ML20137Y796
| ML20137Y796 | |
| Person / Time | |
|---|---|
| Issue date: | 05/21/1985 |
| From: | Robert Williams NRC OFFICE OF ADMINISTRATION (ADM), WILLIAMS & ASSOCIATES |
| To: | |
| Shared Package | |
| ML20137Y755 | List: |
| References | |
| CON-FIN-D-1020-5, CON-NRC-02-85-008, CON-NRC-2-85-8 NUDOCS 8510080092 | |
| Download: ML20137Y796 (77) | |
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SOLICITATION,CFFER AND AWARD 1.CegsE[EE n s No"$EcNSYco 1 k
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U.S. Nuclear Regulatory Commission Handcarried offers, which includes " Express Mail Division of Contracts, AR 2223 r delivery by any commercial delivery service, Washington, D.C. 20555 must be delivered to the address in Block 9.
,NOT E : In wissed schcetatens "off er" and " offeror" rreen "tod" and "tedder" SOLICITATlON 9 Saaled offers en or.giner and one (1) ,,, , , ,, ,
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PART 0 - THE SCHE QQLE PART it - CONT R ACT CLAUSE 5 '
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SOI.iciT ATION/CONTR ACT FORM 1 Xl 8 l CONTR ACT CLAUSES X
l 32 B SUPPLIE S O A SE AVICES ANO PAICES/ COSTS 2 PART les - LIST OF DOCUMENTS. E mHIBITS AND OTHE R AYT ACH
^ C DESCAIPTION/ SPECS / WORK ST ATEMENT 2 Xl J l LIST OF ATTACHMENTS l 34 X 0 PACKAGING AND MARKING 14 PART IV - REPRE SE NT ATIONS AND tN57 RUCTIONS X E f NSPECTION AND ACCEPT ANCE 14
^ F REPAESE NT ATIONS CE ATIFICATIONS AND DE ttvE RIES OA PE AFORMANCE 14 x OTHE A STATEMENTS OF OF FE AORS
^ G 35 CONT A ACT ADMINIST A ATION DATA 20 X L INST AS . CONOS . AND NOTICES TO OF F E A A H 4O SPE CI AL CONTR ACT REOul AE ME NTS 25 X M EVALUATION F ACTORS FOR AWARD 45 OF F E R ikt be M/y completed by ottrrori NOTE stem 17 oori not mooiv ' the sohcitet.on enctudes the promens et 62 214 16. Menemum Sus Acreatence Period 12 in comphence mth the stew, the unoers.gned agrees ef this offer es accepted mehen dO ceienoer cars (so c Jender deve e.nless e different Pened is eneertee by one erre,oo from the ante for receipt of of ters specified abo =e. to furnish any or eit items upon evnich preces are offered at the price set opposite esce item.detevered at the ces.gnered point (s). mthin the time specified en the schedwie 13 DISCOUNT FOA PAOMPT PAYMENT to CALENOAh DAvb 10 C ALENDAk QAv b L ALENOak OA v g tsee section I, cne ee No sg 222 so fl40 CALENDAhy OAv5 14 ACKNOWLEDGMENT OF AMENOME NTS AME NDMENT NO DATE AMENDMENT NO DATE (The efferer erknewtedsee reernPt of emend i ments so the SOLICITA TION for offerere end y* g '
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RFP RS-NMS-85-008 Page 2 l
Section B - Supplies or Services and Prices / Costs B.1 Brief Description of Work The contractor shall provide technical assistance to the U.S. Nuclear Regulatory Comission (NRC) in its review of the U.S. Department of Er.ergy (DOE) site investigations for a potential high-level radioactive waste (HLW) geologic repository. The contractor shall evaluate methods of data collection and testing strategies related to hydrogeologic characterization and assessments.
B.2 (Offeror should provide Cost and Fee infonnation)
A.
2G Tota 1 Estimated Cost.................. .....$ ~ C [,,Jr s-S/g Fixed Fee............................. .....$ .?9'9t2 ,
Tota l Estimated Cost Plus Fixed Fee. . . . . . . ..$ 39f, ree '
, B.3 Remittance Address '
If item 15c. of the Standard Fonn 33 has been checked, the offerar shall enter the remittance address below.
Name:
Address:
Section C - Description / Specifications / Work Statement C.1 Statement of Work C.I.1 Background The NRC is responsible for ensuring that facilities for disposal of l
high-level radioactive waste (HLW) are sited, designed, constructed, operated, and decomissioned properly (NRC Rule 10 CFR 60) such that Environmental Protection Agency (EPA) standards (40 CFR 191) for release of radionuclides from a geologic repository will not be exceeded. DOE has responsibility for the siting, design, construction, and operation of a geologic repository for the disposal of HLW as directed in the Nuclear Waste Policy Act of 1982 (NWPA, P. L.97-425, January 7,1983).
Prior to submitting a license application for a HLW repository to the NRC, the DOE will conduct site screening studies and detailed site characterization studies at a number of potential repository sites.
Presently, DOE is conducting site studies in five geologic media:
i Basalt (Pasco Basin, Hanford Reservation, Washington); Tuff (Yucca Mountain, Nye County, Nevada); Bedded Salt (Pala Duro Basin, Texas and
RFP RS-NMS-85-008 Page 3 Paradox Basin, Utah); Domal Salt (Gulf Interior Salt Dome Basin; Richton Dome and Cypress Creek Dome in Mississippi, Vacherie Dome in Louisiana);
i and Crystalline Rock (no specific sites at this time).
In order to fulfill NRC licensing responsibilities, the NRC staff will i
be critically evaluating DOE's site screening and characterization programs and other pre-licensing activities. The NRC staff reouires i assistance in the review of DOE site investigations and NRC's program to
! provide pre-licensing to DOE, specifically on evaluating j existing information g(uidance data) and associated site hydrogeologic investigations (data collection, analysis, and interpretation);
evaluating plans for future DOE hydrogeologic investigations (such as i planned testing strategies) and evaluating the conceptual models of j groundwater systems (i.e., hcw the groundwater systems function).
l Hydrogeology is a multi-disciplined field. In addition to hydraulics it
- includes the integration of hydrochemistry, stratigraphy, structural
- geology, and geophysics into an understanding of groundwater flow systems. Two contracts are therefore solicited. The first contract (Project A) under this Solicitation No. NMS-85-008 will emphasize
! evaluating methods of data collection and testing strategies related to i
hydrogeologic characterization and assessments. The second contract (Project B) under a separate Solicitation No. NMS-85-009 will emphasize the integration of data into conceptual models of groundwater flow j systems including numerical analyses of these systems considering both existing and anticipated future conditions. These two contracts, which are based upon comon sets of site issues, will provide a broad base of
{ experience so DOE site investigations can be evaluated in detail.
/
l C.I.2 Contract Objectives The purpose of NRC reviews of DOE programs and products for any i
potential geologic repository is to determine whether the information i presented by DOE is sufficient to address fully the perfonnance
- objectives and other requirements of 10 CFR 60. For each site under i consideration by DOE the NRC either has developed or will develop
{ specific site issues that must be addressed and resolved to complete the j licensing assessment of site or design suitability in terms of 10 CFR
- 60. Io accomplish the NRC purpose, reviews accomplished under this
] contract are intended to help determine the following:
i j (1) Issues related to site hydrogeologic characteristics of potential geologic repositories in terms of: (a) Design and construction and
- (b) long-term containment and isolation.
t j (2) Priority of issues based on: (a) Significance to repository i performance; - (b) Uncertainties of investigative and analytical
! methods, techniques and findings; (c) Present status of resolution.
a (3) Information needed to resolve issues.
(4) Degree to which existing information serves to resolve issues.
RFP RS-NMS-85-008 Page 4 (5) Adequacy of DOE plans to resolve issues.
In order to assist the NRC technical staff in identifying and resolving specific site issues and performing reviews of DOE programs and products in the context of such issues, the contractor shall provide technical expertise in:
(1) Reviewing and identifying groundwater issues.
(2) Reviewing the large volume of data, such as site data reports and technical documents, being generated continuously by DOE and their contractors at each site.
(3) Reviewing and preparing site-specific technical reports (variable by 5 site, addressing specific technical concerns related to resolution of specific issues).
(4) Preparing letter reports on technical subjects.
(5) Participating in NRC/ DOE technical reviews and meetings.
(6) Reviewing and providing input to Generic Technical Positions.
In addition, the contractor shall provide assistance in reviews of major DOE site reports such as Site Characterization Plans (NWPA, -Sec. 113 (b)(1)) and Site Characterization Plan Updates (NWPA, Sec.-113 (b)(3)).
i C.1.3 Scope of Work The . contractor shall provide technical assistance to the NRC technical staff by performing the specified tasks. The approximate percentage of total project effort (excluding travel and direct costs) expected to be devoted to each task is indicated after the task number in each major task title. Tasks whose need or detailed work elements are as yet uncertain have been included in the form of options. The Contracting Officer (CO) may exercise any or all of these options 'by written notice to the contractor within the contract period. If the NRC exercises its option to require additional work as described herein as optional tasks, the cost to perform such work and the delivery schedule shall be negotiated by the NRC Contracting Officer and a funded modification to the contract will be issued to the contractor. Failure to agree to any adjustments shall be a dispute under the Disputes Clause. However, nothing in this option provision shall excuse the contractor from performance of the option as exercised, subject to the Limitation of Funds Clause.
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RFP RS-NMS-85-008 Page 5 TASK I (24%): TECHNICAL ASSISTANCE IN REVIEWING THE HYDR 0GE0 LOGIC INVESTIGATIONS OF THE NEVADA NUCLEAR WASTE STORAGE INVESTIGATIONS PROJECT (NNWSI)
Subtask 1.1: Site Familiarization (NNWSI)
Upon initiation of the contract, the contractor will be provided with a list of documents pertinent to NNWSI hydrogeology, including copies of the most significant documents. The contractor shall become familiar with the record of past NRC/D0E interaction in pre-licensing discussions of the NNWSI Program and the existing NNWSI hydrogeology data base so that each of the technical issues in Exhibit 1 (Hydrology Issues for Nevada Nuclear Waste Storage Investigations Project, NNWSI STP-1.0, Uraft August 1984) and the status of their resolution to date are understood clearly and so that any other technical issues or technical concerns can be identified. Within two (2) months after initiation of the contract, the contractor shall submit a letter report containing:
A. A list of all documents dither obtained independently by the contractor
- or received from the NRC Project Officer.
B. Recommendations for the addition, deletion, and/or modi fication of issues identified in Exhibit 1, if appropriate, including a technical rationale for each recocrendation.
Subtask 1.2: Review of 00E Site Activities, Reports and Other Reles:nt Technical Documents (NNWSI) 00E is now conducting major programs of laboratory and field testing related to the hydrogeology of both the saturated and unsaturated zones. Early and ongoing technical reviews are essential to assure that this work is providing infomation needed for licensing. These reviews involve evaluating specific data and detailed information on how data were collected and analyzed to establish independently data relevance and quality.
Effective review requires keeping current with the large volume of data being generated to assure DOE's program is directed toward resolving licensing issues. Therefore, it is anticipated that work under this subtask will continue throughout the period of performance of this contract.
Rev.iews under this subtask shall be in two forms:
A. The contractor shall review and comment on 00E NNWSI data reports and technical by the NRC documents and other relevant technical documents as directed Project Officer. Reviews shall include a brief sumary of the document, evaluation of the technical quality of the document and a discussion on how the document is related to or affects issue resolution 3 (refer to Exhibit 2 for an example fonnat). It is estimated that such document reviews will vary in length from three (3) to ten (10) pages depending on the depth of infomation in the document. The contractor shall be allowed two (2) weeks to review any and each individual document. It is estimated that the contractor will be required to review thirty-six (36) documents per year throughout the period of performance of this contract.
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RFP RS-NMS-85-008 Page 6 I I
B. The contractor shall participate in NRC/00E technical meetings related to NNWSI site activities. These meetings will involve discussion, reviews of data, and plans for future testing. It is estimated that the contractor will participate in two (2) NRC/ DOE technical meetings (one in Silver Spring, Maryland, and one in Nevada) and one (1) site field trip (5 days duration, each) per year during the period of perfomance of this contract.
Subtask 1.3: Conceptual Model Evaluation (NNWSI)
The contractor shall evaluate existing conceptual models of the groundwater flow system (in particular, radionuclide transport pathways) based on data /information developed in Subtasks 1.1 and 1.2. In addition, the contractor shall determine the need to develop and evaluate alternate conceptual models which may be supported by the existing data base. If such alternate conceptual models are supported by the existing data base, the contractor shall continue to develop and evaluate them. Evaluation of conceptual models shall consider both regional and local (Yucca Mountain) scales including both the saturated and unsaturated zones. Appropriate consideration should be given to geologic, hydrogeologic, geophysical and hydrochemical information when evaluating and/or developing the conceptual models.
Within five (5) months after initiation of the contract the contractor shall submit a letter report containing the qualitative evaluation of conceptual models. This evaluation shall include:
A. Descriptions B. Illustrations C. Geologic, hydrogeologic, geophysical, and hydrochemical bases D. Consideration of anticipated future conditions E. Discussions of areas of uncertainty j F. Areas of additional data needs The contractor shall be required to update conceptual models semi-annually throughout the period of performance of this contract.
Subtask 1.4: Review of Site Characterization Plan (NNWSI)'(0ptional Task)
Under NWPA (Sec. 113 (b)(1)) DOE is required to develop a Site Characterization Plan for sites nominated as a candidate repository. Upon receipt of an SCP the NRC will have, at most, four months to complete review of this comprehensive document (Refer to Exhibit 3, SCP Review Plan).
However, uncertainties in publication date and in knowledge of which specific sites are to be nominated preclude development cf a detailed task
' at this time. Therefore, this task shall take the fom of an option which may be exercised at the discretion of the NRC.
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Subtask 1.5: Review of Site Characterization Plan Updates (NNWSI)
(Optional Task)
Under NWPA (Sec.113 (b)(3)) DOE is required to report to the NRC not less ;
than once every six (6) months on the nature and extent of site characterization activities and the information developed from such activities. Any necessary changes to the site characterization plan will be ,
included in these updates. However, uncertainties in publication date of the SCP and in knowledge of which specific sites are to be nominated preclude development of a detailed task at this time. Therefore, this task shall take the fann of an option which may be exercised at the discretion of the NRC.
TASK 2 (24%): TECHNICAL ASSISTANCE IN REVIEWING THE HYDROGE0 LOGIC INVESTIGATIONS OF THE BASALT WASTE I50LATION PROJECT (BWIP)
Subtask 2.1: Site Familiarization (BWIP)
Upon initiation of the contract, the contractor will be provided with a list of documents pertinent to BWIP hydrogeology including copies of the most significant documents. The contractor shall becoma familiar with the record of past NRC/ DOE interaction in pre-licensing discussions of the BWIP program and the existing BWIP hydrogeology data base so that each of the technical issues in Exhibit 4 (Hydrology Issues for the Basalt Waste Isolation Project, BWIP STP-1.0, Draf t August 1984) and the status of their resolution to date are understood clearly and ~ so that any other technical issues or technical concerns can be identified. Within three (3) months after initiation of ' the contract the contractor shall submit a letter report containing:
A. A list of all documents either obtained independently by the contractor or received from the NRC Project Officer..
B. Recommendations for the addition, deletion, and/or modification of issues identified in Exhibit 4, if appropriate, including a technical rationale for each reconinendation.
Subtask 2.2: Review of DOE Site Activities, Reports, and Other Relevant Technical Documents (BWIP)
DOE is now conducting major programs of laboratory and field testing related to hydrogeology. Early and ongoing technical reviews are essential to assure that this work is providing information needed for licensing. These reviews involve evaluating specific data and detailed information on how data were collected and analyzed to establish independently data relevance and quality. Effective review requires keeping current with the large volume of data being generated to assure DOE's program is directed toward resolving licensing issues. Therefore, it is anticipated that work under this subtask will continue throughout the period of performance of this
-contract. Reviews under this subtask shall be in two fanns: .
RFP RS-NMS-85-008 Page 8 A. The contractor shall review and comment on DOE BWIP data reports and technical documents and other relevant technical documents as directed by the NRC Project Officer. Reviews shall include a brief summary of the document-, evaluation of the technical quality of the document and a discussion on how the document is related to or affects issue resolution (refer to Exhibit 2 for an example format). It is estimated that such document reviews will vary in length from three to ten pages depending on the depth of information in the document. The contractor shall be allowed two weeks to review any and each individual document. It is estimated that the contractor will be required to review thirty-six (36) documents per year throughout the period of performance of this contract.
B. The contractor shall participate in NRC/ DOE technical meetings related to BWIP site activities. These meetings will involve discussions and/or review of data, information or plans for future testing. It is estimated that the contractor will participate in two (2) NRC/ DOE technical meetings (one in Silver Spring, Maryland and one in Hanford, a
Washington) and one (1) site field trip (5 days duration, each) per year during the period of performance of this contract.
Subtask 2.3: Conceptual Model Evaluation (BWIP)
The contractor shall evaluate existing conceptual models of the groundwater flow system (in particular, the importance of fracture flow and radionuclude transport pathways) based on data /infornation developed in Subtasks 2.1 and 2.2. In addition, the contractor shall determine the need to develop and evaluate alternate conceptual models which may be supported by the existing data base. If such alternative conceptual models are supported by the existing data base, the contractor shall continue to develop and evaluate
- them. Evaluation of conceptual models shall consider both regional and local scales. Appropriate consideration should be given to geologic, hydrologic, geophysical, and hydrochemical information when evaluating and/or developing the conceptual models.
Within six (6) months after initiation of the contract the contractor shall submit a letter report containing the qualitative evaluation of conceptual models. This evaluation shall include:
A. Descriptions B. Illustrations l C. Geologic, hydrologic, geophysical, and hydrochemical bases D. Consideration of anticipated future conditions E. Discussion of areas of uncertainty F. Areas of additional data needs The contractor will be required to update conceptual models semi-annually throughout the period of performance of this contract.
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Subtask 2.4: Review of Site Characterization Plan (BWIP) (Optional Task)
Under NWPA [Sec. 113 (b)(1)] DOE is required to develop a site characterization plan for sites nominated as a candidate repository. Upon receipt of an SCP the NRC will have, at most, four months to complete review of this comprehensive document (refer to Exhibit 3, SCP Review Plan).
However, uncertainties in publication date and in knowledge of which
, specific sites are to be nominated preclude development of a detailed task Therefore, this task shall take the form of an option which at this time.
may be exercised at the discretion of the NRC.
Subtask 2.5: Review of Site Characterization Plan Updates (BWIP)
(00tional Task)
Under NWPA [Section 113 (b)(3)] DOE is required to report to the NRC not less than once every six (6) months on the nature and extent of site characteriztion activities and the information developed frcm such activities. Any necessary changes to the site characterization plan will be included in these updates. However, uncertainties in publication date of the SCP and in knowledge of which specific sites are to be nominated preclude development of a detailed task at this time. Therefore, this task shall take the form of an option which may be exercised at the discretion of the NRC upon the issuance of a change order in accordance with the Changes Clause 52.243-2 set forth herein.
TASK 3 (247.): TECHNICAL ASSISTANCE IN REVIEWING THE HYDROGE0 LOGIC INVESTIGATIONS OF THE SALT REPOSITORY PROJECT OFFICE SALT SITES (SRPO)
Currently, DOE is involved in regional site screening activities at seven separate locations listed under Subtask 3.1 below. Because of these widespread activities and relative newness of the SRP0 program the amount and depth of local-scale site s the NNWSI (Task 1)pecific and BWIPinformation is considerably (Task 2) programs. less than It is assumed available that during the for period of performance of this contract DOE will make site-screening decisions which will narrow the range of potential salt sites from seven to perhaps one or i
two. DOE's draft EAs have prioritized the sites under Subtask 3.1 below. Given
- this uncertainty and the need for an independent NRC review of the SPR0 program, Task 3 has been assigned 24 percent of the level of effort required for the entire contract. DOE decides to pursueIf, during)thetwo (2 period ofsalt separate performance of this complete sites through contract, site characterization, the NRC may exercise its option to increase the scope of work by dividing Task 3 into two major tasks, for two separate salt sites.
, Subtask 3.1: Site Familiarization (SRPO)
Upon initiation of the contract, the contractor will be provided with a list of documents pertinent to hydrogeology of the SRP0 salt sites including i copies of the most significant documents. The contractor shall beccme familiar with the record of past NRC/00E interaction in pre-licensing discussions of the SRP0 program and the existing SRP0 hydrogeology data bases for the salt sites. These sites and the approximate fraction of resources to be applied under this task are as follows:
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RFP RS-NMS-85-008 Page 10 !
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A. Palo Duro Basin (2 general sites) 50%
B. Paradox Basin (2 general sites) 20%
C. Richton Dome 20%
D. Cypress Creek Dome 5%
E. Vacherie Dome 5%
The contractor shall become familiar with these data so that each of the technical issues in Exhibits 5, 6, and 7 (Respectively: Hydrology Issues for the Paradox Bedded Salt Basin, Paradox STP-1.0, Draf t August, 1984; Hydrology Issues for the Palo Duro Bedded Salt Basin, Palo Duro STP-1.0, Draft August, 1984; Hydrology Issues for Gulf Coast Interior Salt Domes, Domes STP-1.0, Draft August 1984) and the status of their resolution to date are understood clearly and so that any other technical issues or technical concerns can be identified. Within four (4) months after initiation o' n contract, the contractor shall submit a letter report containing:
A. A list of all documents either obtained independently by the contractor or received from the NRC Project Officer.
B. Recommendations for the addition, deletion, and/or modification of issues identified in Exhibits 5, 6, and 7, if appropriate, including a technical rationale for each recommendation.
Subtask 3.2: Review of DOE Site Activities, Reports and Other Relevant Technical Documents (SRPO)
DOE is now conducting major programs of laboratory and field testing related to hydrogeology. Early and ongoing technical reviews are essential to assure that this work is providing information needed for licensing. These reviews involve evaluating specific data and detailed information on how data were collected and analyzed to establish independently data relevance and quality. Effective review requires keeping current with the large volume of data being generated to assure DOE's program is directed toward resolving licensing issues. Therefore, it is anticipated that work under this subtask will continue throughout the period of performance of this contract. Reviews under this subtr.sk shall be in two forms:
i A. The contract shall review and comment on DOE SRPO data reports and technical by the NRC documents and other relevant technical documents as directed Project Officer. Reviews shall include a brief summary of the document, evaluation of the technical quality of the document and a discussion on how the document is related to or affects issue resolution (refer to Exhibit 2 for an example fennat). It is estimated that such document reviews will vary in length from three (3) to ten (10) pages depending on the depth af information in the document. The contractor shall be allowed two (2) weeks to review any and each individual document. It is estimated that the contractor will be required to review thirty-six (36) documents per year throughout the period of performance of this contract.
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l RFP RS-NMS-85-008
- Page 11 B. The contractor shall participate in NRC/ DOE technical meetings related to SRP0 site activities. These meetings will involve discussion and/or review of data, information , or plans for future testing. It is i estimated that the contractor will participate in two (2) NRC/ DOE SRP0 technical meetings (one in Silver Spring, Maryland and one at the DOE salt site; for bidding purposes, the meeting is expected to be held in Columbus, Ohio) and one (1) field trip to SRP0 sites (approximately 5 days duration, each) per year during the period of performance of this contract.
Subtask 3.3: Conceptual Model Evaluation (SRPO)
The contractor shall evaluate existing conceptual models (in particular, radionuclide transport pathways) of regional groundwater flow systems and, if feasible based on available information, the local-scale groundwater flow systems of SRP0 sites identified by the NRC Project Officer. This l evaluation shall be based on data /information developed under Subtasks 3.1 and 3.2 and previous efforts by NRC staff (Exhibits 8, 9, and 10). In addition, the contractor shall determine the need to develop and evaluate i
alternate conceptual models which may be supported by the existing data base. Appropriate consideration should be given to geologic, hydrologic, i
geophysical, and hydrochemical information when evaluating and/or developing j the conceptual models.
Within seven (7) months after initiation of the contract, the contractor shall submit a letter report containing the qualitative evaluation of conceptual models. This evaluation shall include:
A. Descriptions B. Illustrations C. Geologic, hydrologic, geophysical and hydrochemical bases D. Consideration of anticipated future conditions E. Discussion of areas of uncertainty i F. Areas of additional data needs The contractor will be required to update conceptual models semi-annually throughout the period of performance of this contract.
Subtask 3.4: Review of Site Characterization Plan (SRP0) (Optional Task)
- Under NWPA
[Sec. 113 (b)(1)] DOE is required to develop a Site Characterization Plan for sites nominated as a candidate repository. Upon receipt of an SCP the NRC will have, at most, four months to complete review of this comprehensive document (Refer to Exhibit 3, SCP Review Plan).
l However, uncertainties in publication date and in knowledge of which specific sites are to be nominated preclude development of a detailed task at this time. Therefore, this task shall take the form of an option which i may be exercised at the discretion of the NRC.
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i Subtask 3.5: Review of Site Characterization Plan Updates (SRPO)
(Optional Task) i Under NWPA [Sec.113 (b)(3)) DOE is required to report to the NRC not less !
than once every six months on the nature and extent of site characterization
! activities and the information developed from such activities. Any j necessary changes to the site characterization plan will be included in these updates. However, uncertainties in publication date of the SCP and in knowledge of which specific sites are to be nominated preclude development 4 of a detailed task at this time. Therefore, this task shall take the form of an option which may be exercised at the discretion of the NRC.
1 i TASK 4 (OPTIONAL): TECHNICAL ASSISTANCE IN REVIEWING THE HYDROGE0 LOGIC INVESTIGATIONS OF THE CRYSTALLINE ROCK PROJECT (CRP)
! DOE is now attempting to identify potentially acceptable sites for the second
! HLW repository as required under NWPA. As indicated in 00E's draft Mission Plan for the Civilian Radioactive Waste Management Program (Apa . 1954), starting in i
i
) 1985, the reference schedule calls for issuing:
Draft regional characterization reports i
1.
l 2. Draft area recommendation reports (FY 1985) j 3. Draft area characterization plans These reports lead to area characterization to evaluate site suitability for nomination and recommendation for site characterization. Given the very early stages of the Crystalline Rock Project program and uncertainties in the detailed reference schedule, development of a detailed task is precluded at this time.
However, active involvement of the NRC and this contractor in regional and area investigations of DOE's CRP program is anticipated during the period of performance of this contract. Therefore, this task shall take the form of an option which may be exercised at the discretion of the NRC.
