ML20138J873

Requests That Technical Proposal RS-RES-97-051, Deterministic Effects of Occupational Exposure to Radiation, & Appropriate Cost Proposals in Response to Requirements of Solicitation,Be Submitted by 970620

ML20138J873
Person / Time
Issue date:	05/06/1997
From:	Mace M NRC OFFICE OF ADMINISTRATION (ADM)
To:	Day R PITTSBURGH, UNIV. OF, PITTSBURGH, PA
References
CON-GENERAL NUDOCS 9705090089
Download: ML20138J873 (167)

Text

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% p '- 8% UNITED STATES

} [ j NUCLEAR REGULATORY COMMISSION

j. $~ 'f WASHINGTON,1.C. 20555-4001

%, MAY 3 61937 The University of Pittsburgh 4

Attn: Dr. Richard Day Department of Biostatistics Graduate School of Public Health A443 Crabtree Hall .

Pittsburgh, PA 15261 l

SUBJECT:

REQUEST FOR PROPOSAL (RFP) NO. RS-RES-97-051 " DETERMINISTIC EFFECTS OF OCCUPATIONAL EXPOSURE TO RADIATION"

Dear Dr. Day:

Your organization is requested to submit a technical proposal and appropriate cost proposals i in response to the requirements of this solicitation not later than 3:30pm on June 20,1997.

Please follow the proposal content and format instructions set forth at Section L.8 and L.9 of the RFP.

it should be noted that this solicitation does not commit the Government to pay any costs j incurred in the submission of proposals or make necessary studies or designs for the

preparation thereof, nor to procure or contract for the services in the enclosed Statement of Work. It is also brought to your attention that the Contracting Officer is the only individual who can legally commit the Government to the expenditure of public funds in connection with

, this proposed precurement.

4 Your response to the subject solicitation should be sent to the U. S. Nuclear Regulatory i Commission, Division of Contracts and Property Management, Attn: Stephen Pool, Mail Stop

} T-7-1-2, Washington, DC 20555. Hand carried proposals should be addressed in {

accordance with the fr 7 going and delivered to 11545 Rockville Pike, Rockville, Marylar.d 20852.

The proposal shall be signed by an official authorized to bind your oM anization, and it shall j contain a statement indicating a proposal acceptance period of not less than 60 days.

j Should you have any questions, contact Stephen Pool of my staff on (301) 415 .8168 l Sincerely.

I ff , , /0 ,

Mary H. hace, Contra ing Officer Ch Division of Contracts and n Property Management O,iu t t3 g g

Enclosure:

RFP RS-RES97-046 -

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9705090089 970506 PDR CONTR GENERAL ,

PDR

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SOLICITATION, OFFER AND AWARD ' '

u"NDIRTPAS(15CFR30) 63 PAGES 5~ CollRACT No. 3. SOLICIIAi!ON NO. 4. TYPE OF SOLICIT ATIONl 5. DATE SSUED 6. REQUISll10N/ PURCHASE NO.

O SEALED BID (IFB)

RS RES-97 051 May 6, 1996

@ NEGOTIATED (RFP) RES-97-051 '

E ISSUED BY C00El. I 8. ADDRESS OFFER TO (If Ocher Chan ICem 7)

U.S. Nuclear Regulatory Commission Division of Contracts and Property Nungement 1 CMB#1 T-7-1-2

. Watshlngton, DC 20555 NOTE: In scaled bid solicitations "of f er" and " offeror" mean a bid" and "biddera SOLICITATION

9. Scaled offers in original and o copies for furnishing the supplies or services in the Schedule will be received at the j

, piece specified in Item 8, or if handcarried, in the depository located in 1 11555 Rockville Pike Central Mailroom Rockville. MD 20852 until 3:30pm local time aune 20, 1947 ihaur) wa C e >

CAUTION

• LATE Submissions, Modifications and Withdrawals: See Section L, Provision No. 52.214-7 or 52.215 10. All offers are i subject to all terms and conditions contained in this solicitatton.

10. f0R INFORMAll0N A. NAME B. TELEPHONE NO. (include area coce) (No COLLECT CALLS)

Call ***

Stephen Pool

301-415 8168

11. TABLE OF CONTENTS l

, l SEC. l DESCRIPTION l PAGE(S) i SEC. l DESCRIFTION { PAGE(S) )

i PART I - THE SCHEDULE PART !! - CON!RACT CLAUSES x A SOLICliATioN/ CONTRACT FORM X1 1 l CON T R AC T CLA_y%d, i X B SyPPLIES OR SERVICES AND PRICES / COSTS PART 111 - LIST OF DOCUMENTS. EXHIBITS AND OTHER ATTACH.

X C DESCRIPTION / SPECS,/ WORK STATEMENT X l J l LIST OF ATTACHMENTS l q

x D PACKAGING AND MAR _QNG PART IV - REPRESENTATIONS AND INSTRUCil0NS ,

4 X E INSPECTION AND ACCEPTANCE K REPRESENTAll0NS, CERTIFICATIONS AND x F X l

D{ LIVERIES OR PERFORMANCE OTHER STATEMENTS OF OFFERORS x G CONTRACT ADMINISTRA'!ON DATA x L INS 13 .. CONDS.. AND NOTICES TO OFFER 0RS _

X H SPECIAL CONTRACT REQUIREMENTS M EVALUATION FACTORS FOR AWARD UtVLK (Must be f ully compleCed by of f eror)

NOTE: Item 12 does not apply if the solicitation includes the provisions at 52.214 16 dinimum Bid Acceptance Period.

the undersigned agrees, if this offer is accepted within calendar days (60 calendar days

12. In compliance unless with period a different the above,

 % l  %  % 1  %

14. ACKNOWLEDGMENT OF AMENDMENTS AMFwhMFkt kn_ DAff AMFNOMFNT kO_ DAff (The offeror acknowledges receipt of amendments to the SOLICITATION for offerors and related documents nuFbered and dated!

15A. NAME CODE I I FACIL11YI I 16. NAME AND TiiLE OF PERSON AUTHORIZE'D TO SIGN OFFER AND (Type or print)

ADDRESS OF OFFER 0R 158. TELEPHONE NO. (include area coce) 15C. CHECK if REM 111ANCE ADDRESS 15 17. SIGNATURE 18. OFFER CATE  :

l DIFFERENT FROM ABOVE - ENTER 0 SUCH ADDRESS IN SCHEDULE.

AMARD tro be comcleted bv covernment> l

19. ACCEPTED AS TO ITEMS NUMBERED 20. AMOUNI 21. ACCOUNilNG AND APPROPRIA110h

22. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION: ,

23. SUSMli INVOICES TO ADDRESS SHOWN IN liEM l 0 to uSC 2304(c)( ) ,] 41 uSC 253(c)(

t ) ( copies unless otherwise specified) >  ;

24. ADMINISIERED BY (if other than CODE i j 25. PAYMENT WILL BE MADE BY CODE l Item 7) l l

l i

26. NAAE OF CONTRACTING OFFICER (type or print) 27. UNIIED ST ATES OF AMERICA 28. AWARD DAIE l e (Signature of Contracting Officer) i 5PORTANT-AwardwillbemadeonthisForm, or on Standard Form ?6 or by other authorized official written notice.

NSN 7540 01-152 8064 33 134 STANDARD FORM 33 (REV. 4 85)

' PREVIOUS EDITION NOT USABLE Prescribed by GSA er FAR (48 CFR) 53.214(c)

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TABLE OF CONTENTS PAGE PART I - THE SCHEDULE . . . . . . . . . . . . . . . . . . . . . . . 2 SECTION B - SUPPLIES OR SERVICES AND PRICES / COSTS . . . . . . . . . 2 B.1 PROJECT TITLE . . . . . . . . . . . . . . . . . . . 2 B.2 BRIEF DESCRIPTION OF WORK (MAR 19C7) . . . . . . . 2 B.3 CONSIDERATION AND OBLIGATION--COST REIMBURSEMENT . . . 2 (JUN 1988) ALTERNATE I (JUN 1988) l SECTION C - DESCRIPTION / SPECIFICATIONS / WORK STATEMENT . . . . . . . 3 C.1 BACKGROUND . . . . . . . . . . . . . . . . . . . . 3 C.1.1 FEASIBILITY STUDY . . . . . . . . . . . . . . . . . 5 C.

