a report containing proprietary-information.
- (
D.
-SAFEGUARDS INFORMATION i
Safeguards information '~may be of three types:
(1) classified informa-tion, which is marked and handled as indicated in Section E, (2) un-classified information restricted ' under Section 147.of the. Atomic Energy Act, which is marked;and handled as described in this Section, and (3) a L
unclassified information, which is publicly available and - handled as M
M indicated in Parts l' through IV.
l The safeguards information that is to be protected as described here is unclassu.ed information used in a report which.specifically identifies certain ' licensee's or applicant's detailed:
1.
security, measures for ' the physical protection 'of special nuclear y
p material l
2.
security measures for the physical protection and location of certain
!i plant-equipment vital to the safety of production or utilization
{
~ facilities'.
Unclassified. NRC contractor' reports containing. ' safeguards information that is to be protected shall be marked -as shown in Exhibits 20 through.
22.
L p
Procedures for reproducing, transmitting, protecting, and. handling safe-L
-guards information repo'rts and. removing them from the safeguards
-)
~'
'information category are detailed in NRC Appendix 2101. : A cover sheet (Exhibit 23) is to. be placed on each hard copy of a report containing safeguards information.
l E.
CLASSIFIED INFORMATION
. Classified 'information is limited to Restricted Data, Formerly Restricted Data and National Security Information.
The procedures for making j
classification determinations and for marking, reproducing, transmitting, j
protecting, and handling reports containing. classified ~ information and removing such reports from. classified categories are detailed in NRC -
i Appendix 2101. These procedures are too complex for summarizing here.
Classification determinations regarding NRC. information may be made solely -by authorized classifiers designated by NRC.or DOE.. Authorized -
classifiers - are responsible for insuring that reports they determine to
. be classified -are marked and protected in accordance with the provisions of NRC Appendix 2101.
p4
.i q'1 31 Approved: August 29, 1984 J
'4 -
t,5
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I PUBLICATION OF TECHNICAL REPORTS PREPARED BY-
+
6 NRC' Appendix-3202 ' NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part'V
'UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS e
u It ; is.= important to note. that information may not be classified in order to' prevent' or' delay the release of information that doas not : require protection in the interest of. national ~ security.
Basic scientific research y'
, information~ not' clearly. related. to national ~ security may not be classified.
s i
i m
i
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OPPICIAL USE ONLY
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. UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS P1F - Y EXHIBIT 10 SAMPLE BACK COVER FOR A CONTRACTOR REPORT. ONMINING OFFICIAL USE ONLY INFORMATION oFriclAL USE ONLY
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= Part V UNDFR OR PURSUANT TO INTERAGENCY AGREEMENTS 4'
EXHIBIT 11 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION unitso opriciAL usa NUREGICR XXXX (S)
Title Subtitle and Type of Report g;.g usw.,
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- Approved:
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.i EXHlBIT 12 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING i
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August 29, 1984 i
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~ NRC Appendix 3202 NRC CONTRACTORS. INCLL71NG REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 13 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION 9
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Approved: - August 29..~1984 38 4
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-. L EXHIBIT 14 SAMPLE COVER FOR A' CONTRACTOR REPORT CONTAINING i
PROPRIETARY INFORMATION OBTAIN8D PROM A U.S. ORGANIZATION 6
PROPMitTARY INFORiilATION NUMEGICR XXXX (P)
Title Subtitle and Type of Report Aothertsi. Editor (s)
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EXHIBIT 15 SAMPLE COVER PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE PROPRitTARY INFORMATION i
NUREGICR XXXX IP) l Title 1
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EXHIBIT 16 BAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION PROPRIETARY INFORMATION NUREGICt. XXXX (P)
Title Subime and Type of Report n.N.'s mene.
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Tnle Sutmee and Type of Report Ie7
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Far' V l-i EXHIBIT 18 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION PHOPRIETARY INPORMATION 1
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August 29, 1984 1;
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l PUBLICATION OF TECHNICAL REPORTS PREPARED BY l
NRC Appendix 3202. NRC CONTRACTORS. INCLUDING REPORTS PREPARED
. Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS o
I ;-
l' EXHIBIT 19 COVER SHEET FOR REPORT CONTAINING PROPRIETARY INFORMATION
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NOTICE 1
TMt ATTACMED DOCUMENT CONTAmes *PROPaitTany iNsOn.
MATION" AND SHOULD Bt MANOLEO AS NRC "OfflCIALUSE ONLY" INFORMATION. IT SMOULD NOT Of DISCUS $10 04 MADE AvalLASLt TO ANY PERSON NOT htOUIRING $UCM INFORMA-ftON aN TMt CONOUCT OF 08FICIAL SUSINESS ANO SMOULD St STOntD, TRANapinnt0. AND DiSPOSEO Op av EACM miciPitNT IN A MANNER WHICH WILL ASSURE THAT ITS CONTENTS Amt NOT MADE AVAILASLt TO UNAUTHORIZED PERSONS.
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EXHlBIT 20 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING
.v UNCLASSIFIED BAFEGUARDS INFORMATION 1.
SAPROUARDS INFORMATION NUREGICR-XXXX (SG)
Title Subtitle and Type of Report 4
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EXHIBIT 21 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEOUARDS INFORMATION j
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,UNDER OR PURSUANT TO INTEMAGENCY AGREEMENTS Part V a
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-I EXHIBIT 21 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEOUAROS INFORMATION
'i NUREGICR-XXXX (SG) r Title Subtrtie and Type of Report
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EXHIBIT 22 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION
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SAPEGUARDS INFORMATION
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SAFEGUARDS INFORMATION 47 Approved: August 29, 1984
- - 2
PUBLICATION OF TECHNICAL RFPCRTS PREPARED 'BY NRC Appendix 3208-NRC CONTRACTORS, INCLUtnNG REPORTS PREPARED i
Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHISIT 23 COL A SHEET FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION T
Y t
T3 SAFEGUARDS INFORMATION ag u
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w THIS DOCUMENT CONTAINS INFORMATION WHICH MUST BE PROTECTED FROM UNAUTHORIZED DISCLOSURE.10 CFR 73.21 AND SECTION 147, ATOMIC ENERGY j.'
l ACT OF 1954 APPLY. VIOLATIONS ARE SUBJECT TO CIVIL OR CRIMINAL PENALTIES.
THIS DOCUMENT IS NOT TO BE LEFT UNATTENDED OR ACCESSIBLE TO UNAUTHORIZED: -
PERSONS. WHEN NOT IN USE, IT MUST BE STORED IN A LOCKED SECURITY STORAGE - 6
.r.
CONTAINER.
IT IS YOUR RESPONSIBILITY TO PROTECT THE INFORMATION CONTAINED IN THIS OOCUMENT FROM COMPROMISE, THEFT OR UNAUTHORIZED OISCLOSURE.
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August 29, 1984 48
' PUBLICATION OF TECHNICAL REPORTS PREPARED BY
. NRC CONTRACTORS, INCLUDING REPORTS PREPARED
-UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 i-PART VI HANDLING OF UNCLASSIFIED INfORMATION ON NRC COOPERATIVE PROGRAMS-WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH U.S. INDUSTRY The Nuclear Regulatory Commission has requested - that its Program Offices establish, to the exter,t feasible, cooperative nuclear safety research programs-that' involve either or both U.S. industry and foreign governments and orga-nizations.
Such involvement includes monetary contributions., information exchange, and comments on program plans and results. This is authorized in 1
42 U.S.C. 5801.
To this end, international and U.S. industry agreements have been signed that ' provide for transmitting unclassified information from NRC to participants.
These procedures apply only to NRC-managed work not programatically funded by. DOE.
The' interests of all' NRC' cooperative nuclear safety research-program partici-pants are served best by early, rapid dissemination for comment of informa-L
. tion on these programs. developed for NRC by NRC contractors. This can be l
accomplished by distribution of " Draft Preliminary Reports (or Codes)" for comment for a specified period of time, followed 'by issue as formal NUREG/CR L
reports, with the concurrence of the participants.
Specific procedures for L
accomplishing these goals and for transmitting information prepared by the.
l NRC and DOE facilities and contractors and their subcontractors w ' king on these programs are presented in the following sections.
The procecures de-tailed here have. been agreed to by DOE and have been provided to the -
responsible. DOE Operations Officers and NRC Program and Project Managers as guidance.
A.
PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT The first issuance of-information by a contractor shall be designated g
" Draft Preliminary Report (or Code)," 'and shall include the cover sheet D,
1 1
L shown in Exhibit 24.
1 The following notice is to be printed on the bottom of the cover sheet (Exhibit 24):
ilOTICE THIS DRAFT PRELIMIN ARY REPORT IS ISS'1ED ONLY TO l
PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of Commission l
action,
it has not have received patent review and may con-tain information received in confidence.
Therefore, the con-i tents of this report should neither be disclosed to others nor q.
reproduced, wholly or partially, unless written permission to do so-has been obtained from the appropriate USNRC office.
The recipient is requested to take the necessary action to
(
ensure the protection of this report.
j 49 Approved: August-29, 1984
PUBI.! CATION OF TECHNICAL REPORTS PREPARED BY
.NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER O_R PURSUANT TO INTERAGENCY AGREEMENTS l
This notice has been agreed to by the legal staffs of both NRC and DOE and is not to be added to or changed.
Any problem in this regard shan be brought to the attention of the NRC project manager, who will consult i
with the NRC le 'al staff.
The " Draft Preliminary Report (or Code)" shall be submitted by first class or express mail by the contractor to the NRC project manager, with the letter shown in Exhibit 25, in the number of copies specified by
)
the project manager (in most instances this will be fewer than 20 copies).
The contractor (DOE facility, contractor or subcontractor or other con-
.J tractor) may retain copies only for internal use.
DOE facilities and contractors and their subcontractors shall not distribute copies of this draft report to DOE /TIDC. Draft reports may be distributed to interested DOE program offices.
Subsequent issues of. the information shall also be designated " Draft Preliminary Report ' (or Code)" until the NRC project manager authorizes preparation of a NUREG/CR report.
" Draft Preliminary Reports (or Codes)" shall not be identified - as NUREG/CR reports or carry any contractor report number or NRC dis-tribution codes.
.B.
DISTRIBUTION BY NRC PROJECT MANAGERS i
The NRC project manager will distribute the copies received only to (1) the participants in the program, (2) the NRC staff with a need-to-know, and- (3) others authorized by the program or project manager.
Trans-mittal to participants shall be by first class or express mail, including air mail to foreign participants.
If premium cost mail services are to be used, a Division Director or comparable or higher authority must certify to the need on NRC Form 420, " Request for Premium Cost Mail Service. " Premium cost mail is:
1.
Express Mail, Priority Mail (First Class weighing more than 12 ounces) 2, international Express Mail ( Air Mail weighing more - than 10 ounces)
(See Chapter NRC-0255-058 and NRC Appendix 0255, Part V, Annex A)
C.
COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT A minimum of six months.will be allowed for comments and resolution of At the end of the comment period, the NRC project manager comments.
shau, with the concurrence of tire participants, authorize the contractor to issue the information as a NUREG/CR report in accordance with the L
provisions of this Chapter.
D.
REPORT IDENTIFIERS Preliminary Reports (or Codes)" will be uniquely identified The " Draft I
only by the Financial Identification Number (FIN) assigned by NRC and Approved:
August 29, 1984 50 a
N
c.
ii PUBLICATION OF TECHNICAL REPORTS PREPARED BY i
(
. NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202
~ UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI
,3
,i the approl riate periodic - notation, if any, included in the title (Ex-I hibit 24).
They shall not be given standard report nomenclature until the NRC p aject manager authorizes publication as a NUREG/CR report.
At. that time, the. contractor may add its own designation below the NUREG/CR nusaber, as shown in, Exhibits 3 and 4.
T E.
MAILING TO PEOGRAM PARTICIPANTS The physical transmission of reports from NRC to program participants shall be handled by the Document Management Branch (DMB), Division of i
Technical Information and Document Control (TIDC), based on address
~
labels of participants > supplied by the project manager.
The transmittal a
sheet shown in Exhibit 26 shall be used to transmit the documents and the labels to DMB.
F.
SECURITY If information included. in the report or code has been determined to be sensitive unclassified or classified information (see statement of work) the procedures of Part V also apply.
The report (or code) may ng be
.I classified solely for the purpose of limiting distribution to the partici-1 pants.
.)