1 l
TASK 5 (28'4): PREPARATION AND REVIEW OF ISSUE-RELATED TECHNICAL REPORTS FOR POTENTIAL DOE HLW REPOSITORY SITES Based on work done previously by the NRC and by the contractor under previous '
- tasks of this contract, specific hydrogeologic site issues will have been 1
identified and refined for each site identified by DOE as a potential HLW
- repository site. Specific issues are usually questions about significant conditions and processes (information needed) that must be considered in assessing the performance objectives of 10 CFR 60. During NRC's review of DOE i
site characterization programs, specific technical questions or concerns are anticipated to arise related to:
j A. Information needed to resolve issues.
- B. Degree to which existing information, investigative methodology and t
techniques serve to resolve issues.
l C. Adequacy of DOE plans to resolve issues.
i e i . .
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---,-,-,..-,---,r,- , , . ,-..,.,,--.._,,-..--_e-.---,._m- --.-,,-,-.,,,.m- _ -
RFP RS-NMS-85-008 Page 13 I
Technical reports prepared by the contractor under this subtask will be used as
- technical support in preparation of either specific Site Technical Positions (STPs) or Generic Technical Positions (GTPs) by NRC technical staff. Given the uncertain and anticipated variable nature of these reports it is impossible to j specify either topical areas or level of effort required for any individual
- technical report at this time.
The contractor shall prepare issue related technical reports on topical areas j
' identified and as directed by the NRC Project Officer. It anticipated that .
efforts under this subtask will continue throughout the period of performance of 1 this contract. The total level of effort for this subtask is anticipated not to exceed twenty-eight (28) percent of the total contract level of effort.
l All Exhibits referred to under Section C.1.3 are contained in Attachment No. 7 1
of this contract.
C.2 level of Effort The NRC's estimate of the total of scientific and technical effort for this project is individually specified under each Section of the Statement of Work. This information is advisory and is not to be considered as the sole basis for the development of your staffing plans.
You must detail how you intend to accomplish each objective covered i herein.
q C.3 Meetinas and Travel The contractor shall conduct meetings and travel as described in:
- 1. Subtask 1.2
- 2. Subtask 2.2 .
j 3. Subtask 3.2 1
Dates, times, and objectives for all meetings and site visits will be specified by the NRC Project Officer.
l Ih addition, it is estimated that the contractor shall participate in two meetings of three days duration in Silver Spring, Maryland during i each year of the period of performance of this contract. The first meeting will be an introductory meeting to discuss all aspects of this
' contract. Other such meetings will review progress and products produced under this contract.
C.4 Government-Furnished Material At the initiation of this contract, the NRC will provide the contractor
] with copies of the following:
- 1. 10 CFR 60
- 2. List of documents cited in Subtasks 1.1, 2.1, and 3.1 l
4 i
RFP RS-NMS-85-008 l Page 14
- 3. Copies of key NRC documents relevant to Subtasks 1.1, 2.1, and 3.1 1
j Secticn D - Packaging and Marking The Contractor shall use standard comercial packaging for all items to j be delivered. On the front of the package, the Contractor shall clearly .
j identify the contract number under which the product is being provided.
j Section E - Inspection and Acceptance i
l Section F - Deliveries and Performance F.1 Reports, Documentation and Other Deliverable End Items i
j The reports listed below are to be prepared in accordance with NRC
{ Manual Chapter 3202 (Attachment 5).
! F.1.1 Monthly Progress Reports !
)
j By the 15th day of each calendar month, the contractor shall submit a progress report in letter fomat which sunrnarizes the following for each major task and subtask:
l (1) Technical work perfomed during the previous month, including: !
j a. key milestones achieved;
- b. meetings or field trips attended with reference-to letter trip j reports submitted. !
! (2) Cost expenditures for the month, including cumulative cost !
{ expenditures to date, ,
i (3) Personnel assigned and their time expenditures including cost expenditures listed separately for each person during the previous month and cumulative time expenditure to date.
i j (4) Projection of costs by month to completion of work effort for the ;
] current fiscal year (October 1 to September 30).
~
j lhe report shall also state the amount of cumulative cost expenditures j to date and the percent that amount bears to the total funds which have been allotted to this contract. The Limitation of Funds Clause requires i
the contractor to give 60 days notice when costs it expects to incur, when added to all costs previously incurred, will exceed 75 percent of the total amount so far allotted to the contract.
In addition, each monthly report shall include a discussion of potential
{ or actual contractual problem areas and their impacts. If the schedule has slipped or if costs exceed projection as reported under F.1.1(4),
I this shall be stated and the rea.ons explained.
i
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RtP RS-NMS-85-008 ;
Page 15 ;
The first monthly letter progress report shall provide the cost j projection and detailed schedule of work. Subsequent reports shall 4
either indicate revised projections or indicate no change in cost and project schedules.
l F.1.2 Draft and Final Reports j Unless otherwise specified the following reporting requirements shall be performed:
The contractor shall prepare the letter reports specified under Tasks 1, 2, 3, and 5. All contract correspondence shall be consecutively numbered. Draf t and final reports shall be prepared in accordance with NRC Manual Appendix 3202 " Formal Contractor Documents" (Attachment No.
! 3). The draft shall meet the format requirements of the final report; shall have been edited and reviewed by the contractor; and with the possible exception of a few minor editing corrections, shall be ready to be published as a final report if NRC has no coments. All final reports shall include a camera ready copy, duplicate copies, and '
, microfiche as specified under Section F.1.5. Prior to submittal of a j
' final report, all coments shall be mutually resolved by the NRC Project Officer and the contractor. The contractor shall submit copies of the draft and final reports in accordance with Section F.1.5, Report Distribution.
i 4 Each draft and final report will include a list of references. A system of cioss references between the text of the report and the list of
{
i references shall be used. In all areas where " work by others" is reviewed and used, the contractor shall specify which conclusions are
- his and which are those of the original author.
! F.1.3 Reports of Meetings and Field Trips i
1 The contractor shall prepare letters reporting on meetings and field i trips conducted under Subtasks 1.2, 2.2, and 3.2. These letters shall
! be received within ten (10) working days of completion of the meeting or i field trip unless otherwise specified by the task description or the NRC
! Project Officer. Copies of letters shall be submitted by the contractor j in accordance with Section F.1.5, Report Distribution.
F.1.4 Report Copies on Microfiche Microfiche is required of all final reports that are not published as
- part of a NUREG document. Final reports to be published by the NRC i
shall be submitted using an OCR script type in a format that is optically scannable by the Division of Technical Infonnation and i
Document Control or in an alternative format specified by the NRC
! Project Officer. The specifications for this microfiche are listed on Attachment F.1.5, ReportNo. 6 and the distribution is in accordance with Section Distribution.
l 1
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- -r99--wyv--,n-y. ,.-i--w.-*-.-----my ,m-- p..yn.-e.w-,,%,, p-.-y,y-w*e+v-g -wem 9 .
9w.-.w- g--. - , .p.-,y,
- RFP RS-NMS-8b-008 Pcge 16
{ F.1.5 Report Distribution I Letters of l Meetings,
- Trips and i Document Camera Micro
! Reviews Progress Draft Final Ready Fiche
- Project Officer 1 1 6 6 1 i
Office of the Director, 1 1 1 1 0 NMSS (ATTN: Project j Support Branch) i Division of Waste MGMT 1 2 2 2 0 (ATTN: Division Diretor)
Contracting Officer 1 1 1 1 0 1
1 Geotechnical Branch 1 1 1 1 0 1
(ATTN: BranchChief)
Division of Technical 1*
l Information and
}
t Document Control (ATTN: Docunent 1 Management Branch)
Division of Waste 1**
Managemant (ATTN:
Docket Control Center) '
?
Master i
i ** Duplicate i .
i F.1.6 Submission of Documents to the NRC Public Document Room i
All technical high-level waste contractor documents will be transmitted i
j to the NRC Public Document Room (PDR) and appropriate Local Public
' Document Rooms (LPDRs) by the Division of Waste Management. All administrative documents, e.g., finanical reports, should be submitted separately from technical reports. Proprietary documents must be properly identified in accordance with 10 CFR Part 2.790, Availability of Official Records, and will not be submitted to the PDRs.
I l
4 RFP RS-NMS-85-008 Page 17 F.1.7 Quality Assurance Procedures 4
For all letters as well as draft final reports delivered under this contract, the contractor shall assure that an independent review and
- verification of all numerical computations and mathematical equations and derivations are performed by qualified contractor personnel other i than the original author (s) of the reports. If the contractor proposed ,
) to verify / check less than 100 percent of all computations and !
mathematical equations and derivations in the report (s), (such as might be the case when there are a large number of routine, repetitive
! calculations), the contractor must first obtain written approval from
- the NRC Project Officer. Computer-generated calculations will not i
require verifications where the computer program has already been
! verified.
j In addition, for all letters and reports, including those which do not contain numerical analyses, a technical project' management review shall
- be conducted prior to submission to the NRC. All reports shall be J
annotated to indicate that the review and verification has been accomplished prior to their submission to the NRC. This may be i accomplished 'by use of a ccver letter accompanying the report if prefereable.
F.2 Duration of Contract Period l'
This contract shall become effective on either the date of award or the effective date as otherwise specified and shall continue for twenty-four l
s (24) months, with three (3) twelve-month options to extend, thereafter.
F.3 Performance Schedule The following is a schedule to be used in the performance of this j contract:
1 Activity Schedule (Time after contract award date) ,
- 1. Contract Award 0 week
- 2. Contractor Receives NRC furnished Material I week i
TASK 1: TECHNICAL ASSISTANCE IN REVIEWING
! THE HYDROGE0 LOGIC INVESTIGATIONS i
0F THE NEVADA NULLEAR WASTE STORAGE
- INVESTIGATIONS PROJECT (NNWSI)
Subtask 1.1 Site Familiarization (NNWSI)
! 3. Submit letter report 2 months I
t I -
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I RFP RS-NMS-85-008 i Page 18 l
- Activity Schedule j
' (Time af ter contract award date)
! Subtask 1.2 Review of DOE Site Actitivies, Reports and Other Relevant Technical Documents (NhW5I) 4 Submit document reviews 2 weeks after receipt (ongoing) j 5. Attend meetings As directed by NRC Project Officer (ongoing)
Subtask 1.3 Conceptual Model Evaluation l (NNW51)
- 6. Submit letter report 5 months Subtask 1.4 Review of Site Characterization Optional j Plan (NNW5I)
Subtask 1.5 Review of Site Characterization Optional P1an-(NhW5I)
Task 2: TECHNICAL ASSISTANCE IN REVIEWING
~ THE H)DROGE0 LOGIC INVESTIGATION 5 OF THE BASALT WASTE'ISOLATI0h j
PROJECT (BWIP)
Subtask 2.1 Site Familiarization BWIP
! 7. Submit letter report 3 months
! Subtask 2.2 Review of DOE Site Activities, Reports, and Other Relevant Documents (BWIP)
- 8. Submit document reviews 2 weeks after receipt i 4
(ongoing) 1 9. Attend meetings As directed by NRC Project l Officer (ongoing) !
! Subtask 2.3 Conceptual Model Evaluation l i
(BWIP) 4 i
- 10. Submit letter report 6 months
- Subtask 2.4 Review of Site Characterization Optional j Plan (BWIP) -
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- - - - - - - -,_,---n... -r-,,,,mnw...,-- -, e,n_-nn,.n,,7___,-n, . . . - , . _ m
RFP RS-NMS-85-008 Page 19 Activity Schedule (Time after contract award date)
Subtask 2.5 Reviews of Site Characterization Optional Plan (BWIP)
TASK 3: TECHNICAL ASSISTANCE IN REVIEWING THE HYDROGE0 LOGIC INVESTIGATIONS OF THE SALT REPOSITORY PROJECT OFFICE SALT SITES (5RPO)
Subtask 3.1 Site Familiarization (SRPO)
- 11. Submit letter report 4 months Subtask 3.2 Review of 00E Site Activities Reports and Other Relevant Technical Documents (SRPO)
- 12. Submit document reviews 2 weeks after receipt (ongoing)
- 13. Attend meetings As directed by the NRC ProjectOfficer(ongoing)
Subtask 3.3 Conceptual Model Evaluation (SRPO) 14 Submit letter report 7 months Subtask 3.4 Review of Site Characterization Optional Plan (SRPO)
Subtask 3.5 Review of' Site Characterizationi Optional Plan (SRPO)
TASK 4: TECHNICAL ASSISTANCE IN PEVIEWING Optional THE HYDR 0 GEOLOGIC INVESTIGATIONS OF CRYSTALLINE ROCK PROJECT (CRP)
TASK 5: PREPARATION AND REVIEW OF ISSUE RELATED TECHNICAL REPORT 5 FOR POTENTIAL 00E HLW REPOSITORY SITES
- 15. Submit technical report As directed by NRC ProjectOfficer(ongoing)
I
RFP RS-NMS-@5-008 Page 20 Section G - Contract Administration Data G1 Consideration Estimated Cost, Fixed Fee and Obligation
- 1. It is estimated that the total cost to the Government
- for full performance of this contract will be $ , of which the sum of $
- represents the estimated reimbursable costs, and of which 5
- represents the fixed fee.
- 2. Total funds currently available for payment and allotted to this contract are S *
, of which 5
- represents the estimated reimbursable costs, and of which $
- represents the fixed fee.
- 3. It is estimated that the amount currently allotted will cover performance of which is scheduled to be completed months from the effective date of the contract.
- To be incorporated into any resultant contract.
G.2 Overhead / General and Administrative Rates A. Pending the establishment of final overhead rates which shall be negotiated based on audit of actual costs, the Contractor shall be reimbursed for allowable* indirect costs hereunder at the provisional rate of
- percent of .
B. Pending the establishment of final general and administrative rates which shall be negotiated based on audit of actual costs, the Contractor shall be reimbursed for allowable indirect costs hereunder at the provisional rate of
- percent of
- C. Notwithstanding A. and B. of this Section, said provisional overhead and G&A rates may be adjusted as appropriate during the term of the contract upon the acceptance of such revised rates by the Contracting Officer.
- To be incorporated into any resultant contract.
G.3 Payment of Fixed Fee Payment of fixed fee shall be in accordance with paragraph (b) of clause
! 52.216-8 entitled " Fixed Fee" and the NRC billing instructions in Part III, Section J.
l l
l RFP RS-NMS-85-008 Page 21 '
G.4 Technical Direction A. Performance of the work under this contract shall be subject to the technical direction of the NRC Project Officer named in Section G.5 of this contract. The term " Technical Direction" is defined to include the following:
- 1. Technical direction to the Contractor which shifts work emphasis between areas of work or tasks, requires pursuit of certain lines of inquiry, fills in details or otherwise serves to accomplish the contractual scope of work.
- 2. Providing assistance to the Contractor in the preparation of drawings, specifications or technical portions of the work description.
- 3. Review and where required by the contract, approval of technical reports, drawings, specifications and technical infomation to be delivered by the Contractor to the Government under the contract.
B. Technical direction must be within the general scope of work stated in the contract. The Project Officer does not have the authority to and may not issue any technical direction which:
- 1. Constitutes an assignment of additional work outside the general scope of the contract.
- 2. Constitutes a change as defined in the clause of the General Provisions, entitled " Changes."
l 3. In any way causes an increase or decrease in the total estimated contract cost, the fixed fee, if any, or the time required for contract perfnmance.
4 Changes any of the expressed terms, conditions or specifications of the contract.
C.
ALL TECHNICAL DIRECTIONS SHALL BE ISSUED IN WRITING BY THE PROJECT OFFICER OR SHALL BE CONFIRMED BY SUCH PERSON IN WRITING WITHIN TEN (10) WORKING DAYS AFTER VERBAL ISSUANCE. A copy of said written direction shall be submitted to the Contracting Officer.
The Contractor shall proceed promptly with the performance of technical directions duly issued by the Project Officer in the manner prescribed by this article and within such person's authority under the provisions of this article.
4
1 RCP RS-NMS-85-008 Page 22 If, in the opinion of the Contractor, any instruction or direction issued by the Project Officer is within one of the categories as defined in B(1) through (4) above, the Contractor shall not proceed 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 modification or advise the Contractor in writing that, in the Contracting Officer's opinion, the technical direction is within the scope of this article and does not constitute a change under the Changes Clause.
D. Any unauthorized commitment or direction issued by the Project Officer may result in an unnecessary delay in the Contractor's performance, .and may even result in the Contractor expending funds for unallowable costs under the contract.
E. A failure of the parties to agree upon the nature of the instruction or direction or upon the contract action to be taken with respect thereto shall be subject to the provisions of the contract clause entitled " Disputes."
G.5 Project Officer A. The individual (s) listed in "B" below is (are) hereby designated as the Contracting Officer's authorized representative (hereinafter called Project Officer) for technical aspects of this contract. The Pro.iect Officer is not authorized to approve or reauest any action which results in or could result in an increase in contract cost; or terminate, settle any claim or dispute arising under the contract, or issue any unilateral oirective whatever.
The Project Officer is responsible for: (1) monitoring the Contractor's technical progress, including surveillance and assessment of performance, and recommending to the Contracting Officer changes in requirements; (2) interpreting the scope of work; (3) performing technical evaluation as required; (4) perfoming technical inspections and acceptances required by this contract; and (5) assisting the Contractor in the resolution of technical problems encountered during performance. Within the purview of this authority, the Project Officer is authorized to review all costs requested for reimbursement by Contractors and submit recommendations for approval, disapproval, or suspension for supplies / services required under the contract. The Contracting Officer is responsible for directing or negotiating any changes in tems, conditions, or amounts cited in the contract.
For guidance from the Project Officer to the Contractor to be valid, it must: (1) be consistent with the description of work set forth in the contract; (2) not constitute new assignment of work or change to the expressed terms, conditions or specifications incorporated into this contract; (3) not constitute a basis for an extension to
! RFP RS-NMS-85-008 j Page 23 the period of performance or contract delivery schedule; and, as
! stated above, (4) not constitute a basis for any increase in the
! contract cost.
j B. Name and Mail Code: *
- Office Address:
- Telephone Number:
- j
- To be incorporated into any resultant contract G.6 Travel Reimbursement The Contractor will be reimbursed for the following reasonable domestic travel costs incurred directly and specifically in the performance of
{ this contract and accepted by the Contracting Officer:
- 1. Per diem shall be reimbursed at a daily rate not to exceed 550.00.
The per diem amount is comprised of lodging expense plus $23.00 for meals and miscellaneous expense, the total of which shall not exceed the daily rate.
1
- 2. When travel is to one of the high-rate geographical areas listed below, actual subsistance costs shall be reimbursed at a daily rate l not to exceed the rates indicated:
1
- Area Dail_v Rate i 3. The cost of travel by privately owned automcbile shall be reimbursed j at the rate of 20.Sc per mile.
4 The cost of travel by rented automobile shall be reimbursed on a i reasonable actual expense basis.
l
! 5. All coninon carrier travel reimbursable hereunder shall be via j economy class rates when available. If not available, reimbursement vouchers will be annotated that economy class accommodations were j not available. First-class air travel is not authorized.
4 l 6. Receipts are required for coninon carrier transportation, lodging and j miscellaneous items in excess of $25.00.
i
! 7. The rates provided shall remain in effect until such time as a
}' unilateral contract modification is issued by the Contracting Officer, reflecting (FTR). changes (increases or decreases) in the Federa Travel Regulations l .
t l
- To be incorporated into resultant contract.
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RFP RS-NMS-85-008
- Page 24 G.7 Payment Due Date l
- ' (a) Payments under this contract will be due 30 calenaar days after the later of
(1) The date of actual receipt of a proper invoice (original and 4
- copies) to
t i
U.S. Nuclear Regulatory Commission Division of Accounting and Finance 4
Office.of Resource Management j ATTN: GOV /COM Accounts Section l Washington, D.C. 20555 l or 7
(2) The date the final deliverable product / service is accepted by the Government.
(b) For the purpose of determining the due date for payment and for no other purpose, acceptance will be deemed to occur 30 calendar days 1
after the date of delivery of the final deliverable product / service l perfomed in accordance with the terms of the contract.
(c) If the final product / service is rejected for failure to conform to i the technical requirements of the contract, the provisions in paragraph (b) of this caluse will apply to the new delivery of the final product / service.
l (d) The date of payment by wire transfer through the Treasury Financial Communications System shall be considered the date payment is made
! for individual payments exceeding $25,000. The date a check is issued shall be considered the date payment is made for individual payments of $25,000 or less.
! G.8 Invoice Recuirements Invoices shall be submitted in an original and 4 copies to:
U.S. Nuclear Regulatory Commission Division of Accounting and Finance Office of Resource Management i
ATTN: GOV /COM Accounts Section >
! Washington, D.C. 20555.
4
! To constitute a proper invoice, the invoice must include the following i
information and/or attached documentation:
l (1) Name of the business concern and invoice date, i
! (2) Contract number or other authorization for delivery of property or
! services. i l
(
l .
) RFP RS-NMS-85-008 j Page 25 l
] (3) Description price and quantity of property and services actually I delivered or rendered, l
]
(4) Shipping and payment terms.
(5) Name (where practicable), title, phone number, and complete mailing i
address of responsible official to whom payment is to be sent.
! (6) Other substantiating documentation or information as required by the j contract.
i G.9 Interest on Overdue Payments (a) The Prompt Payment Act, Public Law 97-177 (96 STAT. 85, 31 USC 1801)
) is applicable to payment of the expiration invoice under this i l contract and requires the payment of interest to Contractors on
- overdue payments of the expiration invoice or improperly taken
] discounts.
I i (b) Determinations of interest due will be made in accordance with the provisions of the Prompt Payment Act and Office of Management and j Budget Circular A-125, Vol. 47 Federal Register 37321, August 25, l 1982. Among other considerations, OMB Circular A-125 provides that:
(1) Interest penalties are not required when payment is delayed l becau:e of a disagreement over the amount of payment or other i issues concerning compliance with the terms of the contract, j
(2) Whenever a proper invoice is paid after the due date plus 15
! days, interest will be included with the payment at the interest i
rate applicable on the payment date. Interest will be computed
- from the day after the due date through the payment date.
1 i
(c) For purposes of this clause, an expiration invoice is defined as a l claim submitted for costs incurred for perfonnance through the i expiration date of a Cost Type contract.
Section H - Special Contract Requirements i
H.1 Key Personnel 4
(a) The following individuals are considered to be essential to the successful performance of the work hereunder.
i
- To be incorporated into any resultant contract l
i
' The Contractor agrees that such personnel shall not be removed from the contract work or replaced without compliance with paragraphs (b) and (c) i hereof.
~
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l RFP RS-NMS-85-008 l Page 26 (b) If one or more of the key personnel for whatever reason becomes, or is expected to become, unavailable for work under this contract for a continuous period exceeding 30 work days, or is expected to devote substantially less effort to the work than indicated in the proposal or initially anticipated, the Contractor shall immediately notify the Contracting Officer and shall, subject to the concurrence of the j Contracting Officer or his authorized representative, promptly replace such personnel with personnel of at least substantially equal ability and qualifications. .
(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 requested by
- the Contracting Officer or needed by him to approve or disapprove the
- proposed substitution. The Contracting Officer or his authorized representative will evaluate such requests and promptly notify the Contractor of his approval or disapproval thereof in writing.
! (d) If the Contracting Officer determines that suitable and timely replacement of key personnel who have been reassigned, terminated or have otherwise become unavailable for the contract work is not reasonably forthcoming or that the resultant reduction of productive effort' would be so substantial as to impair the successful completion of the contract or the service order, the contract may be terminated by the i
Contracting Officer for default or for the convenience of the j
Government, as appropriate, or, at the discretion of the Contracting i
Officer if he finds the Contractor at fault for the condition, the contract price or fixed fee may be equitably adjusted downward to contpensate the Government for any resultant delay, loss or damage.
H.2 Consultant or Other Comparable Employment Services of Contractor Employees (OMB Clearance humber 3150-0112)
)
i The Contractor shall require all employees who are employed full-time l (an individual who performs work under the cost-type contract on a
! full-time annual basis) or part-time (50 percent or more of regular annual compensation received under terms of a contract with the Commission) on the contract work to disclose to the Contractor all i consultant or other comparable employment services which the employees i proposed to undertake for others. The Contractor shall transmit to the Contracting Officer all information obtained from such disclosures. The j Contractor will require any employee who will be employed full-time on the contract to agree, as a condition of his participation in such work, that he will not perform consultant or other comparable employment i
services for another Conunission cost-type Contractor under its contract with the Commission except with the prior approval of the Contractor.
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RFP RS-NMS-85-008 Page 27 H.3 Safety, Health, and Fire Protection The Contractor shall take all reasonable precautions in the perfomance d
of the work under this contract to protect the health and safety of employees and of members of the public and to minimize danger from all hazards to life and property and shall comply with all health, safety, and fire protection regulations and requirements (including reporting requirements) of the Commission and the Department of Labor. In the event that the Contractor fails to comply with said regulations or requirements, the Contracting Officer may, without prejudice to any other legal or contractual rights of the Comission, issue an order stopping all or any part of the work; thereaf ter, a start order for resumption of work may be issued at the discretion of the Contracting Officer. The Contractor shall make no claim for an extension of time or for compensation or damages by reason of or in connection with such work stoppage.
Dissemination of Contract Information (OMB Clearance Number 3150-0112)
The Contractor shall not publish, pemit to be published, or disseminate to the public any information, oral or written, concerning the work i perfomed under this contract without the prior written consent of the Contracting Officer. Two copies of any infomation proposed to be published or disseminated shall be submitted to the Contracting Officer.
Failure to comply with this clause shall be grounds for termination of this contract.
H.S Private Use of Contract Information and Data Except as otherwise specifically authorized by Section H., publication of contract work under this contract, or as otherwise approved by the Contracting Officer, information and other data developed or acquired by or furnished the Contractor in the perfomance of this contract, shall be used only in connection with the work under this contract.
H.6 Drawings, Designs, and Specifications All drawings, sketches, designs, design data, specifications, notebooks, technical and scientific data, and all photographs, negatives, reports, findings, recomendations , data and memoranda of every description relating thereto, as well as all copies of the foregoing relating to the work or any part thereto, shall be subject to inspection by the Comission at all reasonable times (for which inspection the proper facilities shall be afforded the Commission by the Contractor and its subcontractors), shall be the property of the Government and may be used by the Government for any purpose whatsoever without any claim on the part of the Contractor and its subcontractors and vendors for additional compensation and shall, subject to the right of the Contractor to retain a copy of said 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 completion or l
l
RFP RS-NMS-85-008 Page C8 termination of this contract. The Contractor's right of retention and use shall be subject to the security, patent, and use of information provisions, if any, of this contract.