1.2 CONCLUSION

OF THE FEASIBILITY STUDY . . . . . . . . 7  ;

C.1.3 RECOMMENDATIONS OF THE FEASIBILITY STUDY . . . . . 7 i C.2 CONTRACT OBJECTIVES . . . . . . . . . . . . . . . . . 7 C.3 SCOPE OF WORK . . . . . . . . . . . . . . . . . . . 8 [

C.4 MEETINGS AND TRAVEL . . . . . . . . . . . . . . . . . 9 I C.5 REPORTING REQUIREMENTS . . . . . . . . . . . . . . . . 9 C.5.1 QUARTERLY FINANCIAL STATUS REPORTS . . . . . . . 9 i C.5.2 QUARTERLY TECHNICAL PROGRESS REPORTS . . . . . . . 9 C.5.3 OTHER DELIVERABLES . . . . . . . . . . . . . . . . 9 C.6 REFERENCES . . . . . . . . . . . . . . . . . . . . . . 10 C.7 NRCAR 2052.215-83 TRAVEL APPROVALS (JAN 1993) . . . . 10 SECTION D - PACKAGING AND MARKING . . . . . . . . . . . . . . . . . 11 D.1 PACKAGING AND MARK.NG (MAR 1987) . .. . . . . . . . . . 11 SECTION E - INSPECTION AND ACCEPTANCE . . . . . . . . . . . . . . . 12 E.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988) 12 E.2 PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987) . . . 12 E.3 QUALITY ASSURANCE , . . . . . . . . . . . . . . . . . 12 SECTION F - DELIVERIES OR PERFORMANCE . . . . . . . . . . . . . . . 13 F.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JMJ 1988) 13 F.2 NRCAR 2052.212-70 PREPARATION OF TECHNICAL . . . . . 13 REPORTS (JAN 1993)

F.3 NRCAR 2052.212-71 TECHNICAL PROGRESS REPORT . . . . . 13 F.4 2052.212-72 FINANCIAL STATUS REPORT (DEC 1995) . . . . 14 F.5 PLACE OF DELIVERY--REPORTS (JUN 1988) . . . . . . . . 16 F.6 DURATION OF CONTRACT . . . . . . . . . . . . . . . . . 16 SECTION G - CONTRACT ADMINISTRATION DATA . . . . . . . . . . . . . 17 G.1 NRCAR 2052.215-71 PROJECT OFFICER AUTHORITY . . . . . 17 (JAN 1993)

G,2 :NRCAR 2052.215-82 TRAVEL REIMBURSEMENT . . . . . . . 19

- ALTERNATE 1 (JAN 1993)

G.3 NRCAR 2052.216-71 INDIRECT COST RATES (JAN 1993) . . . 20 G.4 ELECTRONIC PAYMENT . . . . . . . . . . . . . . . . . . 20 SECTION H - SPECIAL CONTRACT REQUIREMENTS . . . . . . . . . . . . . 22 H.1 NRCAR 2052.209-73 CONTRACTOR ORGANIZATIONAL . , , . . 22 i

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TABLE OF CONTENTS PAGE 1

CONFLICTS OF INTEREST (JAN 1993)

H.2 NRCAR 2052.215-70 KEY PERSONNEL (JAN 1993)

H.3 NRCAR 2052.235-71 PUBLICATION OF RESEARCH

. . . . . . 26 l i

. . . . . . 27 RESULTS - UNIVERSITIES (JAN 1993) i H.4 NRCAR 2052.235-72 SAFETY, HEALTH, AND FIRE , . . . . . 28 PROTECTION (JAN 1993)

PART II - CONTRACT CLAUSES . . . . . . . . . . . . . . . . . . . . 29 SECTION I - CONTRACT CLAUSES . . . . . . . . . . . . . . . . . . . 29 I.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988) 29 I.2 f 52.216-7 ALLOWABLE COST AND PAYMENT (FEB 1997) . . . . 31 I.3 52.222-2 PAYMENT FOR OVERTIME PREMIUMS (JUL 1990) 35 I

I.4 52.242-4 CERTIFICATION OF INDIRECT COSTS (OCT 1995) . 36 PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS . . 38 SECTION J - LIST OF ATTACHMENTS . . . . . . . . . . . . . . . . . . 38 J.1 ATTACHMENTS (MAR 1987) . . . . . . . . . . . . . . . . 38 i PART IV - REPRESENTATIONS AND INSTRUCTIONS . . . . . . . . . . . . 39  :

SECTION K - REPRESENTATIONS, CERTIFICATIONS, AND . . . . . . . . . 39 OTHER STATEMENTS OF OFFERORS ,

K.1 52.203-11 CERTIFICATION AND DISCLOSURE REGARDING PAYMEN 39 TO INFLUENCE CERTAIN FEDERAL TRANSACTIONS (APR 1991)  ;

K.2 52.204-3 TAXPAYER IDENTIFICATION (WAR 1994) . . . . . 40 K.3 52.204-5 WOMEN-OWNED BUSINESS (OCT 1995) . . . . . . . 41 K.4 52.209-5 CERTIFICATION REGARDING DEBARMENT, SUSPENSION, 42 PROPOSED DEBARMENT, AND OTHER RESPONSIBILITY MATTERS  !

(;AR M 1996)

K.5 52.215-6 TYPE OF BUSINESS ORGANIZATION . . . . . . . 44 I (JUL 1987)

K.6 52.215-11 AUTHORIZED NEGOTIATORS (APR 1984) . . . . . 44 K.7 52.215-20 PLACE OF PERFORMANCE (APR 1984) . . . . . . 44 K.8 52.219-1 SMALL BUSINESS PROGRAM REPRESENTATIONS . . . 45 (JAN 1997)

K.9 52.222-21 CERTIFICATION OF NONSEGREGATED FACILITIES . 47 (APR 1984) -

K.10 52.222-22 PREVIOUS CONTRACTS AND COMPLIANCE REPORTS . 48 (APR 1984)

K.11 52.222-25 AFFIRMATIVE ACTION COMPLIANCE (APR 1984) . . 46 K.12 52.223-1 CLEAN AIR AND WATER CERTIFICATION (APR 1984) 49 K.13 52.227-15 REPRESENTATION OF LIMITED RIGHTS DATA . . . 49 4

AND RESTRICTED COMPUTER SOFTWARE (JUN 1987)

K.14 NRCAR 2052.209-70 QUALIFICATIONS OF CONTRACT . . . . . 50 EMPLOYEES (JAN 1993)

K.15 NRCAR 2052.209-71 CURRENT /FORMER AGENCY . . . . . . 50 EMPLOYEE INVOLVEMENT (JAN 1993) l K 16 NRCAR 2052.209-72 CONTRACTOR ORGANIZATIONAL . . . . . 51 i i CONFLICTS OF INTEREST (REPRESENTATION) (JAN 1993)

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. l TABLE OF CONTENTS PAGE SECTION L - INSTRUCTIONS, CONDITIONS, AND . . . . . . . . . . . 53 NOTICES TO OFFERORS L.1 52.252-1 SOLICITATION PROVISIONS INCORPORATED . . . 53 BY REFERENCE (MRJ 1988 ) ,

L.2 52.215-41 REQUIREMENTS FOR COST OR PRICING DATA OR

. . 53 INFORMATION OTHER THAN COST OR PRICING DATA (JAN 1997)

L.3 52.216-1 TYPE OF CONTRACT (APR 1984) . . . . . . . 55 L.4 52.233-2 SERVICE OF PROTEST (AUG 1996) . . . . . . 55 L.5 NRCAR 2052.215-74 TIMELY RECEIPT OF PROPOSALS (JM4 1993 56 i L.6 NRCAR 2052.215-75 AWARD NOTIFICATION AND . . . . . . 56  !

COMMITMENT OF PUBLIC FUNDS (JAN 1993) l L.7 NRCAR 2052.215-76 DISPOSITION OF PROPOSALS . . . 56 i L.8 2052.215-77 PROPOSAL PRESENTATION AND FORMAT (DEC 1995) 57 L.9 LEVEL OF EFFORT AND TRAVEL ESTIMATES . . . . . . . 61 {

L.10 NRCAR 2052.222-70 NONDISCRIMINATION BECAUSE . . . . 62 i OF AGE (JAN 1993)

L.11 ACCEPTANCE PERIOD (WUR 1987) . . . . . . . . . . . 62 I L.12 ESTIMATED DURATION (JUN 1988) . . . . . . . . . . . 63 l L.13 AUTOMATED CLEARING HOUSE AS DESIGNATED METHOD OF PAYMEN 63 i

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.- . . . , - . . . . - - - . - . - _ . . _ . . . . _ . ~ - . . - _ - . - . . . . - . .

! RS -RES 0 51 Section E r

f -  !

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t i

. PART I .THE SCHEDULE 1

SECTION B - SUPPLIES OR SERVICES AND PRICES / COSTS' 2.'

I l B.1 PROJECT TITLE p The: title of this-project is as follows:

t Deterministic Effects of Occupational Exposure to Radiation 2

i (End'of Clause) 3

] B.2 BRIEF DESCRIPTIOh OF WORK i  !

i

! a. Test the US risk assessment models contained in the l NUREG/CR-42.14 documents and NUREG/CR-5351 ("Models for

Pulmonary Lethality and Morbidity After Irradiation from

! Internal and External Sources").using data obtained from l Russian Federation archive for,Mayak PA workers and validate j 'or modify parameters used in the models (e.g., thresholds for

acute radiation syndromes, dose rate'. dependance cf LD50 for p each syndrome, etc).

o.

! b. Develop clinical diagnostic and prognostic information needed j to treat acute radiation syndrome.after acute and chronic =;

exposure to external and internal radiation, p

l- c. As appropriate, develop and evaluate new risk assessment j models (e.g., to describe chronic radiation sickness) that are l not described in NUREG/CR-4214.

! l i (End of Clause]

4'

$ B.3 CONSIDERATION AND OBLIGATION--CO37 REIMBURSEMENT l k -(JUN.1988) ALTERNATE I (JUN 1988) ~

l.

(a) The total estimated cost to the Government for full f' performance under this contract is * .

4

$ (b) The, amount presently obligated by the Government with respect to this contract is * .