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FOR COMMENT DRAFT PRELIMINARY REPORT (CODE) FOR COMMENT FIN NO.
i t
Title of Program i
Subtitle for This Report, Including
[
Ar: copriate Periodic Notation, If Any (e.g., First Quarter, Issue No. 1)
.s
)
h Prepared by (Name of DOE Facility, Contractor and/or l
Subcontractors, if any) for U.S. Nuclear Regulatory Commission i
NOTICE THIS ORAFT PRELIMINARY REPORT IS ISSUED ONLY T0 PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of Commission action.
It has not received patent. review and may contain information received in confidence.
Therefore, the contents of this report shotild neither be disclosed to others nor reproduced, wholly or.pertially, unless written permission to do so has been obtained from the appropriate USNRC office.
The recipient is requested to take.the necessary action to ensure the protection of this report.
Approved:
August 29, 1984 52
14 j
1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS INCLUFNG REPORTS PREPARED NRC Appendix 3202
)
UNDER OR PURSUANT TO I' Ti:RAGENCY AGREEMENTS Part VI
.l.
EXHIBIT 25 i
TRANSMITTAL LETTER FROM CONTRACTOR TO NRC PROJECT MANAGER FOR DRAFT PRELIMINARY REPORT i
i
~
\\
)
TO:
NRC Project Manager
SUBJECT:
ORAFT PRELIMINARY REPORT (CODE) ON (PROGRAM TITLE) FOR COMENT l
The enclosed "Draf t Preliminary Report (Code)" is being submitted for comment.
It is our understanding that the comment period shall extend six months from the date of mailing of the draft to the participants.
Upon resolution of the comments af ter that period and with concurrence of the cooperative program
]
participants,.the NRC Program Manager will authorize publication of this
(
report in the NUREG/CR series under the provisions J NRC Manual Chapter 1102
- or 3202.
l i
DOE Facility or Contractor Representative 1
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53 Approved:
August 29, 1984 q
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4 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI EXHIBIT. 26 TRANSMITTAL SHEET FOR REQUESTING MAILING TO COOPERATIVE PROGRAM 4
PARTICIPANTS Recipients: Addresses on attached labels i
Method of Mailing:
C/ First Class Postal Service to U. S. addresses C/ Express mail to U. S. addresses
- C/ Air mail to foreign addresses *
'C/ Surface mail to foreign addresses (may require up to three (3) months)
THIS MAILING' CONTAINS NO PROPRIETARY INFORMATION OR OTHER SENSITIVE UNCLASSIFIED INFORMATION Special Instructions:
. Individual Requesting Mailing:
Project Manager or High Authority
Enclosures:
~ 1.
Address labels 2.
Documents to be mailed
- *If premium cost mail services are to be used,. a Division Director or compar-able or. higher authority.must certify to the need on NRC Form 420 " Request for Premium Cost Mail Service," Premium o it mail is:
.l.
Express Mail, Pririty Mail (First Class weighing ~ more than 12 ounces) 2.
International Express Mail ( Air' Mail weighing more. than 10 ounces)
(See Chapter NRC 0255-058 and NRC Appendix 0255, Part V, Annex A) l 54 Approved:
August 29, 1984 a
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- s
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Form NRC-A49 (176) -
U. S. NUCLEAR REGULATORY COMMIS$lON NRC MANUAL TRANSMITTAL NOTICE CHAPTER NRC-3206 NRC C(BITRACTOR UNCLASSIFIED PAPERS, JOURNAL ARTICLES
^
AND PRESS OR OTER NEDIA RELEASES ON REGULATORY AND TECEICAL SUBJECTS SUPERSEDED:
TRANSMITTED:
Number Date Number Date 3200-17 9/30/82 TN m 3206 Chapter Chapter page Page
-047 Appendix '
Appendix REMARKS:
Please make the following pan-and-ink change to Chapter 3206-0411, (Public Availability),.on the fif th line :
Between the words "the" and " journal" insert Division of Technical Inferination and Document Control for processing at the time it is submitted to the...."
'.., gp -
Form NRC 449 076)
U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL TRANSMITTAL NOTICE
+
CHAPTER NRC-3206 NRC CONTRACTOR UNCLASSIFIED PAPERS, JOURNAL ARTICLES AND PRESS OR OTHER MEDIA RELEASES ON REGULATORY AND TECHNICAL $UBMCTS i
SUPERSEDED:
TRANSMITTED:
a r.
Number Date Number Date TN 3200-16 Chapter NRC-3206 4/30/79 Chapter NRC-3206 7/7/82 Pay Pay p.
.NRC-3206 4/30/79 NRC-3206 7/7/82 Appendix Appendix REMARKS:
l-This chapter and appendix are revised to' include:
.l.
provision for payment of travel costs associated with presentation 4
of papers.
2.
a responsibility statement for the Office of Public Affairs.
l 3.
conditions for review and approval or disapproval of open literature publications or presentation of papers in place of or in addition to required technical reports. These conditions make it possible for a project manager to disapprove or delay presentation er publication of papers on information subject to Comission approval which has not been ruled uper. or has been disapproved.
4 4.
policy.and procedures to assure prior coordination with the project manager of any proposed press or other media releases reaardina NRC l
work.
b 5.
Part I of previous Appendix 3206 has.been renumbered Part II.
New E
Part I covers guidelines for determining whether reporting by means j
of papers and journal articles will be authorized and
. g; whether press or other media releases will be approved.
i l
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U.S. NUCLEAR REGULATORY COMMISSION NRC MANUAL Volume:
3000 Information and Foreign Activities ADM 3200 Technical Information and Document Control Part :
CHAPTER 3206 NRC CONTRA TOR UNCLASSIFIED PAPERS, JOURNAL ARTICLES AND PRESS OR OTHER MEDIA RELEASES ON REGULATORY AND q
TECHNICAL SUBJECTS l
3206 COVERAGE This chapter covers the NRC responsibilities and procedures for (a) authoriza-tion of contractor reporting by, means of papers, journal articles and press or other media releases; (b) payment of page charges for publication of summaries -
f
,or abstracts of papers in transactions or proceedings or for publication o complete papers in journals' or proceedings;-(c) payment of travel costs asso-j cisted wich presentation of papers; and (d) disclosure requirements.
l This chapter does; not cover spe.eches and papers by NRC staff, members of s
and Advisory Committees, and the Cnemissioners.
NRC Boards,. Panels, cover speeches and papers by contractor-personnel Further, it does not h
hich appll-f
' presented,at formal or informal NRC meetings (including t ose to w cants, vendors or other contractors may be invited), or meetings of informal work groups with. or without participation of other non-NRC personnel.
/
'l
. For the purposes of this chapter, the term contractor includes organizations perfonning work for NRC under contract or under or pursuant.to interagency pl 1
ngreements.
3206-02 OBJECTIVES To encourage presentation of information on NRC-sponsored research l
021 and technical programs in papers at meetings of professional societies, anJ by',
l publication of articles in professional journals.
~
To provide uniform procedures for authorizing and reviewing papers
- s 022:
and journal articles prep.' red by NRC contractors.
023. To provide procedures for paying page charges.
024' To establish recording and disclosure requirements and responsibil-ities for public availability.
025 To provide assurance that national security, patent rights, and commercial proprietary rights are not compromised by presentation or pubuca-I tion of papers and journal articles.
To provide for coordination cf press or other media releases.
026 s
k Approved: July 7,1982
[
lu
\\
NRC CONTRACTOR UNCLASSIFIED PAPERS, JOURNAL ARTICLES AND PRESS OR OTHER MEDIA RELEASES NRC-3206-03 '-
ON REGULATORY AND TECHNICAL SUBJECTS 3206-03 RESPONSIBILITIES AND AUTHORITIES.
031 The Director. Office of Administration, develops and maintains, in consultation with Directors of Offices, NRC policies, standards, proce+1res, and guides for the publication and disclosure of NRC contractor papers and journal articles.
032 The Director. Division of Technical Information and Document Control:
i a.
establishes procedures for recording reviews and approvals and for publication and discloture of NRC contractor papers and journal articles.
b.
maintains records of papers and journal articles, and announces their public availability, c.
assists NRC contracting officers rnd project managers, as requested, in advising contractors regarding the preparation of papers (includ-ing hand-outs), journal articles, and press or other media releases, j
and in meeting the requirements of conference, symposium, and meet-l ing. sponsors, as wcll as the NRC requirements for recording and disclosure.
i l
L 033 ' Directors of Offices and Regional Administrators:
a.
establish procedures for determining whether reporting by means of papers, journal articles and press.or other media releases will be authorized (see appendix for Guidelines),
b b,
designate contractor officials who, if any, are authorized to sign '
I L
NRC Form 426A to certify that the papers or journal articles are p
authorized by NRC and that the appropriate peer review-for tech-l; nical content has been made, o
l c.
designate contractor officials to review content-of papers and journal L
articles for material that might compromise commercial. proprietary rights.
n 034 ' The Executive Legal Director provides legal review and advice on questions regarding inventions, patents and copyright considerations, unless L'
the work being reported is contractually managed through another Government agency '(e.g., DOE laboratories). (See Chapter NRC-1102, Exhibit 4, Sec.12.)
n.
035 The Director, Division of Contracts, establishes in consultation with project manager the terms and conditions of contracts as they pertain to papers, journal articles, and press or other media releases.
036 The Director, Division of Security, provides classification review of papers and journal art:cles, as required, to assure protection of classified information. It is the responsibility of the author.and the contractor to protect classified information.
l j'
Approved: July 7',1982
j T
NRC CONTRACTOR UNCLASSIFIED PAPERS, JOURNAL ARTICLES AND PRESS OR OTHER MEDI A RELEASES ON REGULATORY AND TECHNICAL SUBJECTS NRC-3206-037 037 The Director. Office of Public Affairs.
upon request of project manager, reviews prop esed contractor's press or other media releases for appropriateness.
3206-04 DEFINITIONS (for purposes of this chapter)*
4 041 Conference. Any formal national or mternational public meeting of interest to NRC convened for the interchange of views and informanon on the programmatic (including reactor safety technology), management, and admm-istrative aspects of the regulntory process and related confirmatory researen.
Such m e, tin _gs are typically characterized by formal agendas and the issuance y
of invitauons. The publication and distribution of transaction.s or proceedings may be involved. Press conferences, formal or informt.1 NRC staff meeungs o
o (including those to which applicants, vendors, constructors, or other con-tractors may be invited), and mec.mgs of informal working groups and stand-ards committees, with or wit'. aut participation of other non-NRC personnel, are not included m this definition.
Conference s,ponsor. A body which assumes rest onsibility for organiz-7,42 ing a conference. It may be a U.S. national, puMe,. or private organization,
or a foreign national or international group.
043 Disclosure reauirements.
Pre-and post-confe ence, symposium,
meeting requirements for availability of speeches and pal irs to conference participants (see handouts) and to the public (see public av,ilability).
044 Hand-outs. Copies of the paper on which a speech is based tha ar e made available to the auclience at the time the speech is made.
045 Journals. Publicatichs of technical and professional societies that accept complete papers (articles) for publication. Most journals require review and editorial board and acceptance by their own reviewers (peers, referees) prior to publication. They may also assess page charges. Many will not accapt papers previously published in any type of formal document tht.t is pubhcly
=
avraable. Special provisions for this type of publication by government eraployees and their contractors were established in a Federal Register notice, fied November 18, 1974 (Federal Register,
Vol. 39, No. 224, Tues day,
19, -1974). This notice of policy of the Federal Council for Science
.aovember and Technology on page charges establishes the following criterin for use by Government agencies m honormg page-charge bills (invoices) submitted by journal publishers: "(1) The research papers rcrt work supported by the Government. (2) Mandatory or voluntary page-charge policies, are acceptable, orovided that the page-charge policy of the publicatun is adminirtered impart-ially for Government sponsored research reports. (3) The jourrials involved are not operated for profit. " Before submission of papers for public. ion, authors should inquire about page charges.
046 Meetings. In this context, meetings are synonymous with conferences and symposiums.
~
- Words unders.Treid in definitions are defined in this alphabetical hst of definitions.
Appnved: July 7,1982
gw s
=
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yfye l'i NRC' CONTRACTOR UNCLASSIFIED PAPERS, JOURNAL.
ARTICLES 'AND PRESS OR OTHER MEDIA RELEASES q
ON REGULATORY AND TECHNICAL SUBJECTS -
. ' 047: NRC Project Manager.
The :NRC individual responsible for the performance of a consaltant or contractor and his subcontractor or work per-formed under or pursuant to an interagency agreement.-
048 Page Charges.
The charges typically ~ assessed by. professional
- societies and,)ournals for publication-of abstracts summaries, or complete papers in transactions, areceedings, and journals. Payment of the p_ag_e chargestusuaDy assures c ehvery of 50- or more free copies of the published paper to the author.