H.7 Proprietary Data rad Confidential Information In connection with the performance of the work under this contract, the Contractor (trade secretsmay )be furnished, orormay or confidential developtechnical, privileged or acquire,business, proprietary ordata financial infomation, including Comission plans, policies, reports, financial plans, internal data protected by the Privacy Act of 1974 (P.L.93-579), or other infomation which has not been released to the public or has been detemined by the Commission to be otherwise exempt from disclosure to the public. Contractor agrees to hold such infomation in confidence and not to directly or indirectly duplicate, disseminate, or disclose such information in 'whole or in part to any other person or organization except as may be necessary to perform the work under this contract. Contractor agrees to return such infomation to the Comission or otherwise dispose of it 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 completion or termination of this contract. Failure to comply with this clause shall be grounds for termination of this contract.
H.8 Contractor Orcanizational Conflicts of Interest (OMB Clearance Number 7I30-0112)
(a) Purpose. The primary purpose of this clause is to aid in ensuring that the Contractor: (1) Is not placed on a conflicting role because of current er planned interest (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and (2) does not obtain an unfair competitive advantage over other parties by virtue of its perfomance of this contract.
(b) Scope. The restrictions described herein shall apply to perfomance or participation by the Contractor as defined in 41 CFR 620-1.5402(f) in the activities covered by this clause.
(c) Work for Others. Notwithstanding any other provision of this contract, during the tem of this contract, the Contractor agrees to forgo entering into consulting or other contractual arrangements with
- any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being performed under this contract. The Contractor shall ensure that all employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause. If the Contractor believes with respect to itself or any such employce that any 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 execution of such contractual arrangement.
RFP RS-NMS-85-008 j
Page 29 I
(d) Disclosure after award.
l (1) The Contractor warrants that to the best of its knowledge and i i
belief and except as otherwise set forth in this contract. it does
' not have any or anizational conflicts of interest, as defined in 41 CFR 20-1.5402(a .
1 (2) The Contractor agrees that if after award it discovers i organizational conflicts of interest with respect to this contract,
' it shall make an imediate and full disclosure in writing to the Contracting Officer. This statement shall include a description of the action which the Contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, terminate the contract for convenience if it deems such temination to be in i the best interests of the Government.
t j (e) Access to and use of information.
I (1) If the Contractor in the performance of this contract obtains access to informa tion , such as NRC plans, policies, reports, i
studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L.93-579), or data which has not been released to the
- public, the Contractor agrees not to
j- (i) Use such infomation for any private purpose until the information has been released to the public; i
(ii) compete for work for the Commission based on such
! information for a period of six (6) months af ter either the completion of this contract or the release of such information to the public, whichever is first; I
', (iii) submit an unsolicited proposal to the Government based on such information until one year af ter the release of such infremation to the public, or l
(iv) release the infomation without prior written approval by i the Contracting Officer unless such information has ,
i !
previously been released to the public by the NRC. ;
I (2) In addition, the Contractor agrees that to the extent it
- receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L.93-579), or other confidential or privileged technical, business, or financial information under this contract, the Contractor shall treat such infomation in accordance :
l with restrictions placed on use of the information. '
(3) The Contractor shall have, subject to patent and security provisions of this contract, the right to use technical data it produces under this contract for private purposes provided that all requirements of this contract have been met.
l 1
i l
I
RFP RS-NMS-85-008 i Page 30 l 1 >
l (f) Subcontracts. Except as provided in 41 CFR 20-1.5402(h), the !
Contractor shall include this clause, including this paragraph, in !
I subcontracts of any tier. The terms " con t rac t ," " Con tractor," and l
} " Contracting Officer," shall be appropriately modified to preserve the
- Government's rights.
(g) Remedies. For breach of any of the above prescriptions or for !
- intentional nondisclosure or misrepresentation of any relevant interest 1 1 required to be disclosed concerning this contract or for such erroneous l l representations as necessarily imply bad faith, the Government may i i terminate the contract for default, disqualify the Contractor from subsequent contractual efforts, and pursue other remedies as may be
} permitted by law or this contract. 1 1 (h) Waiver. A request for waiver under this clause shall be directed in writing through the Contracting Officer to the Executive Director for l Operations (ED0) in accordance with the procedures outlined in ,
- 620-1.5411. -
H.9 Method of Payment i
i (a) Payment under this contract will be made by wire transfer through the Treasury Financial Comunications System for each individual j payment in excess of $25,000 and by Treasury check for each i i individual payment of $25,000 or less. l a
j (b) Within seven days after the effective date of the contract, the {
l Contractor shall forward the following infonnation in writing to the i
Contracting Officer to facilitate wire transfer of contract i payments. In the event that the Contractor's financial institution i
has access to the Federal Reserve Comunications System Contractor i
shall complete all items except items 7 - 9. In the event the Contractor's financial institution does not have access to the Federal Reserve Communications System, Contractor shall complete all items except item 4 I 1. Name and address of organization {
l
{ 2. Contact person and telephone number i 3. Name and address of financial institution
! 4 Financial institutions's 9-digit ABA identifying number for
- routing transfer of funds
! 5. Telegraphic abureviation of financial institution
- 6. Account number at your financial institution your financial !
institution receives electronic funds transfer messages through, if it does not have access to the Federal Reserve Communications System e
9 L
} I
RFP RS-NMS-85-008 Page 31
- 7. Name and address of the correspondent financial institution your financial institution receives electronic funds transfer messages through, if it does not have access to the Federal Reserve Communications System
- 8. Correspondent financial institution 9-digit ABA identifying number for routing transfer of funds
- 9. Telegraphic abbreviation of correspondent financial institution i
- 10. Signature and title of person supplying this information (c) Any changes to the information furnished under paragraph (t') of this clause shall be furnished to the Contracting Officer in writing. It is the Contractor's responsibility to furnish these changes promptly 1
to avoid payments to erroneous bank accounts.
I 4
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RFP RS-NMS-85-008 Page 32 l
PART II - CONTRACT CLAUSES l Section I - Contract Clauses j 52.217-9 OPTION TO EXTEND THE TERM 0F THE CONTRACT--SERVICES. (APR1984)
(a) The Government may extend the tenn of this contract by written notice to
- the Contractor within the time specified in the Schedule; provided, that the l Government shall give the Contractor a preliminary written notice of its intent j to extend at least 60 days before the contract expires. The preliminary notice does not comit the Government to an extension.
(b) If the Government exercises this option, the extended contract shall be
- considered to include this option provision.
q (c) The total duration of this contract, including the exercise of any 4
options under this clause, shall not exceed five (5) years, t
(End of clause i
(R7-104.27(c)
) R 1-1.1508-2(d)
- 52.252-2 CLAUSES INCORPORATED BY REFERENCE. (APR1984)
This contract incorporates the following glauses 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, a
j I.FEDERALACQUISITIONREGULATION(48CFRCHAPTER1) CLAUSES l Section E 1
2 52.246-5 INSPECTION OF SERVICES--COST-REIMBURSEMENT. (APR 1984)
Section F i 52.212-13 STOP-WORK ORDER.-- Alternate 1 (APR 1984) i Section I .
52.202-1 DEFINITIONS. (APR 1984) l 52.203-1 0FFICIALS NOT TO BENEFIT. (APR1984) 52.203-3 GRATUITIES. (APR 1984)
. 52.203-5 COVENANT AGAINST CONTINGENT FEES. (APR 1984)
{ 52.215-1 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL. (APR1984) l 52.215-2 AUDIT--NEGOTIATION. (APR 1984) 52.215-22 PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA. (APR 1984) 52.215-23 PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA--
l MODIFICATIONS. (APR 1985)
- 52.215-24 SUBCONTRACTOR COST OR PRICING DATA. (APR1985)
!' 52.215-25 $UBCONTRACTOR COST OR PRICING DATA--MODIFICATIONS.(APR 1985)
- 52.215-30 FACILITIES CAPITAL COST OF MONEY. (APR1984)
- 52.215-31 WAIVER OF FACILITIES CAPITAL COST OF MONEY. (APR1984) i l . .
RFP RS-NMS-85-008 Page 33 52.216-7 ALLOWABLE COST AND PAYMENT. (APR 1984) 52.216-8 FIXED FEE. (APR 1984) 52.219-8 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL DISADVANTAGED BUSINESS CONCERNS. (APR 1984)
~52.219-9 SMALL BUSINESS AND SMALL DISADVANTAGED BUSINESS SU8 CONTRACTING PLAN. (APR 1984) 52.219-13 UTILIZATION 0F WOMEN-0WNED SMALL BUSINESSES. (APR 1984) 52.220-4 LABOR SURPLUS AREA SUBCONTRACTING PROGRAM. (APR 1984) 52.222-1 NOTICE TO THE GOVERNMENT OF LABOR DISPUTES. (APR 1984) 52.222-3 CONVICT ' ABOR. (APR 1984) 52.222-26 EQUAL OPPORTUNIT'<. (APR 1984) 52.222-28 EQUAL OPPORTUNITY PREAWARD CLEARANCE OF SUBCONTRACTS. (AFR 1984) 52.222-35 AFFIRMATIVE ACTION FOR SPECIAL DISABLED AND VIETNAM ERA VETERANS (APR 1984) 52.222-36 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS (APR 1984) 52.223-2 CLEAN AIR AND WATER. (APR 1984) 52.227-1 AUTHORIZATION AND CONSENT. (APR 1984) 52.227-2 NOTICE AND ASSISTANCE, REGARDING PATENT AND COPYRIGHT INFRINGEMENT. (APR 1984) 52.228-7 INSURANCE LIABILITY TO THIRD PERSONS. (APR 1984) 52.230-3 COST ACCOUNTING STANDARDS. (APR1984) 52.230-4 ADMINISTRATION OF COST ACCOUNTING STANDARDS. (APR 1984) 52.232-17 INTEREST. (APR 1984) 52.232-20 LIMITATION OF COST. (APR 1984) 52.232-22 LIMITATION OF FUNDS. (APR 1984) 52.232-23 ASSIGNMENT OF CLAIMS. (APR 1984) 52.233-1 DISPUTES. (APR 1984) 52.242-1 NOTICE OF INTENT TO DISALLOW COSTS. (APR1984) 52.243-2 CHANGES--COST-REIM8URSEMENT. (APR 1984)--Alternate II.
(APR 1984) 52.244-2 SUBCC.': TRACTS UNDER COST-REIM8URSEMENT AND LETTER CONTRACTS.
(APR 1984) 52.244-5 COMPETITION IN SUBCONTRACTING. (APR 1984) 52.245-5 GOVERNMENT PROPERTY (C0ST-REIMBURSEMENT, TIME-AND-MATERIAL, OR LABOR-HOUR CONTRACTS). (APR 1984) 52.246-25 LIMITATION OF LIA81LITY--SERVICES, (APR 1984 52.249-6 52.249-14 TERMINATION (COST-REIMBURSEMENT). (APR1984))
EXCUSABLE DELAYS. (APR 1984)
. .- .- - - _ . _ _ . _ - . . _ . - - - - _ _. . . ~ _ _ . --
RFP RS-NMS-85-008 i Page 34 PART III - LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS Section J - List of Attachments Attachment Number Title ,
1 NRC Organization Chart 1
2 NRC Contractor Organizational Conflicts of Interest (41 CFR Part 20) 3 NRC Manual Chapter 3202 4 4 Standard Form 1411 with Instructions 5 Billing Instructions '
l 6 Microform Specifications for Division of Waste Management l Contracts 7 List of Exhibits 4
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RFP RS-NMS-85-008 Page 35 PART IV - REPRESENTATIONS AND INSTRUCTIONS Section K - Representations. Certifications and Other Statements of Offerors or quoters K.1 FAR Provisions 52.203-4 CONTINGENT FEE REPRESENTATION AND AGREEMENT. (APR 1984)
(a) Representation. The offeror represents that, except for full-time bona fide employees working solely for the offeror, the offeror--
Note: The offeror must check the appropriate boxes. For interpretation of the representation, including the term " bona fide employee," see Subpart 3.4 of the Federal Acquisition Regulation.
(1) / / has, / / has not employed or retained any person or company to solicit or obtain this contract; and (2) / / has, / / has not paid or agreed to pay to any person or company employed or retained to solicit or obtain this contract any commission, percentage, brokerage, or other fee contingent upon or resulting from the award of this contract.
(b) Aareement. The offeror agrees to provide information relating to the above Representation as requested by the Contracting Officer and, when subparagraph (a)(1) or (a)(2) is answered affirmatively, to promptly submit to the Contracting Officer--
(1) A completed Standard Form 119, Statement of Contingent or Other Fees, (SF 119); or (2) A signed statement indicating that the SF 119 was previously submitted to the same contracting office, including the date and applicable
, solicitation or contract number, and representing that the prior SF 119 applies to this offer or quotation.
i (End of provision)
(R 7-2002.1 1974 APR)
(R 1-1.505) 52.215-6 TYPE OF BUSINESS ORGANIZATION. (APR 1984)
The offeror or quoter, by checking the applicable box, represents that it operates as / / a corporation incorporated under the laws of the State of
......................, / / an individual, / / a partnership, / / a nonprofit organization, or / / a joint venture.
(End of provision)
(R SF 198, Para 4,1976 JUNE) 52.215-11 AUTHORIZED NEGOTIATORS. (APR 1984)
The offeror or quoter represents that the following persons are authorized to negotiate on its behalf with the Government in connection with this request for proposals or quotations:
i
, - - , - , m. m.--,.,-v- . . - . , , - , _m ., ._w-. ._---p-,.~--,%- -- , .,-y-,w--..m ,--,-,, .,-
RFP RS-NMS-85-003 P;.ge 36 Name Title Telephone Number (End of provision)
(R 3-501(b) Sec K (iv)) :
52.219-1 SMALL BUSINESS CONCERN REPRESENTATION. (APR1984)
The offeror represents and certifies as part of its offer that it / / is,
/ / is not a small business concern and that / / all,/ / not all supplies to
. be furnished will be manufactured or produced by a small business concern in the United States, its possessions, or Puerto Rico. "Small business concern," as used in this provision, means a concern, including its affiliates, that is independently owned and operated, not dominant in the field of operation in which it is bidding on Government contracts, and qualified as a small business under the size standards in this solicitation.
(End of provision)
(R 3-501(b)(3), Part IV, Section K, (1)(A) 1979 SEP) 52.219-2 SMALL DISADVANTAGED BUSINESS CONCERN REPRESENTATION. (APR 1984)
(a) Reoresentation. The offeror represents that it / / is, / / is not a small disadvantaged business concern.
(b) Definitions.
" Asian-Indian American," as used in this provision, means a United States citizen whose origins are in India, Pakistan, or Bangladesh.
"Asf an-Pacific American," as used in this provision, means a United States citizen whose origins are in Japan, China, the Philippines, Vietnam, Korea, Samoa, Guam, the U.S. Trust Territory of the Pacific Islands, the Northern Mariana Islands, Laos, Cambodia, or Taiwan.
" Native Americans," as used in this provision, means American Indians, Eskimos, Aleuts, and native Hawaiians.
"Small business concern," as used in this provision, means a concern, i
including its affiliates, that is independently owned and operated, not dominant
- in the field of operation in which it is bidding on Government contracts, and qualified as a small business under the criteria and size standards in 13 CFR 121.
"Small disadvantaged business concern," as used in this provision, means a small business concern that (1) is at least 51 percent owned by one or more individuals who are both socially and economically disadvantaged, or a publicly owned business having at least 51 percent of its stock owned by one or more socially and economically disadvantaged individuals and (2) has its management and daily business controlled by one or more such individuals.
(c) Oualified aroups. The offeror shall presume that socially and economically disaovantaged individuals include Black Americans, Hispanic' Americans, Native Americans, Asian-Pacific Americans, Asian-Indian Americans, and other individuals found to be qualified by the SBA under 13 CFR 124.1.
(End of provision)
(R 7-2003.74 1980 AUG)
(R 3-501(b)(3), Part IV, Section K, (i)(B) 1980 AUG) l l
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RFP RS-NMS-85-008
- Page 37 52.219-3 WOMEN-0WNED SMALL BUSINESS REPRESENTATION. (APR 1984)
(a) Representation. The offeror represents that it / / is, / / is not a women-owned small business concern.
(b) Definitions.
"Small business concern," as used in this provision, means a concern, including its affiliates, that is independently owned and operated, not dominant in the field of operation in which it is bidding on Government contracts, and qualified as a small business under the criteria and size standards in 13 CFR 121.
" Women-owned," as used in this provision, means a small business that is at least 51 percent owned by a woman or women who are U.S. citizens and who also control and operate the business.
(End of provision)
(R FPR Temp. Reg 48 1978 DEC) 52.222-21 CERTIFICATION OF NONSEGREGATED FACILITIES. (APR 1984)
(a) " Segregated facilities," as used in this provision, means any waiting i
rooms, work areas, rest rooms and wash rooms, restaurants and other eating areas, time clocks, locker rooms and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees, that are segregated by explicit j
directive or are in fact segregated on the basis of race, color, religion, or national origin because of habit, local custom, or otherwise.
(b) By the submission of this offer, the offeror certifies that it does not and will not maintain or provide for its employees any segregated facilities at any of its establishments, and that it does not and will not pennit its employees to perform their services at any location under its control where segregated facilities are maintained. The offeror agrees that a breach of this certification is a violation of the Equal Opportunity clause in the contract.
(c) The offeror further agrees that (except where it has obtainea identical
' certifications from proposed subcontractors for specific time periods) it will--
(1) Obtain identical certifications from proposed subcontractors before the award of subcontracts under which the subcontractor will be subject to the Equal Opportur. '
ause; (2) Retain the certifications in the files; and (3) Forward the following notice to the proposed subcontractors (except if the proposed subcontractors have submitted identical certifications for specific time periods):
NOTICE TO PROSPECTIVE SUBCONTRACTORS OF REQUIREMENT FOR CERTIFICATIONS OF NONSEGREGATED FACILITIES.
A Certification of Nonsegregated Facilities must be submitted before the award of a subcontract under which the subcontractor will be subject to the Equal Opportunity clause. The certification may be submitted either for each subcontract or for all subcontracts during a period (i.e., quarterly, semiannually, or annually).
_- =- - -
RFP RS-NMS-85-008 Page 38 NOTE: The penalty for making false statements in offers is prescribed in 18 U.S.C. 1001.
(End of provision)
(R 7-2003.14(b)(1)(A) 1970 AUG)
(R 1-12.803-10(d))
52.222-22 PREVIOUS CONTRACTS AND COMPLIANCE REPORTS. (APR 1984)
The offeror represents that--
(a) It / / has, / / has not participated in a previous contract or subcontract subject either to the Equal Opportunity clause of this solicitation, the clause originally contained in Section 310 of Executive Order No.10925, or i
the clause contained in Section 201 of Executive Order No. 11114; (b) It / / has, / / has not, filed all required compliance reports; and (c) Representations indicating submission of required compliance reports, signed by proposed subcontractors, will be obtained before subcontract awards.
(End of provision)
(R 7-2003.14(b)(1)(B) 1973 APR) 52.222-25 AFFIRMATIVE ACTION COMPLIANCE. (APR 1984)
The offeror represents that (a) it / / has developed and has on file, / /
has not developed and does not have on file, at each establishment, affimative action programs required by the rules and regulations of the Secretary of Labor (41 CFR 60-1 and 60-2), or (b) it / / has not previously had contracts subject to the written affirmative' action programs requirement of the rules and regulations of the Secretary of Labor.
(End of provision)
(R 7-2003.14(b) 1979 SEP)
(R 1-12.805-4) 52.223-1 CLEAN AIR AND WATER CERTIFICATION. (APR 1984)
The Offeror certifies that--
(a) Any facility to be used in the performance of this proposed contract is
/ /, is not / / listed on the Environmental Protection Agency List of Violating Facilities; (b) The Offeror will immediately notify the Contracting Officer, before award, of the receipt of any communication from the Administrator, or a designee, of the Environmental Protection Agency, indicating that any facility that the Offer or proposes to use for the performance of the contract is under consideration to be listed on the EPA List of Violating facilities; and (c) The Offeror will include a certification substantially the same as this certification, including this paragraph (c), in every nonexempt subcontract.
(End of provision)
(AV 7-2003.71 1977 JUN)
(AV 1-1.2302-1) 1 e e
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RFP RS-NMS-85 008 Page 39 52.230-2 COST ACCOUNTING STANDARDS NOTICES AND CERTIFICATION (NONDEFENSE). (APR 1984)
Note: This notice does not apply to small businesses or foreign governments.
(a) Any contract over $100,000 resulting frcm this solicitation shall be subject to Cost Accounting Standards (CAS) if it is awarded to a business unit that is currently performing a national defense CAS-covered contract or subcontract, except when--
(1) The award is based on adequate price competition; (2) The price is set by law or regulation; (3) The price is based on established catalog or market prices of commercial items sold in substantial quantities to the general public; or (4) One of the exemptions in 4 CFR 331.30(b) applies (also see Federal Acquisition Regulation (FAR) 30.301(b)).
(b) Contracts not exempted from CAS shall be subject to full or modified coverage as follows:
(1) If the business unit receiving the award is currently performing a national defense contract or subcontract subject to full CAS coverage (4 CFR 331), this contract will have full CAS coverage and will contain the clauses from the FAR entitled Cost Accounting Standards (52.230-3) and Administration of Cost Accounting Standards (52.230-4).
(2) If the business unit receiving the award is currently performing a national defense contract or subcontract subject to modified CAS coverage (4 CFR 332), this contract will have modified coverage and will contain the clauses entitled Disclosure and Consistency of Cost Accountin Administration of Cost Accounting Standards (52.230-4)g Practices (52.230-5) and A. Certificate of CAS Applicability The offeror hereby certifies that--
/ / The offeror is not performing any CAS-covered national defense contract or subcontract. The offeror further certifies that it will imediately notify the Contracting Officer in writing if it is awarded any national defense CAS-covered contract or subcontract subsequent to the date of this certificate but before the date of the award of a contract resulting from this solicitation.
(If this statement applies, no furthe =dfication is required.)
/ / The offeror is currently performing a negotiated national defense contract or subcontract that contains the Cost Accounting Standards clause at FAR 52.230-3.
/ / The offeror is currently performing a negotiated national defense contract or subcontract that contains the Disclosure and Consistency of Cost Accounting Practices clause at FAR 52.230-5.
B. Additional Certification--CAS Applicable Offerors
/ / The offeror subject to Cost Accounting Standards further certifies that practices used in estimating costs in pricing this proposal are consistent with the practices disclosed in the Disclosure Statement where it has been submitted pursuant to CAS Board regulations (4 CFR 351).
C. Data Required--CAS Covered Offerors
_w
RFP RS-NMS-85-008 Page 40 The offeror certifying that it is currently performing a national defense contract containing either CAS clause (see A above) is required to furnish the name, address (including agency or department component), and telephone number of the cognizant Contracting Officer administering the offeror's CAS-covered contracts.
, Name of Contracting 0fficer:....................................
Address:........................................................
Telephone Number:...............................................
(End of provision)
(R 1-3.1203-3(b))
! Section L - Instructions, Conditions, and Notices to Offerors or Quoters L.1 Small Businest Size Standard and Product Classification The supplies / services described herein are classified in the Standard Industrial Classification Manual as Number 7391. The small business standard is $7.5 million.
L.2 Award Notification and Commitment of Public Funds All offerors will be notified of their selection or nonselection as soon as possible. Formal notification of nonselection will not be made until a contract has been awarded.
It is also brought to your attention that the Contracting Officer is the only individual who can legally commit the Government (i.e., the NRC) to expenditure of public funds in connection with this procurement. This means that unless provided in a contract document or specifically authorized by the Contracting Officer, NRC technical personnel cannot issue contract modifications, give informal contractual commitments or otherwise bind, commit, or obligate the NRC contractually. Informal contractual commitments include such actions as:
- a. encouraging a potential Contractor to incur costs prior to receiving a contract. *
- b. requesting or requiring a Contractor to make changes under a contract without formal contract modifications,
- c. encouraging a Contractor to incur costs under a cost-reimbursable contract in excess of those costs contractually allowable, and
~
- d. committing the Government to a course of action with regard to a potential contract, contract change, claim, or dispute.
1 RFP RS-NMS-85-008 Page 41 L.5 Disposition of Proposals After award of contract, two (2) copies of each unsuccessful proposal will be retained by NRC's Division of Contracts and unless return of proposals is requested by the offeror upon submission of proposal, all other copies will be destroyed. This notification should appear in any
- cover letter accompanying the proposal.
I L.4 Proposal Presentation and Format
- a. Proposals will be typewritten or reproduced on letter-size paper and will be legible in all required copies,
- b. Proposals in response to this Re for Proposal shall be i submitted in the following three (3) quest separate and distinct parts:
(1) One (1) original signed copy of this solicitation package. All applicable sections must be completed by the offeror.
(2)One (1) original and four (4) copies of the " Cost Proposal" shall be submitted in accordance with the guidelines set forth j in the paragraph below entitled, " Business / Management Recuirements."
(3) One (1) original and four (4) copies of the " Technical Proposal" shall be submitted in accordance with the guidelines set forth in the paragraph below entitled, " Technical Proposal Content."
Each of the parts shall be separate and complete in itself so that I
evaluation of one may be acccmplished independently of evaluation of
' the other. All documents' submitted shall have a cover page with the identifying RFP title, the solicitation number, and name of the i offeror.
, L.5 Business / Management Requirements A. Cost Proposal l The offeror should utilize the Standard Fonn 1411, Contracting Pricing' Proposal Cover Sheet in submitting the Cost Proposal.
' Offerors may, however, submit the necessary information in a different format where the offeror's accounting system makes use of the form impracticable, or when required for a more effective and efficient presentation of cost information. In either instance, the infonnation furnished shall include pertinent details sufficient to j show the elements of cost upon which the total cost is predicated.
Cost will be evaluated on reasonableness, validity, and reliability, i
The " Cost Proposal" must include, but is not limited to, the following:
l
RFP RS-NMS-85-008 Page 42 Material - A detailed listing of items including the quantity, basis of cost estimate, unit cost and sources of cost.
. Labor - The basis for the estimated hours broken down by category and task, and the source of labor rates.
Level of effort data shall be expressed in staf fhours.
Indirect Cost - The source and basis of determination of all indirect costs.
Travel - The breakdown of all travel by trips, segregating all tranportation and per diem costs. Copy of the official Government approval of the offeror's travel policy, if granted, or in lieu thereof, a copy of the offeror's travel policy.
NOTE: In the absence of a Government approved Contractor travel policy, the prevailing Federal Travel Regulation rates and the clause entitled,
" Travel Reimbursement" in Part I shall apply.
Other - The offeror's fiscal accounting period (Fiscal Year) and the name, address, and the telephone number of the offeror's cognizant Government audit agency.
B. Manacement The management aspects shall include, but not be limited to, the '
following and any data pertinent thereto:
(1) Project scheduling and contingency planning demonstrating a logical progression and integration of the tasks to insure completion within the performance period and without program j slippage.
(2) Management organizational structure delineating areas of responsibility and authority under the proposed effort.