I (c) It is estimated that the amount currently allotted willicover ,

[

performance'through *

[End of Clause]

• To be incorporated into any resultant contract l Page 2 of 63 l

1 1

RS-RES-97-051 Section C l

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SECTION C - DESCRIPTION / SPECIFICATIONS /WC"K STATEMENT i i

I C.1 BACKGROUND  !

l Most of our knowledge of health effects and risks associated with radiation exposure is based on epidemiological studies of the l atomic bomb survivors in Hiroshima'and Nagasaki, studies of )

persons exposed for medical purposes, and from studies in i laboratory animals. The atomic bomb survivor data are the most l robust human based data available. The atomic bomb survivors,  ;

however, were exposed to a very short burst of external radiation, I I

which does not correspond to the pattern of exposure normally encountered or expected in the nuclear industry or associated with I medical uses of radiation. Although studies of radiation therapy I patients provide valuable insights into early and late health 1 effects, there are confounding factors in the studies that complicate the data interpretation. These factors include an  ;

already diseased population (e.g., cancer), age and gender 1

' distributions unrepresentative of the general population, and in l most cases, large radiation doses, delivered at high dose rates,  !

to limited portions of the patients' body. To estimate risks (i.e., stochastic and deterministic) associated with radiation exposure to nuclear workers and the general population, scientists must extrapolate the atomic bomb survivor data and medical data by making assumptions about the relationship between radiation exposure and health effects at low doces and dose rates. These assumptions have not been validated yet and important scientific questions remain unresolved.

The 1986 nuclear power plant accident at Chernobyl demonstrated that a reactor accident can lead to brief external exposure to gamma radiation along with chronic internal exposure due to complex mixture of inhaled radionuclides. Animal studies have demonstrated that chronic irradiation of the lung by internally ,

deposited radionuclides such as plutonium can lead to death from I radiation pneumonitis and/or pulmonary fibrosis. There is, l however, lit;tle available human data on adverse health ef fects resulting from inhalation of radioactive materials, or by combined effects of external and internal irradiation as might exist in potential severe accidents in nuclear power plants. To compensate for the lack of human data, a series of reports (based on NRC-sponsored research on experimental animals) describing health l effects models for nuclear power plant accident consequence i analysis have been published by the NRC. Dose response models for early and continuing health effects of external and internal radiation exposure to mixed radiations have been developed for use in probabilistic analyses of light-water nuclear power plant accident consequences. Many of these models have been described in the NUREG/CR-4214, " Health Effects Models for Nuclear Power Page 3 of 63 y

RS-RES-97-051 Section C C.1 (Continued)

Plant Accident Consequence Analysis," and its addenda and are l being used in analyses of severe accidents in nuclear power plants and other nuclear facilities.

On July 22, 1992, Dr. Gail de Planque, then an NRC Commissioner, brought to the attention of Robert Gallucci, then Department of State Senior Coordinator for the Deputy Secretary, that a unique opportunity existed for cooperative research programs with Russian scientists that could provide significant new insights on radiation health and environment effects. Russian operations at a nuclear weapons production complex, "Mayak Production Association," (Mayak PA) have resulted in the release of enormous amounts of radioactive materials into the environment from a series of accidents between 1948 and 1967, poor management practices, deliberate releases, and adverse weather events.

Thousands of square kilometers have been contaminated and hundreds of thousands of people have received significant radiation exposures over a protracted period. Furthermore, serious over exposures of thousands of Mayak PA workers and citizens in the surrounding area resulted from external and internal radiation occurred during the early years (1948-1954) because limited radiation protection measures were in effect.

As a result of Dr. de Planque's letter and communications from other scientists, a bilateral agreement between the United States and the Russian Federation to facilitate joint cooperative research and exchange of information was signed on January 14, 1994 by Secretary of State Christopher and Foreign Minister Kozyrev. The group established to implement this agreement is known as the Joint Coordinating Committee on Radiation Effects Research (JCCRER). Research conducted under the auspices of the JCCRER was initiated to fill important gaps in our understanding of workers and public health activities needed to protect against radiation exposure. The Department of Energy is the lead US agency in implementing che Agreement, wita participation by NRC and the Departments of Defense, Health and Human Services, and State. An implementation plan and draft guiding principals of the JCCRER have been negotiated. These agreements describe the JCCRER's philosophy on how research should be conducted with the Russian Federation to include the guidelines to ensure strict adherence to intellectual property rights as prescribed in the Annex to the Agreement.

A major concern of the NRC has been the health effects of potential accidental releases of radionuclides from nuclear power plants. Computer simulation models have been developed to evaluate the aggregate risk of potential nuclear accidents et many reactors sites. The NRC issued the Reactor Safety Study (WASH 1400, 1975), which provided health effects models for quantitative estimation of the health impacts of such accidents. These models provided the basis for most cf the official estimates made in 4

Page 4 of 63

RS-RES-97 053 Section C C.1 (Continued)

. recent years of the potential health consequences of nuclear power plant accidents.

Subsequent efforts by NRC-sponsored groups resulted in improved health effects models that were published in report NUREG/CR-4214,

" Health Effects Models for Nuclear Power Plant Accident Consequence Analysis," and revised further in reports NUREG/CR-4214, Rev. 1, Part II (1989), NUREG/CR-4214, Rev. 1, Part II, Addendum 1 (1991; and NUREG/CR-4214, Rev. 1, Part II, Addendum 2 (1993). The addenda were prepared to incorporate more recent scientific information related to low-LET health effects models and extend the models to consider the possible health consequences of the addition of alpha-emitting radionuclides to the exposure source term. Because human data were not available, animal data (e.g., NUREG/CR-5351 "Models for Pulmonary Lethality and Morbidity after Irradiation From Internal and External Sources) were used to model and validate health effects models developed for nuclear power plant accident consequence analysis.

The Mayak PA worker and . citizen populaticns provide a unique opportunity to validate or modify the existing morbidity and mortality models such as those presented in NUREG/CR-4214 using human data and possibly develop new models which could not have been developed previously. Several thousands of workers, approximately one third of whom were women, were exposed to relatively high levels of external gamma radiation and, in many cases, to internal alpha radiation from inhaled plutonium and other radionuclides as well. The cumulated doses over one to seven years (1948-1954) were as high as 1-10 Gy. Doses to specific crgans (e.g., lungs) were significantly higher. As a result of repeated medical examinations of Mayak PA workers at the specialized medical facilities of Branch No. 1 of the Institute of Biophysics (FIB-1), computer databases of medical and dosimetric data during the last five decades have been or are being established and antinue to be updated. The analysis of these databases, along with information residing in databases for workers at DOE nuclear weapon complexes, provide an opportunity to examine the health effects of acute and chronic, long term exposure to internal and external irradiation. These results could then be used with the basic NUREG/CR-4214 report and addenda to validate and/or update health effects models for acute and chronic radiation exposure.

C.1.1 FEASIBILITY STUDY Under the auspices of the JCCRER, Project Research Teams (PRTs) from the University of Pittsburgh and the Lovelace Respiratory Research Institute in the U.S. and Branch No. 1 of the Institute of Biophysics and the Mayak Production Association in the Russian Federation jointly developed a proposal to determine the practicality of using the dosimetric and clinical data on the Page 5 of 63

RS-RES-97-051- Section C C.1.1 (Continued) ,

Mayak PA worker population to study the deterministic effects of radiation exposure. The Feasibility Study efforts were limited to the period of greatest worker exposure (1948-1954) and focused on collaboratively:

- assessing the comprehensiveness, availability, quality, and saitability of the Russian clinical and dosimetric data for the scudy of deterministic effects, ,

- creating an electronic data base containing complete clinical and dosimetric data on a small, representative sample of Mayak PA j workers, i - developing computer software for testing the currently used i

health risk model of hematopoietic effects, and

- familiarizing the U.S. team with the Russian diagnostic criteria

and techniques used in the identification of chronic radiation sickness.

The Feasibility Study was limited to a random sampling of records

(n=225) of the 1948-1954 worker cohort and the construction of the

. computerized data base. Access to the clinical data revealed that the materials (medical history, clinical symptomology, treatment, 4

and laboratory tests) were readily available to the U.S.

researchers. A quantitative assessment of the accuracy of the information input into the data base was conducted (December 1996). In their report, the U.S. research team concluded that the data are adequate in the clinical areas to support extended research. The U.S. researchers did not discover any large gaps in the clinical data and concluded that these materials are readily available to researchers and can be systematically recovered even for the earliest (and highest) exposure periods. Pending an in-depth analysis of the information in the data base, initial review of the FIB-1 and Mayak PA data suggests that it is adequate in the clinical areas to support extended research and that this information is "potentially of great significance for the field of

_adiation protection."

t As part of the pilot study, a computer program was to be developed that would allow testing of the health effects model for hematopoietic death as described in NUREG/CR-4214. The dosimetric data for Mayak PA workers and the existing models contained in NUREG/CR-4214 were not completely compatible. As a result, some "modeling research" was conducted by the U.S. and Russian Federation dosimetrists. For example, a computer program that allows assignment of a long series of random work-shift gamma ray doses to evaluate the cumulative normalized dose as a function of time and absorbed dose rate pattern was designed. This allowed '

exploratory analyses to be carried out relating cumulative normalized dose and cumulative absorbed dose to bone marrow for Page 6 of 63 e

RS-RES-97-051 Section C C.1.1 (Continued) prolonged repeated exposures at very low work-shift dose rates. I C.

1.2 CONCLUSION

OF THE FEASIBILITY STUDY i I

The U.S. and Russian Federation PRTs jointly agreed that the two i

teams could conduct collaborative research and meet project j milestones both successfully and on schedule. Data contained in '

the existing Mayak PA databases is both complete and suitable for dosimetric, clinical, hematological, and cytogenetic analysis, Based on a random sampling of 225 worker records, the construction i of a computerized database permitted an assessment of the relative completeness of the data available for medical history, clinical symptomology and treatment, and laboratory test (e.g., henatology, cytogenetics, bone marrow) The results of the feasibility study indicate that these materials are readily available to researchers and can be systematically recovered even for the earliest (and .

I highest) exposure periods.