049 Papers. The formal, written transcript of a speech or a formal, written report suitable for. publication in transactions, proceedings, and
+ iournals following peer review and acceptance by the conference sponsors or a journal.
0410 Troceedings. Publicatkns prepared by or for conference, symposium, or meeting sponsors, to record the information presented at the -conference.
Submission of ~ a complete paper for such publication may be mandatory or voluntary and the papers may be required to be in camera-ready copy, may be composed from draft copy, or may be edited and composed, depending on the requirements' of the conference sponsor 'and the publisher. Such publications may require neer review and modifications for acceptance and the payment of Laa chargo 'aformation on all these aspects of publication should be avail-
_ab e to the contributor in advance of the conference.
0411 Public availability. Unclassif'ied papers and journal articles (papers)
~
must be made pub 1k/ available. Because of the long time that may occur between the time a journal article or a paper for a conference proceeding that
~
is to be ' copyrighted and published commercially is accepted and printed, the final draft or preprint must be submitted to thc9eurnal or commercial publisher.
When the journal article ~ or conference' proceedings document is published, the -
draft must ba replaced with a copy of the article or paper by sending two
~
author's copies.-. properly identified, to the Division of Technical Information and Document Control. (See appendix.)
+
0412 Speeches. The verbal presentation of.a paper. The paper m2y or may not be pubhshed in the open' literature, but if presented in lieu of a formal report two copies must be submitted with a completed NRC Form 426 to the NRC Division of Technical Information and. Document Control for record-ing, announcing,.and transmitting to the NRC-PDR.
conferences and meetings.
~'vmposiums are synonymous with 0413 Symposiums. In this context, 0414 Transactions. Publications prepared by or for conference, symposium or meeting sponsors to record abstracts or summaries of papers to be presented at conferences. For such publications, abstracts and r tmmaries submitted in advanc.e of.the confereng r,mposium or meeting are subjected to peer review and program review tor acceptance for presentation at the conference,.
symposium, or meeting. Transactions are normally available to participants before or at the meeting, but they may be distributed after the meeting.
.Usually, conferences for which transactions are prepared are not recorded in a
Approved: July 7,1982
NRC CONTRACTOR UNCLASSIFIED PAPERS, JOURNAL ARTICLES AND PRESS OR OTHER MEDIA RELEASES NRC-3206-05 ON REGULATORY AND TECHNICAL SUBJECTS l te paper, he must proceedings. If the author desires publication of his comp e submit it to a journal for consideration.
BASIC REQUIREMENTS 3206-05 Applicability. The provisions of this chapter and its appendix f NRC Boards, to all contractors of NRC, with the exception ot' contractors o 051 Panels, Advisory Committees and the Commissioners.
l ing Appendix 3206. Procedures for preparation, recording, and disc os sented in pap -rs for conferences, symposiums, meetings, and journals are pre 052 the appendix to this chapter.
REFERENCES 3206-06 Chapter NRC-3205. NRC Staff Speeches, Papers, and Jou 061 on Regulatory and Technical Subjects.
Chapter NRC-3207, Conferences and Conference Proceedings.
062 Chapter NRC-3202, Publication of Unclassified Regulatory a d Under nical Reports Prepared by NRC Contractors, including Reports Prepare 063 or Pursuant to Interagency Agreements.
064 Chapter NRC-1102, Procedure for Placement of Work with
- 1974, Tuesday, November 19, 065 Federal Reetist ar, Vol. 39, No. 224,
" Federal Council for Science and Technology, Notice of Policy on P 066 Title li, United States
- Code, entitled
" Copyrights" (Public Law 94-553),
Approve
hRC CONTRACTOR UNCLASSIFIED PAPERS, JOURNAL APTICLES AND PRESS OR OTHER MEDIA RELEASESNRC Append _ix 3,,,206 ON REGULATORY AND TECHNICAL SUBJECTS PARTI GUIDELINES FOR ' 'TERMININ G WHETHER REPORTING BY MEANS O PAPERS AND JOURNAL ARTICLES WILL BE AUTHORIZED AND WHETHER PRESS OR OTHER MEDIA RELEASES WILL BE APPROVED As set forth in t'he Objectives (3206-Authorization in Statement of Work.
A.
the reporting of technical and regulatory work being performed for 02),
If such of papers and journal articles is encouraged.
NRC by means reporting is to be authorized in lieu of submitting formal reports, state the following in the contract or statement of work:
The contractor's investigator (s) may publish the results of this p
instead of submittang a final report open literature
[
work in the papers at public or association meetings at interim and/or present stages of the work.
~
If the NRC proj manager wants to review the paper or journal article prio' w prese, 2 or submission for publication, state this in the statement of wo., as follows:
The contracter's investigator (s) may publish the results of this literature instead of submitting a final reprt work in the open papers at public or association meetings at interim and/or present stages of the work, if the article or paper has been reviewed by
=
the NRC project manager in draft form and agreement has been g
reached on the content.
is not reached, NRC may also ask that the paper L
If agreement in addition to the standard statement " Work supported by g_
- include, the U.S. Nuclear Regulatt ry Commission," any caveats deemed neces-sary to cover the NRC objections. If the NRC objections cannot be E
{
covered in this manner, NRC can refuse to authorae publication in the open literature and/or presentation of papers.
In the latter case NRC will inform the contractor of this decision in the m
same manner as for reports (see Chapter NRC-3202). The contractor is zh then free to publish without NRC identification of the information. This affect payment of the contract work costs. Project nanager or will not higher level decisions may be appealed to the NRC Executive Director for OI.erations.
If *.ne contractor proposes to publish in the open literature or present the tf rmation at meetings in addition tc submitting the required tech-morts, approval of the proposed article or presentation should be nical obtaine_ from the NRC prdect manager. The NRC project manager shall either approve the material as submitted, approve it subject co NRC-suggested revisions, or disapprove it. In any event, a projec'. manager may disapprove or delay presentation or publication of papers on infor-mation that is subject to Commissioner approval that has no. been ruled upon or which has been disapproved.
1 Approved: July 7,1982 h
F
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A 41 i
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NRC. CONTRACTOR UNCLASSIFIED PAPERS, JOURNAL
- NRCf Appendix,3206)
ARTICLES AND PRESS OR OTHER MEDIA RELEASES o
e~
A
.Part I ON ' REGULATORY AND TECHNICAL SUBJECTS 1
, Presentations or-publication = in - the 'open literature of papers' or. data-based:on reports already approved by NRC as formal final reports do not require 'NRC ' approval, c r B.
Page Charges'. If page charges are involved, they may be paid from th'e;
?!
contract funds if; authorized by the program manager. (See Definitions,-
045' Journals, for Federal Policy on page charges.)-
1 I
i '+
C.
Travel Costs. If presentation of a paper at a' public assoqiation meeting has been authorized in the statement of work, the NRC project manager 1
may ^ authorize payment of the travel costs involved. from the contract 1
funds. If,.however, the. NRC manager determines that presentation of H
the paper does not support the NRC program or project, even though '
4 the presentation may be authorized, the contractor will not be authorized
),
to charge the. cost of the presentation to theocontract funds. This will not _ affect payment of the contract work costs.
,If the' presentation ~ or paper is in addition to the required technical reports andi the 'NRC, project manager determines that. it will benefit j
the NRC project, the project manager may authorize payment of. travel and; the publishing. costs,-if any, from the contract funds. If the' project -
J l
manager determines that the article or presentation would not beneft e
>l j
NRC project,;' the; project manager can specifyEthat costs associateu
.th the presentation or publication will be borne by the contractor.
a m
D.
Patent, Classification and Commercial Proprietary Interest.
Publications
- I and. presentations made publicly - available may not include information L
that; would - compromise the national. security, patent rights, ' copyrights
-l and commercial proprietary interests of NRC. The project manLger may request the assistance of-the Office of-the Executive Legal Director and the Division' of Security as needed in ' making decisions. (See also Patent and. Security Review provisions in Chapter NRC-3202).
E.
Contractor Request for Review. The contractor may request NRC review sof papers : ana. journal articles on technical and regulatory issues for.
possible policy implications prior to completion of. NRC Form 426A. Con--
1 tractors - will-not' be authsrized to present. themselves as speaking for the
?
Commission on NRC' policy issues in papers and journal articles. Con-s tractor, comments.on NRC policy issues must be accompanied by a suitable-
' disclaimer, such as:.
The. views expressed in this paper (or journal article) are not necessarily those of the U.S. Nuclear Regulatory Commission.
1 F.
Disposition of Papers or Journal Articles Not Accepted by Professional Societies or Joumals. If the proposed paper or journal article is not-accepted by.the; journal or other publisher and was prepared in lieu of
)
a' formal report, the author must publish his findings as an NRC con-tractor publication. The provisions of Chapter NRC-3202 and its Appen-dix or Chapter NRC-1102, Exhibit 4. Section 12, are applicable.
- Approved: July 7,1982 2
-[
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- !?
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~
LNRC CONTRACTORENCLASSIFIED PAPERS!; JOURNAL M F m*,
> ( ARTICLES AND PRESS OR OTHER MEDI A' RELEASES
.NRC Appendix 3206 t
- ON REGULATOMY AND' TECHNICAL = SUBJECTS Part I
^
~
j, Gj Disclo.,ure Requirem'ents.
All papers ' authorized-for/ yresentation ; as speeches and-for submission for publication in transactions 1 proceedings -
s orf journals must be transmitted in duplicate with completed NPC Form 426A to the NRC ' Division of-Technical Information and Document Control;for 1 recording, announcement of availability, and transmittal to the t!RC Public m
Document Room (PDR) Final draftsf or preprints of journal articles and papers for; commercial: publication must also: be submitted in duplicate a
w along with completed NRC Form 426A to the 1NRC Division of: Technical
'Information "and > Document-Control for processing for accession by! the PDR at-the time they are submitted to :the journal.. The draft or preprint 3
must be marked to show where it is to be. published and state that it is s
not - to-be cited or referenced (see appendix). When the article 7(paper) m is. published, = the draft must be - replaced with copies 'of the published article'. (paper) by sending two co* s, properly identified, to the-NRC meument Control and =one copy to Division of Technical Informatio, i
. the project mar.ager.
All published papers < and artici
- m. include the following disclaimer:
This report was prepared as an account of work sponsorr byLan agency. of the -United States Government. Neither.the Unic
. states.
Government. nor _ any agency thereof,. or - any of their em myces,
- makes1 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 ir'ormation, : 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 Regula-tory Commission.
H.-
Copyright Provisions and Exclusion. -Under _the new U.S. copyright 1aw
- (Public Law 94-553), most authors for the first time have a Federal Government copyright in their works created on or after January 1,.1978..
Copyright ownership remains with the author unless -transferred in writ-
,ing to someone else. This is the reason-that publishers now routinely ask those who submit articles for publication to execute copyright transfer forms before publication.
y Under the provisions of NRC contracts and interagency agreement whereby
- work is placed with other agencies or their contractors,. the contractor shall not, without prior written authorization of the Contracting Officer, seek to enforce statutory copyrights in any contract work first produced.
in perfonnance of the contract. Therefore, if a request for copyright transfer is received, the publisher should be answered, in writing, in accordance with the sample letter (Exhibit 1) in the appendix.
Though the comments above apply to almost all works written by NRC -
contractor employees, it is possible for NRC contractor employees. to secure copyrights in their own private writings done entirely during their own non-duty time. This was recognized by a House of Representa-tives report on the new copyright law, which said:
Approved: July 7,1982 3
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j NRC' CONTRACTOR: UNCLASSIFIED PAPERS, JOURNAL -
E L+'
'. NRC; Appendix 3206.-
ARTICLES AND PRESS OR OTHER'. MEDIA RELEASES
.l L
- Part IE ON' REGULATORY AND TECHNICAL SUBJECTS i
p ', 3 L
...a' Government' official, or employee would not be prevented from
,1 ll
- securing ' copyright'in. ai work written at that person's own-volition' 1
U;~
and outside his or her duties even though the subject matter involves 1
c 4
' the government work or professional field of the official or employee, i
?
p
.Whether a. writing l by an NRC contractor. employee is governed by; the L
provisions of an NRC contract / interagency agreement ' or is.a copyright-
!=
able, private work.can' be a' close question. Any person who has doubts -
should seek a. legal ruling.