Describe the relationship of the project organization to corporate management and to subcontractors, if any. Discuss the functions and authorities of the project manager.
(3) Procedures to periodically review in-house organizational functions, program reviews and controls and subsequent coordination with the NRC.
(4) Management controls expected to be utilized to preclude a contract cost growth.
1
RFP RS-NMS-85-008 Page 43 C. Manpower Availability Describe the source of personnel required for performance of each task and not presently employed by the offeror. If any of the personnel are under commitment, describe the terms of the commitment (s). Note specifically the personnel that will be on board subject to a contract award.
D. Censultants Explain the need for consultant services. List proposed consultants if known by name. For each list show (1) nature of services, (2)
', fee rate, and (3) total consultant fee and any other allowable related costs which may be involved, such as travel and per diem.
- Such fees may not be paid to employees of the Contractor or to
- employees of the U.S. Government.
E. Subcontractors i; If the offeror plans to subcontract any of the work to be performed, list proposed subcontractors if known by name. Provide a detailed breakdown of specific work to be subcontracted and the approximate cost involved.
F. Other Contractual Commitments The offeror shall list any commitments with other organizations, Governmental or private, and indicate whether these commitments will or will not interfere with the completion of work and sevices contemplated under this proposal.
L.6 Technical Proposal Content The Technical Proposal shall not contain any reference to cost.
Resource information such as data concerning labor hours, and categories, materials, subcontracts, travel, computer time, etc., shall be included in the Technical Proposal so that the offeror's understanding of the scope of work may be evaluated.
The offeror shall submit with the Technical Proposal full and complete information as set forth below to permit the Government to make a thorough evaluation and a sound determination that the proposed approach will have a reasonable likelihood of meeting the requirements and 4
objectives of this procurement in accordance with the evaluation i
criteria set forth in this Part IV, Section M entitled, " Evaluation Factors for Award."
Statements which paraphrase the scope of work without consnunicating the specific innovation proposed by the offeror or statements to the effect that the offeror's understanding can or will comply with the scope of work may be construed as an indication of the offeror's lack of
} understanding of the scope of work and objectives.
l
RFP RS-NMS-85-008 Page 44 The Technical Proposal shall set forth as a minimum the following:
- a. Discussion of the scope of work requirements to substantiate the
, offercr's understanding of the problem and his proposed method of approach to meet the objective. *
- b. Discussion of the offeror's experience in the analysis of hydrogeology, hydrochemistry, stratigraphy, structural geology,
, borehole geophysics and groundwater flow systems. Include the i contract numbers and Government points of contact.
- c. Include resumes for all professional personnel to be utilized in the performance of any resulting contract. Include educational background, specific pertinent work experience and a list of any pertinent publications authorized by the individual,
- d. Discuss support personnel and facilities available to assist the professional personnel,
- e. Indicate potential problem areas and the approach to be taken to resolve said areas,
- f. Provide a detailed description of the schedule for work and identify significant milestones and completion dates for various subparts,
- g. Identify the " Key Personnel," and for the person (s) so identified, specify the percentage of time currently comitted to other projects over the course of the proposed contract period of performance.
- h. Statements of any interpretations, requirements, or assumptions made by the offeror.
L.7 Nondiscrimination Because of Ace (FAR 22.901)
- It is the policy of the Executive Branch of the Government that (a) t Contractors and Subcontractors engaged in the performance cf Federal contracts shall not, in connection with the employment, advancement, or discharge of employees or in connection with the terms, conditions, or privileges of their employment, discriminate against persons because of their age except upon the basis of a bonafide occupational qualification, retirement plan, or statutory requirement, and (b) that Contractors and Subcontractors, or persons acting on their behalf, shall not specify, in solicitations or advertisements for employees to work on Government contracts, a maximum age limit for such employment unless the specified maximum age limit is based upon a bonafide occupational qualification, retirement plan, or statutory requirement.
l
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! RFP RS-NMS-85-008 l Page 45 i
L.8 Solicitation Provisions
} 52.216-1 TYPE OF CONTRACT. (APR 1984)
! The Government contemplates award of a cost-plus-fixed-fee contract resulting from this solicitation.
(End of provision) j (R 3-501(b) Sec L (iv))
, 52.233-2 SERVICE OF PROTEST (JAN 1985)
Protests, as defined in section 33.101 of the Federal Acquisition Regulation, shall be served on the Contracting Officer by obtaining written and dated acknowledgement of receipt from the Division of Contracts; U.S. Nuclear ,
i Regulatory Commission; Bethesda, Maryland. l (End of Provision) 52.252-1 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE. (APR 1984)
This solicitation incorporates the following solicitation provisions by reference, with the same force and effect as if they were given in full text.
7 Upon request, the Contracting Officer will make their full text available.
I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) SOLICITATION PROVISIONS Section L i
52.215-5 SOLICITATION DEFINITIONS. (APR 1984) 52.215-7 UNNECESSARILY ELABORATE PROPOSALS OR QUOTATIONS. (APR 1984) 52.215-8 ACKNOWLEDGMENT OF AMENDMENTS TO SOLICITATIONS. (APR 1984) 52.215-9 SUBMISSION OF 0FFERS. (APR 1984) 52.215-10 LATE SUBMISSIONS, MODIFICATIONS, AND WITHDRAWALS OF PROPOSALS. (APR 1984) 52.215-12 RESTRICTION ON DISCLOSURE AND USE OF DATA. (APR 1984) i 52.215-13 PREPARATION OF 0FFERS. (APR 1984) i 52.215-14 EXPLANATION TO PROSPECTIVE OFFER 0RS. (APR1984) l 52.215-15 FAILURE TO SUBMIT OFFER. (APR 1984)
- 52.215-16 CONTRACT AWARD. (APR 1985) i 52.215-17 TELEGRAPHIC PROPOSALS. (APR 1984) 52.215-18 ORDER OF PRECEDENCE. (APR 1984)
'I 52.222-24 PREAWARD ON-SITE EQUAL OPPORTUNITY COMPLIANCE REVIEW. (APR l 1984)
Section M - Evaluation Factors for Award l M.1 CONTRACT AWARD AND EVALUATION OF PROPOSALS
- a. By use of numerical and narrative scoring techniques, proposals will be evaluated against the evaluation factors specified in the paragraph below.
t These factors are listed in their relative order of importance. Award will I
be made to the offeror (1) whose proposal is technically acceptable and (2) whose techn' al/ cost relationship is most advantageous to the Government; and who is considered to be responsible within the meaning of Federal Acquisition Regulation Part 9.1.
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RFP RS-NMS-85-008 Page 46
- Although cost will be a factor in the evaluation of proposals, technical merit in the criteria set forth in M. below will be more significant factors in the selection of a Contractor.
Further, to be selected for an award, the proposed cost must be realistic and reasonable,
- b. The Government reserves the right without qualification, to accept or reject any or all proposals, to negotiate with any and all proposers regardless of the terms of the original proposal, and to request additional clarifying information either through written or through conference with the proposers.
All proposers are notified that award may be made without discussion of proposals and, therefore, proposals should be submitted initially on the most favorable terms, from a cost and technical standpoint.
- c. A separate cost analysis will be performed on each cost proposal. To provide a common base for evaluation of cost proposals, the level of effort data shall be expressed in man hours.
- d. In making the above determination, a best-buy analysis will be performed taking into consideration the results of the technical evaluation, cost analysis, and ability to complete the work within the Government's required schedule.
- e. Proposals will be evaluated in accordance with the evaluation criteria as set forth in Section M. which is listed in the order of their relative importance.
M.2 Evaluation Criteria Weichts (Based on 100)
A. Related Past Exoerience (Total 40)
- 1. Amount and type of proposed review teams education 20 and experience in planning and conducting field investigations including data analysis and integration of results into a conceptual model.
Technical areas include hydrogeology, hydro-chemistry, stratigraphy, structural geology, and borehole geophysics.
- 2. Amount and type of the proposed review teams 20 direct work experience with groundwater
- flow systems of
A. Columbia River Plateau and Pasco Basin, Washington (5 points) i e e
. _ . _ . , _ , _ , . , _ , . - , . - - _ . _ , . . . - . , . ,- ..,.~..e
. _ . . ._ . . . , _ , . . , , n . . ~ , . . , . - . , _ _ , - _
4 RFP RS-NMS-85-008 Page 47 M.2 Evaluation Criteria I Weichts (Based on 100)
- 2. Continued B. Nevada Test Site and Vicinity, Nevada, California (5 points)
C. Based Salt Basins (Palo Duro Basin, Texas; Paradox Basin, Utah) (5 points)
D. Domal Salt Basins (Gulf Interior Salt Dome Basin, Mississippi and Louisiana) (3 points)
E. Faulted, Fractured, Saturated j Crystalline Rock Systems (2 points) i B. Technical Accroach (Total 30)
- 1. Offeror's identification of a generalized 20 approach for acccmplishing tasks related to evaluating: 1) Altornative conceptual i
models; and 2) Testing strategies.
, 2. Extent to which the proposal reflects the 10 l
offeror's understanding of the objectives set forth in the statement of work.
C. Management (Total 30) i 1. Clear definition and relevance of offeror's 10 organizational structure for project team (s)
, which would perform work under this task
! order.
- 2. Extent of routinely planned and available 10 dedication (percentage of time per week) of all project personnel.
- 3. Offeror's proposed quality assurance program 5 to support the technical soundness of work.
l 4. Demonstrated ability of management to control 5 costs and services.
TOTAL 100 l
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ATTACHMENT 2
. PART 20-1 -- GENERAL l Subpart 20-1.54--Contractor Organi:ational Conflicts of Interest Sec.
20-1.5401 Scope and policy.
20-1.5402 De.finitions.
20-1.5403 Criteria for recognizing contractor organizational conflicts of interest. .
20-1.5404 Representation. -
20-1.5405 Contract clauses. '
20-1.5405-1 General contract clause.
20-1.5405-2 Special contract provisions.
. 20-1.5406 Evaluation, findings, and contract award..
20-1.5407 Conflicts identified after award.
20-1.5408 (Reserved) 20-1.5409 (Reserved) 20-l'.5410 Subcontractors.
20-1.5411 Waiver.
20-1.5412 Remedies.
AUTHORITY: Sec. 8, Pub. L.95-601, adding Sec. 170A to Pub. L.83-703, 68 Stat. 919, as amended (42 U.S.C. ch.14) 520-1.5401 Scope and Policy (a) It is the policy of the U.S. Nuclear Regulatory Corraission (NRC) to avoid, eliminate or neutralize contractor organizational conflicts of interest. The NRC achieves this objective by requiring all prospective contractors to submit information describing relationships, if any, with organizations or persons (including 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 is necessary if the policy is to be applied so as to satisfy the overall public interest. It is not possible to prescribe in advance a specific method or set of criteria which would serve to identify and resolve all of the contractor conflict of interest situations
- which might arise; however, examples are provided in these regulations to guide application of 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 the contract, be placed in a position where its judgment may be biased, or where it may have an unfair competitive advantage?
(c) The conflict of interest rule contained in this subpart applies to contractors and offerors only. Individuals or firms who have other i relat'ionships with NRC (e.g., parties to a licensing proceeding) are not covered by this regulation. This rule does not apply to the acquisition of consulting services through the personnel appointment process, NRC
_ _ _ _ . _ . . _ _ _ . ____.-_,_--,r.- -- - --- _ ___ -
! 1 7590-01 agreements with other government agencies, international o'rganizations, i
. or state, local or foreign governments; separate procedures for avoiding '
. conflicts of interest will be employed in such agreements, as appropriate.
- 520-1.5402 Definitions t
+ -(a) " Organizational conflicts of interest" means that a relationship i exists whereby.a contractor or prospective contractor has present or planned interests related to the work to be performed under an NRC contract which: (1) May diminish its capacity to give impartial, technically 3 sound, objective assistance and advice or may otherwise result in a '
biased work product, or (2) may result in its being given an unfair competitive advantage.
l .
(b) "Research" means any scientific or technical work involving theoretical analysis, exploration, or experimentation.
(c) " Evaluation activities" means any effort involving the appraisal of a technology, process, product, or policy.
(d) " Technical consulting and management support services" means j
internal assistance to a component of the NRC in the formulation or administration of its programs, projects, or policies which normally require the contractor to be given access to information which has not l
i been made available to the public or proprietary information. Such
{
services typically include assistance in the preparation of program plans; artd preparation of preliminary designs, specifications, or
- j statements of work.
i (e) " Contract" means any contract, agreement, or other arrangement j
a with the NRC except as provided in Section 20-1.5401(c). .
(f) " Contractor" means any person, firm, unincorporated association, joint venture, co-sponstor, partnership, corporation, affiliates thereof, or their successors in interest, including their chief executives, i
directors, key personnel (identified in the contract), proposed consultants or subcontractors, which is a party to a contract with the NRC.
i (g) " Affiliates" means business concerns which are affiliates of 1'
each other when either directly or indirectly one concern or individual
- controls or has the power to control another, or when a third party l controls or has the power to control both (41 CFR I1-1.606-1(e)).
I (h)" " Subcontractor" means any subcontractor of any tier which performs work under a contract with the NRC except subcontracts for supplies and subcontracts in amounts of $10,000 or less.
l (1) " Prospective contractor" or " offeror" means any person, firm, j unincorporated association, joint venture, partnership, corporation, or .
affiliates thereof, including its chief executive, directors, key personnel '
(ioentified in the proposal), proposed consultants, or subcontractors, submitting a bid or proposal, solicited or unsolicited, to the NRC to cbtain a contract.
- 1 l
t j 7590-01 (j) " Potential conflict of interest" means that a factual situation
! exists that suggests (indicates) that an actual conflict of interest may arise from award of a proposed contract. The term " potential conflict of interest" is used to signify those situations which merit investigation prior to contract award in order to ascertain whether award would give rise to an actual conflict or which must be reported to the contracting 1
officer for investigation if they arise during contract perfomance.
520-1.5403 Criteria for recognizing centractor organizational conflicts of interest (a) General. Two questions will be asked in detennining whether actual or potential organizational conflicts of interest exist: (1) Are j there conflicting roles which might bias a contractor's judgment in I relation to its work for the NRC? (2) May the contractor be given an unfair competitive advantage based on the performance of the contract? ,
j The ultimate determination by NRC as to whether organizational conflicts
- of interest exist will be made in light of comon sense and good business i judgment based upon the relevant facts disclosed and the work to be i perfonned. While it is difficult to identify and to prescribe in advance
- a specific method for avoiding all of the various situations or relationships 1 which might involve potential organizational conflicts of interest, NRC
] personnel will pay particular attention to proposed contractual requirements i which call for the rendering of advice, consultation or evaluation
) activities, or similar activities that lay direct groundwork for the j NRC's decisions on regulatory activities, future procurements, and
- research programs.
(b) Situations or relationships which may give rise to organizational conflicts of interest. (1) The offeror or contractor shall disclose infonnation concerning relationships which may give rise to organizational i
conflicts of interest under the following circumstances:
(1) Where the offeror or contractor provides advice and recommendations to the NRC in a technical area in which it is also providing cor.sulting assistance in the same arec to any organization regulated by the NRC.
i (ii) Where the offeror or contractor provides advice to the NRC on I
the same or similar matter in which it is also providing assistance to j any organization regulated by the NRC. i (iii) Where the offeror or contractor evaluates its own products or services, or the products or services of another entity where the offeror i or contractor has been substantially involved in their development or l marketing.
(iv) Where the award of a contract would 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.
3-t r
__ _ _ . . . c__ _ - - . . _ - , _ , - . , . , .
.- ,.-. _ - . ~,.- - ,..,_y-, , , , ,,,,,,,,,,,.,,,,.y . , . , , _ , . , , . , _ , , , . . . , . , ,
7590-01 (2) The contracting officer may request specific infomation from an offeror or contractor or may require special contract provisions such as provided in 520-1.5405-2 in the following circumstances:
(i) Where the offeror or contractor prepares specifications 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 methodolcgies that are to be incorporated into competitive procurements using such approaches or methodologies.
(iii) Where the offeror or contractor is granted access to infomation not available to the public concerning NRC plans, policies, or programs which could form the basis for a later procurement action.
(iv) Where the offeror or contractor is granted access to prop'rietary information of its competitors.
(v) Where the award of a contract might otherwise result in placing the offeror or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC or may otherwise result in an unfair competitive advantage for the offeror or contractor.
(c) Policy application guidance. The following examples 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 RFP.
certain analyses of a reactor component as called for in the The XYZ Corp. is one of several companies considered to be technically well qualified.
In response to the inquiry in the RFP, the XYZ Corp.
advises that it is currently performing similar analyses for the reactor manufacturer.
Guidance. An NRC contract for that particular work normally would not be awarded to the XYZ Corp. because it would be placed in a position in which its judgment could be biased in relationship to its work for NRC.
Since there are other well-qualified companies available, there
, would be no reason for considering a waiver of the policy.
(2) Example. The ABC Corp., in response to a RFP, proposes to perform certain analyses of a reactor component which are unique to one type of advanced reactor. As is the case with other technically qualified companies responding to the RFP, the ABC Corp. is performing various projects for several different utility clients. None of the ABC Corp.
projects have any relationship to the work called for in the RFP. Based on the NRC evaluation, the ABC Corp. is considered to be the best qualified company to perform the work outlined in the RFP.
l t
I
. = . _ - . = _ _ - _ _ _ - _ . - .. __ .- -
7590-01 i Guidance. An NRC contract normally could be awarded to the ABC
! 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 subsequently contracting for
- work during the performance of the NRC contract with the private sector l'
which could create a conflict. For example, ABC Corp. would be precluded from the performance of similar work for the company developing the advanced reactor mentioned in the example.
! (3) Example. As a result of operating problems in a certain type of connercial 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 has extensive experience with that type of plant. Consequently, that
, company is the only one with whom NRC can contract which can develop and
! conduct the testing programs required to obtain the data in reasonable .
time. That company has a definite interest in any NRC decisions that might result from the data produced because those decisions affect the reactor's design and thus the company's costs.
Guidance. This situation would place the manufacturer in a role in
,
- which its judgment could be biased in relationship to its work for NRC.
, Since the nature of the work required is vitally important in tems of 1
NRC's responsibilities and ne reasonable alternative exists, a waiver of
~
the policy may be warranted. Any such waiver shall be fully documented and coordinated in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms to guard against bias.
4
! (4) Example. The ABC Co. submits a proposal for a new system for
- 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 intends to sell the.new system to industry once its practicability has been demonstrated. Other companies in this business are using older systems for evaluation of the specific reactor component.
l Guidance. A contract could be awarded to the ABC Co. provided that i
the contract stipulates that no infomation produced under the contract will be used in the contractor's private activities unless such information has been reported to NRC. Information which is reported to NRC by contractors l
will normally be disseminated by NRC to others so as to preclude an i v.1 fair competitive advantage that might otherwise accrue. When NRC -
furnishes information to the contractor for the performance of contract work, it shall not be used in the contractor's private activities unless such information is generally available to others. Further, the contract
, will stipulate that the contractor will inform the NRC contracting officer of all situations in which the infomation developed under the contract is proposed to be used.
l L _ _ . _ .._._ ___- .__ . _ _ _ . _ . _ _ . , - _ _ _ . . _ , _ _ _ _ _ . _ . ~ . _ . _ _
I 7590-01 (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 representation in the RFP and 5 20-1.5403(b)(1)(1), ABC Corp. informs the NRC that it is presently doing seismological studies for several utilities in the Eastern United States but none of the sites are within the geographic area contemplated by the NRC study.
Guidance. The contracting officer would normally conclude that award of a centract would not place ABC Corp. in a conflicting role wnere its judgment might be biased. The work for others clause of f 20-1.5405-l(c) would preclude ABC Corp. from accepting work during the term 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 performance of a contract is not relevant to a determination of the existence of such conflicts prior to the award of
, a contract.
5 (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 procurement is not involved,
, or that a contract is awarded on a competitive or a sole source basis.
520-1.5404 Representation (a) The following procedures are designed to assist the NRC contracting officer in determining whether situations er relationships exist which may constitute organizational conflicts of interest with respect to a
} particular offeror or contractor.
I (b) Representation procedure. The following organizational conflicts of interest representation provision shall be included in all solicitations and unsolicited proposals for: (1) Evaluation services or activities; (2) technical consulting and management support services; (3) research; and (4) other contractual situations where special organizational conflicts of interest pr.ovisions are noted in the solicitation and would be included in toe resulting contract. This representation requirement shall also apply to all modifications for additional effort under the contract except those issued under the " changes" clause. Where, however, a statement of the type required by the organizational conflicts of -
interest representation provision has previously been submitted with regard to the contract being modified, only an updating of such statement i
shall be required.
i
._ l
7590-01 ORGANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION l I represent to the best of my knowledge and belief that:
Williams and The award to Assncia tos . in<o,f 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 520-1.5403(b)(1).
(c) Instructions to offerers. 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 5 20-1.5403(b)(1) are involved, or the contracting officer otherwise i
detennines that potential organizational conflicts exist, the offeror shall provide a statement in writing which describes in a concise manner all relevant facts bearing on his representation to the contracting officer. If the contracting officer determines that organizational conflicts exist, the following actions may be taken: (1) Impose appropriate conditions which avoid such conflicts, (ii) disqualify the offeror, or j (iii) detennine that it is otherwise in the best interest of the United States to seek award of the contract under the waiver provisions of 5 20-1.5411.
I (2) The refusal to provide the representation required by 520-1.5404(b) or upon request of the contracting officer the facts required by '520-1.5404(c), shall result in disqualification of the offeror for tward. The condisclosure or misrepresentation of any relevant interest ny also result in the disqualification of the offeror for award; or if such nondisclosure or misrepresentation is discovered after award, the resulting contract may be terminated. The offeror may also be disqualified from subsequent related NRC contracts and be subject to such other 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 l the statements of work contained in a RFP unless the RFP specifically prohibits such exclusion. Any such proposed exclusion by an offeror will be considered by the NRC in the evaluation of proposals. If the
NRC considers the proposed excluded work to be an essential or fr.tegral part of the required work and its exclusion would work to the detriment of the competitive posture of the other offerors, the proposal must be rejected as unacceptable.
(e) The offeror's failure to execute the representation required by subsection (b) above with respect to invitation for bids will be considered to be a minor informality, and the offeror will be permitted to correct the emission.
I 20-1.5405 Contract clauses 5 20-1.5405-1 General contract clause l
. i l
7590-01 i
All contracts of the types set forth in i 20-1.5404(b) shall include 4
the following clauses:
.(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 interest (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and (2) does not obtain an unfair competitive advantage over other parties by i virtue of its performance of this contract.
(b) Scope. The restrictions described herein shall apply to perfomance or participation by the contractor as defined in 41 CFR 5 20-1.5402(f) in the actitities covered by this clause.
(c) Work for others. Notwithstanding any other provision of this contract, during the 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 j
of interest with respect to the work being performed under this contract.
The contractor shall ensure that all employees who are employed full I time under this contract and employees designated as key personnel, if i
any, under this contract abide by the provision of this clause. If the !
j contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the contractor i
shall.obtain the written approval of the contracting officer prior to execution of such contractual arrangement. -
i (d) Disclosure after award. (1) The contractor warrants that to i
the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest, as defined in 41 CFR 520-1.5402(a). -
(2) The contractor agrees that if after award it discovers organizational conflicts of interest with respect to this contract, it shall mke an imediate and full disclosure in writing to the contracting ofhcer.
This statement shall include a description of the action which the ,
contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, teminate the contract for convenience ,
if it deems such termination to be in the best interests of the government. !
(e) Access to and use of information. (1) If the contractor in the performance of this contract obtains access to information, such 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: (1) Use -
such information for any private purpose until the information has been released to the public; (ii) compete for work for the Comission based
l 7590-01 on such information for a period of six (6) months after either the completion of this contract or the release of such information to the
] public, whichever is first, (iii) submit an unsolicited proposal to the government based on such information until one year after the release of such information to the public, or (iv) release the information without prior 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 confidential or privileged
. technical, bu:iness, or financial information under this contract, the contractor shall treat such information in accordance with restrictions placed on use of the information.
(3) The centractor shall have, subject to patent and security
' provisions of this contract, the right to use technical data it produces under this contract for private purposes provided that all requirements of this contract have been met.
l (f) Subcontracts. Except as provided in 41 CFR 520-1.5402(h), the contractor shall include this clause, including this paragraph, in
! subcontracts of any tier. The terms " contract," " contractor," and
" contracting officer," shall be appropriately modified to preserve the government's rights.
(g) Re.ntdies . For breach of any of the above proscriptions or for intentional nondisclosure or misrepresentation of any relevant interest i required to be disclosed concerning this contract or for such erroneous representations as necessarily imply bad faith, the government may i terminate the contract for default, disqualify the contractor from
! subsequent contractual efforts, and pursue other remedies as may be permitted by law or this contract.
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) (h) Waiver. A request for waiver under this clause shall be
! directed in writing through the contracting officer to the Executive
! Director for Operations (EDO) in accordance with the procedures outlined -
in120-1.5411.
l I20-1.5405-2 Special contract provisions.
(a) If it is determined from the nature of the proposed contract that organizational conflicts of interest exist, the contracting officer may determine that such conflict can be avoided or after obtaining a waiver in accordance with 520-1.5411, neutralized through the use of an appropriate special contract provision. If appropriate, the offeror may negotiate the terms and conditions of these clauses, including the extent and time period of any such restriction. These provisions ir.clude but are not limited to:
l .g.
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i 7590-01 )
(1) Hardware exclusion clauses which prohibit the acceptance of 4
productionby performed contracts the contractor; following a related nonproduction contract previously (2) Software exclusion clauses; (3)
Clauses wnic% require the contractor (and certain of his key personnel) to avoid certhin organizational conflicts of interest; and (4) Clauses which provide for protection of confidential data and quard against its unauthori:ed use.
(b) The following additional contract clause may be included as
, section (i) in the clause set forth ins 20-1.5405-1 when it is determined that award of a follow-on contract would constitute an organizational conflict of interest.
I (i) Follow-on effort. (1) The contractor shall be ineligible to par *.icipate in NRC contracts, subcontracts, or proposals therefor (solicited or unsolicited) which stem directly from the contractor's performance of
' work under this contract. Furthermore, 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 or services of another firm if the contractor has been substantially involved in the development 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 snall be ineligible to perform or participate in the initial contractual effort which is based on such statement of work or specifications. The contractor shall not incorporate its products or services in such statement of werk or specifications unless so directed in writing by the contracting apply. in which case the restriction in this subparagraph shall not officer, 1
(3) Nothing in this paragraph shall preclude 1;he contractor from offering.or selling its standard commercial items to the government.
5 20-1.5406 Evaluation, findings, and contract award The contracting officer will evaluate all relevant facts submitted by an offeror pursuant to the representation requirements of 120-1.5404(b) and other relevant information. After evaluating this information against the criteria of i 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.