Study materials were provided by the Russian Federation scientists concerning the diagnostic criteria and techniques defining chronic radiation sickness after external exposure with the goal of developing a cooperative investigation in this area. However, the U.S.

PRT concluded that chronic radiation sickness is a difficult diagnostic entity to grasp. Consequently, mutual understanding of the scientific and medical terminology associated with chronic  ;

radiation sickness was not completed. '

C.1.3 RECOMMENDATIONS OF THE FEASIBILITY STUDY The U.S. and Russian research teams jointly recommended the initiation of an in-depth analysis of the information contained in the Feasibility Study data base, immediate expansion of the data base from 225 to 600 worker records, testing the risk assessment models for deterministic health effects utilizing the expanded data base, and initiating a case-control study of chronic radiation sickness of the expanded data base.

C.2 CONTRACT OBJECTIVES The objectives of this contract are to:

a. Test the US risk assessment models contained in the NUREG/CR-4214 documents and NUREG/CR-5351 ("Models for Pulmonary Lethality and Morbidity After Irradiation from Internal and ' External Sources") using data obtained from Russian Federation archive for Mayak PA workers and validate or modify parameters used in the models (e.g., threshclds for acute radiation syndromes, dose rate dependance of LD50 for each syndrome, etc).

b. Develop clinical diagnostic and prognostic information needed Page '? of 63

RS-RES-97-051 Section C C.2 (Continued) to treat acute radiation syndrome after acute and chronic exposure to external and internal radiation.

c. As appropriate, develop and evaluate new risk assessment models (e.g., to describe chronic radiation sickness) that are not described in NUREG/CR-4214.

C.3 SCOPE OF WORK The Contractor shall conduct a study which will examine the 4

medical and dosimetry records of the workers employed at the Mayak PA. More specifically, the Contractor shall perform the following tasks: l

1. The Contractor shall conduct an in-depth analysis of the data contained in the Feasibility Study data base. The specific i aim of this analysis would be the implementation of the 1 analysis plan prepared as part of the Feasibility Study.  !

l

2. The Contractor shall expand the clinical and dosimetric data base. The exact size and content of the expanded data base I will be determined in conjunction with the Russian PRT based  !

upon the experimental design requirements for the phase II study. As a minimum, the data base shall be expanded to l include all the workers who experienced acute radiation i syndrome and all of the workers who were diagnosed with plutonium pneumosclerosis.  ;

3. Using the expanded data base, the Contractor shall correlate  !

clinical symptomology with internal and external radiation i dose in order to forecast changes in clinical symptomology as  !

a function of exposure and time post-exposure.

4. Using the expanded data base, the contractor shall test and improve currently available models for deterministic health effects. The Contractor shall use Mayak PA data to test .

health effects models presented in NUREG/CR-4214 in order to l validate or modify the predictive models for the consequences of significant acute and chronic radiation exposure. Both model-parameter uncertainty and organ dose uncertainty shall be accounted for when Mayak PA data are used to test model predictions. New models will be developed for serious deterministic effects not modeled in NUREG/CR-4214. If models presented in NUREG/CR-4214 reports are assessed to be invalid, new or revised models will be developed.

5. The Contractor shall implement a case-control study of chronic radiation sickness in order to assess exposure factors (e.g.,

radiation dose and hematological changes) that are associated with the development cf this sickness.

Page 8 of 63

RS-RES-97-051 Section C I

C.3 (Continued)

6. The primary deliverables shall be an overall report and

manuscripts for publication in the scientific literature. See l Section C.5 below.

l C.4 MEETINGS AND TRAVEL l The biomedical and dosimetric data which form the core of this project are from workers currently or formerly employed at the Mayak PA facilities in Ozyorsk, Russian Federation. The records to be utilized were generated at Mayak PA and Branch No.

1-Institute of Biophysics in Ozyorsk, where they are still maintained. Approximately five members of the U.S. PRT will be required to travel to Ozyorsk once annually for seven to ten days each trip to review the biomedical and dosimetric data input into the automated FIB-1 data base and consult with the Russian PRT about the data analysis. Similarly, three members of the U.S. PRT will be required to travel to Pittsburgh, PA or Albuquerque, NM twice annually for up to seven days each trip to coordinate U.S.

PRT efforts. Finally, the U.S. co-principal investigator will be required to travel to Washington, DC once annually to participate in JCCRER meetings and meet with the NRC Project Officer.

Five to eight members of the Russian PRT will be required to travel to Pittsburgh, PA or Albuquerque, NM once annually for up to ten days each trip to coordinate joint program efforts.

Similarly, the Russian co-principal investigator may be required to travel to Washington, DC from Ozyorsk, Russia once annually for three days each trip to participate in JCCRER meetings and meet with the NRC Project Officer.

C.5 REPORTING REQUIREMENTS C.5.1 QUARTERLY FINANCIAL STATUS REPORTS In accordance with Section F.4 of the contract., the Contractor shall submit a quarterly financial status report.

C.5.2 QUARTERLY TECHNICAL PROGRESS REPORTS The Contractor shall prepare quarterly technical progress reports in accordance with Section F.3 of the contract.

C.5.3 OTHER DELIVERABLES In addition to the quarterly progress and status report set forth above, the Contractor shall submit to the NRC the results from the project as annual reports, and a final report. The Contractor shall provide written documentation and copies of all models developed during the contract. The Government encourages the publication of the scientific results as co-authored papers in Page 9 of 63

RS-RES-97-051 Section C C.5.3 (Continued) refereed scientific and engineering journals as appropriate. See Section H.5 entitled " Publication of Research Results -

Universities."

C.6 REFERENCES The following are pertinent documents referenced in this SOW or necessary for performance of this contract:

Reactor Safety Study (WASH 1400, 1975) i NUREG/CR-4214, " Health Effects Models for Nuclear Power Plant l

Accident Consequence Analysis, (1985) I i

NUREG/CR-4214, Rev. 1, Part II (1989)  !

, NUREG/CR-4214, Rev. 1, Part II, Addendum 1 (1991)

NUREG/CR-4214, and Rev. 1, Part II, Addendum 2 (1993}

[End of Clause]

1 C.7 NRCAR 2052.215-83 TRAVEL APPROVALS (JAN 1993) 1 (a) All domestic travel requires the prior approval of the prcject l i officer. l (b) All foreign travel must be approved in advance by the NRC on NRC Form 445 and must be in compliance with FAR 52.247-63 Preference for U.S. Flag Air Carriers. Foreign travel approval must be communicated in writing through the ,

contracting officer.  !

i

[End of Clause]  !

l i

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Page 10 of 63 l l

1

s RS-RES-97-051 Section D SECTION D - PACKAGING AND MARKING J.1 PACKAGING AND MARKING (MAR 1987)

The Contractor shall package material for shipment to the NRC in such a manner that will ensure acceptance by common carrier and safe delivery at destination. Containers and closures shall comply with the Interstate Commerce Commission Regulations, Uniform Freight Classification Rules, or regulations of other carriers as applicable to the mode of transportation. On the front of the package, the Contractor shall clearly identify the contract number under which the product is being provided.

[End of Clause]

1 Page 11 of 63

_ . _ _ . . _ . ~ _ . _ .- _ _ .. _.. _ _ _ _ . . _ . - _ _ . . _ . _ . . _ ~ . _ _ _ _ . . . _ . . _ _ _

4 RS-RES-97-051 Section E SECTION E - INSPECTION AND ACCEPTANCE

'l 52.252-2 E.1- CLAUSES INCORPORATED BY REFERENCE (JUN 1988)

This contract incorporates one or more clauses by reference,  :

with the same force and effect as if they were given in full text. '

Upon request, the Contracting Officer will make their full text available.

I. FEDERAL ACQUISITION REGULATION (4 8 CFR CHAPTER 1) CLAUSES NUMBER TITLE DATE  ;

52.246-8 INSPECTION OF RESEARCH AND APR 1984 DEVELOPMENT - COST-REIMBURSEMENT Alternate I (APR 1984)

[End of Clause)

E.2 PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987)

Inspection and acceptance of the deliverable items to be furnished hereunder shall be made by the Project Officer at the destination.

(End of Clause] l E.3 QUALITY ASSURANCE i Research plans, milestones, and funding will receive scientific review from an internal NRC scientific review panel and external scientific peer review. The research plans will be reviewed to assess the scientific and technical merit of the proposal. The internal and exuernal review groups will evaluate project concepts and research protocols, evaluate progress of the PRTs, and report progress of research activities under the project through the

~

i NRC's representative to the JCCRER Executive Committee for  !

transmittal to the JCCRER. Prospective PRT participants from the U.S. and Russian Federation must be willing to submit their research proposal for internal (i.e., NRC) and external scientific review.

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Page 12 of 63

I RS-RES-97-051 Section F-4 i .

SECTION F - DELIVERIES OR PERFORMANCE 1

F.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988) 4 This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text.

Upon request, the Contracting Officer will make their full text j_ available.

I.

FEDERAL ACQUISITION REGULATION (4 8 CFR CHAPTER 1) CLAUSES

{ NUMBER' TITLE DATE

}

52.242-15 STOP-WORK ORDER AUG 1989 l Alternate I (APR 1984) 4

[End of Clause) 3 F.2 NRCAR 2052.212-70 PREPARATION OF TECHNICAL REPORTS (JAN 1993)

All technical reports required by Section C and all Technical i

' Progress Reports required by Section F are to be prepared in accordance with the attached Management Directive 3.8,

" Unclassified Contractor and Grantee Publications in the NUREG

Series." Management Directive 3.8 is not applicable to any l Contractor Spending Plan (CSP) and any Financial Status Report

! that may be included in this contract. (See Section J for List of I

Attachments).