In resolving r,uch questions,. counsel would consider not only the provi-m sions ' 'of' the copyright. law but also applicable standards of conduct.
p The copyright law: does, not speak. specifically. to the point of 'a. work '
presented or distributed,. without any notice of copyright, at a scientific
.i meeting. It appears, however, that the copyright law does. not invali-date' a copyright because the work was simply presented orally' by the 1.,
author. at a public gathering. Unpublished literary ' works, regardless of-
~~
' the nationality or domicile of the author, are protected by the copyright
- law.
t.
, I Press or Other Media' Releases j
'l
.A contractor may request _ permission to issue a prist or other media
' release: on the twork being done. Such request shall be made to the pro- ~
' ject manager, whor will' consult with his/her managsment and, with the Office. of Public Affairsi The contractor may not issue a press or other f'
media release on NRC work without this prior coordination. This coordina-tion may be accomplished by telephone, with the NRC project manager responsible for expeditious handling. ~ Decisions not to release information
-j" l'
or delays in handling by the project ' manager may be ' appealed to the b
NRC Executive Director for Operations.
s 1
1 l'
i L
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,,l Approved:. July 7,1982 4
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.!NRC CONTRACTOR-UNCLASSIFIED P PERS, JOURNAL
. ARTICLES ~AND PRESS OR OTHER MEDIA' RELEASES W
. ON REGULATORY AND TECHNICAL : SUBJECTS -
NRC Appendix 3206l 1
j W
j t;
PARTIl M(.,C f"!
1 STEPS IN THE PREPARATION. ' REVIEW, APPROV AL,. AND =
4' DISCLOSURE OF PAPERS AND JOURN AL ARTICLES.
j a
o A.
Author w
Prepare paper or journal article in accordance with contract or state-
-l.
ment of work, provisions' and instructions of conference, symposium _,
9 or meeting sponsors: or the journal' in which the paper is to be
~
published.
Obtain c required reviews. and appropriate. signatures on : NRC 2.
Form 426A. Send two copies of paper or journal article and completed' and signed NRC Form 426A.to NRC Division ofLTechnical Information -
l 1
and Document Control.
m y
1
?
-If. the paper or journal article is to; be published in a copyrighted 3.
journal, clearly indicate the following on the first page'of' ench copy.
i submitted with NRC Form 426:
" Submitted:. to ( name of journal or publisher) ~ for publication '
6 on (date)."
~
"This preprint (draft) is not - to be cited or raproduced."
"This.is a preprint (draft) of.a paper intended for publication in a journal or proceedings. Since changes may be made before -
- R publication, this preprint' (draft) -is made~ available cwith' the understanding that it will not be cited or reproduced without the permission of the author."
If requested by the journal or ~other publisNer to transfer the copy -
t k
~ respond to thel journal or other' publisher, in writing,1in right.
- l accordance with the sample' letter shown in Exhibit 1.
4, if assistance is needed in completing these steps, contact the NRC-x Contracting Officer or' project manager or the NRC Division ofL Technical Infonnation and Document Control.
B.
-Division of Technical Information and Document Control 1
Assist NRC Contracting Officer or project manager asl requested.
2.
Assist author, Contracting Officer or project manager lin complying wrcE dixlosure requirements.
i.
Naintain Tecords of papers and approval documents.
7 4.
Anpsuncs public availability and publication of papers.
s 5
Approved: July 7,1982
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NRC CONTRACTOR: UNCLASSIFIED PAPERS. JOURNAL 1.
9 ARTICLES AND PRESS OR OTHER ~MEDI A RELEASES g %;p.
ON REGULATORY AND TECHNIC AL Al'R.1F. CTS NRC: Appendix 32067 p.'f,;
y y n..
7 Exhibit 1 T
SAMPLE LETTER ON COPYRIGHT ' AGREEMENT -
x y
- H
[5 5
i a
f Dear m3
+
- We recently received:a document for signature assigning copyright;and republi--
cation rights in the ' submitted article (title) to -(name of publication). This --
n e
-E letter is' offered in lieu.of that document as a means of completing, the transfer of. ownership. Accordingly.. we hereby' expressly transfer and assign our rights-t of ownership-in 'the: above cited work to (name of publisher).
You are : advised. ' however=. that the above assignment and -any publication or; y
i republication of the above cited work Lis subject to the following Government-
,1 7
rights :
y-The1 submitted 1 manuscript has been : authored by a; contractor. (grantee)l 1
K of che' ' U.S. Government under contract.(grant) No.
Accordingly, the U.S.. Government retains-a nonexclusive. royalty-free.
.11 cense to publish or' reproduce the published form of this contribution =,
or allow others3to do so, for U.S. Goverrment. purposes.
c
'In; addition. each article which results from the placement of NRC work with a contractor or another government. agency must state " Work Supported by the U.S.
Nuclear' Regulatory Commission. Office of-under g
Contract / Interagency Agreement (number)."
\\.
Sincerely, 9.
dL
>ii e
I 7
Approved: July 7,1982
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ATTACHMENT FOUR; p-m
- me.
l.
4,50LaCel ATaONscOW T R AC T /MOOtf icd "o-k ',
' CONTR ACT PRICING PROPOSAL' COVER SHEET -
,,,,,33, 3
.1 L.
NOTE t This form 6e used in contreet actions if sutimessen of cost or pr6eing data is recuered (See FA R 75.8044(ell
- 3. NAME AND ADORE 55 OF, OFFEROR (inedude ZJ# Codes 3A. N AME AND T iT LE OF OF F E ROR'S POINT 38 T ELEPHONE No.
OF CONT ACT
.p
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'u ?C
- 4. TYPE OF CONTRACT ACTION fcheeks -
A NEW CONTRACT D. L E TT E R CONT R ACT '
- 8. CHANGE ORDER E. UNPRICED ORDE R ~
C. PRICE REVtslON/
REDETE AMINATION
- 5. T YPE OF COe4T p AC T (Cheet) :
6 PROPOSED COST #Aesecs
[lCPFF
. CPIF CPAF A. COST,
- 8. PR OF 4 T/F EE C. T07 AL
. FFP OTHER (specily)
( FPt 7,kACE(5) APs0 PERIOO($) CF PERFORMANCE 8 L6st and rete'ence the identite*cateort. Quantity and total price proposed for each contract lene item. A hne 6 tem cost breakdown supporting this recap is re.
Quered unless otherwise sDeCitied DY the CCatracting 01ticer - (Contanee on reverse, and then on pleen pePer. If necessary. Use some heedings.)
,J LINE ITEM NO B IDENTIFICATION C QUANTITY '
O. TOT AL PRICE E.REF.
9 PROVIDE NAME, ADORESS, ANO' TELEPHONE NUMBER FOR THF FOLLOWING (if evedebiep
' WIALT AC) MINI 5T R AT aON OF F IC E
- u. AVOt f OF F ICE
- ~4R s Ou RE QuiR E T HE usE OF AN v Gov E R NMEN T PROFCC ~
14 A. 00 vou R EOum E Gov ERN -
n ie. T v pE OF FIN ANCING (v one) 4ee T HE PE R F ORMANCE OF T Ht$ WO RM * (if "Yes,"idenfafy A MENT CON T R ACT F aN ANCING TO PE R FORM THIS PRi) POSE D ADVANCE
. PROGRESS -
C NT AC T 'llf "Yes." *ompda te PAYMENTS P AY MENTS Oves
~O cu^a A~TEEo 'OA~s YES NO h2. HAV E YOU BE(.h AW ARDE O AN Y CONT R ACT S OR $U8 CON T R ACT S
!), e5 T Mi$ PROPOS AL CONilST E N T w tT H vouR ES T ABLi$HE D EST b FOR THE SAME OR SIMILAR ITEM $ WlTHIN THE PA5T 3 YE ARS' MATING AND ACCOi.% TING PR ACTICr* AND PROCEDURES AND
' ff(
- Yes," edents/y tiem(s), eastomer(si end ec tirect number (s))
. F AR PAR T 3 8 COS n PR tNCiPwES P fit "No," espdenni YES' ] NO
]YES NO
- 14. COST ACCOUNTING STANDARDS BOARD (CASBl D AT A (Public Law s f.379 as amended and FA R PA R1" J0)
RE ST ATEMENT LL THIS CONT RACT ACT 6ON BE SU6 JECT TO CASS REGULAa U H AVE YOU 5UOMIT T ED A C A58 045CLOSUe8 the offate to whech 4CASB Db I or tI* tlf "Yes."soettfy in 99000 ONS' til "ho,"espioen en proponeJI.
se6maffed and d(determaned to te edecesfe; I
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~ E.*e Jv E vou SMNO T e FiE O T H A T YOU ARE OR MAY 8t. IN NON-O. as Aed* ASPEC T OF T Hl$ PROPOS AL 6NCON SIS T E'N T WITH YOUR COMPLIANCE wtT H YOUR DISCLO$URE ST AT EMENT OR COST OtSCLOSEO PR ACTICES OR APPLICABLE COST ACCOUNTtNG ACCOUNTING ST ANDAROS!fff " Yes."esplein in propose ()
ST ANDAROS'ilf "Yes," empteen in proposell O vEs O ~o O vEs O ~o-This proposal is submitted 6n resoonse to the RF P contract. modification, etc in item i aad tefleca our burst c*timates and/or acqual costs as of this date IS. N AME AND T e TLE (Typel
- 16. N AME OF F IRM I 7. SIGN A T vRE a 8. OA T E OF S U BMI551,0 N NSN 7540 01 142 9645 gag 3303 STANDARD FORM 1411 (IC 83)
PrestetDed DY OSA e g s. Guwanaman Painfl.G orflCt s tsee. 4 34*s40 F A R (4 8 CF At 53.23 5 2(4
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' STANDARD. FORM l'411 WITH INSTRUCTIONS'
- 1# L SF 1411L providess a -~ vehicle-for; the offeror to < submit to ' the Government a t c
> pricing; proposal; of estimated < and/or incurred Lcosts ? by contract -line-item lwith tupporting' infomation, adequately -crcss-referenced, suitable:.for
' detailed analysis.
A cost-element breakdown,; using the; applicable fomat prescribed-in 7A, B, or C below, shall' be attached for:each-proposed.line--
m item and: must-reflect any; specific requirements: L established.by the Contracting Officer.
Supporting breakdowns -must be: furnished for each cost element, consistent with offeror's cost accounting system.'
1 When. more. th'an one contract line item 'is proposed, sunrnary total-amounts i covering :< all line. Items must be furnishedx for ' each cost' element. :
If agreementihas been reached with Government representatives on use of forward 1
pricing rates / factors, identify the agreement,'.' include a copy, and. describe
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its nature. Depending on offeror's system, breakdowns shall. be provided for...
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.the following basic e)ements.of cost,.as applicable:
Materials 1-Provide a consolidated prictd.sununary-ofiindividual materiai L
quantities :. included in the various tasks,. orders, or. contract = line -items L
beir.g: proposed and the ' basis for pricing (vendor quotes. invoice prices, etc.t.
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- Subcontracted-Items' - Include parts, compcacnts, assemblies, and services Jthat are to' be produced or performed by others in-accordance-with = offeror's design, specifications, 'or direction and that are' applicable. only to the e
- prime contract., For - each subcontract over $500,000,,the L support 'should D
provide. a -listing by source, item quantity, orice,. type s of Esubcontract, -
degree-of rcompetition, and basis for establishing-source,and reasonableness-
- of t price, as well as.the. results of review and evaluation.of subcontract proposals when required by FAR 15.806.
Consists of items that offeror normally D0
' Standard Corrrnercial items L
fabricates, in whole or _ in part, and that. are generally stocke) in p
L i nvento ry.
Provide an appropriate explanation of the basis for pricing.
If-1 price,is based on cost, provide a cost breakdown; if. priced at other than cost,. provide justification for exemption from submission cf cost 'or pricing.
F
'datai as required by FAR. 15.804-3(e).
o Interorganizational Transfer (at other than cost) - Explain ' pricing method.
used.- (See FAR 31.205-26).
Raw. Material - Consists of material in a form or. state tha+ requires further processing.
Provide priced quantities of items' required for the proposal.
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Purchased Parts - Includes material' items not covered above.
Provide priced l'
-quantities of items required for the proposal.
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.interorganizational Transfer (at cost) - Include separate breakdown of cost by element.
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L irect J Labor',- ~ Pjovide "a', t'ime-pdased he.g... monthly *, dua'rterly,/ etc.)