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7590-01 l
(b) Avoid or eliminate such conflicts by appropriate measures; or (c) Award the contract under the waiver provision of I20-1.5411.
520-1.5407 Conflicts identified af ter award.
4 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 520-1.5405, the contracting officer will take every reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with 520-1.5411, neutralize the effects of the identified conflict.
120-1.5408 (Reserved) a s20-1.5409 (Reserved) 320-1.5410 Subcontracts The contracting officer shall require offerors and contractors to submit a representation statement in ccco.-dance with ! 20-1.5404(b) from subcontractors and consultants. The contracting officar snall require the contractor to include contract clauses in accordance with 520-1.5405 in consultant agreements or subcontracts involving performance of work under a prime contract covered by this subsection.
j 520-1.5411 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 i officer with the advice and concurrence of the program office director and the Office of Executive Legal Director. Upon the recommendation of the contracting officer, and after consultation with the Office of the General Counsel, the EDO may waive the policy in specific cases if he determines that it is in the best interest of the United States to do l so.
l Such action shall be strictly limited to those situations in which:
(1) The work to be performed under contract is vital to the NRC program; (2) the work cannot be satisfactorily performed except by a contractor l
whose interests give rise to a question of conflict of interest; and (3) contractual and/or technical review and supervision methods can be employed by NRC to neutralize the conflict. For any such waivers, the justification and approval documents shall be placed in the Public Document Room.
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! 7590-01 i l
520-1. 5412 Remedies 4
In addition to such other remedies as may be oermitted by law or
- contract for a breach of the restrictions in this subcart or for any l intentional misrepresentation or intentional nondisclosure of any
- relevant interest required to be provided for this section, the NRC
! may debar'the contractor from subsequent NRC contracts.
Dated at Washincton. D . C thi s 27th day of March 1979.
For the Nuclear Regulatory Ccemission cemSamuel e
d :Ces.
D. Chilk A '
Secretary ofl the Commission 4
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ATTACHitEi4T 3 Forr; NRC-489 (1-75)
U. S. NUCLEAR REGULATORY COMMISSION l NRC MANUAL j TRANSMITTAL NOTICE CHAPTER NRC-3202 PUBLICATION OF UNCLASSIFIED REGULAiuRY A:w it.unreitat DOCUMENTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS SUPERSEDED: TRANSMITTED:
Numbe r Date Numbe r Date TN_ 3200-3 Chapter Chapt er NRC-3202 1/25/78 Page Page Appendix Appendix NRC-3202 1/25/78 REMAR KS:
This chapter and appendix establish responsibilities, basic requirements, standards and procedures for the documentation, production and dissemina-tion of regulatory and technical reports prepared by NRC consultants and by NRC contractors and their subcontractors, including reports prepared under or pursuant to interagency agreements.
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a l~ U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL Volume: 3000 Information and Foreign Activities Part : 3200 Technical Information and Document Control ADM.
! Chapter 3202 PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL
] DOCUMENTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS f
(
3202-01 COVERAGE This chapter and its appendix handbook establish responsibilities, basic requirements, standards and procedures , for the documentation,
, production and dissemination of regulatory and technical reports prepared by NRC consultants and by NRC contractors 'and their subcontractors, including reports prepared under or pursuant to interagency agreements.
These reports are hereafter referred to as contractor documents. This chapter does not cover NRC staff-generated documents, environmental impact statements, NRC dccket material, or the documents generated by NRC boards, panels and advisory committees. ' '
3202-02 OBJECTIVES 0 21 To assure production of information ar5d reports as required by the Energy Reorganization . Act of 1974 and' the Freedom of Information Act. '
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l 022 To assure that dissemination of regulatory an'd technical docu-ments is consistent with requirements for public availability of information on the regulatory process. \
023 To assure that national security, patent rights, copyrights, I and commercial proprietary rights .are not compromised by the release, distribution, or dissemination of information from the NRC.
l 024 To assure that formal NRC contractor documents will carry the l registered NRC designation NUREG as the prime identification.
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3202-03 RESPONSIBILITIES AND AUTHORITIES i
j 031 The Director, Office of Administratio'n, develops and main-
! e tains, in consultation with Directors of Offices -and Divisions, NRC standards, procedures and guides for the production and dissemination of regulatory and technical contractor documents.
Approved: January 25, 1978 i
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PUBLICAT10N OF UNCLASSlFIED REGULATORY AND NRC-3202-032 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS 032 The Director, Division of Technical information and Document Control;
- a. develops and administers a central document control system for identifying, printing and distributing contractor documents and responding to requests for them.
- b. develops and maintains guides and standards for the documentation, formatting, printing, dissemination, and public sale of contractor documents,
- c. assures that a system exists for review of contractor documents for adherence to patent, copyright and security policies prior to dissemination,
- d. establishes and administers interagency agreements necessary for the dissemination and public sale of contractor documents and controls the duplication and printing of contractor docu-
=
ments to assure adherence to the Government Printing and Binding Regulations issued by the Joint Committee on Printing (JCP), Congress of the United States.
e, establishes distribution data banks, maintains official standard distribution lists , fcr automatic distribution of contractor documents, and controls distribution to assure adherence to the Government Printing and Binding Regulations and the Privacy Act (Title 5, U.S.C. ).
033 Directors, Offices and Divisions:
- 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 N R C-0260, Printing and Related Activities and its appendix; and NRC Bulletin 1102-6, Procedure for Placement of Work with DOE (to be issued). In those provisions:
(l) specify what documents will be reviewed for policy, man-agement, regulatory and legal issues by NRC staff in draft prior to printing and distribution. If the document 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 addition to the standard government disclaimer (see Exhibit 6).
- In the case of DOE work, this is NRC Form 173, Standard Order for DOE Work.
1 Approved: January 25, 1978 i
PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC-3202-034 (2) provide for the reviews necessary to insure that the na-tional security, patent rights, copyrights, and commercial proprietary rights are not compromised by the release or dissemination of documents. If the contractor is to be authorized to make the review, designate the contractor officials who are authorized to sign NRC Form 426 prior to NRC distribution of documents.
(3) specify that all formal documents carry NUREG numbers as the prime identification, as illustrated in the appendix, and that interim documents include the title page indicated in the appendix.
(4) specify whether formal documents shall be printed by NRC i
or the contractor if the contractor has a JCP authorized I federal printing plant (see appendix, part 111).
(5) specify that all formal documents required by NRC shall be distributed by NRC.
(6) establish the number of copies the contractor may retain or request for internal and external distribution and charge against NRC. Written justification must be pro-vided to the NRC JCP representative when the number ex-ceeds the 50 ccpies authorized by JCP.
- b. assure adherence to instructions and authorizations regarding the reproduction and distribution of documents.
- c. recommend standard distribution category (ies) and provide standard and incidental distribution lists for contractor documents to the contractor and the Division of Technical Information and Document Control.
- d. provide changes to the official standard and incidental dis-tribution lists to the contractor and the Division of Technical Information and Document Control.
034 Director, Office of the Executive Legal Director, provides le-gal review and advice to NRC staff on questions regarding inventions, patents, and use of copyrighted material.
035 Director, Division of Security, provides review of documents to assure that national security interests are not compromised by the release.
036 Director, Division of Contracts:
- a. coordinates the flow of all documents to and from contractors where such documents may result in alterations in the terms and conditions of applicable contracts as they pertain to docu-ment production and distribution.
Approved: January 25, 1978
l PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC-3202-04 TECHNICAL DOCUMENT 5 PREPARED BY NRC CONTRACTORS
- b. advises the contractor as to the source and method for obtaining documents required from the government for performance of the contract.
- c. provides contractor with copies of NRC Manual Chapters 3202, 3203 and 0260, when appropriate.
- d. determines that requests for proposals and invitations for bias and subsequent con tracts awarded require contractor
,t compliance with Chapter NRC-3202 and the Government Printing and Binding Regulations, when appropriate.
3202-04 DEFINITIONS
- 0 41 camera-ready coov - copy ready for printing. This is a collo-quial term or long standing that is used even though the printing process may not involve the so-called copy camera (see also reoroducible masters).
042 central document control system - means for developing and maintaining the policies, procedures and guices needed to identify and produce regulatory and technical documents and to assure adherence to requirements and standards for documentation, formatting, printing and distribution.
043 commercial oroprietary right - trade secrets and commercial or financial information obtained from a person and privileged or confidential.
044 contractor document - a document prepared in accordance with the provisions of a contract or under or pursuant to an interagency agreement.
045 cooyright "the exclusive, legally secured right to reproduce (as by writing or printing), publish and sell the matter and form of literary, musical or artistic Dictiona ry ) .
work..." (Webster's Third international Copyrighted material may not be reproduced without the permission of the author or publisher.
046 disseminate -
to announce the publication of documents and make them available for free distribution, sale or copying.
047 distribute - to dispense documents to specific organizations and individuals to assure participation in the regulatory process and support of research and technological investigations. Such distribution may be accomplished by the use of standard distribution data banks established and maintained by the Division of Technical Information and
- Words underscored in definitions are also defined in list.
Approved: January 25, 1978 5
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PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC-3202-048 Document Control based on the requests of the originating Office or Division.
048 document - a printed record or copy thereof (see also recort).
049 documentation - includes classification and associated required markings, the NRC document number unique to the document, title (and subtitle, if any), author or correspondent (if any), organization identifi-
, cation and contract number (or interagency agreement number), date and availability.
i 0410 formal contractor documents - regulatory and technical docu-ments that record the results of contractor or interagency agreement work at principal points in the program. Such documents may include, but are not limited to, quarterly and annual progress reports and final reports.
Prior to publication, these documents shall have received the reviews and approvals required by NRC. Such reviews and approvals shall include, but not necessarily be limited to, patent review (if applicable) and security review (if applicable). " These reports will carry NUREG designations as the prime identification.
0 411 interim contractor documents - regulatory and technical docu-ments prepared in accordance with contract or interagency agreement re-quirements for recording plans and results during the course of the work. Such documents may include, but are not limited to, informal progress reports, quick-look reports, data reports, status summary
' reports, project descriptions, pre-test predictions, model verifications, experiment safety analyses, experiment operating procedures, facility certification reports, and test result reports.
0412 NRC program or project sponsor -
the NRC individual responsible for the performance of a consultant or a contractor and his subcontractor or work performed under or pursuant to an interagency l agreement.
0 413 patent review -
review by legal staff to assure protection rights in inventions.
. 0 414 publicly available documents - documents which are available in the NRC Public Document Room (POR) for public inspection and copying.
0 415 ' regulatory and technical documents - documents that have been prepared in support of regulatory investigations and are to become publicly available records. Such documents shall carry unique identification.
l 0416 report a regulatory or technical document that is to be printed and disseminated which carries the bibliographic documentation j required for storage and retrieval.
0417 reproducible masters - camera-ready copy which includes (l) originals of line drawings (or prints that can be copied), (2) glossy l Approved: January 25, 1978
PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC-3202-0418 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS prints of black and white photographs (colored photographs cannot be reproduced), (3) original typed or printec; text, tables, cover, title page, contents and abstract, or (4) other forms of the materials listed in (l), (2) and (3) that are acceptable to a printer who will guarantee to prepare reproducible copy therefrom (see appendix, part IV, for guide-lines).
0418 unique identification - NRC identification used on a document and its attachments, revisions. and supplements that is not used on any other document.
3202-05 BASIC REQUIREMENTS OSI Applicability. The provisions of this chapter and its appendix apply to NRC consultants and to NRC contractors and subcontractors, in-cluding those working under interagency agreements, whose contracts re-cuire the preparation of regulatory and technical documents. Because of the unique requirements of NRC boards, panels and advisory committees which report directly to the Commission, the handling of reports prepared by consultants and contractors to them are governed by the Board or Panel Chairman and, in the case of advisory committees, by the Advisory Committee Management Officer.
052 Forms. NRC Form 426, " Publication Release for Unclassified Formal NRC Staff, Consultant and Contractor Reports " (Exhibit 5) shall be used as provided in the appendix.
053 Apoendix 3202. Standards, procedures and methods for managing the production and dissemination of contractor documents are contained in the appendix to this chapter.
054 Preparation Requirements,
- a. Documents to be printed by NRC. All contractor documents to be printed by NRC shall be prepared according to Appendix 3202. The reproducible masters for the requisite distribution shall be transmitted to the Division of Technical Information and Document Control by the NRC program or project sponsor or the authorized contractor official.
- b. Documents Printed by Authorized Federal Printing Plants or Duplicated by a Contractor.
All contractor documents to be printed or duplicated by the contractor (as specified by the contract, agreement, or standard order for work) shall be pre-pared according to Appendix 3202, and a reproducible master and sufficient copies for standard and incidental distribution shall be supplied to the Division of Technical Information and Document Control accompanied by completed NRC Form 426 signed .by the NRC program or project sponsor or the authorized contractor official.
Approved: January 25, 1978
PUBLZCATZON OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC-3202-055 055 References. The NRC manual chapters referenced are available from the Division of Technical information and Document Control. The other citations are available from the Government Printing Office.
- a. Chapter NRC 0260, " Printing and Related Activities."
- b. Chapter NRC 2101, "NRC Security Program."
- c. NRC Appendix 2l01, Part if1, " Control of Classified Information and Documents."
- d. NRC Appendix 2101, Part Vill, " Physical Protection of Classified NRC Facilities and Matter."
- e. Chapter NRC 3203, " Distribution of Unclassified NRC Staff- and Contractor-Generated Documents."
- f. NRC Bulletin ll02-6, " Procedure for Placement of Work with DOE" (to be issued).
- g. Title 44, U.S. Code, "Public Printing and Documents."
- h. Government Printing and Binding Regulations of the Joint Committee on Printing, Congress of the United States, No. 24, April 1977 (JCP Regulations).
- i. Title 5, U.S. Code.
Approved: January 25, 1978 l
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NRC Apprndix 3202 PUBLICATION OF REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS I
HANDBOOK 3
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U.S. NUCLEAR REGULATORY COMISSION i
DIVISION OF TECHNICAL INFORMATION AND DOCUMENT CONTROL i
Approved: January 25, 1978 l( -
O a PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 i
CONTENTS PAGE PART I FORMAL CONTRACTOR DOCUMENTS TO BE PRINTED BY NRC....... 1 A. DOCUMENTATION................................. I
- 1. Applicability............................. I
- 2. Front Cover and Ti tle Page. . . . . . . . . . . . 1
- 3. Availability Information. ....... .. ... 3
- 4. Disclaimer......................... ..... 3
- 5. Abstract................... . ......... . 4 B. PATENT AND SECURITY REVIEWS...... ........... 4
- 1. Patent Review....... ... ... ..... ..... 4
- 2. Security Review........................ . 4 C. PROCEDURES FOR PRINTING OR DUPLICATING AND DISTRIBUTING............................... ... 5
- 1. Printing or Duplicating............ ..... 5
- 2. Reprinting or Reduplicating.............. 5
- 3. Distribution of Documents................ 5 EXHIBITS
- 1. Sample Cover for Unclassified Formal Contractor-Prepared Documents, Excluding Those Prepared Under or Pursuant to Interagency Agreements..................... 6
- 2. Sample Title Page for Unclassified Formal Contractor-Prepared Documents, Excluding Those Prepared Under or Pursuant to Interagency Agreements...................... 7
- 3. Sample Cover for Unclassified Formal Reports Prepared Under or Pursuant to Interagency Agreements. . . . . . . . . . . . . 8
- 4. Sample Title Page for Unclassified Formal Reports Prepared Under or Pursuant to Interagency Agreements.... 9
- 5. NRC Form 426, Publications Release. . . . . . . . . . . . . . . . . . . . . . 10
- 6. Disclaimer and Availability Statements.................. 11 PARTIIINTERIMCONTRACTORDOCUMENTSTdBEPRINTEDBYNRCOR AN AUTHORIZED FEDERAL PRINTING PLANT OR DUPLICATED BY A CONTRACTOR....................... .............. 13 A. DOCUMENTATION............................ .... 13
- 1. Applicability............................ 13
- 2. Title Page............................... 13
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, Approved: January 25, 1978 l
i PilBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS CONTENTS PAGE B. PATENT AND SECURITY REVIEWS. ... .... .... ... 13
- 1. Patent Review. ................. ........ 13
- 2. Sec u ri ty Re v i ew. . . . . . . . . . . . . . . . . . . . . . . . . . . 14 C. PROCEDURES FOR PRINTING OR DUPLICATING AND DISTRIBUTING................................. . 14
- 1. Printing or Duplicating......... ......... 14
- 2. Distribution of Documents Printed by NRC.. 15
- 3. Distribution of Documents Duplicated by Contractor... ............... ........ . 15 EXHIBIT
- 7. Sample Title Page for Interim Contractor Documents To Be Made Publicly Available............. ........... ... . 16 PART III FORMAL DOCUMENTS TO BE PRINTED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS BY AGENCIES WITH JCP AUTHORIZED FEDERAL PRINTING PLANTS............... .. 17 A DOCUMENTATION.................................. 17
- 1. Applicability............................. 17
- 2. Front Cover and Title Page......... ..... 17
- 3. Availability and Price Information........ 19
- 4. Disclaimer................................ 19
- 5. Abstract.............................. .. 20 B. PATENT AND SECURITY REVIEWS.................... 20
- 1. Patent Review............................. 20
- 2. Security Review........................... 20 C. PROCEDURES FOR PRINTING AND DISTRIBUTING....... 20
- 1. Printing................................... 20
- 2. Reprinting....................... ...... . 20
- 3. Distribution of Documents................. 21 PART IV GUIDELINES FOR PREPARATION OF MANUSCRIPT'. AND REPRODUCIBLE MASTERS TO BE PRINTED BY NRC............ 23 A. INTRODUCTION................................ .. 23 Approved: January 25, 1978 11
PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 CONTENTS PAGE B. ORDER OF ELEMENTS IN A REPORT.......... .... . 23 C. FRONT MATTER......................... . ...... 24
- 1. Cover, Title Page and Disclaimer..... ... 24
- 2. Abstract............................... .. 24
- 3. Guides for Preparing an Abstract... ..... 25
- 4. Summary.............................. .... 25
.l 5. Table of Contents and Page Numbers........ 25
- 6. List of Figures.................... ..... 26
- 7. List of Tables.......... ............ .... 26
- 8. Preface..................... ...... .. .. 26
- 9. Acknowledgments............. ... ...... . 26
- 10. Previous Reports in Series... ... .. .... 26 Exhibit 8 - Table of Contents. . . . .
... 27 Exhibit 9 - Table of Contents Using i
Numbers and Decimals.......... ...... . 28 Exhibit 10 - Table of Contents for Con-ference Proceedings..................... 29 4
- 11. Abbreviations and Symbols.................
30
, O. TEXT... ....................................... 30
- 1. Title of Report........................... 30 i
2.
3.
Introduction.................... 30 Paper..................................... ......... 30
- 4. Typing Instructions.......................
- 30
- 5. Image Area...............................
30
- 6. Page Numbering............................ . 30 7.
8.
Photocopied Text.......................... 31 j
i Footnotes................................. 31 E. BACK MATTER....................................
l 31 1.
References................................
l i 31 l
' 8.
Format............................... 31
- b. Availability Requirement............. 32
- c. Proprietary and Classified Documents. 32
- 2. Bibliography.............................. 32
- 3. Appendix........................... ...... 33
- 4. Glossary........................... ...... 33
- 5. Distribution List......................... 33
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iii Approved: January 25, 1978 L
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PUBLICATION OF UNCLASSlFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS CONTENTS PAGE F. GRAPHIC AND TABULAR MATTER. . . . . . . . . . . .. .. 33
- 1. Tab 1es.................................... 33
- 2. Figures................................ . 34
- 3. Photographs........................... . 34
- 4. Special Graphics.......................... 34 G. EXAMPLES OF REFERENCE CITATIONS................ 34
- 1. Correspondence. .......................... 34
- 2. Internal Papers.......,...... ... .... ... 34
- 3. Personal Communications; Private Communications; Notes Regarding Visits.... 35
! 4. Procedures Manuals........................ 35
- 5. Government Agency Printed Documents and Drafts of Documents to be Printed that Have Been Made Available to the Public for Comment... ........................... 35
- 6. NRC Contractor Reports and Reports Pre-pared on Interagency Agreements........... 36
- 7. NRC Applicant Document.................... 36
- 8. Project Documents......................... 36
- 9. Licensee Documents........................, 36 1'. Books..................................... 36 l'. Conference Papers......................... 36 1:. Journal Articles, Magazine Articles, Newspaper Articles........................ 37
- 13. University Theses......................... 37
- 14. Codes and Standards....................... 37 1 .
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I Approved: January 25, 1978 iv j
l PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 This appendix provides standards and procedures for the documentation, production and dissemination of regulatory and technical documents that are to be made publicly available and are prepared by contractors or other government agencies in accordance with contract requirements or interagency agreements. It is presented in four parts: Part 1 - Formal Contractor Documents to be Printed by NRC, Part 11 - Interim Contractor Documents to be Printed by NRC or Duplicated by Contractor, Part lil - Formal Documents to be Printed Under or Pursuant to Interagency Agreements by Agencies with JCP Authorized Federal Printing Plants, and Part IV - Guidelines for Preparation of Manuscripts and Reproducible Copy to be Printed by NRC.
PARTI FORMAL CONTRACTOR DOCUMENTS TO BE PRINTED BY NRC A. DOCUMENTATION
- 1. Applicability
- a. The requirements of this part apply to contractor and in-teragency agreement documents that are to be printed by
, NRC. Contractors, other than DOE laboratories with authorized federal printing plants, may not print reports prepared for NRC.
- b. With respect to classified documents and documents "For Official Use Only," the requirements set forth in this part 7
shall be used in conjunction with Chapter NRC-2101.
- c. The requirements of this part do not apply to consultants and contractors of the NRC boards, panels, and advisory
) committees which report directly to the Commission.
- 2. Front Cover and Title Page
! a. Separate covers and title pages are required (see Exhibits I and 2 for contractor reports and Exhibits 3 and 4 for reports prepared under or pursuant to interagency agreements).*
- Reproducible copy of the cover of the performing organization may be submitted; however,. the data elements shown in Exhibit I must be iricluded .
C.. 1 Approved: January 25, 1978 l
l
_ . -. . - __ .- -- - - - - . . . . ~.-- . - .
j . .
I' PUBLICATION OF UNCLASSEFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS i
- b. The items shown in Exhibits I through 4 and discussed below shall appear on the title page and cover, as appropriate.*
i (1) NRC Document Number. Each document shall be identified by an NRC-controlled alphanumeric number as the prime number unique to that document. The
{ centralized document control system for unique i identification is maintained by the Division of Technical information and Document Control .
l Numbers may be obtained by calling Division of i Technical Information and Document Control or
! submitting a copy of NRC Form 426 (Exhibit 5) with a l request for a number.
The NRC identification number will have the form:
N U R EG/C R-1234 i The contractor's report number, if any, may be in-i serted below the NUREG number on the title page and i
cover, as shown in Exhibits I through 4.
i i
When a document consists of more than one volume or binding .or is issued in more than one edition, an i
appropriate volurra, supplement, part or revision de-signation shall appear immediately below the report
- number.
(2) Title and Subtitle
' (a) Use a brief title that indicates clearly the subject matter covered in the document.
j (b) When a document is prepared in more than one volume, repeat the primary title on each volume.
(c) If appropriate, show the type of document (e.g. , annual report, final report, thesis, etc. )
j and the period covered as part of the subtitle.
(3) Personal Author (s)' Name(s). Authors' names should be given on the title page and cover unless this is
, impractical, as in the case of annual reports which l have many contributors. if authors' contributions
{ are as editors, compilers, etc., so indicate on title d
, *These requirements meet the specifications of American National Standard ANSI Z39.18-1974, Guidelines for Format and Production of Scientific and Technical Reports, and ANSI Z39.23-1974, Technical Report Numbers.
Approved: January 25, 1978 2
~, , , . - -
.---.s - . - . , , , - ~ , - . , ,,n. --.-,.u -w.n.---- g--, - - --c-, _ - , . --, , ,, ,-m-.
PUBLICATION OF UNCLASSIFIED REGULATORY AND lECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 l
page following the names. In addition, list affiliation 4
of each author only if affiliated with an organization other than the organization generating the document.
(4) Organization Identification. On the title page and cover, provide information of the type illustrated in Exhibits I through 4.
(5) Basis for Report Date(s) s (a) The basis for dating may be shown along with the date on the title page. Various bases for dating are possible; e.g. , date document com-pleted, date reviews completed, date published, date distributed, etc.
(b) More than one date, with the basis for each, may be shown where this is necessary.
- 3. Availability Information All formal documents will be made available for sale by NRC and by the National Technical information Service (NTIS). The following statements will be inserted on the inside of the front cover (Exhibit 6) by the Division of Technical Information and Document Control:
Available from U.S. Nuclear Regulatory Commission Washington, D.C. 20555 Available from National Technical Information Service (NTIS)
Springfield, Virginia 22161
- 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 war-ranty, expressed or implied, or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any information, apparatus, product or process disclosed in this report, or represents 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 standard disclaimer, if appropriate.
( 3 Approved: January 25, 1978 l
i, l 1
i
! PUBLICATION OF UNCLASSIFIED REGULATORY AND i
- NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS
! 5. Abstract I
q An abstract of 200 words or less shall be prepared for each
! formal document. If the abstract is included in the document, ,
} it should appear on a separate page between the table of con-tents and the text.* ;
l B. PATENT AND SECURITY REVIEWS l
j l Patent Review l Patent implications shall be considered prior to approval of
) reports for public release so that disclosure will not adversely ,
j affect the patent rights of NRC or the contractor. If the work '
l being reported is contractually managed through another i i government agency (e.g., DOE laboratories), that government l l agency should be requested by the contractor to perform the i
i patent review. The result of such review shall be reported on NRC Form 426 in item 11 (Exhibit 5). /
j if NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the government agency j
i administering the contract, the responsible NRC contracting officer shall be consulted, and the responsible NRC program or project sponsor shall consider the patent implications. If there is no need for patent review because of the certainty that the 4 document contains no description of novel technical
! developments which may be of an inventive nature, NRC Form l 426 may be completed with the statement "not applicable" or 1 j "N/A" in the space for the Patent Counsel's signature. If there
- is a possibility that there is disclosure of developments of an 1 inventive nature, the contracting officer shall request assis-i tance from the NRC Patent Counsel, Office of the Executive Le-I gal Director. .
- 2. Security Review i
in most cases, contractor reports will be unclassified. Should a t report of classified work be required, however, the NRC
- , program or project sponsor must work with the NRC Division of j Security to establish the appropriate classification procedures ,
- and inform the contractor of such procedures through the l contracting officer.