1

, [End of Clause) i F.3 NRCAR 2052.212-7' TECHNICAL PROGRESS REPORT i

The contractor shall provide a quarterly Technical Progress

-Report to the project officer and the contracting officer. The

report is due within 15 calendar days after the end of the report i period and must identify the title of the project, the contract

?

number, job code number, project manager and/or principal investigator, the contract period of performanca, and the period covered by the report. Each report must include the following for each discrete task / task order:

(a)~A listing of the efforts completed during the period, and milestones reached or, if missed, an explanation provided; (b) Any problems or delays encountered or anticipated and recommendations for resolution. If the recommended resolution involves a contract modification, e.g., change in work Page 13 of 63

I

$ RS-RES-97-051 Section F I

1 i '

'F.3; (Continued) 4.

i- requirements, level of effort (cost) or schedule delay, the l 4

contractor shall submit a separate letter to the contracting l officer identifying the required change and estimated cost impact. {

(c) A-summary of progress to date; and (d) Plans for the next reporting period. I 1 l (e) Within 30 working days following submission of this report, i the Government may provide written comments to the Contractor.

i The Contractor, including all research teams, shall respond I to the Government's comments in writing within 30 working days l l following receipt of comments. 1 1

(End of Clause]

l F.4 - 2052.212-72 FINANCIAL STATUS REPOET (DEC 1995) i j The contractor shall provide a quarterly Financial Status Report =

j to the project officer and the contracting officer. The report is i due.within 15 calendar days after the end of the report period and i shall identify the title of the project, the contract number, job l~

code, project manager.and/or principal investigator, the contract period or performance, and the period covered by the. report. Each report must include the following for each discrete task:

-(a) Total estimated contract amount.

j (b)' Total funds obligated to date.

t (c) Total costs incurred this reporting period and previous j reporting period.

j (d) Total costs incurred to date.

) (e) Detail of all direct cost including personnel, equipment, i

-subcontractor costs and indirect costs incurred during the

reporting period for the entire contract.

(f) Balance of obligations remaining.

(g) Balance of funds required to complete contract / task order.

(h) Contractor Spending Plan (CSP) status:

(1) Projected percentage of completion cumulative through the I report period for the project / task order as reflected in i the current CSP,  ;

1 e Page 14 of 63 1

4+

1 1

\

l RS-RES-97-051 Section F i F.4 (Continued) '

(2) Indicate if there has been a significant change in the original CSP projection in either dollars or percentage ,

of completion. Identify the change, the reasone for the change, whether there is any projected overrun, and when '

additional funds would be required. If there have been no changes to the original NRC-approved CSP projections, a written statement to that effect is sufficient in lieu of submitting a detailed response to item h.

l (3) A revised CSP is required with the Financial Status .

l Report whenever the contractor or the contracting officer L has reason to believe that the total cost for performance l of this contract will be either greater or substantially l less than what had been previously estimated.  :

l l (i) Property status: '

l l

(1) List property acquired for the project during the quarter I

with an acquisition' cost of $500 or more and less than

$50,000. Give the item number for the specific piece of l equipment.

l l (2) List property acquired for the project during the quarter i with an acquisition cost of $50,000 or more. Provide the j

following information for each item of property: item description or nomenclature, manufacturer, model number,

serial number, acqaisition cost, and receipt date. If no l property was acquired during the month, include a statement to that effect. Note

The same information shall be provided for any component or peripheral equipment which is part of a " system or system unit."

1' (3) For multi-year projects, in the September quarterly financial status report provide a cumulative lasting of property with an acquisition cost of $50,000 or more i

($5,000 or more if' purchased prior to October 1, 1995) i showing the above information, i (4) In the final quarterly status report provide a closecut property report containing the same elements as described ].

E above for the quarterly financial status reports, for all  !

property purchased with NRC funds regardless of value ,

unless title has been vested in the contractor. If no I

property was acquired under the contract, provide a  ;

l statement to that effect. The report should note any L property requiring special handling for security, health, safety, or other reasons as part of the report. l (j) Travel status:

Page 15 of 63 )

l l l

1 RS-RES-97-051 Section F F.4 (Continued)

List the starting and end dates for each trip, the starting point and destination, and the traveler (s) for each trip. 1 If the data in this report indicates a need for additional l funding beyond that already obligated, this information may only I be used as support to the official request for funding required in j accordance with the Limitation of Cost (LOC) Clause (FAR 52.232-20) or the Limitation of Funds (LOF) Clause (FAR I 52.232-22).

]

I

[End of Clause]

F.5 PLACE OF DELIVERY--REPORTS (JUN 1988) l 1

The items to be furnished hereunder shall be delivered, with all charges paid by the contractor, to:

(a) Project Officer (3 copies) l l

(b) Contracting Officer (1 copy)

[End of Clause]

F.6 DURATION OF CONTRACT This contract shall commence on the effective date at shown on the SF 26 Award / Contract and will expire 36 months thereafter.

Page 16 of 63 I

RS-RES-97-051 Section G i

SECTION G - CONTRACT ADMINISTRATION DATA G.1 NRCAR 2052.215-71 PROJECT OFFICER AUTHORITY (JAN 1993)

(a) The contracting officer's authorized representative hereinafter referred to as the project officer for this contract is:

Name:

• Address:

• Telephone Number: *

(b) Performance of the work under this contract is subject to the technical direction of the NRC project officer. The term technical direction is defined to include the following:

(1) Technical direction to the contractor which shifts work emphasis between areas of work or tasks, fills in details, or otherwise serves to accomplish the contractual statement of work.

(2) Provide advice and guidance to the contractor in the preparation of drawings, specifications, or technical

, portions of the work description.

(3) Review nd, where required by the contract, approval of ,

technical drawings, specifications, and technical  !

information to be delivered by the contractor to the i Government under the contract.

(c) Technical direction must be within the general statement of  !

work stated in the contract. The project officer does not 1 have the authority to and may not issue any technical direction which:

(1) Constitutes an assignment of work outside the general scope of the contract.

(2) Constitutes a change as defined in the " Changes" clause of this contract.

(3) In any way causes an increase or decrease in the total Page 17 of 63

RS-RES-97-051 Section G I G.1 (Continued) estimated contract cost, the fixed fee, if any, or the time required for contract performance.

l (4) Changes any of the expressed terms, conditions, or specifications of the contract.

l (5) Terminates the contract, settles any claim or dispute arising under the contract, or issues any unilateral directive whatever.

(d) All technical directions must be issued in writing by the project officer or must be confirmed by the project officer in writing within ten (10) working days after verbal issuance. A copy of the written direction must be furnished to the contracting officer.

(e) The contractor shall proceed promptly with the performance of technical directions duly issued by the project officer in the manner prescribed by this clause and within the project officer's authority under the provisions of this clause.

(f) If, in the opinion of the contractor, any instruction or direction issued by the project officer is within one of the categories as defined in paragraph (c) of this section, the contractor may not proceed but shall notify the contracting officer in writing within five (5) working days after the receipt of any instruction or direction and shall request the contracting officer to modify the contract accordingly. Upon receiving the notification from the contractor, the i contracting officer shall issue an appropriate contract i modification or advise the contractor in writing that, in the contracting officer's opinion, the technical direction is l within the scope of this article and does not constitute a change under the " Changes" clause.

(g) Any unauthorized commitment or direction issued by the project  ;

officer may result in an unnecessary delay in the contractor's performance and may even result in the contractor expending funds for unallowable costs under the contract.

(h) A failure of the parties to agree upon the nature of the instruction or direction or upon the contract action to be taken with respect there to is subject to FAR 52.233 Disputes.

(i) In addition to providing technical direction as defined in paragraph (b) of the section, the project officer shall:

(1) Monitor the contractor's technical progress, including .

surveillance and assessment of performance, and recommend to the contracting officer changes in requirements.

Page 18 of 63

RS-RES-97-051 l Section G i G.1 (Continued)

(2) Assist the contractor in the resolution of technical problems encountered during performance.

l (3) Review all costs requested for reimbursement by the contractor and submit to the contracting officer  !

recommendations for approval, disapproval, or suspension of payment for supplies and services required under this contract.

[En of Clause]

• To be incorporated into any resultant contract i G2 NRCAR'2052.215-82 TRAVEL REIMBURSEMENT l

- ALTERNATE 1 (JAN 1993) )'

(a) The contractor is encouraged to use Government contract l airlines, AMTRAK rail services, and discount hotel / motel' l properties in order to reduce the cost of travel under this '

contract. The contracting officer shall, upon request, provide each traveler with a letter of identification'which is i l required in order to participate in this program. The Federal '!

Travel Directory (FTD) identifies carriers, contract fares, l schedules, payment conditions, and hotel / mote: properties t whicn offer their services and rates to Governmer.t contractor  ;

personnel traveling on official business under this contract.  :

The FTD, which is issued monthly, may be purchased from the  !

U.S. Government Printing Office, Washington, DC 20402. '

(b) The contractor will be reimbursed for reasonable travel costs l incurred directly and specifically in the performance of this j contract. -The cost limitations for travel costs are determined in accordance with the specific travel regulations  ;

cited.in FAR 31.205-46, as are in effect on the date'of the trip. Travel costs for research and related activities  ;

performed at State and nonprofit institutions, in accordance i with Section 12 of Pub. L. 100-679, shall be charged in -

accordance with the contractor's institutional policy to the degree that the limitations of Office of Management and Budget ,

(OMB) guidance are not exceeded. Applicable guidance ]

documents include OMB Circular A-87, Cost Principles for State {

and Local Governments; OMB-Circular A-122, Cost Principles for j Nonprofit Organizations; and OMB Circular A-21, Cost '

Principles for Educational Institutions.