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-breakdown ~4of.slabor hours..( rates. band - cost by ?appropriatet category, and'. *
" ' furnish' bases lfor estimates, q
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> b" Indirect Cosi. -- Indicste how offeror has computed-and app' lied offeror's indirect costs,: including cost: breakdowns. and showing. trends Land budgetary data,eto. provide - a - basis ; for ; evaluating the : reasonableness -~ of. proposed rates.
Indicate the-rates used-and provide an. appropriate explanation.
t Other Costs' - List all other costs not otherwise included in the categories I
described above1 (e.g., special tooling,i traveli ' computer and consultant 1 services,l preservation,- packaging and packing, : spoilage and rework. and Federal excise tax on finished articles)' and provide bases for pricing.
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Royaltiiese-If more than $250, provide the following information'on separate 1
pagef forf each separate royalty.or' license fee:
name and address. of
- licensor';i date of-license agreement; patent numbers, patent application serial numbers, ' or - other i basis on which the. royalty is payable;- brief description;(including any part or model numbers of each contract item or
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component on ' which the royalty is payable); percentage L or dollar. rate of j
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royalty per unit;. unit price of contract item; number of units; and total-
' dollar amount of royalties, in addition, if specificclly requested by the Contracting -Of ficer,. provide a copy of the current license agreement and identification of applicable claims of specific patents.
(See FAR 27.204 L a nd 31'.'205-37 ).
j When the offeror elects to claim-Facilities: Capital ' Cost of Money L
f acilities capital cost of money as an allowable cost, the offeror must submit' Form CASB-CMF 'and show the calculation of the proposed amount (see
,'l FARl31.205-10).
L As part of the specific infomation' required, the offeror must submit with.
offeror's proposal, and clearly identify as such, cost or pricing data (that -
is, data that are verifiable and factual and otherwise as defined at FAR
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-15.801).. In addition, submit with offeror's proposal any information reasonably, required to explain offeror's estimating process, including; L
.a.
The judgmental factors applied and the mathemticci or other methods L
used in the estimate, including those used in projecting from - known data; and
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The nature and amount of any contingencies included in the proposed price.
3.
There is a clear. distinction between submitting cost or pricing data and merely making available books, records, and.other documents without identification. The requirement for submission of cost or. pricing data.is.
i met whin all Eaccurate cost or pricing data reasonably' available to the-offeror have been submitted, either actually or by specific identification, to the Contracting Officer or an authorized representative.
As later g
information ccws into the offeror's possession, it should be promptly L
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h submitted! to tne Contracting Officer.
The requirement for submission of 3
cost or-pricing data continues to the time of final agreement on price.
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4,s.'In ' ; submitting R@fferor's. proposal, of feror. must ~ includet ran: index.:
appropriately referenced, of all the: cost or pricing data and infomation
- y. 4 accompanying : orj identified -. in the-proposal.-
In > addition..;lany =: future-
- k. f additions and/or revisions,.up to. the' date of' agreement on' price, must be-jQ f annotated,on a. supplemental index..
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By submitting.' offeror's proposal, the offero, if1 selected-forenegotiation,<
- grants, the Contracting 0fficer or an authorized representative the right to' examine those books, records, documents, and otheresupporting-' data that-will' permit adequatel evaluation = of the proposed price.
.This = right may b e --
exercised at any time before award.
' 6.L ' As soon as practicable after final agreement on price, but before the award 1
resulting from the proposal, the offeror shall,:under the conditions stated 9.
in FAR 15.804-4, submit a. Certificate of Current Cost or-Pricing Data.
7.
Headingi for Submission of Line-Item Sumaries:
A.
New' Contracts-(includingLettercontracts).-
1; g
Proposed Contract Proposed Contract Cost Elements Estimate-Total Cost Estimate-Unit Cost Reference
-(1)
(2)
(3)
(4)
' Under Column (1) - Enter appropriate cost elements.
-Under Column (2) - Enter those necessary and ' reasonable costs that in
. offeror's judgment will properly be incurred in efficient coatract performance.
When any of the costs in this ' column have already been incurred (e.g., under a ' letter contract or unpriced order), describe-them"on an. attached supporting schedule.
When preproduction or startup
. costs are significant, or when specifically requested to do 50 by the Contracting s Officer, provide a' full identification and explanation of-them.
'Under Column-(3) - Optional, unless required by'the Contracting Officer.
m Identify the attachment in which the infomation Under Column (4) supporting the spacific cost element may be found.
Attach separate pages as necessary, i
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.i' 8,<. ' Cha.nge[Ord3rs ' (modifications ).
Cost.0f Estimated Deleted.
Cost of All:
Work Cost.
~ Work Already-Net Cost To
. Cost Of het Cost Of Eiements
' Deleted
' Performed Be. Deleted-Work Added Change Reference
-(l);
_(2).
(3)-
(4)
-(5)_
(6)
(7) i Under Column'(1) - Enter; appropriate cost elements.
Under. Column (2):-ilnclude (i) current estimates of what.the' cost would-have been to complete deleted work not yet performed,'and -(ii)' the cost-of deleted work already -perfonned.
,Under Column '(3) -ilnclude the incurret' cost of. deleted work-- al ready.
performed, actually computed
-i f po',sible, or-estimated-in-the' Contractor's. accounting records.
A. tach-a detailed inventory of work, materials... parts, components, and hardware
'a l rea dy purchased..
manuf actured, or perfonned and deleted by the change.- indicating the.
cost and proposed Ldisposition of - each. line item.
Also, if L of feror
- desires to. retain these items or any portion of them. -indicate the-o l'
amount' offered for.them.
'Under - Column (4).
. Enter the net cost to be deleted 'which Eis the l
estimated cost of all deleted work less the cost of celeted work already performed.
Column (2) less Column' (3) = Column-(4),
Under Column (5) - Enter the offeror's estimate for cost of work added-u l
by-the ' change.
.When n_onrecurring costs. are' significant, or' when
- specif.ically requested to do so by. the Contracting Officer provide full identification and explanation of them.
Under Column > (6) - Enter the net cost of change which is -the cost of l
work added, less the net cost to be deleted.
When - this result is p
negative, place the amount in parentheses.
Column (4) less Column (5) =
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Column (6).
I Under' Column (7) - Identify the attachment in which the information supporting the specific cost element may be found.
Attach separate l.
pages as necessary.
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C.~ Price Revision /Redeteminatien humber of:
humber of-Redetermina-4-
Units UnitsLTo Be Contract tion. Proposal l
cCutoff Date~
Completed Completed Amount Amount-Difference 3
(1)
-(2) 13)
-(4)
(5)
'(6)
Incurred Incurred-Incurred I
Cost--
Cost-Cost-Total Estimated 1
Cost.
Preproduc-Completed Work In Incurred Cost To Estimated Elements tion Units Process Cost Complete Total Cost Reference i
j(7)-
(8)-
(9)
(10)
-(11)
-(12)
(13)
.(14) i Under Column (1) '- Enter-the cutoff - date required by the contract, i f, applicable.
Under Column (2) - Enter the number of. units completed during the period for
.which experienced costs of production are being submitted.
Under Column (3). - Enter the number of units remaining to be completed under the contract.
'Under Column (4) - Enter the cumulative-contract amount.
Under Column (5)
-Enter the offeror's redetemination proposal amount.
Under Column (6) - Enter the difference between the contract amount and the 1
redetermination proposal amount..When this result is negative, place the'
- j amount in parenthesis. Column (4) less Column (5) = Column (6).
1 Under Column (7) - Enter appropriate ' cost elements. When residual inventory
- exists, the final-costs establi3hed under fixed-price-incentive and-l fixed-price-redeterminable arrangemeets should be net of the ; fair market.
i value of such inventory.
In support af subcontract costs, submit a : listing of all subcontracts subject to repr;cing ' action, annotated as to' their i
status.
Under -Column (8)
Enter-all costs incurred under the contract before starting production ~ and other nonrecurring costs (usually referred to as startup costs) from offferor's books and records as of the cutoff date.
These include such costs as preproduction engineering, special plant rea rrangement, training - program, and any identifiable nonrecurring-costs such as initial rework, spoilage, pilot runs, etc.
In the event the amounts are not segregated in or otherwise available from offeror's records, enter in this column offeror's best estimates.
Explain the basis for each estimate and how the costs are charged on offeror's accounting records i
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'(e.g., included int producti'. costs as1 direct enginecring lebor, charged to.
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manufacturing overhead..etc.). ; Also how the costs wouH be allocated to the m @f '
f units at'their.various states of contract completion, a
Lunder L Columns (9) and -(10)L-Enter in Column (9) the ;, reduction costs ~ from offeror's books and records. (exclusive of preprocetior, costs reported in,
- Column (B) of the units completed-as-of ' the cutof' da'.e.
Enter in: Column 1
'(10), the costs of' work iin process as determined fi om offeror'st records ~ or 1
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-inventories : at' the' cutoff date.
When the amounts : for work in process are
'not available. in Contractor's records but reliable estimates for them can be m
made, enter the estimated amounts in Column (10)(exclusive of.preproduction-and' enter in Column'. (9) the differences. between the total ~ incurred costs =
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. costs) as of the cutoff date and~ these estimates.-. Explain.the basis for the estimater, ' including. identification of any ; provision for experienced or fanticipated allowances, such.as shrinkage, rework, design ' changes. etc.
Furnsih experienced-unit or lot costs.(or labor hours) f rom inception of f
.' contract ' to-- the cutoff date, improvement curves, and any other available j
Y production cost history: pertaining to' the ~ item (s) to which ' offeror's 4
proposal relates.
Under Column:(11)-- Enter total incurred costs (Total of Columns'.(8), (9).
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'and-(10)).;
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t' Under -Column -(12) - Enter t:.:.3 e necessa ry and reasonable costs that in Contractor's judgment will. properly be incurred in completing the. remain'ing
-work to be performed under the contract with respect to the item (s) to which
-Contractorfs proposal relates.
1 Under Column. (13) -- Enter total estimated cost. (Total of Columns (11) and
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(12)).
Under, Column (14)
Identify l the attachment in. whict the information 3supportin'g the specific cost element may be found. Attach separate pages as
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' neces sa ry.
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' ATTACHMENT FIVEL 4
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EMML SUSINESS AND SMUL DISAD/ANDGED BUSINESS SUBCDCWCIIN3 PLAN-
. DATE:
O2nhMRI ADDIESS:.
311CIRTION' OR CatMWCf NUDBER:
2 Y
I'11M/ SERVICE:
'1he following,' together with any attachments, is hereby sutaitted as a auteentracting Plan to satisfy th applicable requirements cf Public law 95-507
- as isiplemented by QFPP Poliev latter 80 2.
1 ~.. (a) 'lhe followirig preentage goals (expressed in terms of a percentage of total planned e.ibcontracting dollars) are applicable to the contract cited above or to the contract awarded under the solicitation cited.
,(i) Small Business concerns: -
% of total planned subcontractirg dollars under this contract will go to subcontracters who are small business corcerns.
(ii) sinall Disadvantaged Business Concerns:
4 of total planned
. sutcontracting dollars under this contract will go to subcorr-tractors who are small business concerns owned and contreued by _
socially and economicany disadvantaged individuals. 'Ihis percentage is included in the -percentage shcwn under 1. (a)(i),
ateve, as a subset.
(b) _ The following dollar values correspond to the percentage. goals shown in (a) above.
(i) 'Ibtal dollars planned to be subcontracted to suall_ business-concerns: $
_(ii) 'Ibtal douars planned to be subcontracted to small disadvantaged business concerns $
. This dollar amount is ircluded in the amount shcwn under 1. ~ (b)(i), above, as' a subse*..
(c) The total estimated dollar value of all planned sutcontractirg (to all types of business ccreerns) under this contract 'is $
(d) ' The folicwing prircipal products and/or services will be subcontracted under this' contract, and the distribution among small and sman disadvantaged business concerns is as fonows:
- (Products / services planned to be sub:witracted to asall business concerns are identified by * 'Ib small disadvantaged business corcarna bf **)
(AmcNENr MAY BE usto ir ADDITIONAL SPAct Is mo] IRED)
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(o)- heLfolicwing method was used'in developirg sutcentract' goals' (i.e.i i
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'Statenant explaining how the prcduct and. service areas.to be j
subcontracted were. established, how the areas:to.be subcontracted to i
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.small'and small-disadvantaged business corcerns were determined, and, i
' hcw semil and satil disadvantaged business concerns'. capabilities' were F
determined, to incitde identification of source' lists utilized in l
. making, those determinations).
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t (f)- Indirect and overhead costs (chedc one below):
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-have not been-included in the goals specified in 1(a) and 1(b).