I I
! t
'This preferred positioning of the abstract in the document need not be j followed if the style manual of the originating organization requires a different location.
I i
l Approved: January 25, 1978 4 i
\
i
_ _ _ , . _ . . _ - . _ _ . _ _ _ - . . . _ _ . _ , ~ . - _ - _ . _ . _ ~ . _ , , ___ . - _ , . . _ _ _ _ . _ - . . . ~
PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 C. PROCEDURES FOR PRINTING OR DUPLICATING AND DISTRIBUTING
- l. Printing or Duplicating Reproducible masters prepared in accordance with this appendix
- shall be transmitted to the Division of Technical Information and Document Control, accompanied by completed NRC Form 426 (Exhibit 5). NRC Form 426 must be signed by the NRC program or project sponsor or the authorized contractor official. The Division of Technical Information and Document Control will review the masters for adherence to the standards set forth in this chapter and appendix and will arrange for - printing and distributing the document.
Unsatisfactory masters ' vill be reported to the program or project sponsor for appropriate contractual action by the contracting officer or, in the case of government agency or interagency agreement work, the publications manager of the performing organization.
4
- 2. Reprinting or Reduplicating Requests for reprinting or reduplicating any document subse-quent to the initial printing or duplication require approval of the Division of Technical Information and Document Control.
Each request shall include a written justification for the re-printing or reduplicating and a list of recipients and their complete addresses.
- 3. Distribution of Documents All copies of formal contractor documents will be distributed by the Division of Technical Information and Document Control in accordance with instructions on NRC Form 426 (Exhibit 5),
if any distribution is to be made other than, or in addition to, the standard distribution established for the document, written justification for printing or duplicating additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control.
The final pages of the reproducible masters shall be the dis-tribution list.
(
l *For guidelines, see part 111.
l f 5 Approved: January 25, 1978 l
1
PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS EXHIBIT 1 SAMPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR-PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT T0 INTERAGENCY AGREEMENTS 4
NRC Report No.
Contractor Report No. (if any) N um E G/Cn-0012 Vol., Part, Rev., etc. (if any) UCLA ENG 776t a
f ritie LMFBR FUEL ANALYSIS i
TASK B: POST-ACCIDENT HEAT REMOVAL .
I l
Subutte and Type of Report Final Report l ( Annual, Topical, etc.)
October 1,1976 - September 30,1977 Author (s) J. Caette N. C. Ostrender J. M. McDonough I. Catton Contractor University of CeHfornia, Los Angelse i
NRC P '# d
- u. s. Nuci.or no ietary Commission
, Approved: January 25, 1978 6
PUBLICATION CF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 EXHIBIT 2 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL CONTRACTOR-PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No.
Contractor Report No. (if any)
Vol., Part, Rev., etc. (if any) MUC ,7,',#
Oistribution Category No. (if any)
LMFBR FUEL ANALYSIS TASK 8: POST ACCIDENT HEAT REMOVAL i
Subtitle and Type of Report Final R eport J (Annual, Topical, etc.) October 1,197s . september so,1s77 Author (s) Editor (s), 4c.. = c o...
Compiler (s), etc. J " "roaaa=sa ' cmaa i
Ret, ort Dates and Bases **'*"'o*,,g g ,',',7,'
Contreetor Name 5'***My,gy $=*
and Address t aa .ca enon 4
NRC Sponsorship NRC Contract No. tY.,* Y.7 TTc'.43. net 1
i -
! ( 7 Approved: January 25, 1978 l
_ _ _ _ _ _ _ , _ _ _ _ . _ , _ _ _ _ _ _ _ _ ~ . _ . _ - - _ _ . . _ . _ _ _ _
PUBLlCATION OF UNCLASSIFlED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS EXHIBIT 3 SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED ,
UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No.
NUREG/CR 12M Contractor Report No. hf any) ORNL-87e9 Vol., Part, Rev., etc. (if any) Vol. 3. Rev. 2 ritie A CRITICAL EVALUATION OF THE NONRADIOLOGICAL ENVIRONMENTAL TECHNICAL SPECIFICATIONS Subtitle Volume 3 Peach Bottom Atomic Power Station Units 2 and 3 Author (s) s. u. m P. A. Cwwungham D. D Grey K. D. Kumar A. J. Witten Contractor Names Ook Ridge National Laboratory Prepared for NRC Sponsorship U. S. Nucieer Reg % Comndesion Approved: January 25, 1978 8
PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CON ~RACTORS NRC Appendix 3202 EXHIBIT 4 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No.
Contractor Report No. (if any) N S,',", '
- Vol., Part, Rev., etc. (if any) ;. a a..
Distnbution Category No. (if any) 4 A CRITICAL EVALUATION OF THE Title NONRADIOLOGICAL ENVIRONMENTAL TECHNICAL SPECIFICATIONS Subtstle Pooch Bottom Atomic Power Station Units 2 and 3
, , Author (s) s e a. $
P a Coaa ac.a.
o o c,..
mo.
a J 4tes.,
Report Dates and Bases * .. . son . a.... io i o rs
. o esw. .. A $str Contractor Names um a=*,. N.' a= t m.o .
and Addresses "" ","f,,2,,,3 7" U. C.h C.eww.e. .
- ., s.
uso.. ..i .
- p. . e.,
NRC Sponsorship o.. .es.+.,.e c,. no a,.
on<. ee m aw , ... c.
Interagency Agreernent No. us%.e...a . ,c -
NRC FIN No.or 9,,,,,, ,,,j'O'"*7,, ",, C.,,,#o',* n ,, .,, ,,
Contract No. =ac re= =. aimi 9 Approved: January 25, 1978 I
_ ._ , , _ _ _ _ _ , _ . . ~ . _ .-- . . - .
NRC Appendix 3202 PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS EXHIBIT 5 t REPOmr Nuust a e O
, , erea .n aere ,ce ,N,,R,C,5 0mw 426 u $ %wcst an as ow6arom, covu ss o%
a.r &.o . Co.
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2 o.s , .. .o i .o ;& ,. co. , , ,
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' PUBLICATIONS RELEASE FOR UNCLASSIFIED FORMAL '
- ",C, , 0l,'"J'y'**
NRC STAFF. CONSULTANT. AND CONTRACTOR REPORTS l 3 7IYLE AND SuSTiYLt 15eee e s aw es saw.ra sa earvaeae s e a uf MOR$ fte =em team thee, nea.e F.,sf .w **u, %enwe, e er ' on.sf espw *= 'l i
- 3 on c, a . i a e i n% a . . . t a . n,. .. . . . ,,...,. , e, .. < .. ., ,a. .o a,.= .,........, , . . . . .
os s ca u.v.54.% ema%cnw=t t o 6 e *%s.4 w 6 me pon t part e5 6&5t5 8 08 L aCM OA T E *. , e,w a as e.,,, sw a.es.mi o,e= *w sc. s,e ,wa. or e ,
7 CONTRACT Nuveta a Naue os sat amo<.,s a a,+ sroNsom e r)a ;o% t in' *a6te o taso a
j 0 T v Pt 08 Doc uve %1
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Cener *.* e.or,.eursen p 51&NOaa005?aeursoNAND%iil5a66 ** ' ' ' " *
- 0'""e""o'u" N"'T rs'"run san'.'*re'"ne owe'seu'*0'****"#**'""'**"~'"'"'#**
and t s 5e t.*, som s w .'so'.*< e.uns awe e a er
_e Ctat* Sed su a" ** 8.w.. e sue. ** 6e seo**** o" tv "
e w mov'.r.**a re**p*e.ns+ e=1 es ssave.,sen
.a ,e e pe.a.,s.wa ' *se 5 <a erw ep aver aa. est Air Cw'9.we w .r ,euse*sa.we*=vus, I itaomV0%AL sNF C#Ma l'ON aNo nt wa m ats sue n .s en.<. .e nereu sw enee s e easae<s reen eau
- Co s+ e .a ers.**e er gree <#re er.8ef #
r 17 ct LD Ctt amagct i
93 Susue? ?t 0 9' 8 ee.a.d eaa eise s.,a.a % aC P ena. 4 24 e % Awe os t ao os Omoamigatioma6 umi? we.o. ee.ae.
! : = :. = ...... ... ~a-~..
4
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, p] t Patt h? C64 4ma%CI 407 G#aM?t ......0,
. 0 a Paf t4 T Cow %Se 6 S 5eG%A f uat .* 5.G a f w #6 de AC ree.oriet se88 s er ewinorweg gemrecier eH g s e i e catt
- Da't l h C 8 0mw 436117 77) Det weOv1 E Otf rONS Or twel Fosse aat Ottokt ?t.
1 & BelfeNG STOCm way se ustD Approved: January 25, 1978 10 i
i
_ , . - . _ . _ - . _ y.m_ _ _ _ _ _ . . . _ _ r _ .,,,, _ _ . , _ , , . ._ . _ _ . .
_ . _ _ _ _ _ . _ ~ _._ __,_,__m,m. . _ _ _ , ,
.. . . . . . . , , - - _ . ~ . _ . . - . - . - . . . .. __ . -. -- _- . - _. -
e i.
I
- PUBLICATION OF UNCLASSIFIED REGULATORY AND j TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 EXHIBIT 6 DISCLAIMER AND AVAILABILITY STATEMENTS l (BACK 0F COVER)
- i e
]
)
i 1
1
) NOTICE 1
This report was prepared as an account of work Sponsored by l an agency of the Un.ted States Government. Neither the
- United States Government nor any agency thereof, or any of their employees, ma Aes any warranty, expres!ed or ervbed, or j assumes any legal liability or responsibility for any third party's e
3 use, or the results of st,ch use, of any information, aonaratus, I product or process disclosed in this report, or represents that
.its use by such third party would not infringe privately owned i
rights 1 ;
I The views empressed in this report are not necessarily those of the
, U S. Nuclear Aeoulatory Commission.
l I '
Aveelable from U.S Nuciear Regulatory Commission Weinegton.O C. 20555 I
i i
j Availab6e from i
National Techrucal information Sensice
(
i Springheid,Vweeia 22161 l
1 e
(
11 Approved: January 25, 1978
PUBLICATION OF UNCLASSIFTED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202
INTERIM CONTRACTOR DOCUMENTS TO BE PRINTED BY NRC OR AN AUTHORIZED FEDERAL PRINTING PLANT OR
, DUPLICATED BY A CONTRACTOR A. DOCUMENTATION
- 1. Applicability
- a. The requirements of this part apply to contractor docu-ments that are to be printed by NRC or an authorized Federal printing plant or duplicated by a contractor, i
- b. With respect to classified documents and documents "For Official Use Only," these requirements shall be used in
' conjunction with Chapter NRC-2101.
- c. The requirements of this part do not apply to consultants and contractors to the NRC boards, panels, and advisory committees which report directly to the Commission.
I j 2. Title Page
- a. A title page is required for each document. This page may be typed on plain bond and attached to the document.
I b.
The items shown in Exhibit 7 and discussed below shall appear on the title page. While the layouts and typefaces need not be exactly the same as in Exhibit 7, the items shall appear in approximately the locations indicated.
(1) NRC Accession Number. Each document to be made I
publicly available will be given a number unique to that document by the Division of Technical Informa-tion and Document Control.
j
' (2) The other title page items are self-explanatory or are explained in Exhibit 7.
- c. The title page shall be marked " Interim."
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 13 Approved: January 25. 1978
_ _ _ _ . _ . _ __ _ _ - - - _ - - _ _ _ . - - - -- - - - - - - - - - - - - - ~ ~ ~ - ~
. .. _ e _- _ _ _ __ _ _ ___ __ - _ _ _ _ . _ _ _ _ _ _ _ _ _ _ .
2 k
i PUBL8 CATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL 00CUMENT'., PREPARED BY NRC CONTRACTORS
{
l 4
! affect the patent rights of NRC. If the work being reported is
- contractually managed through another government agency
! (e.g., DOE laboratories), that government agency should be
, requested by the contractor to perform the patent review. The j result of such review shall be reported on NRC Form 426 in item ll (Exhibit 5).
1 I If NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the government agency administering the contract, the responsible NRC contracting officer shall be consulted, and the responsible NRC program or j project sponsor shall consider the patent implications. If there j is no need for patent review because of the certainty that the i document contains no description of novel technical 1 developments of an inventive nature, NRC Form 426 may be completed with the statement "not applicable" or "N/A" in the space for the Patent Counsel's signature. If there is a pos-
! sibility that there is disclosure of developments of an inventive r nature, the NRC contracting officer shall request assistance <
- from the NRC Patent Counsel, Office of the Executive Legal Director.
i l 2. Security Review
! In most cases, contractor reports will be unclassified. Should a report of classified work be required, however, the prograrr. or i
project sponsor must work with the Division of Security :o I establish the appropriate classification procedures and inform the contractor of such procedures.
- C. PROCEDURES FOR PRINTING OR DUPLICATING AND .
! DISTRIBUTING
- l. Printino or Duplicatino. Interim documents may be printed by NRC or an authorized Federal printing plant or duplicated (as
- l. defined by the Joint Committee on Printing, JCP, U.S.
! Congress)* by the contractor. If to be printed by NRC, the 1
'duplicatinc as defined by JCP, means that material produced by use of
- single-unit duplicating equipment with an image area not larger than 11 by 17 inches and which has a maximum image of 10-3/4 by 14 inches
- provided j that work exceeding 5,000 production units of any one page, and work ;
i exceeding 25,000 production units in the aggrogate of multiple pages, shall not be done without authority of JCP. Any work exceeding the limits stated above and requiring equipment other than that listed as duplicating equipment in the Government Printing and Binding Regula-tions must be approved by JCP or requisitioned by the Division of Tech-nical Information and Document Control.
J Approved: January 25, 1978 14 >
1 c m, r -- m y - . vye+%,-.-w -w - w t ---r e "e m y'm rw-www - wwwv e W e-**env w- -g- y+ N h&P= -
""P-'*FP"N*'*"*****"'NN** * * *
- - - .- - . - . _ - _ - . _ - . _. - . . ~ -- . - _ . _
4 PUBLICATION OF UNCLASSIFIED REGULATORY AND 4
TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 reproducible masters of the document, accompanied by a com-pleted NRC Form 426, must be sent to the Division of Technical i
information and Document Control.
4
- 2. Distribution of Documents Printed by NRC. The masters of
[ documents to be printed by NRC shall include a list of those to
! whom the document is to be distributed, complete with organi-zation address and Zip code, or a standard distribution list shall be specified if an applicable one exists.
- 3. Distribution of Documents Duplicated by Contractor.
i Interim I
documents duplicated by the contractor shall be distributed by i the contractor or the Division of Technical Information and Document Control. If to be distributed by NRC, the necessary t
copies and a list of those to whom the document is to be dis-I tributed, complete with organization address and Zip code, and
' a completed NRC Form 426 shall accompany the documents when
! sent to the Division of Technical Information and Document Control; a standard distribution list may be specified if an
- applicable one exists.
i; if distributed by the contractor, two copies of the document shall be sent to the Division of Technical information and j Document Control, along with a list of those to whom copies were distributed and a completed NRC Form 426. An accession l -
number will be assigned before the document is sent to the NRC Public Document Room. A copy of the NRC Form 426 wih be l
returned to the contractor with the accession number assigned.
i i
i I
l i
i 15 Approved: January 25, 1978
. - _ . . - , , _ - - - - - - c- , . - y - - - . . . - - - - , - . . , - - , . - - - - rr ._ ~.- - .. - - . . - - - --e ,-.--,,,,-c-.+ - , - - - - - - . - , ,,,--.,-e -r. -
PUBLICATION OF UNCLASSIFlED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS EXHIBIT 7
- SAMPLE TITLE PAGE FOR INTERIM CONTRACTOR DOCUMENTS TO BE MADE PUBLICLY AVAILABLE INTERIM REPORT Accession No.
(Will be added by NRC)
Aca onNo Contractor Report No.
Title of Programfor Which Contract Pro, m or Protect Tenie Contract Written Limited Subject of sue,eci of <* Document This Document Type of Document: Status Report, Quick Look Report. etc.
Author (s)
Date of Document
)
, indevidual Rescons.eie NRC Ind,v4wa8 and NRC Off.ce or Devis.on i
in document .m peoared crimnwy hw ornmee,or mienes ww te nea not rece.ved tun rev.e. and .oorovei s.nce one.. me, ee nuestene.v. cnen,n. in.
do(wment should not be ConseOered f.nal Contractor and Address Oa6 R.o,e Nanones Lamoratory Oa6 Rege. Tennessee 37830 operated av Unen Cmoide Corporation l
for the U S Department of Erwegy j
Presered foe 4
U $ Nweleet Rapistor, Commies.on
! ween.ngeon. O C- 20665
- Interagency Agreement ureer anieressney Agrammew OOE 40 550 75
! or Contract No. NRC FIN No. A12347 INTE RIM REPORT d
i Approved: January 25, 1978 16
PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 PART lil FORMAL DOCUMENTS TO BE PRINTED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS DY AGENCIES WITH JCP AUTHORIZED FEDERAL PRINTING PLANTS A. DOCUMENTATION
- 1. Applicability 4
- a. The requirements of this part apply to NRC staff who are responsible for agreements with other agencies and their contractors who print regulatory and technical documents required by agreements with NRC.
- b. With respect to classified documents and documents "For Official Use Only," the requirements set forth in this part
- shall be used in conjunction with Chapter NRC-2101.
- c. The requirements of this part do not apply to consultants and contractors to the NRC boards and advisory committees which report directly to the Commission.
- 2. Front Cover and Title Page
- a. Separate covers (of different paper than that of the text) and title pages are required.*
- b. Items such as those shown in Exhibits 3 and 4 and discussed below shall appear on the front cover and title page, as appropriate.** While layouts and typefaces need not be exactly the same as in Exhibits 3 and 4, the items shall appear in approximately the locations indicated and
- with the same relative prominence.
(1) NRC Document Number. ~
Each document shall be identified by an NRC controlled alphanumeric num-ber as the prime number unique to that document.
The centralized document control system for unique
- The cover stock of the performing organization may be used; however it must include the data elements shown in Exhibit 3.
- These requirements meet the specifications of American National Stand-ard ANSI 239.18-1974, Guidelines for Format and Production of Scien-tific and Technical Reports, and ANSI Z39.23-1974, Technical Report Numbers.
r i k j 17 Approved: January 25, 1978 I
PUBLICATION OF UNCLASS1FIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS identification is maintained by the Division of Tech-nical Information and Document Control. Numbers may be obtained by calling the C,1 vision of Technical Information and Document Control or submitting a copy of NRC Form 426 (Exhibit 5) with a request for a number.
The NRC identification number will have the form:
NU R EG/C R-1234 The contractor's report number, if any, may be inserted below the NUREG number on the title page and cover, as shown in Exhilpits 3 and 4.
When a document consists of more than one volume or binding or is issued in more than one edition, an appropriate volume, supplement, part, or revision designation shall appear immediately below the report number (s). NRC document numbers on covers and title pages shall be shown entirely on one line to facilitate computer processing.
(2) Title and Subtitle (a) Use a brief title, which indicates clearly the subject matter covered in the document.
l (b) When a document is prepared in more than one volume, repeat the primary title on each volume.
(c) If appropriate, show the type of document (e.g.,
annual report, final report, thesis, etc.) and the period covered as part of the subtitle.
(3) Personal Author (s)' Name(s) ,
(a) 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' contributions are as editors, compilers, etc., so indicate on title page and cover following the names. In addition, list affiliation of each author only if affiliated with an organization other than the organization generating the document. '
(b) Authors may be identified on backstrips (spines) of bound volumes.
Approved: January 25, 1978 18 l 1
PUBL! CATION OF UNCLAS$1FIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 (4) Organization Identification (a) On cover, provide the name of the contractor respon-sible for preparing the document, followed by " Pre-pared for the U.S. Nuclear Regulatory Commission."
(b) On the title page, provide information of the type illustrated in Exhibit 4.
(5) Basis for Report Date(s)
(a) The basis for dating may be shown along with the date on the title page. Various bases for dating are possible; e.g., date document completed, date reviews completed, date published, date distributed, etc.
(b) More than one date, with the basis for each, may be shown where this is netessary.
- 3. Availability and Price Information All formal documents will be made available for sale by NRC and NTIS. The following statement is required on the inside of the front cover (Exhibit 6):
(.'- Available from ,
U.S. Nuclear Regulatory Commission Washington, D.C. 20555 Available from National Technical Information Service (NTIS)
Springfield, Virginia 22161
- 4. Disclaimer The following notice shall be added during the printing =tep on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by the United States Government. Neither the United States Government nor any agency thereof, or any of their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any information, apparatus, product or process disclosed, or represents 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 nec-essarily those of the U.S. Nuclear Regulatory Commission" will be printed below the standard disclaimer, if appropriate.
4
( 19 Approved: January 25, 1978 i
PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTOR 5 ,
- 5. Abstract An abstract of 200 words or less shall be prepared for each formal document. Within the document, the abstract shall appear on a separate page between the table of contents and the text.*
B. PATENT AND SECURITY REVIEWS
- 1. Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor. The government agency responsible for the interagency agreement with NRC should perform the patent review. The results of such review shall be reported by the agency on NRC Form 426 in item ll (Exhibit 5).
- 2. Security 9eview in most cases, consultant, contractor, and subcontractor re-ports will be unclassified. Should a report of classified work be required, however, the NRC program or project sponsor must work with the Division of Security to establish the ap-propriate classification procedures and inform the contractor.
I C. PROCEDURES FOR PRINTING AND DISTRIBUTING
- l. Printing Contractor documents may be printed only by a JCP authorized printing plant. Documents printed by the contractor and one reproducible mester shall be submitted by the NRC program or project sponsor or the authorized contractor official to the Division of Technical Information and Document Control, with completed NRC Form 426. The number of copies specified by the agreement or contract for standard and incidental distribution shall be provided. The appropriate identifying number (NUREG/CR- ) may be obtained as discussed in section A.2.b.(l).
- 2. Reprinting Requests for reprinting of any document at NRC expense subsequent to the initial printing require approval of the Division of Technical Information and Document Control. The
- This preferred positioning of the abstract in the document need not be followed if the style manual of the originating organization requires a different location.
Approved: January 25, 1978 20 1
l . .
PUBLICATION OF UNCLASSIFTED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 i, request shall include a written justification for the reprinting and a list of recipients and their complete addresses.
- 3. Distribution of Documents
' Each document transmitted to the Division of Technical Infor-I mation and Document Control shall be accompanied by a recom-
! mendation for distribution on NRC Form 426 (Exhibit 5) and sufficient copies for standard and incidental distribution. ,
W i
i n
j .
t
(.
21 Approved : January 25, 1978 j
(
PUBLICATION OF UNCLASSIFTED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 PART IV ;
GUIDELINES FOR PREPARATION OF MANUSCRIPTS AND REPRODUCIBLE MASTERS TO BE PRINTED BY NRC A. INTRODUCTION These guidelines provide instructions to U.S. Nuclear Regulatory Commission contractors for the preparation of reproducible masters (camera-ready copy) of reports submitted to NRC for printing or duplicatir.g. They are intended for the use of NRC contractors that i
do not have written editorial standards for manuscript preparation.
l Organizations with established report preparation staffs and style manuals should use their own procedures and guidelines; this partic-ularly applies to the DOE laboratories.
Adherence to these or similar established guidelines will insure the professional quality and timely publication of NRC contractor reports. Manuscripts submitted which do not adhere to these or similar professional guidelines will be reported to the program or i
project sponsor for appropriate contractual action by the contracting officer or, in the case of government agency or interagency agreement work, the publications manager of the performing f
organization.
Questions about the implementation of these guidelines should be addressed to NRC's Division of Technical Information and Document Control, Washington, D.C. 20555; (301) 492-7566.
B. ORDER OF ELEMENTS IN A REPORT I
Organize the manuscript according to the following order of elements j before submitting it to NRC.
Right or l
Element Page Number Left Hand Page l
Title page none Right Back of title page none Left
. Abstract iii Right l $ Back of Abstract page none Left j Table of Contents v Right y List of Figures Saall Roman (odd or even) Right or Left
$ List of Tables Small Roman (odd or even) Right or Left Preface Small Roman (odd) Right Acknowledgments Small Roman (odd) Right l Abbreviations and Symbols Small Roman (odd) Right
( 23 Approved: January 25, 1978
PUBLTCATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS Right or Element Page Number Left Hand Page introduction Unnumbered, but Right considered Arabic I Text Numbered consecutively Right throughout in Arabic numerals References Numbered consecutively Right throughout in Arabic numerals Bibliography Numbered consecutively Right or Left throughout in Arabic numerals
$ First Appendix Numbered consecutively Right g throughout in Arabic r numerals
.a j Glossary Numbered consecutively Right or Left throughout in Arabic numerals Distribution Lists Numbered consecutively Right ,
throughout in Arabic numerals When an element ends on a right-hand page and the next element is to start on a right-hand page, leave a blank unnumbered page and skip a number so that the right-hand page starts on an odd page.
Right-hand pages are always assigned odd numbers, left-hand pages are always assigned even numbers.
C. FRONT MATTER
- l. Cover, Title Page and Disclaime/
The appropriate cover and title page with the information spec-ified in Part I of this Appendix shall accompany each reproduc-ible master.
- 2. Abstract l
An abstract of 200 words or less shall appear in each report.
The abstract shall summarize the major points of the report, including what investigations the report covers, and any find-ings, conclusions, and recommendations. For progress reports, concentrate on status of work to date. The preferred Approved: January 25, 1978 24
PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 location for the abstract is between the title page and the table of contents.
For conference proceedings, each paper shall include an ab-stract of 200 words or less. The abstract shall appear on the first text page of each paper between the title and the text.
- 3. Guides for Preparing an Abstract The abstract is a condensed version of the document and should summarize or highlight the major points. It should never ex-ceed one paragraph or 200 words, and should provide a review of the contents of the work in abbreviated form.
The abstract should state what was investigated and give any conclusions reached. A review of the major and minor headings of the report and, in particular, the introduction and conclu-sion section can be useful in deciding what information to in-clude. The first sentence of the abstract should state the '
subject of the report.
The writing should be concise; that is, words and ideas that are either repetitious or unnecessary should not be used. Care should be taken, however, to include the article _(a, an, the) and transitional words (and, however, but) that are ,important to readability. The language should be concise, but the ab-
{. stract should not read like a telegram.
- 4. Summary Contractor reports (other than short summary reports) should include a 500- to 1,000-word summary of major findings conclu-sions and recommendations (if any) of the report. The summary should state the purpose and nature of the investigation, as well as provide a brief account of the procedures used. It should provide a concise overview for persons in management positions. Though more complete than an abstract, the summary should not contain a detailed description of the work on which the findings, conclusions and recommendations were based.
The summary may appear as a separate section between the ab-stract and the table of contents. It may also be the final section of the text. When it appears between the abstract and table of contents, it is treated as front matter. When it appears as the final section of text, it should be listed in the table of contents and treated as text matter.