I 1

I i i j Page 19 of 63

.._ _ _. _ ._ _ _. _ _ _._._. _ _ ._ _ __. _ . _... _ _.._ __m _,

i RS-RES-97-051 -

Section G G.2 (Continued) I 1

j (c) When the Government changes the Federal Travel Regulations, or j other applicable regulations, it is the responsibility of the

, contractor to notify the contracting officer in accordance with the Limitations of Cost clause of this contract if the

contractor will be unable to make all of the approved trips  !

and remain within the cost and fee limitations of this l j contract due to the changes.  ;

(End of Clause)  !

i G.3 NRCAR 2052.216-71 INDIRECT COST RATES (JAN 1993) l i

(a)'Pending the establishment of final indirect rates which must :l l be negotiated based on audit of actual costs, the contractor i shall be reimbursed for allowable indirect costs as follows:

i <

! i~

i i.

4 1

). (b) The contracting officer may adjust the above rates as  !

j appropriate during the term of the contract upon acceptance of l

any revisions proposed by the contractor. It is the l l contractor's responsibility to notify the contracting officer  !

in accordance with FAR 52.232-20, Limitation of Cost, or FAR <

] 52.232-22, Limitation of Funds, as applicable, if these

changes. affect performance of work within the established cost  !

t* or funding limitations.

I

[End of Clause)  ;

! l

[ 'To

• be incorporated into any resultant contract t G.4 ELECTRONIC PAYMENT

,1 l The Debt Collection Improvement Act of 1996 requires that all

. payments except IRS tax refunds be made by Electronic Funds l Transfer. It is the policy of the Nuclear Regulatory Commission l to pay vendors by the Automated Clearing House (ACH) electronic i funds transfer payment system. The electronic system is known as j Vendor Express. Payment shall be made in accordance with FAR 52.232-33, entitled " Mandatory Information for Electronic Funds Transfer Payment",

To receive payment, the contractor shall complete the " Company Information" portion of the Standard Form 3881, entitled "ACH Page 20 of 63

. - . . - - -- . - . --. - - .. _- ._ . . ~ .

RS-RES-97-051 Section G G.4 (Continued)

Vendor / Miscellaneous Payment Enrollment Form" found in Section J.

The contractor shall take the form to the ACH Coordinator at the financial institution that maintains its company's bank account.

The contractor shall discuss with the ACH Coordinator how the '

payment identification information (addendum record) will be passed to them once the payment is received by the financial l institution. To ensure that adequate payment information will be available to the contractor, the contractor should inform the financial institution that the addendum record must not be stripped from the payment. Further information concerning the addendum is provided at Attachment The ACH Coordinator should fill out the " Financial Institution Information" portion of the form and return it to the Office of the controller at the following address: Nuclear Regulatory Commission, Division of Accounting and Finance, Financial Operations Section, Mail Stop i T-9-H-4, Washington, DC 20555, ATTN: ACH/ Vendor Express. It is the responsibility of the contractor to ensure that the financial institution returns the completed form to the above cited NRC address. If the contractor can provide the financial information, signature of the financial institution's ACH Coordinator is not required. The NRC is under no obligation to send reminders. Only i after the Offnce of the C<>ntroller has processed the contractor's sign-up form will the cortractor be eligible to receive payments. ,

i Once electronic funds transfer is established for payments I authorized by NRC, the contractor needs to submit an additional SF 3881 only to report changes to the information supplied.

Questions concerning ACH/ Vendor Express should be directed to the Financial Operations staff at (301) 415-7520.  !

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Page 21 of 63 s

l l RS-RES-97-051 Section H I

l l

SECTION H - SPECIAL CONTRACT REQUIREMENTS H.1 NRCAR 2052.209-73 CONTRACTOR ORGANIZATIONAL

[ ' CONFLICTS'OF INTEREST (JAN 1993) i (a) Purcose. The primary purpose of.this clause is to aid in ensuring that the contractor:

(1) Is not placed in a conflicting role because of current or planned interests (financial, contractual, organizational, or otherwise) which relate to the work under this contract; and (2) Does not obtain an unfair competitive advantage over l other parties by virtue of its performance of this j l contract.

l (b) Scoce. The restrictions described apply to performance or j participation by the contractor, as defined in 43 CFR l 2009.570-2 in tla activities covered by this clause.

L (c) Work for others.

(1) Notwithstanding any other provision of this contract, during the term of this contract the contractor agrees to forego entering into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being performed under this contract.

The contractor shall ensure that all employees under this contract abide by the provision of this clause. If the contractor has reason to believe with respect to itself l or any employee that any proposed consultant or other I contractual arrangement with any-firm or organization may j involve a potential conflict of interest, the contractor

{

shall obtain the written approval of the contracting )

officer before the execution of such contractual  !

arrangement. j (2) The contractor may not represent, assist, or otherwise l support an NRC licensee or applicant undergoing an NRC i audit, inspection, or review where the activities that l are the subject of the audit, inspection or review are j the same as or substantially similar to.the services

! within the scope of this contract (or task order as )

j appropriate), except where the NRC licensee or applicant '

requires the contractor's support to explain or defend the contractor's prior work for the utility or other entity which NRC questions.

. i Page 22 of 63 1

I 1'

^

}

i

RS-RES-97-051 Section H

'H.1 (Continued)

(3) When the contractor performs work for the NRC under this contract at any NRC licensee or applicant site, the contractor shall neither solicit nor perform work in the same or similar technical area for that licensee or applicant organization for a period commencing with the award of the task order or beginning of work on the site (if not a task order contract) and ending one year after completion of all work under the associated task order, or last time at the site (if not a task order contract).

(4) When the contractor performs work for the NRC under this contract at any NRC licensee or applicant site, (i) The contractor may not solicit work at that site for that licensee or applicant during the period of performance of the task order or the contract, as appropriate.

(ii) The contractor may not perform work at that site for that licensee or applicant during the period of performance of the task order or the contract, as appropriate, and for one year thereafter.

(iii) Notwithstanding the foregoing, the contracting officer may authorize the contractor to solicit or perform this type of work (except work in the same ,

or similar technical area) if the contracting i officer determines that the situation will not l pose a potential for technical bias or unfair l competitive advantage. I (d) Disclosure after award,  !

(1) The centractor warrants that to the best of its knowledge and belief, and except as otherwise set forth in this contract, it does not have any organizational conflicts  ;

of interest as defined in 48 CFR 2009.570-2.

(2) The contractor agrees that, if after award, it discovers organizational conflicts of int 3 rest with respect to this contract, it shall make an immediate and full disclosure  !

in writing to the contracting officer. This statement I must include a description of the action which the i contractor has taken or proposes to take to avoid or 1 mitigate such conflicts. The NRC may, however, terminate l the contract if termination is in the best interest of l the government.

(3) It is recognized that the scope of work of a task-order-type contract necessarily encompasses a broad Page 23 of 63 l

RS-RES-97-051 Section H H.1 (Continued) spectrum of activities. Consequently, if this is a task-order-type contract, the contractor agrees that it will disclose all proposed new work involving NRC licensees or applicants which comes within the scope of l work of the underlying contract. Further, if this contract involves work at a licensee or applicant site, the contractor agrees to exercise diligence to discover ,

and disclose any new work at that licensee or applicant '

site. This disclosure must be made before the submission of a bid or proposal to the utility or other regulated entity and must be received by the NRC at least 15 days before the proposed award date in any event, unless a written justification demonstrating urgency and due diligence to discover and disclose is provided by the contractor and approved by the contracting officer. The disclosure must include the statement of work, the dollar value of the proposed contract, and any other documents that are needed to fully describe the proposed work for the regulated utility or other regulated entity. NRC may deny approval of the disclosed work only when the NRC has issued a task order which includes the technical area and, if site-specific, the site, or has plans to issue a task order which includes the technical area and, if site-specific, the site, or when the work violates ,

paragraphs (c) (2) , (c) (3) or (c) (4 ) of this section.

(e) Access to and use of information.

i j (1) If in the performance of this contract, the contractor obtains access to information, such as NRC plans, policies, reports, studies, financial plans, internal ,

data protected by the Privacy Act of 1974 (5 U.S.C.

Section 552a (1988)), or the Freedom of Information Act (5 U.S.C. Section 552 (1986)), the contractor agrees not to:

(i) Use this information for any private purpose until the information has been released to the public; (ii) Compete for work for the Commission based on the information for a period of six months after either the completion of this contract or the release of the information to the public, whichever is first; (iii) Submit an unsolicited proposal to the Government based on the information until one year after the release of the information to the public; or (iv) Release the information without prior written approval by the contracting officer unless the information has previously been released to the Page 24 of 63

. RS-RES-97-051 Section H H.1 (Continued)

. public by the NRC.

(2) In addition, che contractor agrees that, to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (5 U.S.C. Section 552a (1988)), or the Freedom of Information Act (5 U.S.C.

Section 552 (1986)), or other confidential or privileged technical, buainess, or financial information under this i contract, the contractor shall treat the information in accordance with restrictions placed on use of the I information.

f (3) Subject to patent and security provisions of this ,

contract, the contractor shall have the right to use technical data it produces under this contract for private purposes provided that all require.nents of this l contract have been met.