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(g)
If "have been"lis checked, explain the method' used in determining tho'
. proportionate share of irdirect -and overhead cost to be allocated as
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sutxxantracts to small business concerns and small disadvangted business j'
ccreerns. -
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- 2.. he following irdividual will administer. the sub:entractirg programs -
l Name
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p Address & Telephone b
Titles
.1 l-l This individual's specific duties, as; they relate to the firm's
@L sutecritracting program, are as follows:
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General overall responsibility for this ccupany's small 21siness Program, the develepnant, preparation and executien of individual subcontracting plans and for monitoring performance relative to L'
centractual subcontractirg requirements centained in this plan, s
ircitd!.ng but ret limited to:
(a) Develcpirg and maintainirg bidders lists of small and small D
disadvantaged business concerns.from all possible sources.
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(b)l( heurirg that pri.curement packages are structurm.' co parait' san 11 and '
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small disadvantaged business concerns to panicipate to the maxianas extent possible.-
aS (c) Assurire ; inclusion of semil and EDB concerns in a11' solicitations for
_ products'or: services Which they are capable of providirg.
(d)L;= Reviewirg _ solicitations to remove statasants, clauses, etc, wh tend to. restrict or prohibit SB and SDB participation.
(e). hearire periodic rotation of potential s@ccntractors on bidders 1
lists.
(f)- msurire that the bid rW;reviet board decaments its rammeris for.
l not selecting low bids outstitted'by anall and small disadvantaged i
. business concerns.:
(g) h'marire the establishment and maintenarce of records of
. solicitatit.ns.and subcontract award activity.
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(h) : Atterdiid cu ' arrargirg for attendarce of ccupany counsellors at j
hasiness opportunity Mrkshops, Minority hasiness hterprise Semina s, Tr nde Fairs,- etc.-
(1). Cbnducting or arrargirg for conduct of motivational trainirg 2cc purchasirq personnel punuant to the intent of P.I.95-507.
(j).>bniterirg attairmant of premsed goals.
(k) Preparirg and submittirq periodic subcontractirg reports required.
-(1) Cocedinating ccntractor's activities durirg.the conduct of coupliarce -
3 revievs' by Federal agencies.
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(m) Cocedinatire the conduct of cx:intractor's activities involvirg its y
small and small disadvantaged business subcontractitzy pecgram.
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(n) Mditiens.to (or deletions from) the duties specified ab:we are as
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' follows:.
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'1he followirg effects will be taken to assure that samil ard small diaadvantaged business corcerns will have an equitable opportunity to ccuplete fer suteentracts (a) Outreach efforts will' be sede as fo11cws:
q (i) Contacts with siinreity and sna11 business trade associatiens (ii) Q:ntacts with business development organizations L
(iii) Attendarce at saml1 and minority business procurerent ccnferences i
and trade fairs a3-
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(iv) Sources wul be requested from SWs PASS fstem..
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-(b) he following internal efforts will be made to guide and encourage j
U buyers:
,p (i) Workshops, seminars and trainirg programs will be conducted (ii) Activitics will be sonitored to evaluate empliance with this' I
L sukcontractire plan.
-3 (c) Small and saan disadvantaged business concern source lists, guides i
and other data identifying small and small disadvantaged ' business cencerns will be maintained and utilizmi by buyers"in soliciting' s y subcentracts.
(d) Additions to (or deletions from) the above listed efforts are as fon ows:
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%e hidder (contractor) agrees that the clause entitled Utilization of
-Smal. Nsiness Concerns and Small ksiness Correrns Cwned and Contround by Srcially and hbonomically Disadvantadd Individuals will be included in
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all subcontracts which offer furthercsutcontractirg opportunities, and all suh:entractors except small business concerns who receive subcentracts in excess of $500,000 will be required to adcpt ard ccanply with a subcon-tracting plan sindlar to this one. Such plans will be reviewed by 1
. ccrparirg them with the provisions of Public Law 95-507, and assurirq that
-all minimum requirements of an acceptable sukentracting plan have been satisfied. We acceptability of parcentage goals shall be determined on a.
J case-by-case basis depending on the supplies / services inwived, the L
availability of potential snau and small disadvantaged subcontractors, and prior experierce.. Once approved and implemented, plans will be menitored through the subnission of periodic reports, and/or, as time and availability of funds permit, periodic visits to subcontractors facilities 1
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to review applicable records and subcontractire program progress.
.5.
he bidder (contractor). agrees to submit such periodic. reports and emperate in any studies or surveys as may be required by the contracting o
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agency or the Sena11 mainess Administration in order to determirie the extent of empliarce by the bidder with the subcontracting plan and with
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the' clause entitted Utilization of Sinall msiness Concerns arx1 Stan11 B.:siness Corcerns (knad ard Controned by Socially and Economically Disadvantaged'Iadividuals, centained in the contract.
6.
he bidder (contractor) agreer that he will maintain at least the folicwing types of records to document ecupliance with this subcontractirq plan:
1 (a) 'Small and Small disadvantaged business concern source lists, guides and o.her data identifying SS/SDB: verders.,
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-(b) Organizations' contacted fcr saml1 and disadvanta,ed :1masiness sources. -
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- (c)i on a' contract-by-entract basis, records' cc ell' anaboontract W'
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' solicitations over $100,000,- indicating on : ch solicitation (1)';
1 Whether saml1 business concerns were solicited, and if not, why rett J
1 Mn (2) Whether samil disadvantaged business ocmcerns were solicited : and =
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if not, why rett and (3) reasons for the failure of solicited saml1
,f cr. samil disadvantaged business coneerns to. receive' the subecritract.
award.J zg g,.
g"2 (d). Records'to sgpart other ' outreach afforts:- Contacts with Minority.
9',
and hall hasiness Trade Associations, etc. Attendance at small and:
f mincrity business proareaant conferences arv$ trade fairs.
(e) Records to sgport internal activities to guide and encourage buyers::
itukshops, Seminars, training programs, etc. L M: mitering activities-U s
to evaluate compliance.
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x..(f) on'a contract-by-ccritract basis, recmeds to styport sutcontract award -
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data to irclude name and address of saboontractor.
i ;,, 8 (d) ' Records to be'asintained in addition to the above are as fo11cws:
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' Sigiad:
Pfped Names:
p.u l ' 4 -W Title Dates
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. Plan Accepted By:
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Cbntracting Officer L
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' NCFE 'ID CotfIPMDC OITICER: Upon irEwyusaticr1 of a plan into the contract l'
- indicate herein the estimated dollar value of Contract $
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ATTACHMENT SIX-J4,
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- Developmen6 -Submittal, Distribution and Documentation Requirements for.
Machine-Readable Contract Deliverables 1
x This document provides requirements for contractors developing software, data or-other machine-readable deliverables for the Nuclear Regulatory Comission-(NRC).
'Its-purpose is-to assure that any such deliverables'can be readily: implemented and'used on NRC equipment and can :1f required, be easily disseminated or-transferred to other data processing sites.- This_ implies.the use of standard o
x isoftware packages.-progransning languages, and compilers which are compatible -
with the.NRC hardware and. software environment,4s well as adherence,to good-programing and documentation practices.
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This document-applies to all' machine-readable deliverables for use on micro.
1
=I computers and to scientif F app 11 cations for use on mainframes and minicomputers.-
' Requirements for non-scientific applications. for use on mainframes-or mini-computers are provided-by IRM on a> case by case basis._
g All computer applications and associated data developed under. contract to the NRC or under.a100E laboratory agreement are the property of the NRC unless stated d
otherwise in the contract or DOE laboratory agreement. These items must. be submitted to the NRC project; manager in machine-readable fonn at or before contract completion. Microcomputer software and= data deliverables'should be
~
- supplied on diskette and=confom to the criteria stated in section 1 below.
Mainframe.or minicomputer software and data deliverables should be submitted on tape 'and confom to the criteria in section 2.below.
j l
' All: machine-readable deliverables mustibe accompanfed by appropriate documentation as specified in' sections 1, 2, and 4 below. Conversely, contractor reports _ citing
-the use of computer codes must be accompanied ~by said computer codes.
1.
' Deliverables for Use on Microcomouters
.i All deliverables developed for use on microcomputers must meet the following criteria unless a written waiver is obtained in advance from.
the NRC project. manager and approved by the Division of Automated Infomation Services (IRM):
a.
Deliverables should be submitted on diskettes.
.f b.
All diskettes should be capable of use on an IBM PC or compatible microcomputer using one of the software packages 1
supported by the NRC Division of Automated Infomation 1
Services (see Table 1, attached). All programs developed for the NRC must be written using one of the standard software packages.
._, ~ _ _.
,p,
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s y[x % :
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?
- c. =1n.particular,7 documents.(e.g., reports)submittedinmachine-
- A. f' readable fom should'be produced with IBM DisplayWrite word i
processing software? This will allow them to be used both on NRC microcomputers.and word processing equipment.
4 k4 d.
Failing criteria b or c above, data or text only may be
,1 provided as ASCII files.in standard ' IBM PC diskette fomat.
6 y
G,
. All diskettes must be accompanied by documentation,-includino e.
y a printed copy of the : disk directory.a description of each.
d
' file in. the directory and,how it'is to be used and installation.
~
instructions.. Refer to sections 3 and 4 for' software distribution N
and documentation requirements, respectively.
s.,,
No-microcomputer software or hardware may be purchased-by a contractor 4
4' or DOE laboratory for subsequent delivery to the NRC without written 1
lT concurrence.in advance byzthe NRC Project Manager and the Office of W
1 P!
Infomation Resource Management. -
1
-Updated infomation about software sunoorted for use on NRC-accessible i
computer facilities and microcomputers may be obtained from the NRC-ITS l
Support. Center,(301)492-4160(FTS492-4160).-
0
'2.
Deliverables for Use on' Mainframes or Minicomputers L
.These requirements apply to scientific applications software and 1
associated data deliverables' intended for use on mainframes or minicomputers. All such deliverables must meet the following criteria unless a written waiver is'obtained in advance from the NRC' project
- manager and' approved by the Office of Infomation Resource Management.
g a.
All new mainframe or minicomputer programs developed or converted y
for NRC shall be written in American National Standards'(ANS) 1 FORTRAN (ANSI Standard X3.9-1978).
A
- b. -Mainframe or minicomputer programs which generate plots.must do so using the Display Integrated Software System and Plotting Language t
(DISSPLA). This graphics software is a standard at all DOE laboratories.
c.
The recommended mathematical / statistical subroutines are the International Mathematical Statistical Libraries (IMSL).
' d.
Proprietary software packages should be avoided except where standard
,readily available packages exist and are supported for use at NRC-accessible computer 4 c111 ties by the NRC~ITS Support Center (see e
Table 1, attached). Machine-dependent and installation-specific packages and features including assembly language should not be used.
D e.
Del (verables should be submitted on tape according to the following i
tape format requirements:
G
'4-
h[ j ' [$N 8
g fy p
y' m
>M'
- ]
m
- Recording:? 9-track l
g
-: Density: ~1600 BPI
}
W
- Internal Tape' Label:
N0 Label 0
- Character Code:. EBCDIC or ASCII
.s 1
- Record Size:': FIXED RECORD. LENGTH (80 char / record preferred for-sourcecodewhenpossible)-
l,
- Block Size: FIXED BLOCK LENGTH (maximum = 2048 char / block).
u
~
- All files on one physical tape must each have the same number of q
+
char / record and char / block, c,
w, +
9
- Tapes must not be generated using system-dependent copy. routines.
Q
. Tapes;must.be made so as to be transportable-from one computer 1
t 3
system to another. -This is most easily accomplished by means'of d
a FORTRAN READ-WRITE : routine rather than a system utility; however, d
7 Juse of? IBM IEBGENER is. acceptable.
j g
3 f; All tapes must be accompanied by documentation,-including a copy of U
the: job that created the. tape, a. list of the files on'the tape, a' i
description of each file and how it is to be used,-and installation j
H<m instructions. Refer to sections 3 and 4;for software distribution j
s and documentation requirements,1respectively.
j g.
Tapes -should include the following files:
1 Source Code - Compiler input records.
1n a
. Sample Input - Test case input data.
(The output generated
]
L.
by execution of the program using'the sample input must l) 7 also be provided.in printed fom.)-
Data Libraries - External data files required for procram-1 M
L execution de.g., cross-section libraries, dose conversion
)j P
factors, etc.).
Control Infomation - Operating system control language statements required for compilation and execution.