- 5. Table of Contents and Page Numbers A table of contents shall be provided if the report contains r more that 25 pages of text. The table of contents shall list all I
( 25 Approved: January 25, 1978 l
PUBLlCATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS major sections of the text, including the front matter. It shall include chapter or section numbers, as well as the title of and page number for each. (See Exhibits 8 and 9 for sample tables of contents.) In reports made up of chapters or papers by different authors, the table of contents shall list the name of each author with the title of the chapter or the paper (see Exhibit 10, for example).
When prootreading the table of contents, insure that the page numbers and wording of chapter and section titles are identical with those in the text.
- 6. List of Figures A separate page listing figures shall be included when there are five or more figures in the report. The figure numoers and captions shall correspond to those in the text. Such a list is unnecessary for conference p~oceedings or symposium compilations.
- 7. List of Tables A separate page listing tables shall be included if there are five or more tables in the report. The table numbers and titles shall correspond to those in the text. Such a list is unnecessary for conference proceedings or symposium compilations.
- 8. Preface (Optional)
The preface is the aut* or's statement about the purpose, back-ground, or scope of the work. It can also contain acknowledg-ments of help receised during the course of the work, if the acknowledgments do not run over several paragraphs. The preface can also cite permission obtained for use of previously published work. The author's name shall appear at the end of the preface with his title, affiliation, and the date.
- 9. Acknowledgments Unless they are more than one page long, acknowledgments shall appear in the preface.
Acknowledgments, if extensive, shall follow the preface on a separate page and carry a small Roman page number.
- 10. Previous Reports in Series if the report under preparation is one in an ongoing series, list all previous reports in the series. Include report number and issuance dates.
Approved: January 25, 1978 26
PUBLICATION OF UNCLASSlFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 Exhibit 8 TABLE OF CONTENTS Abstract. . . .. ... . . iii List of Figures . . .. ... .... right roman List of Tables. ........ .. ... . . . . righ t roman Preface . . . . . .. .. . . .. . right roman Acknowledgments . . . .. .. .... ... right roman Previous Reports. . . .. . . . .. . . right roman I. Introduction .. . .... .... .. . 1 A. Background. ... . ... ... . . . . 3 B. Overview and Objectives of Study. ..... 8 II. Experimental Apparatus and Procedure . .. . . 10 A. Experimental Apparatus. .... ..... .. . 15 B. Experimental Procedure. . . .. . ..... 19 III. Results. . .... . ..... ... .. 22 IV. Discussion . . . .... .... . . 25 References. . ... .. ... . . ... .... 35 Bibliography. . . . .. . ..... .. . . 37 Appendixes A. Thermophysical Property Values. . . . . . 39 B. Experimental Data . . . ....... . ... . 41 Glossary. . . . .. . . ... .. . .... .. .. 47
< 27 Approved: January 25, 1978
(
1 l
PUBLICATION OF UNCLASSZFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS Exhibit 9 i
CONTENTS ABSTRACT . . . . . . . . . . . . . . . . . . . . . . . . . . . iii
SUMMARY
. . . . . . . . . . . . . . . . . . . . . . . . . ri gh t roma n
- 1. INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . . I
- 2. EXPERIMENT DESIGN . . . . . . . . . . . . . . . . . . . . 3 2.1 Test Train . . . . . . . . . . . . . . . . . . . . 3 2.2 Flow Shroud. . . . . . . . . . . . . . . . . . . . . 3 2.3 Fuel Rods. . . . . . . . . . . . . . . . . . . . . .
2.4 Instrumentation.
8
.................. 10 2.4.1 Test Train Instrumentation. . . . . . . . . . 10 2.4.2 Fuel Rod Instrumentation. . . . . . . . . . . 12
- 3. EXPERIMENT CONDUCT. . . . . . . . . . . . . . . . . . . . 16 3.1 Preconditioning. . . . . . . . . . . . . . . . . . . 17 3.2 Power Increase and Steady-State Operation. . . . . . 25 3.3 Flow Reduction . . . . . . . . . . . . . . . . . . . 26
- 4. PRELIMINARY POSTIRRADIATION EXAMINATION RESULTS . . . . 33 4.1 Visual and Dimensional Characterization. . . . . . . 33 4.1.1 Rod IE-007. . . . . . . . . . .'. . . . . . . 33 4.1.2 Rod IE-008. . . . . . . . . . . . . . . . . . 38 4.1.3 Rod IE-009. . . . . . . . . . . . . . . . . . 38 4.1.4 Rod IE-010. . . . . . . . . . . . . . . . . . 40 4.2 Discussion . . . . . . . . . . . . . . . . . . . . . 40
- 5. EXPERIMENTAL RESULTS AND COMPARISON OF CALCULATED AND MEASURED FUEL R0D BEHAVIOR. . . . . . . . . . . . . . 42 5.1 Analytical Model . . . . . . . . . . . . . . . . . .
43 5.1.1 Fuel Rod Model. . . . . . . . . . . . . . . . 43 5.1.2 Experimental Conduct Model. . . . . . . . . . 44 5.2 Cladding Elongation. . . . . . . . . . . . . . . . .
44 Approved: January 25, 1978 28 l
1 1
PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 !
Exhibit 10 l CONTENTS l
OPENING REMARKS (W. P. Bishop). ..... . . . . . . . . . 1 TOPIC I: VALUES AND IMPACTS OF WASTE PARTITIONING. . . . . . 5 Partitioning--An ERDA Overview (R. D. Walton, Jr.,
V G. Trice, Jr. , and K. D. Dance) . . . . . . . . . . 6 Discussion .................... 22 4
Partitioning--Fired or Foe? (J. W. Bartlett). . . . . 24 Discussion .. . .
............. 34 A Program to Establish the Technical Feasibility and
.' Incentives for Partitioning (J. O. Blomeke). . . . . 38 j Discussion. .............. . . . . . 49 i
The Impact of Partitioning on the Fuel Fabricator t
(I. E. Knudsen and B. H. Neuman) . . . . . . . . . . . 53 '
, Discussion. .................... 62 i,
Projected Benefits from Actinide Partitioning (C. Braun and M. Goldstein). . . .... . . . . .... 64 Discussion. . ................. . 76 T
TCPIC II:
HAZARDS IN RADI0 ACTIVE WASTE DISPOSAL. . . . . . . 80 i
j Potential Environmental Advantages from Partitioning of Radioactive Waste (J. L. Russell) . . . . . . . . . . 81 Discussion. . . . . . . . . .......... . . 89 t
, Other than High-level Waste (G. R. Bray) . . ... . . . . 95 Discussion. . . . . . . . ............ . . 105 t
Environmental Hazards from High-level Waste (B. L. Cohen). ..................... 107 Discussion. . . . . . . . . . . . . . . . . . . . . 127 29 Approved: January 25, 1978 l
l 1
{
. - . . - _ - _ - _ _ _ - - . - - - _ . _ = _ - . _ _ _ . . = = _ . .. - _.
PUBLICATION OF UNCLASSIFIED REGULATORY AND
, NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS il . Abbreviations and Symbols l When the abbreviations and symbols used in the report are numerous , and when there is a possibility they will not be understood by the intended audience, include a separate ,
section for them. The list, labeled as such, shall appear as the '
last item of the front matter on a new right-hand page.
D. TEXT
- l. Title of Report l The title of the report shall be repeated on the first page of text. It shall be centered at the top of the page, like a chapter or section title. j
. 2. Introduction (Optional) 1 i
Not every report needs an introduction. Where background in-formation essential to an understanding of the text is neces- -
sary, include an introduction. Otherwise, background informa- ;
, tion shall be included in the preface. '
i 4
.The introduction follows the preface (or acknowledgments), be-l ginning on a new page. As the first text page, it shall be
- unnumbered but considered as page number 1. If there is no
, introduction, begin the report with the first major text head- )
j ing, after repeating the report title.
1
- 3. Paper Plain, white, bond paper shall be used. Company letterhead is not acceptable.
i 4. Typing Instructions i
! Paragraphs shall be single spaced and typed flush left in block i style (no paragraph indentations). Double space between para-j graphs, triple space before headings, and double space after
- headings.
i 5. Image Area l
The image areas for typing shall be 6 x 8-l/2 in.
l l 6. Page Numbering
- i Pages shall be numbered consecutively throughout, with small
. Roman numerals for all front matter and Arabic numerals for all i
text and back matter. The report will be printed on both sides l of the paper; therefore, all left-hand pages must carry even 3 numbers, and all right-hand pages, odd numbers.
l } '
Approved: January 25, 1978 30 I
, . - - - - . - . - . - , _ , , ,,. - --, - - - - - - - - . . - - - - . . . . . - - .--------- - .~,- -.-
PUBLICATION OF UNCLASSTFZED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 New chapters may begin on a new page; either a left- or right-hand page. Page numbers shall be centered one-half inch above the bottom of the typing guide. Guidelines for numbering pages containing figures or tables are found in a later section on Graphic and Tabular Matter.
i
- 7. Photocopied Text Pages reproduced by photocopying machines are not acceptable as camera-ready material. Photographically reproduced pages
, (using photographic print paper) are acceptable.
- 8. Footnotes Footnotes in the body of the report shall be used only for ex-planatory material not extensive enough. to comprise an appendix.
Notes citing references to literature used in the preparation of the report shall appear as part of the references (see item G, below).
Footnotes shall appear at the bottom of the text page between the last line of text and the page number; that is, the last line of the footnote typing guide. shall be on the bottom line of the 6 x 8-l/2 in.
A double space shall appear between the fast line of text and the first line of the footnote. A 20-spacelne i shall appear above the first footnote.
Single, double or triple asterisks or daggers shall be used to mark footnotes in the text and at the bottom of the page.
E. BACK MATTER
- 1. References
- a. Format. Citations of source documents in technical and research reports shall be numbered consecutively in the order in which they appear in the text and collected in a reference section. For short reports (20 pages or less),
the reference section shall appear at the end of the report directly following the text. For long reports, reference sections shall appear at the end of each chapter or major section. In either case, reference sections are labeled as such and may begin at the end of the text or on a new page. For reports with more than one reference secticn, if a citation appears in separate chapters or sections, it j shall be repeated in each appropriate reference section.
{ Multiple line citations shall be typed single space, with l double spacing between citations.
- r l ( 31 Approved
- January 25, 1978
, . _ - -- - .--o- ,-e,- , -
o .
PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS The second and subsequent lines of an entry shall be typed flush with the same margin as the first line so that the reference number stands out. (See item G for guidelines on how to cite specific references.)
- 6. Availability Requirement. The provisions of 10 CFR 2.740 and 10 CFR 9.4 require that written, reproducible material used as source material in NRC regulatory and technical documents produced by its contractors and subcontractors be readily available for inspection and copying or be documents ordinarily available from a public library.
Accordingly, reference citations must be presented in a format recognizable by a librarian. Citations to infor-mation not available in the open literature shall state where the document can be purchased or copied. Give purchase price, if known (see item G for guidelines),
- c. Proprietary ar.d Classified Documents. When nonproprie-tary or unclassified (or declassifiable) information con-tained in proprietary or classified documents must be used as source material, it should be (I) inserted in the body of the text or as a footnote to the text, (2) copied and placed in an appendix, or (3) abstracted and made available for inspection and copying for a fee at the NRC Public Document Room. if alternative (3) is chosen, the abstract should be referenced in the reference list in the appropriate sequence.
In some instances, reference to classified or proprietary documents cannot be avoided because those documents are the only source for the material. The occuments are re-quired, however, to be withheld from the public. Never-theless the public must be made aware that such documents served as the bases for the material presented.
Accordingly, proprietary documents and classified documents (omit the title if the title is classified) may be referenced when necessary. This type of reference should include a statement such as the following: This document is not publicly available because it contains proprietary (or national security) information.
i
- 2. Bibliography Citations of other documents pertinent to the subject but not referenced in the text shall be listed in a bibliography.
Bibliographic entries shall be arranged alphabetically by per-sonal or corporate author name.
The bibliography, labeled as such, shall follow the last ref-erence section in the text and begin on a new page, either
- right or left.
Approved: January 25, 1978 32
PUBLICATION OF UNCLASSIFIED REGULATORY AND
, TECHN! CAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 i
- 3. Appendix The appendix shall comprise information supplemental to the reoort. The types of material to be placed in the appendix are (a) explanations too long for footnotes but helpful to the reader seeking further assistance or clarification, (b) passages from documents or laws that support or illustrate the text, or (c) long charts or tables.
4 The first appendix shall appear on the first right-hand page directly after the reference section or bibliography. Each
' additional appendix shall begin on a new page, either right or left. Each appendix shall be identified by a title and heading centered above the text.
s 4 Glossary A glossary shall be included if the report contains many terms that will be unfamiliar to the intended audience. Terms shall be arranged alphabetically, with each new entry beginning on a new line. Definitions shall follow the term on the same line, dictionary style.
The glossary, labeled as such, shall appear directly after the appendix, beginning on a new page, either right or left.
- 5. Distribution List The distribution list shall cite the NRC distribution category and any supplemental distribution the report is to recrive. The supplemental recipients shall be listed by title and complete address, including Zip Code. It shall begin on a right-hand
- page.
F. GRAPHIC AND TABULAR MATTER I. Tables Each table shall have a number, in Arabic numerals, and a title. The table number and title shall be centered above the table. Tables shall be numbered sequentially throughout the text or double-numbered by chapter, such as I.4, 5.6, etc. ~
Tables shall be referred to in the text by number rather than by direction (" Table 4" rather than "the above table"). When a
[
i table must be continued from one page to the next, the table number (" Table 3, Continued") and the column headings shall be repeated at the head of the new page.
Pages containing full-page tables shall be numbered in the same manner as regular text pages.
33 Approved: January 25, 1978
-- . - - , -. , , - , _ - - - . - . , - _ , - - , - _ , _ _ , - , _ _ - - - - _ - - _ _ - , ,. . - - . , - , ,, ,~,-_-. -
PUBLICATION OF UNCLASSIFfED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS
- 2. Figures l
Each figure shall have a number, in Arabic numerals, and a title. The figure number and title shall be placed below the figure. Figures shall be numbered sequentially throughout the text or doubled-numbered by chapter, such as 1.4, 5.6, etc.
Figures shall be referred to in the text by number rather than by direction (" Figure 3" rather than "the figure below").
Pages containing full-page figures shall be numbered in the same manner as regular text pages.
- 3. Photographs Only continuous-tone glossy black and white prints are accept-able. The following types are not acceptable: color prints and prescreened or half-tone prints or plates. All photographs shall be mounted and the title, number, and page number placed on the page. Photographs shall be considered as figures with respect to numbers and title.
- 4. Special Graphics Special graphics include oversized engineering drawings and foldouts. Instructions for handling special graphics shall be provided for each document, where appropriate.
G. EXAMPLES OF REFERENCE CITATIONS
- 1. Corresp'ondence Letter from D. B. Blackman, Georgetown Municipal Utility, to R. A. Gilbert, NRC,
Subject:
Answers to NRC Questions on Docket 50-825, dated January 31, 1975. Available in NRC PDR for inspection and copying for a fee.
- 2. Internal Papers Internal papers, such as technical notes and minutes of meet-ings should not be referenced unless they are already available in the NRC Public Document Room (PDR) or will be made -
available in the PDR prior to issuance of the- report. For a technical note, list author (if any), title, and date, and state that it is "available in the NRC PDR for inspection and copying -
for a fee. " The same format is applicable to minutes of meetings. Calculations and working papers should not be referenced. If the information in them is pertinent to the text of the report, it should be made part of the report as text, footnote, or appendix.
Approved: January 25, 1978 34
PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 I
- 3. Personal Communications, Private Communications, Notes Regarding Visits References of the following type should not be used:
J. G. Facer, ERDA Grand Junction Office, personal com-munication to M. B. Sears, Oak Ridge National j Laboratory, December 16, 1975.
Staff visit to the Exxon mine waste dump, Converse County Wyoming, April 12, 1972.
In both instances place these remarks directly in the text, i since they do not represent any retrievable information.
I 4. Procedures Manuals Procedures manuals should not be referred to unless they are normally available. The citation should give sufficient in-j formation to indicate where they can be obtained. If specific I
procedures are pertinent, they can be reiterated in the text without reference to documents.
- 5. Government Agency Printed Documents and Drafts that Have Been Made Available to the Public for Comment
. . For draft reports:
I U.S. Nuclear Regulatory Commission, " Draft Generic Environmental Statement on the Use of Recycle Plutonium in Mixed Oxide Fuel in Light Water Cooled Reactors,"
USNRC Report N U R EG-0002, Vols . 1-5, April 1976.
- Available in NRC PDR for inspection and copying for a i fee.
If specific pages are being referenced, insert volume and page
- numbers following the title; e.g. , Vol. 4, pp.10-20, 500-730.
l
! For final reports:
l
! U.S. Nuclear Regulatory Commission, " Final Generic Environmental Statement on the Use of Recycle Plutonium j in Mixed Oxide Fuel in Light Water Cooled R eactors ,"
USNRC Report N U R EG-0002, Vols. I-5, August 1976.
Available for purchase from National Technical information l Service, Springfield, Virginia 22161.
i R. O. Meyer, "The Analysis of Fuel Densification,"
i USNRC Report NUREG-0085, p. 48, July 1976. Available for purchase from National Technical Information Service, Springfield, Virginia 22161.
r
( 35 Approved: January 25, 1978 i
+r-,--. --
,y.y
---irwg.- -w,,w- y w--v 9 m,r- y eee i
9 y w.7 4 ..-.7 9--,--..----q. .,-y.,,.-- -
y .w.-.,---,m. --,,---,m._. m.,
e PUBLICATION Of UNCLASSIFIED REGULATORY AND NRC Aptendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS
- 6. NRC Contractor Reports and Reports Prepared on interagencs
- Agreements M. A.M. Shinaishin, University of Arizona, " Dynamic Simu-lation of a Sodium-Cooled Fast Reactor Power Plant," p.
196, USNRC Report N U R EG-C110, September 1976.
Available for purchase from National Technical information Service, Springfield, Virginia 22161.
G. L. Bordner and others, " Pretest Analysis SLSF In-Reactor Experiment 62," USNRC ' Accession No. 771090001, prepared for NRC by Argonne National Laboratory, j
October 1976. Available in NRC PDR for inspection and copying for a fee.
- 7. NRC Apolicant Document Exxon Nuclear Company, " Preliminary Safety Anaiysis Re-port," Vol . 3, p. 5.4-3, Nuclear Fuel Recovery and Re-cycling Center, Docket 50-564, April 1976. Available in NRC PDR for inspection and copying for a fee.
! 8. Project Occuments
}
i The format given in item G.7 for applicant documents may be used for project documents, with the docket number replaced by the project number,
- 9. Licensee Documents The format given in item G.7 for applicant documents may be used for licensee documents, with the docket number or the
- license number.
i
- 10. Books i
S. Glasstone, Sourcebook on Atomic Energy, p. 155, D. Van Nostrand Co. , Inc. New York,1974.
II. Conference Papers Unpublished conference papers should not be referenced. The information being used should be stated in the text and credit to the originator given in text or footnote. If the originator can supply a paper, it may be placed in an appendix and mentioned in the text.
Published conference papers should be referenced as follows:
J. L. Russell, " Potential Environmental Advantages from Partitioning of Radioactive Waste," p. 83 in Proceedings of Approved: January 25, 1978 36
PUBLICATION OF UNCLASSIFIED REGULATOR AND TECHNICAL C0CLMENT5 PREPARED BY NRC CONTUCTORS NRC AppenF 32:2 the Conf erence on the Management of Rad' ac t. , e u s' e.
haste Pa-titioning as an Alterna: e v e , USNRC Q 'runce Report CON F-001, June 1976. Asailable f cr pLrchase 'ro 1 National Technical information Service. Scringt.eic virginia 22i61
- 12. Journal Articles. Magazine Articles. Newspaper Articles S. O. Shearer and C. h Still, " Evaluation of Atmosoneric Racon in the Vicinits of Uranium Mill T ailings, Health Phs sics 67, 77-h,3 (i976). Avaiiable in puolic tecnnical lib ra rie s .
"Why the Nuclear Power Race Worries the U.S. ," p. 68, Business heek, August 23, 1976. Available in public libraries.
" Argentina Says it Has Atom Fuel To Triple its Electrical Capacity. " p. 53, The New York Times, August 31, i976.
Availaole in public libraries.
- 13. University Theses
, J. J. Jacobs, " Programming Language I for the Varian PLCU," Master's Thesis, p. 70, North Carolina U niversi ty , 1971.
- 14. Codes and Standards "American National Standard Requirements for Collection, Storage and Maintenance of Quality Assurance Records for Nuclear Power Plants," ANSI N45.2.91974. Available from American National. Standards Institute, 1430 B roadw ay ,
New York, N.Y. 10018, Copy righted.
"Draf t American National Standard Requirements for Collection, Storage, and Maintenance of Quality Assurance Records for Nuclear Power Plants," ANSI N45.2.9, Rev.1,
, Dra f t I, February 1976. Available from The American
! Society of Mechanical Engineers, 345 East 47th Street, New York, N.Y. 10017.
l l
i i
( 37 Approved: January 25, 1978 l
i
, . l PUBLICATION OF UNCLASSIFIED Exhibit 11 NRC AppIndix 3202 l REGULATORY AND TECHNICAL U. S. Nuclear Regul tory Commission DOCl#ENTS PREPARED BY NRC PROCEDURES FOR PUBLICATION OF CONTRACTORS FORMAL CONTRACTOR DOCUMENTS
- Prepare report in accordance, with NRCM Appendix 3207Part 4
IV or contractor written editorial i tendards ir Obtain NUREG/CR number by calling 301492 71168 or by submission of NRC Form Q6 to TDIC" ir is report prepared under an
'. ^ . _ .s sysoment?
Y"[ \"*
Propero title page and Propere or draft title oever in accordance with page and cover in NRC Form 173 " Terms and accordance with NRCM Appendix Conditions" Exhibits 2,3, and 4 3202 Exhibits 1 and 2 M nr Propero an abstract of 200 words or less E
l Obtain patent review, if applicable l 4
l Obtain security review,if applicable l 4
lObtain draft review by NRC,if applicable l E
l Determine distribution l 1
b Prepare reproducible masters in accordance with NRCM Appendix 3202 Part IV 4
l l 1: report to be printed by NRC7"* l
- 8 a[ \ V88 Must be printed by a JCP Send reproducible mesters authorized printing plant and NRC Form 420 to TIDC ilr Submit sufficsont report copeos, one reproducible master, and NRC Form 428 to TIDC for distribution
- See NRCM 3202 or NRC Form 173 " Terms and Conditions," item 12, for definit 6on.
Complete procedures (NRCM 3202) and forms may be obtemed by ceiling 301492 7566.
" Division of Technical Informetson and Document Control Landow 212, U. S. Nucieer Repsistory Commission, Washington, D. C. 20666.
"*1f DOE contractor, see NRC Form 173 " Terms and Conditions," item 12, for printing author-laations. If not DOE contractor or other govemment agency, printing must be done by NRC.
Contact:
- 1. NRC Technical Monitor for contract or Standard Order for Work.
- 2. Division of Technical Information and Document Control, Telephona 301-492 7596.
. Approved: February 10, 1978
NRC Appendix 3202 Exhibit 12 PUBLICATION OF UNCLA551FIED REGULATORY AND TECHNICAL DOCUMENTS PREDARED BY NRC CONTRACTORS U. S. Nuclear Regulatory Commission j PROCEDURES FOR ISSUANCE OF !
INTERIM CONTRACTOR REPORTS
- i Prepare report in accordance with NRCM Appendix 3202 Port IV or contractor written editorial stederds d
Prepare titio page in accordance with NRCM Appendix 3202 exhibit 7 or N,R._C F.orm 173 " Terms and 2 _ - . Exhihat 1 l Obtam pesant iew,if applicable l 4
l Obtain security review,if applicable l 4
l Determine distributson l 4
is report to be printed by NRC?l b \ Y
l Duplicate (contractor) Prepare reproducible masters A in accordance with NRCM is report to be Appendix 3202 Part IV distributed by NRC7 E Send reproducitie messors and
\" completed NRC Form 426 to TlDC" knd 2 m of Send distribution list, completed for printing and distribution report to TIDC with NRC Form 426 and a NRC Form 426 and copy of the copies of the distribution list document to TIDC for distribution 4
[ l Distnbute (contractor) l
- Send NRCM 3202 or NRC Form 173 " Terms and Conditions," item 12 for definition.
Complete procedures (NRCM 3202) and forms may be obtsmed by calling 301492 7566.
" Division of Technical information and Document Control, Landow 212. U, S. Nuclear
,. Repaletory Commission Washington, D. C. 20566
Contact:
- 1. NRC Technical Monitor for contract or Standard Order for Work.
- 2. Division of Tednical Information and Docurnent Contml, Telephone 301-492 7566.
I Approved: February 10, 1978 .
" ATTACHMEfiT 4
- 3.