1 (f) Subcontracts. Except as provided in 4L 2FR 2009.570-2, the contractor shall include this clause, including this l paragraph, in subcontracts of any tier. The terms contract,  ;

contractor, and centracting officer, must be appropriately i modified to preserve the Government's rights. l (g) Remedies. For breach of any of the above restrictions, or for intentional nondisclosure or misrepresentation of any l relevant interest required to be disclosed concerning this I contract or for such erroneous representations that  ;

necessarily imply bad faith, the Government may terminate the ]

contract for default, disqualify the contractor from ,

subsequent contractual efforts, and pursue other remedies I permitted by law or this contract.

(h) Waiver. A request for waiver under this clause must be directed in ..riting to the contracting officer in accordance l with the procedures outlined in 48 CFR 2009.570-9. l

' l (i) Follow-on effort. The contractor shall be ineligible to  !

participate in NRC contracts, subcontracts, or proposals l therefor (solicited or unsolicited), which stem directly from j the contractor's performance of work under this contract. l Furthermore, unless so directed in writing by the contracting j officer, the contractor may not perform any technical i consulting or management support services work or evaluation i activities under this contract on any of its products or I services or the products or services of another firm if the l contractor has been substantially involved in the development or marketing of the products or services.

1 (1) If the contractor, under this contract, prepares a j complete or essentially complete statement of work or j Page 25 of 63 l

RS-RES-97-051 Section H H.1 (Continued) specifications, the contractor is not eligible to perform or participate in the initial contractual effort which is based on the statement of work or specifications. The contractor may not incorporate its products or services in the statement of work or specifications unless so directed in writing by the contracting officer, in which case the restrictions in this paragraph do not apply.

(2) Nothing in this paragraph precludes the contractor from offering or selling its standard commercial items to the Government.

[End of Clause]

i H.2 NRCAR 2052.215-70 KEY PERSONNEL (JAN 1993) 4 (a) The following individuals are considered to be essential to the successful performance of the work hereunder:

The contractor agrees that personnel may"not be removed from the contract work or replaced without compliance with

, paragraphs (b) and (c) of this section.

(b) If one or more of the key personnel, for whatever reason, becomes, or is expected to become, unavailable for work under this contract for a continuous period exceeding 30 work days, or is expected to devote substantially less effort to the work than indicated in the proposal or initially anticipated, the contractor shall immediately notify the contracting officer and shall, subject to the concurrence of the contracting officer, promptly replace the personnel with personnel of at least substantially equal ability and qualifications.

(c) Each request for approval cf substitutions must be in writing and contain a detailed explanation of the circumstances necessitating the proposed substitutions. The request must also contain a complete resume for the proposed substitute and other information requested or needed by the contracting fficer to evaluate the proposed substitution. The contracting officer or his/her authorized representative shall evaluate the request and promptly notify the contractor of his or her approval or disapproval in writing. ,

(d) If the contracting officer determines that suitable and timely Page 26 of 63

- .- . . . , .~.- ----- .

4 RS-RES-97-051 ~ Section H

, H.2 (Continued) l i

replacement of key personnel who have been reassigned, >

t^

terminated, or have otherwise become unavailable.for the

contract work is not reasonably forthcoming, or that the  !

. resultant reduction of productive effort would be so substantial as to impair the successful completion of the  :

contract or the service order, the contract may be terminated '

by the contracting officer for default or for the convenience ~

j of the-Government, as appropriate. If the contracting: officer

< finds the contractor at fault for the condition, the contract price'or fixed fee may be equitably adjusted downward to i compensate the Government for any resultant delay, loss, or 1 damage. l

[End of Clause)

• To be incorporated into any resultant contract H.3 NRCAR 2052.235-71 PUBLICATION OF RESEARCH RESULTS - UNIVERSITIES (JAN 1993)

(a) The principal investigator (s) / contractor shall comply with the provisions of NRC Handbook 3.8 (formerly MC 3202) and NRC Manual Chapter 3206 regarding publication in refereed scientific and engineering journals or dissemination to the public of any information, oral or written, concerning.the 1 work performed under this contract. Failure to comply with this clause shall be grounds for termination of this contract.

1 (b) The principal-investigator (s)/ contractor may publish tne  !

results of this work in refereed scientific and engineering i journals or in open_ literature and present papers at public or association meetings at interim stages of work, in addition to~  !

submitting to NRC the final reports and other deliverables j

. required under this. contract; However, such publication and papers shall fccus on advances in science and technology and minimize conclusions and/or recommendations which may have regulatory implications. l (c) The principal investigstor(s).shall coordinate all such i publications with, and transmit a copy of the proposed article =

or paper to, the NRC Contracting Officer or Project Officer, prior to publication. The'NRC agrees to review end provide I comments within thirty (30) days after receipt of a proposed

. publication,. However,.in those cases where the information to

be published is (1) subject to Commission approval, (2) has not been ruled upon, or (3) - disapproved by the Commission, the NRC reserves the right to disapprove or delay the publication.

Further, if the NRC disagrees with the proposed publication for any reason, it reserves the right to require that any publication not identify the NRC's sponsorship of the work and that any associated publication costs shall be borne by the Page 27 of 63

_ . .- _ _ .- . _ . . __ _ _ . _ _ . . _ ._ ..~. - ._. . . _ . . _ . . _ _ _ _ . _ _ _ _ _

,RS-RES-97-051 Section H H.3 (Continued) 'l J

contractor.

4 (d) All. publications, abstracts, presentations, invited lectures, or other means of conveying scientific results obtained under the auspices of'the JCCRER are subject to the provisions for the pcotection and allocation of intellectual property set forth in. Article VI of the Agreement between the-Government of the Russian Federation and the Government of the. United States of America on Cooperation in Research on Radiation Effects to the Purpose of Minimizing the Consequences of Radioactive

Contamination on Health and the Environment andthe Annex on Intellectual Property." See Section J Attachment 7.

[End of Clause]

'H.4 NRCAR 2052.235-72 SAFETY, HEALTH, AND FIRE PROTECTION-(JAN 1993)

The contractor shall take all reasonable precautions in the performance of the work under this contract to protect the health and safety of its employees and of members of the public, including NRC employees and coatractor personnel, and to minimize danger from all hazarda to life and property and shall comply with all applicable health, safety, and fire protection regulations and requirements (including reporting requirements) of the Commission and the Department of Labor. In the event that the contractor fails to comply with these regulations or requirements, the contracting officer may, without prejudice to any other legal or contractual rights of the Commission, issue an order stopping all or any part of the work; thereafter, a start order for resumption of work may be issued at the discretion of the contracting officer. The contractor shall make no claim for an extension of time or for compensation or damages by reason of, or in connection with, this type of work stoppage.

[End of Clause]

Page 28 of 63 I

i RS-RES-97-051 Section I l i

i PART II - CONTRACT CLAUSES i

SECTION I - CONTRACT CLAUSES I.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988) I This contract incorporates one or more clauses by reterence, i

with the same force and effect as if they were given in full text.

Upon request, the Contracting Officer will make their full text )

available.

.I. FEDERAL ACQUISITION REGULATION (4 8 CFR CHAPTER 1) CLAUSES i

- j NUMBER TITLE DATE 52.202-1 DEFINITIONS OCT 1995 I 52.203-3 GRATUITIES APR 1984 l 52.203-5 COVENANT AGAINST CONTINGENT FEES APR 1984 l 52.203-10 PRICE OR FEE ADJUSTMENT FOR JAN 1996 ILLEGAL OR IMPROPER ACTIVITY 52.203-12 LIMITATION ON PAYMENTS TO JAN 1990 INFLUENCE CERTAIN FEDERAL TRANSACTIONS 52.204-4 PRINTING / COPYING DOUBLE-SIDED JUN 1996 ON RECYCLED PAPER 52.209-6 PROTECTING THE GOVERNMENT'S JUL 1995 INTEREST WHEN SUBCCNTRACTING WITH CONTRACTORS DEBARRED, SUSPENDED, OR PROPOSED FOR DEBARMENT 52.215-2 AUDIT AND RECORDS--NEGOTIATION AUG 1996 Alternate II (JAN 1997) 52.215-22 PRICE REDUCTION FOR DEFECTIVE OCT 1995 COST OR PRICING DATA 52.215-24 SUBCONTRACTOR COST OR OCT 1995 PRICING DATA 52.215-27 TERMINATION OF DEFINED BENEFIT MAR 1996 PENSION PLANS 52.215-33 ORDER OF PRECEDENCE JAN 1986 52.215-39 REVERSION OR ADJUSTMENT OF PLANS MAR 1996 FOR POSTRETIREMENT BENEFITS OTHER THAN PENSIONS (PRB) 52.215-40 NOTIFICATION OF OWNERSHIP CHANGES FEB 1995 g 52.216-11 COST CONTRACT - NO FEE APR 1984 52.219-8 LTILIZATION OF SMALI, SMALL OCT 1995 DIS.'WVANTAGED AND WOMEN-OWNED SMALL BUSINESS CONC 3RNS 52.222-3 CONVICT LABOR AUG 1996 52.222-26 EQUAL OPPORTUNITY APR 1984 Page 29 of 63

i RS-RES-97-051 Section I I.1 (Continued)

NUMBER TITLE DATE I

52.222-28 EQUAL OPPORTUNITY PREAWARD APR 1984 CLEARANCE OF SUBCONTRACTS 52.222-35 AFFIRMATIVE ACTION FOR SPECIAL APR 1984 DISABLED AND VIETNAM ERA VETERANS l 52.222-36 AFFIRMATIVE ACTION FOR APR 1984 HANDICAPPED WORKERS 52.222-37 EMPLOYMENT REPORTS ON SPECIAL JAN 1988 DISABLED VETERANS AND VETERANS l OF THE VIETNAM ERA I