]
1 I,
Optional files include cbject or load modules, j
L L
Ouestions concerning the above instructions should be addressed to the NRC L
'o Information Technology Services Support Center (FTS) 492-4160, i
r f
ID
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=
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'N 1
'3.
' Distribution Distribution of contractor-developed applications software and document-
.ation:will be performed under the guidance of..lRM. IRM will assure that programatic distribution requirements are met for public and non-public software.; At present, most NRC software.is being; distributed by the National Energy Software. Center at. Argonne National Laboratory under a.
LDOE. laboratory agreement administered by IRM. Under certain circum :
stances; an NRC contractor or DOE laboratory may distribute scientific.
-applications software while in the development or maintenance stages provided thrti The required distribution activities are explicitly specified -
a..
in the contract or DOE laboratory statement of work; b.
The contract or DOE laboratory agreement specifies that the software and associated documentation will be transmitted to the NRC lin approved'fom (per sections 1-4 of this attachment) upon
.temination of the contract or DOELlaboratory agreement; c.
The Program Division _ Director has approved, in writing, the need for deviation from the standard distribution procedures; d.
The Director, Division of Infomation Support Services, IRM, has approved, in writing, the contr et or DOE ~1aboratory statement of work'wherein the distribution activities are described.-
Befora release for distribution, NRC-sponsored software must be
- appropriately reviewed. tested, documented and approved for release by the
- sponsoring NRC office..It is the responsibility of the sponsoring-NRC office to determine whether or not a computer code is' ready for distribution and to clearly define the = limitations to be imposed on said distribution (e.g., USA only, unlimited, a specific distribution list, etc.). 'However, the sponsoring NRC ~ office is advised that once-infor-mation regarding a computer code.has been published (e.g., in a NUREG report),membersofthepublicmayrequestacopyofthecodeand,under nomal circumstances, the NRC must be prepared to distribute the code.
Thus, the preparation of a distribution submittal package for the compier code and the publication and distribution of a NUREG(s) associated witt.
the computer code should coincide. In. order to prepare to meet these
-requirements once the contract is complete, the statement of work should include, as a requirement, the preparation of the submittal package necessary for requesting distribution by the National Energy-Software.
Center-(NESC). Copies of the NESC submittal fonns, distribution proce--
dures and advice regarding submittal package preparation may be obtained by calling the ITS Support Center on 492-4160 or FTS-497-4160. A copy of the NESC release form, signed by the Division Director of the sponsoring HRC office, should be sent to the Chief, Infomation Techaology Services Branch, at the time the submittal package is sent to NESC.
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' All; reports, including applications: software documentation, must confom-
'to.NRC Manual Chapters 3201 and13202. Copies of; these manuali chapters arei
- available from the NRC Publications' Services: Division. 00E11aboratory 4
Istaff may-obtain copies frm their respective technical infomationyffices.
- In addition, the content of;all scientific applications documentation shall W,
conform to ANSI' Standard N-413,L" Guidelines for Documentation'of-Digital' 4
- 3. " A Computer Programs." The major documentation. requirements included in the-standard are:
- l i
a') ' Computer Program Abstract i
b)
Application Infomation (User's Guide) c): Problem or Function Definition (Theoretical Development)
-d): iProgramming Infomation (Progranner's Guide).
, j q
c A copy of this' standard may be obtained for $8.50 plus $2.00 shipping' and ~
L'e i'
' handling from:
w The. American National Standards Institute j
-1430 Broadway New York, New York 10018
~ ATTN: Sales Department ij 4
~In addition to or instead of confoming to' ANSI Stanaard N-413, l
,,L' m
. documentation-for.some applications may befrequired to confom to NRC 1
Microcomputer Application Documentation Standards and/or meet other 1
requirements of the sponsoring office. ~ Applicability of any additional'
...R, requirements will be detemined by the NRC Project Manager.
7 Each program developed for the Nuclear Regulatory Connission should include P
the following program title block and disclaimer in the main program:
.{
Program
Title:
Oeveloped for:
U.S. Nuclear-Regulatory Commission Office of.
(fill in NRC Office)
Division of (fill in MRC Division) q Date:
L y
/
b
[-
NRCContact(s):
Phone:
Code Developer:
Phone:
V Title (s) of Associated Documentation and NUREG Number (s):
This program was prepared for an agency of the United States Government.
Neither the United States Government nor any agency thereof, nor any of
'their, employees, makes any warranty, expressed or implied, or assumes any
.itgal liability or responsibility for any third party's use, or the results nf such use,.of any portion of this program or represents that its use by l
-such third party would not infringe privately cwned rights.
L i
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t Up' dated January 1987:
?
Table 1. NRC Supported Software
~ MAINFRAME-SOFTWARE:
'i Idaho National Energy Laboratories Computer System NOS Operating System for CYBER 176 FSE Text Editor
.XEDIT.
Text Editor UPDATE Text Editor Utility
, FORTRAN 5*.
Programing Language DISSPLA Graphics IMSL Math / Statistical Subroutines National Institutes of Health Computer System n
OS/MVS.
Operating. System for IBM 3081 TSO Comand Language
-7
-WYLBUR-Text Editor /Comand Language VS FORTRAN */
Programing Language DISSPLA Graphics TELL-A-GRAF Graphics FOILS Word Charts for Overhead Projection
' MARK IV-File Management / Report Generator SYSTEM 2000
- DataBaseManagementSystem(Reports and Queries only)
RAMIS"II.
Data Base Management System (Reports and Queries only)
KERMIT Comunications (PC's)
-IMSL Math / Statistical Subroutines NRC Data General MV/8000 CLI Comand Language Interface SED Text Editor.-
SPEED Text Editor BASIC Prngraming Language FORTRAN 77*
Programing Language -
'SSI* CALC Spreadsheet IMSL Math / Statistical Subroutines DISSPLA Graphics
- Adheres to current ANSI Standard fo. FORTRAN (FORTRAN 77)
NOTE: This list of software is changed periodically.
For an updated list,
,1 call the Information lechnology Services Support Center (301) 492-4160 or 4
~
-(FTS)-49? 4160.
.. gy:
~
~
~.
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Updated slanuary 1987-
~
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Table 1. NRC Supported Software g.
4
/
MAINFRAME SOFTWARE:
g* p ', '
Idaho l National Energy Laboratories Computer Sy; tem
.t v3 i NOS Operating System for CYBER 176 d
FSE Text Editor o
'XEDIT Text Editori i
UPDATE Text.Editer Utility:
FORTRAN 5*-
Progra ming Language p
DISSPLA Graphics
-IMSL Math / Statistical Subroutines r
F l
National Institutes of Health Computer System-
"r
, v'.
OS/MVS-Operating System for IBM 3081
~
TSO Comand Language-WYLBUR Text Editor /Comand Language 4
l VS FORTRAN
- Programing Language J
DISSPLA Graphics.
~
TELL-A-GRAF Graphics FOILS Word Charts for Overhead ~ Projection MARK IV' File Management / Report Generator SYSTEM 2000 Data Base Management System (Reports j
and-Queries only)
RAMIS II Data Base' Management System:(Reports Land Queries only) '
jL n
~
w
'KERMIT Comunications (PC's)
IML Math / Statistical Subroutines NRC Data General MV/8000 4
y i
L CLI Comand Language Interface L
SED Text Editor L
SPEED Text Editor L
BASIC Programing Language 1
FORTRAN 77*
Programing Language
.i SSI* CALC Spreadsheet.
E IMSL.
Math / Statistical Subroutines DISSPLA Graphics 1
- ' Adheres to current ANSI Standard for FORTRAN (FORTRAN 77) l L
NOTE: This list of software is changed periodically.
For an updated list, i
, call the Infomation lechnology Services Support Center (301) 492-4160 or
~
L-
'(FTS)49?4160.
t.
e 7
,:1 Updated January 1987 NRC Supported Software (cont.'nued)-
MICR0 COMPUTER SOFTWARE:
IBM PC 005 & B8 SIC Operating System. language COMPAQ MS-DOS & BASIC OperatintiSystem, language IBM BASIC Compiler Program'ng Language-IBM FOR' IRAN Compiler Programirg Language IBM DisplayWrite Word Processor IBM DisplayCamm WP Communications IBM 5520 Attachment Program 5520 Teminal Emuation Microstuf CROSSTALK Coeur,1 cations Persoft Smartem DG Teminal Emulation LOTUS 1-2-3 Spreadsheet
-Ashton-Tate dBASE III.
Data Base Management dBASE III Plus Westminister Software Pertmaster.
ProjectManagement Decision Resources Chartmaster Graphics Decision Resources Signeaster Graphics Borland International Sidekick Multi-purpose Utility
- Adheres to current ANSI Standard for FORTRAN 77.
NOTE: This list of software is changed periodically. For an updated list, i
call the Infomation Technology Services Support Center (301) 492-4160 or
.FTS 492-4160.
y
,o ATTACHMENT SEVEN MEDICAL USE QUALITY ASSESSMENT PLlASEFILETHISC0K?LETEDFORMINTHEINSPECTIOND W~
FORWARD A COPY 70 JAMES H. MYERS, MEDICAL AND ACADEMit SECTION MAIL $70P 6H3, HEADQUARTER $
Licensee:
Docket Numbers:
License Numbers:
i Licensee
Contact:
Licensee Contact Telephone Number: (-
)
Date of Inspection:
i Inspector:
Region:
PART I: SENERAL A.
Licensee Type:
1.
Facility: -
a.
hospital b,
clinic c.
private practice d.
Other (specify)
J.
. Management:
a.
government b.
not for prefit c.
for proftt R
d.
Other (specify) i 3.
Service e.
conventional care b.
teaching and research c.
specialty d.
other (specify) 4.
Nus& e cf beds:
1
)
QualthAssuranceProgram:-
8.
.c 1.
on ' quality assurance specific to radiation medicin
'YES N0 (if N0, go to question C).,
2.
. Attach copy of policy statement (s) if available.
ATTACHED t
_ NOT AVAILABLE' 3.
organizations such as the Joint Cosutission fo Healthcare Organizations, American Board of Radiology, or ot YES N0 If YES, list the organizations:
.a.
c.
4.
Does the policy statement call for periodic audits of the qu
. assurance program? _
YES N0 If YES:
- a. Are audits cerformed by individuals or organizations that are independent of the licensee? _ YES
_ N0
- b. How often are audits performed?
audits /
(month, quarter, year, etc.)
- c. Lists dates ans auditing rw audits.
'icn for last four J__
.s How mahy hours a week dots the ;,arsan (either the RSO or a
~
S.
designated technologist) who does the bulk of the radiation saf 9
tasks spend on those tasks?
hours / week ety 6.
Qualifications of the person who does the bulk of the radiatun safety tasks:
- a. Education:
0JT
~ AA/AS BA/BS Advanced Degree
- b. Experience:
Years in field Years at facility
- c. Certification:
'46R, f 5KP, ARRT, JNMTCB, ACBR, etc. or NA) 2 4,.
..x n
~
x;f _
3
'Is'the" licensee's raciation safety prograr: analyzed by a human-7,.
W factors' specialist?
YES NO If YES, list the departments:
l n
If YES, give examples of procedures that are analyzed:
j C.
Inspectors', overall oeservations and consents about the licensee's quality ' assurance program:
r o
r i
C.
Nisadministrations:
I l'
1.
Did the licensee have any misadministrations over the past twelve
-months?
YES NO 1
L2.
If any misadministrations have occurred, did the licensee perfora~an' investigation?
YES-NO N/A
?
1 3..
If an-investigation was performd, is the report readily available?
YES N0 N/A
.4 Is tiie information provided by the li.censee consistent with the NRC's inspction file reports?
YES
_ NO N/A Discust as app.'Sortate; i
5.
Did the licensee's Radiation Safety Cosmittee attempt to identify the cause of the aisaktnistration(s)?
YES NO N/A i
6.
Did the licensea take corrective action to prevent further occurrences of misadministrations?.
YES NO 1/A T
7.
Discuss corrective actions:
t.
=
I 3
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1
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- - -,-.,,...i,,,-
N P
4 M i
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PART II:
TELETHERAPY m,
A.
Program:
1.-
Does the consee have a e alt teletherapy program?
s.
Does the consee have an RAY teletherapy program?
3.
Does the consee have an actron teletherapy program?
(If N0 to all three above' questions, go to PART !!!:
BRACNYTHERAPY)
?
'B.-
Capital ~ Equipment 1.
Number wholeu, nit,notjustthesource): brand, age and exposure rate (RW ) of
- a. Number:
- b. Brandfs):
- c. Age (s):
d.R*:
f, _
- e. Not Applicable:
I 2.