- 50Ls0 6 I A T tOroC UN t N AC iiM DiF IC AT 80N' TORM APPROVE D CONTR ACT PRICING PROPOSAL COVER SHEET "8" 3090 0116 NOTE Th.s form is used in contract actions if submissica of cost or pricina dxta is reavired ISer FA R f 5 bod 6W1 l
J N *W L AN u A ga s.L b 5 c6 U e 5 t *< u w sincsuar /df (oar, JA N ** M t ANDl'1 LEO'L88'Ihu*SW"Ni 08 CONTACT ~ 36 IlLtern*NL NL '
l l
i 4 T YPE 08 CONT R ACT ACTION t( serrO
' A NE W CONTR ACT D L E T7E R CONTR ACT 8 CHANGE ORDER t UNPRICf D ORDE R C PRICE REVISION /
RE DE T E RVIN ATION 5 TvoE OF CONTRACT schre e ,
FFF 6 F*OPCSE D COST #4.a.c, CPFF CPif CDAF 'E COST e PROF 67.5 EE C. TOTAL F PI OTHER isperet> s 7 PLACEt5) AND PE R400(5) OF PE R F ORMANCE 6 List and re'e'ence ine acer tif e' cation. osa ltets and tota Drice proposed 'or each contract line item A line item cost breatcown supporting tNs recan is re QJited unWss otne'*sst SDecified by the Contracting Qthcer IContmer an reverse. and then on pien paper, af necessen Use same headmse p A LINE ITEY NO 8 IDENTIFICATtGN C OUANTITY I O TOTAL PRICE E RE3 9 PRCvCE N AVE. ADDRESS. AND TE LE PHONE NUYBER FCR THE FOLLOWING tif soeven s A. CONT s4 ACT ACMiNIS T R A T eCN OF F ICE 8. AUOs T OF F eCE
- 10. wsLL vou REQUIRE TME USE OF ANv GOVERNMENT PROPERiv 11 A. DO vou RE Oos R E GOV E RN- 118. T Y PE OF FINANCING 4 ones IN TH E PE R F O R MANC E OF THis *O RK' fif "Yes. " adentif)) MENT CONT R ACT FIN ANC tNG TO PE R F ORM THIS PROPOSE D C NT A C T ' (if "Yes. " co m ple te ADVANCC PR OG R c SS PAYMENTS P A v ME *JS YES NO YES NO GUAR ANTE ED LOANS
- 12. M A V E Y OU BE E N A A AR CE O AN v CON T R AC T S O R 5 JBCON T R AC TS 13.15 T His P ROPO5 AL C ON5isT E NT w e T H YOUR EST ABLISHE D ES T s-FOR THE SAME OR SIMILAR ITEMS wtTHIN THE PAST 3 VE ARS' MATING AND ACCOUNTING PR ACTICES AND PROCEDURES ANI.,
fif "Yes " adents/> alem(sp. customerfss and contract number (sJJ F AR PA RT 31 COST PRINCIPLE 5' tif "No," espiennJ
]YES NO YES NO 14 COST ACCOUNTING STANDARDS BOARD ICASB) DATA iPubhc Laar 98 379 as amended and FAR PART 30s A. wsLL T SONT 5Hl5
- LifCONT R ACT en
'ho." esclain ACTlON BE Sv8 JECT TO CASS REGULA.
proposal) 8. HA VE YOU SUOMIT TED A CA58 DISCLOSURE ST ATE MENT (CASB DS.1 or 21e tif Yes " spectf) sn proposal the offere to schsch submitted and af determined to be adequates YES NO YES NO C.mAVE vou SEEN NOTIFIED TMAT vou ARE OR M AY BE IN NON. D. 85 ANY A5DEC T OF T Hl5 Pf40pOSAL INCON5:5T E NT WITm vovR COMPLI ANCE wtTH YOUR DISCLOSURE STATEMENT OR COST DISCLOSED PR ACTICES OR APPLICABLE COST ACCOUNTING ACCOUNT SNG ST AN DA ROS * (if " Yes."espieun an proposal) ST ANDA R O5'(if "Yes." esplasn sn proposal)
YES NO YES
]NO Ths croDosal is ssemitted in rescorse 10 the RFP contract. modification, etc in iter 91 and rehects our Dest estimates aactor actual costs as of ttus cate
- 15. r4 AME AND TeTLE tTypes 16. N A M E O F F s R M
- 17. SIGN AT UR E
- 18. D AT E Or Sv8 mis 540N i
f NSN 7540-01-142-9645 lall.lo! STANDARD FORM 1411 (IC4 3)
PrescreDec Dy G5A
ATTACHMENT STANDARD FORM 1411 WITH INSTRUCTIONS
- 1. SF 1411 provides a vehicle for the offeror to submit to the Government a pricing proposal of estimated and/or incurred costs by contract line item with supporting information, adequately cross-referenced, suitable for detailed analysis. A cost-element breakdown, using the applicable forTnat prescribed in 7A, B, or C below, shall be attached for each proposed line item and must reflect any specific requirements established by the Contracting Officer. Supporting breakdowns must be furnished for each cost element, consistent with offeror's cost accounting system.
When more than one contract line item is proposed, sumary total amounts covering all line items must be furnished for each cost element. If agreement has been reached with Government representatives on use of forward pricing rates / factors, identify the agreement, include a copy, and describe its nature. Depending on offeror's system, breakdowns shall be provided for the following basic elements of cost, as applicable:
Materials - Provide a consolidated priced summary of individual material quantities included in the various tasks, orders, or contract line items bein proposed and the basis for pricing (vendor quotes, invoice prices, etc. .
Subcontracted Items - Include parts, components, assemblies, and services that are to be produced or performed by others in acccrdance with offeror's design, specifications, or direction and that are applicable only to the prime contract. For each subcontract over $500,000, the support should provide a listing by source, item quantity, price, type of subcontract, degree of competition, and basis for establishing source and reasonableness of price, as well as the results of review and evaluation of subcontract proposals when required by FAR 15.806.
Standard Commercial Items - Consists of items that offeror normally fabricates , in whole or in part, and that are generally stocked in inventory. Provide an appropriate explanation of the basis for pricing. If price is based on cost, provide a cost breakdown; if priced at other than cost, provide justification for exem data, as required by FAR 15.804-3(e)ption from submission of cost or pricing 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 that requires further processing. Provide priced quantities of items required for the proposal.
Purchased Parts - Includes material items not covered above. Provide priced quantities of items required for the proposal.
Interorganizational Transfer (at cost) - Include separate breakdown of cost l by element.
Direct Labor -
Provide a time-phased (e.g., monthly, quarterly, etc.)
breakdown of labor hours, rates, and cost by appropriate ca tegory, and furnish bases for estimates.
Indirect Costs - Indicate how offeror has computed and applied offeror's indirect costs, including cost breakdowns, and showing trends and budgetary data, to provide a basis for evaluating the reasonableness of proposed rates. Indicate the rates used and provide an appropriate explanation.
Other Costs - List all other costs not otherwise included in the categories described above (e.g., special tooling, travel, computer and consultant services, preservation, packaging and packing, spoilage and rework, and Federal excise tax on finished articles) and provide bases for pricing.
Royalties - If more than $250, provide the following information on separate page for each separate royal ty or license fee: name and address of licensor; date of license agreement; patent numbers, patent application serial numbers, or other basis on which the royalty is payable; brief description (including any part or model numbers of each contract item or component on which the royalty is payable); percentage or dollar rate of royalty per (mit; unit price of contract item; number of units; and total
, dollar amount of royalties. In addition, if specifically requested by the j
Contracting Officer, provide a copy of the current license agreement and identification of applicable claims of specific patents. (See FAR 27.204 and 31.205-37).
Facilities Capital Cost of Money -
When the offeror elects to claim facilities capital cost of money as an allowable cost, the offeror must submit Form CASB-CMF and show the calculation of the proposed amount (see FAR 31.205-10).
- 2. As part of the specific information required, the offeror must submit with i offeror's proposal, and clearly identify as such, cost or pricing data (that l is, data that are verifiable and factual and otherwise as defined at FAR 15.801). In addition, submit with of feror's proposal any information reasonably required to explain offeror's estimating process, including;
- a. The judgmental factors applied and the mathematical or other methods used in the estimate, including those used in projecting from known data; and
- b. 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 l met when all accurate cost or pricing data reasonably available to the l offeror have been submitted, either actually or by specific identification, to the Contracting .0fficer or an authorized representative. As later information comes into the offeror's possession, it should be promptly submitted to the Contracting Officer. The requirement for submission of l cost or pricing data continues to the time of final agreement on price.
== . _ _ - --
- 4. In submitting offeror's proposal, offeror must include an index, appropriately referenced, of all the cost or pricing data and information accompanying or identified in the proposal. In addition, any fu ture additions and/or revisions, up to the date of agreement on price, must be annotated on a supplemental index.
- 5. By submitting offeror's proposal, the offeror, if selected for negotiation, grants, the Contracting Officer or an authorized representative the right to examine those books, records, documents, and other supporting data that will permit adequate evaluation of the proposed price. This right may be exercised at any time before award.
- 6. As soon as practicable after final agreement on price, but before the award resulting from the proposal, the offeror shall, under the conditions stated in FAR 15.804-4, submit a Certificate of Current Cost or Pricing Data.
- 7. Headings for Submission of Line-Item Sunnaries:
A. New Contracts (including Letter contracts).
1 Proposed Contract Proposed Contract Cost Elements Estimate-Total Cost Estimate-Unit Cost Reference 1
(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 contract performance. When any of the costs in this column have already been I
incurred (e.g., under a letter contract or unpriced order), describe them on an attached supporting schedule. When preproduction or startup costs are significant, or when specifically requested to do so by the Contracting Officer, provide a full identification and explanation of them.
Under Column (3) - Optional, unless required by the Contracting Officer.
I l Under Column (4) - Identify ;the attachment in which the information supporting the specific cost element may be found. Attach separate pages as necessary.
., ,-_. ,_- - - - - - - , - - - . _ . , - - - - , , _ . _ , - - - _ . _. ~ . _ , , , - , , , ,-.-a,--..n . , _ _ , , , - . -
. ~
B. Change Orders (modifications).
Cost Of Estimated Deleted Cost of All Work Cost Work Already Net Cost To Cost Of het Cost Of Elements Deleted Performed Be Deleted Work Added Change Reference (1) (2) (3) (4) (5) (6) (7)
Under Column (1) - Enter appropriate cost elements.
Under Column (2) - Include (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 perfomed.
Under Column (3) - Include the incurred cost of deleted work already perfomed , actually computed if possible, or estimated in the Contractor's accounting records. Attach a detailed inventory of work, materials, parts, components, and hardware already purchased, manufactured, or performed and deleted by the change, indicating the cost and proposed dispo.sition of each line item. Also, if offeror desires to retain these items or any portion of them, indicate the amount offered for them.
Under Column (4) - Enter the net cost to be deleted which is the estimated cost of all deleted work less the cost of deleted work already performed. Column (2) less Column (3) = Column (4).
Under by Column (5) - Enter the offeror's estimate for cost of work added the change. When nonrecurring costs are significant, or when specifically 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 work added, less the net cost to be deleted. When this result is negative, place the amount in parentheses. Column (4) less Column (5) =
Column (6).
' Under Column (7) - Identify the attachment in which the information supporting the specific cost element may be found. Attach separate pages as necessary.
t
I C. Price Revisior./ Redetermination Number of Number of Redetermina-Units Units To Be Contract tion Proposal Cutoff Date Completed Completed Amount Amount Difference
! (1) (2) (3) (4) (5) (6)
Incurred Incurred Incurred Cost- Cost- Cost- Total Estimated
, Cost Preproduc- Completed Work In Incurred Cost To Estimated j Elements tion Units Process Cost Complete Total Cost Reference (7) (8) (9) (10) (11) (12) (13) (14) i Under Column (1) -
Enter the cutoff date required by the contract , if applicable.
i 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 redetermination proposal amount.
Under Column (6) - Enter the difference between the contract amount and the
! redetennination proposal amount. When this result is negative, place the amount in parenthesis. Column (4) less Column (5) = Column (6).
Under Column (7) - Enter appropriate cost elements. When residual inventory exists, the final costs established under fixed-price-incentive and fixed-price-redeterminable arrangements should be net of the fair market value of such inventory. In support of subcontract costs, submit a listing of all subcontracts subject to repricing action, annotated as to their status.
Under Column (8) -
Enter all costs incurred under the contract before starting production and other nonrecurring costs (usually referred to as startup costs) from offferor's books and records as of the cutoff date.
These include such costs as preproduction engineering, special plant rearrangement, training program, and any identifiable nonrecurring costs such as initial rework, spoilage, pilot runs, etc. .In the event the amounts are not segregated in or otherwise available from offeror's records, enter in this column offeror's best estimates. Explain the basis for each l estimate and how the costs are charged on of fe ror's accounting records l
l
. __..., _ ____.. - _ _ _ _ . _ . _._.. - . . _ . _ . _ _--_ __. . _ . _ _ _ _ _ _ _ ~ __
(e.g., included in production costs as direct engineering labor, charged to manufacturing overhead, etc.). Also how the costs would be allocated to the units at their various states of contract completion.
Under Columns (9) and (10) - Enter in Column (9) the production costs from i
offeror's books and records (exclusive of preproduction costs reported in Column (8) of the units completed as of the cutoff date. Enter in Column (10) the costs of work in process as determined from offeror's records or inventories at the cutoff date. When the amounts for work in process are not available in Contractor's records but reliable estimates for them can be made, enter the estimated amounts in Column (10) and enter in Column (9) the differences between the total incurred costs (exclusive of preproduction costs) as of the cutoff date and these estimates. Explain the basis for the estimates, including identification of any provision for experienced or anticipated allowances, such as shrinkage, rework, design changes, etc.
Furnsih experienced unit or lot costs (or labor hours) from inception of contract . to the cutoff date, improvement curves, and any other available production cost his tory pertaining to the item (s) to which offeror's proposal relates.
Under Column (11) - Enter total incurred costs (Total of Columns (8), (9),
and (10)).
Under Column (12) -
Enter those necessary and reasonable costs that in Contractor's judgment will properly be incurred in completing the remaining
, work to be performed under the contract with respect to the item (s) to which i
Contractor's proposal relates.
Under Column (13) - Enter total estimated cost (Total of Columns (11) and (12)). .
Under Column (14) -
Identify the attachment in which the information supporting the specific cost element may be found. Attach separate pages as necessa ry.
/
l
[' .
ATTACliMENT 5 s (REV! SED - 6/F4) i BILLING INSTRUCTIONS FOR NRC COST-TYPE CONTRACTS i
o i
t General.
The contractor shall submit vouchers for cost-reimbursement I sample voucher. and format described herein and as illustrated in the in the manner Number of Cooies.. An original and two copies should be mailed to the NRC office identified below.
1 Frequency. .
i The contractor shall submit claims for reimbursement once each montn unless otherwise authorized by the Contracting Officer.
A Fo rm.
Claims and Services Other shall be Personal."
Than submitted on the Form DC-3 " Voucher for Purchases
{ Contracting Officer. (The instructions These forms are available from the
- J- for preparation and itemization of the voucher are shown on the form.)
Billino of Costs Afte'r Exoiration of Contract. If costs are incurred
- during the contract period and claimed af ter the contract has expired, the period during which these costs were incurred must be cited.
i Cu_rrency.
Billinas may be excressed in the currency nonr. ally used by tne contracter ir mair,tsir.ine his accounting records; caj ents will be i mace ir tha. currency. Ec<.ever, tne U. 5. collar ecuivalent for all invcices paic under the contract may not exceed the total U. 5. dollars authorized in the contract.
Supersession.
instrucuons. These instructions supersede all previous billing i
I .
l G
k .,- -
, , , , - , , - , , , 4 -- y g .,--,..,,-.--..--,4 -r_-..-, ,,,w.,, ~,3 . , . . , *.,.,--w.,...sm.,., -#,,-
, l'. .,
INSTUCT: 0';5 FGP THi*01 Q QS1 1,ip'm Et,;0F !,M (6,5:.t15 Preoaration and Itemization of the Voucher. The contractor shall furnish the information set forth in the explanatnry notes below. These notes are keyed to the entries on the sample voucher.
Payor's Name and Address. (i) Address the original voucher (with 2 U.S. Nuclear Regulatory Commission, Division of Accounting
~
copies) to:
and Finance Office of Resource Management, ATTN: GOV /COM Accounts Section, Washington, D.C. 20555.
Any questions regarding vouchers yet to be paid by the NRC should be addressed to Division of Accounting (301-492-7535). Any questions regarding vouchers for which payment has been received (either in full or partially with suspensions or disallowances) should be ad-dressed to the Contracting Officer.
Payee's Name and Address. Show the name of the contractor as it appears in the contract and its correct address; except when an approved essign-ment has been made by the contractor, or a different payee or addressee has been designated, then insert the name and address of the payee.
Indicate the individual responsible for answering any questions NRC may have reoarding the invoice (name and phone number).
(a) Contract Number - Insert the NRC contract number.
(b) Title of Pro.iect - List the full title of the p'ojectr being performed uncer Inis contract.
(c) Vou:her Number - Insert the appropriate serial number of the voucher beginning with 001 for this contract. Contractors may also include individual internai a::ountinc nu .bers in addition to the three digit number.
(d) Date of Voucher - Insert the date the voucher is p-epared.
(e) Contract Amount - Insert the total estimated cost of the contract, exclusive of fixed-fee.
(f) Fixed Fee - Insert total fixed-fee (where applicable).
(g) Billing Period - Insert the beginning and ending dates (day, month, and year) of the period in which costs were incurred and for which reimbursement is claimed.
r . l (h) Direct Costs - Insert the rajor cos t ele ent s.
(1) Cirec t ! aber TMs cc ~ iti! o f
- a ' e i t r a nd ..e ge r aid (or
~
accrie'dT for dir?ct perforrence of the cor. tract itemized as follows :
Labor Labor Hours Category Negotiated Cumula tive Hours Billed Rate Total Hours Billed (2) Fringe Benefits - This represents fringe benefits applicable to direct labor and billed as a direct cost. Where a rate is used, indicate the rate. Fringe benefits included in direct labor should not be identified here.
(3) Direct Equipment -
For educational institu-tions list each item costing $500 or more, and having a life expect-ancy of more than one year. For contractors other than educational institutions list each item costing $200 or more, and having a life expectancy of more than one year. List only those items of equipment for which. reimbursement is requested. A reference shall be made to the following (as applicable): (1) the item number for the specific piece of equipment listed in the property schedule of the contract; (2) the Contracting Officer's approval letter if the equipment is not covered by the property schedule; or (3) be preceded by an ast-erisk (*) if the equipment is below the approval level . Further itemization of vouchers shall only be required for items having specific limitations set forth in the contract.
(4) Materials, Suaolies, and Other Expendable items - These are consumabie materials and supplies and equipment other than that described in (3) above.
4 (5) Premium Pay - This is remuneration in excess of the basic hourly rate. (Requires written approval of Contracting Of ficer.)
l (6) Consultants' Fee - ine supporting information must include the name, nouriy or daily rate of the consultant and reference the NRC a;;rosal (if not see:ifically approved in the original cer. tract),
j (7) Travei - Domestic travel is travel within the Unitec States, i
its territories, possessions, and Canada; it should be billed separately from foreign travel . Travel costs billed will provide for individual Per Diem, and all supporting information for each trip taken.
2-9 O #
e
.-- w w - .. ~ , - -
MI costs at toriat ed with each trir nar t be shown in the feiltoine ferrat: (Unies s the c rganization's travel policy has been negotia ted and approved by NRC)
Da te Travel er Destination' Purpose Cost From To From To
- 1. Airfare
- 2. Rental Car
- 3. Local Travel
- 4. Per Diem Days 0 =
1
- 5. Meals:
- Date Breakfast Lunch Dinner If not included in Per Diem.
- 6. Tips, Misc.
(Itemize if more than 510,00)
'{ (8) Subcontracts - Include all costs paid to approved subcontractors during billing period. This includes the details of the subcontract terms (i.e.,
cost-plus-fixed-fee, direct labor, indirect costs.. travel, profit, etc.)
(9) Other - List all other direct costs by cost elements and dollar amount 4
separately.
(i) Indirect Costs--Overhead - Cite the formula (rate and base) in effect darir.;
r.e t;c e tr.e cos; ons in:grred and for which reirDursement is Cl& ired.
j (j) Fixed-Fee - If the contract provides for a fixed-fee, it must be claimec i
as provided for by the contract. Cite the formula or method of computatior..
Contractor may bill for fixed fee only up to 85t of total fee.
(k) Amount Billed for Current Period - Insert the amount billed for the major cost elements, adjustment, and adjusted amounts for the period. .
I 1
i
~
l
. _. ._ - ~ - -. ..- - - . - -_ -. . .. ... - . -
l : - '
i j (1)
Cu fu l u'ativt A- .ar.t fec- Inter t ion to Da t e of t t is Eiliir.: - Insert the
/st Gt e- .'ti t i l l e d 'f o'- IEi '6ifo r~t cit' ~c i r e. r t ' a d e dj t. . t e-d
~ ~
j a: cents clai .ed caring this contract, i
I (m)
-' and Totalcumulative Amounts periods.Claimed - Insert -
the total amounts claimed for the current i'
(n) Adjustments - This includes amounts conceded by the contractor, outstand-ing suspensions, and disapprovals subject to appeal.
j (o) _ Grand Totals 1
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\0JCHERS FOR 00kCrit.5LS AND 5LRV!CES OlHER 1HAN NR50;q l 5;"M E '. :Ur EF f
f_cjor's fame anc Address
, The U.S. Nuclear Regulatory Commission (a) Contract Number NRC-lO-81-624 Division of Accounting and Finance ,
(b) Title of Project " Study of Nuclear Waste Office of Resource Management Concepts" Attention: GOV /COM Accts Section Washington, D.C. 20555 Payee's_Name and Address (c) Youcher Number 003 i
MC CQ3PORAT10N The National Bank (d) Date Voucher Prepared 10/18/82 100 Main Street or Anywhere, U.S.A. , .
- Anywhere, U.S.A. Assignee for ABC CORP. (e) Total Estimated Cost of Contract Anywhere, U.S.A. 5350,000.00 (When Payments Assigned)
Ind11vidual to Contract (f) Total Fixed-Fee
- jRegardingThisVoucner
- 517,500.00
,Name: _ Harry Marchy
'Tel. No.: 215-321-8654 l(g) This voucher represents reimburseable costs from 3/1/82 tnru 3/30/S?
1 A9 0unt Billed l(h) Direct Costs (1) Direct Labor
- S2.400 56.800 (2) Fr1nce Benefits P 16.5 '.
, I (if comcuted as cercentace) 600 1.200 i ! (3) Direct Ecuioment
- 5,000 S 000 (4) ltaterials Sucolles anc Other Expendable Items
- 2.000 4.00r (5) 1re tum Fas 100 15c j (6) Consultants
- 100 lor (7) leave. - Dr es 1: '
20C I 25 ,
- i
- -el:r ' t (2; Su:: entre-- '
20f C '
l (9) Otner Costs - 3,000 9.000
- "C *"
l(i) It' DIRECT COSTS A) Overneac 100! of Total Direct Costs iindicate Ease) 513,600 529.650
- i l -
Subtotal 527,200 559.300 i t S) General & Ai-inistrative Expense 3.264- 6.450 12 L of Cost Elements rios.1-9. A Total Costs 530,464 565.750 l ,,
(j) FIXED-FEE EARNED (Formula) 1,523 3.400 i
(m) Total Amounts Claimed $31.987 . 569.150 (n) Adjustments .
Outstanding Suspensions
- 1.700 1. '/ 00 (o) Grand Totals $30.287 567,450 E (REQUIRES SUTFORiltiG 17.FOR M110N.)
(SEE~ ATTACHED.)
DC-3 2/S2
S A.PL E l
s*;tma; :',5 i t.r3;:': I t, ,
- 1) Direct Labor - $2400 Labor Labor Hours Hours Ca tego ry Cumulative Negotiated Billed Rate Total Hours Billed Senior Engineer I 2400 100 $14.00 $1400 975 Engineer 1500 50 $10.00 $500 465
. Computer Analyst 700 100 $5.00 5500 320
$2400'
- 3) Direct Equioment
{ Spectrometer - General Electric (as approved in Property Schedule) 55,000
- 4) Materials, Sucolies & Other Excendable Items 10 Radon Tubes @ S110.00 = S1100.00 6 Pairs Electrostatic Gloves 0 $150.00 = 5900.00 52000.00
- 5) Premium Pay Walter Murphy - 10 hours1.157407e-4 days <br />0.00278 hours <br />1.653439e-5 weeks <br />3.805e-6 months <br />.0 $10.00 Per Hour = $100 (This was approved by NRC in letter dated 3/6/82.)
- 6) Consultants ' Fee Dr. Carney - 1 hoa* 0 5100 = S100
- 7) Travel Oate Traveler Destination Purpose Costs j
From To From To l 3/1/8? 3/6/82 William King Chicago, Wash., Meeting with 1) Airfare 580.00
. IL DC Project 2) Eental Car 515.0:
' Officer 4) Per Diem - 2 Days 9 $50.00 = $100.00 -
- 6) Tips, Misc. 55.00 TOTAL: $200
- . . { . .
- 8) Subcontracy l XYZ CORP. (CFFF) l Direct Labor: - 80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br /> 0 $20.00 per hour = $1600.00 0/H @ 50% = $800.00 Travel - 2 Trips - Wash. , DC 9 $200 = $400.00 to Boston, MA Profit 9 7% = $200.00 TOTAL: 53000.00 (j) Fixed-Fee (Formula)
(5%)
! $350,000 X Si = $17,500 Total Fixed Fee for this Contract 527,200 X 5% = $1360 Fee Billed for this Period I
(n) Adjustments i
51700 - Indicates amount withheld from voucher #001, now approved by Contracting Officer letter 3/i0/82.
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NMS-85-008 ATTACHMENT NO. 6 MICR0 FORM SPECIFICATIONS FOR DIVISION OF WASTE MANAGEMENT CONTRACTS Microfiche used for submittal purposes shall conform to the following specifications:
- 1. Microfiche containing source documentation shall conform to the NMS Type 1 format ( ANSI /NMS MS.5) consisting of 98 frames arranged in 7 rows and 14 columns.
- 2. The reduction ratio shall be 24:1 for all microfiche.
- 3. The microfiche shall be standard 148 mm x 105 mm.
- 4. The microfiche shall be one silver-halide master and one diazo placed in individual acid free envelopes.
- 5. Diazo duplicates may be either blue / black or black.
- 6. The microfiche shall be titled in the following manner:
FIN No. Title of Report Date Contract No.
NUREG/CR No.
Fiche No.
Fiche number refers to 1 of 2, 2 of 2, etc. , information.
- 7. Title information shall be eye readable on a clear background.
- 8. The submittal of microfiche containing proprietary material shall be coordinated with the Document Management Branch, Division of Technical Information and Document Control, U.S. Nuclear Regulatory Commission, 20555, to set format and procedures for submittal.
- 9. Fcidouts, if any, shall be segmented and filmed in logical order.
- 10. The first frame shall be blank, and the second frame shall contain the resolution target (NBS 1010A).
- 11. Questions on microfiche specifications should be submitted in writing tc:
2 Document Management Branch Division of Technical Information and Document Control -
U.S. Nuclear Regulatory Commission Washington, D.C. 20555 i
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- NMS-85-008 ATTACHMENT NO. 7 l
! LIST OF EXHIBITS
! EXHIPIT 1 Hydrology Issues for Nevada Nuclear Waste Storage Investigations Project, NNWSI STP-1.0 i EXHIBIT 2 Example Format for Document Reviews !
EXHIBIT 3 SCP Review Plan EXHIBIT 4 Hydrology Issues for the Basalt Waste Isolation Project, BWIP STP-1.0 1
3 EXHIBIT 5 Hydrology Issues for the Paradox Bedded Salt Basin, i
Paradox STP-1.0
- EXHIBIT 6 Hydrology Isses for Palo Duro Bedded Salt Basin, Palo Duro STP-1.0 j EXHIBIT 7 Hydrology Issues for Gulf Coast Interior Salt Dome, j Domes STP-1.0 I EXHIBIT 8 Conceptual Models of Groundwater Flow in the Palo Duro Basin i
- EXHIBIT 9 Vacherie Dome Geohydrologic Conceptual Models
\
i EXHIBIT 10 Conceptual Models of Groundwater Flow in the Pardox
- Basin 2
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