Number, brand, age, and photon and electron energies of linear accelerators:
?
- a. Number:
- b. Brand (s):
- c. Age (s):
- d. Photon and' Electron Energtes:
- e. Not Applicable:
3.
Number., brand, and age of simulators:
.a. Number:
b.Brandfs):
=
- c. Age (s):
- d. Not Applicable:
4 Number, brand, and age of the following dosimetry equipment:
Equipment.
. Number Brand (s)
Age (s)
N/A a.
Primary stendard -
chamber and electrometer:
~-
~ b.
Secondary standard
- 'haaber and electronister:
4 I'
A
yt U..
Equipment Number Brand (s)
Age (s)
N/A P
c..
Isodose plotter:
-t d.
Chasber constancy checker:
e.
Other (e.g.,
Mcnitrea or custom-madedevice):
C.
Computer Hardware and Software:
1.
Does the licensee use a computer (or computers) in teletherapy 1
treatment planning?
YES N0 (If N0, go to D).
2.
Musber, brand, and age of teletherapy treatment planning ceaputers:
a' Number:
- b. Brand [s):
- c. Age (s):
3.
Is the computer system:
Dedicated turnkey hardware / software package?
a.
b..
Standard desk to Other (specify) p computer and off-the-shelf software?
c.
c-4 If computers are used for teletherapy treatment planning:
- a. What percentage of cobalt patients?
% or NA.
- b. What percentage of X-ray patients?
5 or NA.
- c. What percentage of electron patieets? _ 5 or _ NA.
5.
Does the licensee:
- a. Develop its own software?
YES NO
-b. Only use commercially avaiT45Te softwdFi?
- c. Buy and extensively modify commercial softwari7 YES, E 0 N
N0
- d. Name and manufacturer of commercial software usoF or NA.
6.
Does the licensee " lock-out" prograbs that are not to be used on the-treatment planning computers?
'YES NO 7.
Now does the licensee maintain quality assurance of treatment unit data that is loaded into the treatment planning computers?
(Describe QA of data, QA of loadin are used as a check on the system process, and whether phantoms t
5 1
i i
6.
How are computer calculations for individual patient doses (describe)
D.
Staffing
- Cer
- i Not
- In-FT/PT**
tified Certified Training
~1.
Oncologists(MD):
1 2.
. Physicists (Phys):
3.
.Dosimetrists(Dos):
i 4
Technologists (Tech):
5.
Consultant (C):
6.
Others: Nurse (N)
_ Social Worker ($W) _; Transporter ('fr) _;
Lab Assistants (LA)
_; Technologist Assistants (TA) _ ;
- s ARRT, JimTC8, A08R, etc. Current certification by any national ce FT = Full Time, PT = Part Time E.
Load Number of new Not patients last Applicable year 1.
(
l 2.
X-ray 3.
Electron.
(
!i l
L 6
k'
.a.-sav S
s p,.
. Treatment process for cobalt patients Step *-
Done by**
Reviewed by'*
1.
Clinical Evaluation 2.
_ Therapeutic Decision-Making-
~
3.
Target-Volume Loc 411 ration Definition of tumor Identification of sensitive organs and tissues Measurement of patient Construction of patient contours Shaping of field 4.
Treatment planning Selection of treatment technique Computation of dose distribution i
Calculation of dose / time / volume p,
relatic : hip 5.
Simulation of Treatment Fabrication of Treatment Aids 6.
Construction cf custom blocks, compensating ffiters Selection of immobilization L
devices See = Radiation Oncology in Integrated Cancer Management," 1 If step is not performed write 'NA."
e followingabbreviationsfortheperson If step is performed, use the the position if none of these applies: ' performing the test, or write in
- MD
= oncologist C
= consultant Tr a transporter Phys a physicist N
= nurse 00s = cosimetrist SW Tech = technologist
= social worker LA = lib assistant TA = tech assistant -
l la 1
1 l
s 4
y
- 4) 4 ge <
y 7.-
Treatment Initial verification of L
treatment set-up Verification of accuracy of repeated treatments Continual assessment of equipment performance Peribdic checks of dosimetry, record-keeping 8.
Patient Evaluation Durir.g Treatment 9.
Follow-up Evaluation
- 10. QA Physicial Measurements Weekly spot-checks t
Lo Annual calibration
[
Measurements on-custom patient devices See " Radiation Oncology in Integrated Cancer Management," 1986.
Use abbreviations from page E2-7.
If step is not performed, write "NA."
(
G.
Miscellaneous 1.
Chart reviews How frequently are they scheduled?
a.
b.
Who attends?
'2.
How often does the Itcensee take port films?
3.
On-site continuing education Doesthelicenseesupport(time, tuition, travel) continuing a.
education?
on-site
- YES, N0, off-site YES _ NO.
l b.
How frequently is this provided?
l c.
Who attends?
d.
What kinds of topics are presented? (Give examples)
I 4
On what percentage of patients is a physical measurement made to f
confirm the dose rate for that specific patient?
8
?
i
. ~
c-6-
PART'!!!: BRACHYTHERAPY
. g 4
A.-
Does the-licensee have a brachytherapy program?
(If No, go to pAAT IV: Nuclear Medicine).
YES, _.
N0.
4 s
8.
EquipeMt Total t
- of Sources Not Activity or Seeds on Applicable on Hand Hand 1.
Ces1** inventory:
sci sources 2.
Radium inventory:
l
(
sci
_ sources 3.
Usual fridium inventory on nand:
act seeds 4
Usual iodine seed inventory on hand:
act seed's 5.
High Dose Rate brachytherapy unit:
mci sources 6.
Strontium eye applicator:
sci L
7.
Other (specify):
C; Computer hardware and software (ao not duplicate if same as for teletherapy) 1L 1.
Does the licensee use a computer (or computers) in brachythe[
treatment p1snning1 L
- YES, N0 t
2.'
' Number,. brand, and age of brachytherapy treatment planning
- a. Nua6er:
L
- b. Brand (s):
(
- c. Age (s):
3.
Is the computer system:
E a.
L The same as used for teletherapy?
b.
Dedicated turnkey hardware /sofware package?
c.
Standard desk top computer and off-the-shelf hardware?
..r
- d. _
Other (specify) 4 I
9
~.
il
A-
~
~
~
4.-
1",
4.
What portion of brachytherapy patients have their doses calculated on a computer system?
j$;
~ Percentage Not Applicable cesiva:
5 radium:
5 iridium:
5 p,
iodine:
5 f
5.
.Does the licenMe:
- a. Develop its own software?
fEs NO.
- b. Only use.cosmercially avaiTalTe softiari?
YES N
- c. Sgy and extensively modtfy coemercial softsaTe7_, ~ TIT, O.
NO.
6.
lines the licensae " lock-out" programs that are not to be used on the t reatment planning computers? _ YES, _,NO.
7.
Htw does the licensee maintain quality assurance of treatment unit dau that. is leaded into the treatment planning computers?
(Destribe both QA of data and QA of loading process.)
8.
How are computer calculations for individual patient doses checked?
(describe)
D.
Staffing *
- Cer **
- Not
- In-FT/PT***
tified Certified
.Traintng 1.
Oncologists(MD):
2.
Physicists (Phys):
3.
Desimetrists(Dos):
4.
Techno1c.sts (Tech):
L 5.
Consultant (C):
6.
Others: Nurse (N) _; Social Worker ($W) _; Transporter (Tr) _;
I LabAssistants(LA)
- Tvchnologist Assistents(TA)
W If you completed this information in Part 1: Teletherapy, do not re ARRT, JNMTC8.-A0BRCurrent certification by any nettonal certifying body, such etc.
- A8HP, FT = Full. Time. PtaPartTime 10
_, _ - _ _. _ - - - - - - - - - " ~ ~ ~ ~ ~
'~
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_ - - - - ~
--- - - 3
,m
.w Ei Lead Number of patients Not treated last year Appifcable x.
- 1.
- Cestus i
2.
)
L 3.
Iridius i
]
4 lodine l
5.
High Dose L
Rate Unit' 6.
Strontius N
7.-
Other t
(specify)~
1.
F.
Treatment process for brachytherapy patients Step *-
Done by**
Reviewed by**
1.
Clinical Evaluation 2.
Therapeutic Decision-Making I -
3.
Target Volume Lccalization Definition of tumor Identification of sensitive organs and tissues 4..
Treatment planning a
' Selection of volume for taplantation Appraisal of dosimetry Estimation of tokrance to procedure-Check-off of equipment Arrangement for surgical 9
suite and anesthesia e
See " Radiation Oncology. in Integrated Cancer Management," 1986, 4
Use abbreviations from page E2-7.
If step is not performed, write "NA."
- t 11
-a 4
i
A.'
- a,J'
+-w et.
.,w
-.&a.4 Am2.,-
a m
x-o 4.
O
_a..s.n 9
Step
- Done by**
Reviewed by'$
i c 5.
Treatment Examination of anesthetized patient-Review of. initial treatment t
plan Implantatior..
- 6.
Verification of-implantation __.
,7.
Dosimetry Calculation from actual implantation l.
Establishment of time for 1
removal 8.
Patient Evaluatica During j.
Treatment l
-9.
Removal o' implant 10.
Follow-up Evaluation I
See " Radiation Oncology in Inte Use abbreviations from page E2 grated Cancer Management," 1986..
- 7. 'If step is not performed, write "NA."
G.
~ Miscellaneous Continuing education (so not repeat information provided under Part I: Teletherapy)
'i 1.
Does the licensee support (time, tuition, travel) continuing education?
on-site
- YES, No, l
off-site
- YES, NO.
I 2.
= How frequently is this provided?
L 3.
Who attends?
4 What kinds of topics are presented? (Giveexamples) 12 l
w J
+ +,. < -. -,,
-..- L--- --..-.---
3 PART IV: NUCl. EAR MEDICINE U
K-A.
Ocas the licensee have a nuclear medicine program?
x Yts,.
NO (If NO, the form is complete).
B.
Capital Equipment 1.-
Number,. brand, and age of cameras:
Nue er:
Brand (s Age (s):):
Not Applicable:
2.
Mus6er, brand, and ~ age of imaging manipulation computers 1
Number:
BrandCs Age (s):):-
Not Applicable:
! =-
i.
3.
Number, brand. and age of dose calibrators:
Nue er:
Brand (s Age (s):):
Not Applicable:
4 Nueer, brand, and age of. survey instruments:
Number:
~
Brand (s
)
Age (s):): -
_i Not Applicable:
L la l
T 13
_ r.
1.
C.
-Staffing
- Cer
- i Not i In-FT/PT**'
tified Certified Training 1.
Physicians (MD):
w 2.
Physicists (Phys):
.t 3.
Technologists (Tech):
4.
Technicians (Ten):
- 5. -. Consultant (C):
q 6.
Others: Nurse (N)
- SocialWorker(SW)
- Transporter (Tr) _ ;-
Lab Assistants (LA) _; Technologist Assistants (TA)
Radiopharmacists(RadPh) i ARRT, JNMTC8, A08R, etc. Current certification by any national cert
~4 FT = Full Time, PT = Part Time D.
Number of imagir.g procedures last year:
E..
Clinical process for imaging patients Step Done by**
Reviewed by**
1a.. Dosage Preparation (on-site)
Generator elution Moly test
-Kit reconstitution Tagging test Dosage preparation i
n If step is not performed, write "NA."
If step is performed, use the following abbreviations for the person performing the test, or write in the position if none of these applies:
.MD
=
Phys.
- physician g
C
= consultant LA
= lab assistant-o Tech = physicist M
= nurse TA
= toch. assistant technologist SW
= social worker RadPh = radiopharmacist Ten = technician Tr
. = transporter 14
.h
.m-
Step '.
Done by "
Reviewed byM
,Ib.' Dosage Ordering (nuclear F-pharmacy)-
Prepare order list Y'
Place order Verify packing slip 2.
Referral review 3.
. Scheduling 4.
Dosage administration
(,
l=
5.
!anging and data collection Simple static Simple dynamic Complex dynamic ll 6.
Computer processing of images 7.
Evaluation 8.
QA Physical Measureaants Dose calibrator
= Camera Film processor Use abbreviations from page E2-14.- If stop is not arformed, write "NA."
F.
Miscellaneous Continuing education 1.
Does the licensee support (time, tultion, travel) continuing education?
i co-site YES N0*
off-site ~ YES, NO.
2.
How frequently is this provided?
3.
Who attends?
- 4.. 'hhet kinds of topics are presented? (Give examples) 15 l
9
.... _ -