52.223-2 CLEAN AIR ANO WATER APR 1984 52.223-6 DRUG-FREE WORKPLACE JAN 1997 52.225-11 RESTRICTIONS ON CERTAIN OCT 1996 FOREIGN PURCHASES 52.227-1 AUTHORIZATION AND CONSENT JUL 1995 Alternate I (APR 1984 )

52.227-2 NOTICE AND ASSISTANCE REGARDING AUG 1996 PATENT AND COPYRIGHT INFRINGEMENT 52.227-11 PATENT RIGHTS - RETENTION BY JUN 1989 THE CONTRACTOR (SHORT FORM) 52.227-14 RIGHTS IN DATA - GENERAL JUN 1987 52.227-16 ADDITIONAL DATA REQUIREMENTS JUN 1987 52.228-7 INSURANCE - LIABILITY TO THIRD MAR 1996 PERSONS 52.232-22 LIMITATION OF FUNDS APR 1984 52.232-23 ASSIGNMENT OF CLAIMS JAN 1986 52.232-25 PROMPT PAYMENT MAR 1994 52.232-33 MANDATORY INFORMATION FOR AUG 1996 ELECTRONIC FUNDS TRANSFER PAYMENT 52.233-1 DISPUTES OCT 1995 52.233-3 PROTEST AFTER AWARD AUG 1996 Alternate I (JUN 1985) 52.242-1 NOTICE OF INTENT TO DISALLOW COSTS APR 1984 52.242-3 PENALTIES FOR UNALLOWABLE COSTS OCT 1995 52.242-13 BANKRUPTCY JUL 1995 52.243-2 CHANGES - COST-REIMBURSEMENT AUG 1987 l Alternate V (APR 1984) 52.244-2 SUBCONTRACTS (COST-REIMBURSEMENT FEB 1997 AND LETTER CONTRACTS) 52.244-5 COMPETITION IN SUBCONTRACTING DEC 1996 52.245-5 GOVERNMENT PROPERTY JAN 1986 (COST-REIMBURSEMENT, TIME-AND-MATERIAL, OR LABOR-HOUR CONTRACTS)

Alternate I (JUL 1985) 52.247-63 PREFERENCE FOR U.S.-FLAG AIR JAN 1997 CARRIERS j l

Page 30 of 63

, l

)

RS-RES-97-051 Section I I.1 (Continued)

NUMBER TITLE DATE J

52.247-67 SUBMISSION OF COMMERCIAL FEB 1995 TRANSPORTATION BILLS TO THE GENERAL SERVICES ADMINISTRATION FOR AUDIT

, 52.249-5 TERMINATION FOR CONVENIENCE OF SEP 1996

THE GOVERNMENT (EDUCATIONAL AND OTHER NONPROFIT INSTITUTIONS) 52.251-1 GOVERNMENT SUPPLY SOURCES APR 1984 52.253-1 COMPUTER GENERATED FORMS JAN 1991 i

4 (End of Clause]

3 I.2 52.216-7 ALLOWABLE COST AND PAYMENT (FEB 1997)

(a) Invoicina. The Government shall make payments to the Contractor when requested as work progresses, but (except for small business concerns) not more often than once every 2 weeks, in amounts determined to be allowable by the i Contracting Officer in accordance with Subpart 31.3 of the Federal Acquisition Regulation (FAR) in effect on the date of this contract and the terms of this contract. The Contractor

may submit to an authorized representative of the Contracting Officer, in such form and reasonable detail as the representative may require, an invoice or voucher supported by a statement of the claimed allowable cost for performing this contract.

(b) Reimbursina costs. (1) For the purpose of reimbursing allowable costs (except as provided in subparagraph (2) below, ,

with respect to pension, deferred profit sharing, and employee stock ownership plan contributions), the term " costs" includes only--

(i) Those recorded costs that, at the time of the request for reimbursement, the Contractor has paid by cash, check, or other form of actual payment for items or services purchased directly for the contract; (ii) When the Contractor is not delinquent in paying costs of contract performance in the ordinary course of business, costs incurred, but not necessarily paid, for--

(A) Materials issued from the Contractor's inventory and placed in the production process for use on the contract; (B) Direct labor; Page 31 of 63 i

RS-RES-97-051 Section I I.2 (Continued) j i

(C) Direct travel; (D) Other direct in-house costs; and i

(E) Properly allocable and allowable indirect j costs, as shown in the records maintained by  ;

the Contractor for purposes of obtaining i reimbursement under Government contracts; and I (iii) The amount of progress and other payments that have been paid by cash, check, or other form of i payment to the Contractor's subcontractors under I similar cost standards.

i (2) Contractor contributions to any pension or other  !

postretirement benefit, profit-sharing or employee stock l ownership plan funds that are paid quarterly or more often may be included in indirect costs for payment l purposes; Provided, that the Contractor pays the  !

contribution to the fund within 30 days after the close l of the period covered. Payments made 30 days or more )

after the close of a period shall not be included until i the contractor actually makes the payment. Accrued costs for such contributions that are paid less often than ,

quarterly shall be excluded from indirect costs for i payment purposes until the contractor actually makes the payment (3) Notwithstanding the audit and adjustment of invoices or j vouchers under paragraph (g) below, allowable indirect

{

costs under this contract shall be obtained by applying indirect cost rates established in accordance with  !

paragraph (d) below.

(4) Any statements in specifications or other documents incorporated in this contract by reference designating  !

performance of services or furnishing of materials at the '

Contractor's expense or at no cost to the Government shall be disregarded for purposes of cost-reimbursement under this clause.

(c) Small business concerns. A small business concern may be paid more often than every 2 weeks and may invoice and be paid for recorded costs for items or services purchased directly for the contract, even though the concern has not yet paid for those items or services.

(d) Final indirect cost rates. (1) Final annual indirect cost rates and the appropriate bases shall be established in accordance with Subpart 42.7 of the Federal Acquisition Page 32 of 63

[

e

RS-RES-97-051 Section I I.2 (Continued) i 1

Regulation (FAR) in effect for the period covered by the l indirect cost rate proposal. 1 (2) The Contractor shall, within 90 days after the expiration I of each of its fiscal years, or by a later date approved  !

by the Contracting Officer, submit to the cognizant  !

Contracting Officer responsible for negotiating its final j indirect cost rates and, if required by agency procedures, to the cognizant audit activity proposed final indirect cost rates for that period and supporting  !

, cost data specifying the contract and/or subcontract to which the rates apply. The proposed rates shall be based on the Contractor's actual cost experience for that period. The appropriate Government representative and j Contractor shall establish the final indirect cost rates as promptly as practical after receipt of the Contractor's proposal. l

(

(3) The Contractor and the appropriate Government j representative.shall execute a written understanding i setting forth the final indirect cost rates. The  !

understanding shall specify (i) the agreed-upon final annual indirect cost rates, (ii) the bases to which the rates apply, (iii) the periods for which the rates apply, ,

(iv) any specific indirect cost items treated as direct j costs in the settlement, and (v) the affected contract and/or subcontract, identifying any with advance agreements or special terms and the applicable rates.

The understanding shall not change any monetary ceiling, contract obligation, or specific cost allowance or disallowance provided for in this contract. The understanding is incorporated into this contract upon

, execution.

(4) Within 120 days after settlement of the final indirect cost rates covering the year in which this contract is physically complete (or longer, if approved in writing by the Contracting Of ficer) , the Contractor shall submit a completion invoice or voucher to reflect the settled amounts and rates.

(5) Failure by the parties to agree on a final annual

, indirect cost rate shall be a dispute within the meaning of the Disputes clause.

(e) Billina rates. Until final annual indirect cost rates are established for any period, the Government shall reimburse the Contractor at billing rates established by the Contracting Officer or by an authorized representative (the cognizant auditor), subject to adjustment when the final rates are i established. These billing rates--

~

Page 33 of 63

RS-RES-97-051 Section I l I.2 (Continued) 1 (1) Shall be the anticipated final rates; and i

(2) May be prospectively or retroactively revised by mutual .!

agreement, at either party's request, to prevent j substantial overpayment or underpayment.

(f) Ouick-closeaut procedures. Quick-closecut procedures are applicable when the conditions in FAR 42 708 (a) are satisfied. I (g) Audit. At any time or times before final payment, the Contracting Officer may have the Contractor's. invoices or  !

vouchers and statements of cost audited. Any payment may be  !

(1) reduced by amounts found by the Contracting Officer not to constitute allowable costs or (2) adjusted for prior overpayments or underpayments.  !

l (h) Final cavment. (1) Upon approval of a completion invoice or voucher submitted by the Contractor in accordance with paragraph (d) (4) of this clause, and upon the Contractor's compliance with all terms of this centract, the Government shall promptly pay any balance of allowable costs and that l part of the fee (if any) not previously paid.

l 3 (2) The Contractor shall pay to the Government any refunds, l

, rebates, credits, or other amounts (including interest, if any) accruing to or received by the Contractor or any 4 assignee under this contract, to the extent that those amounts are properly allocable to costs for which the Contractor has been reimbursed by the Government. ,

Reasonable expenses incurred by the Contractor for  ;

securing refunds, rebates, credito, or other amounts

] shall be allowable costs if approved by the Contracting Officer. Before final payment under this contract, the contractor and each assignee whose assignment in in effect at the tir.e of final payment shall execute and deliver--

(i) An assignment to the Government, in form and substance satisfactory to the Contracting Officer, of 7efunds, rebates, credits, or other amounts (ir.cluding interest, if any) properly allocable to costs for which the Contractor has been reimbursed by the Government under this contract; and (ii) A release discharging the Government, its officers, agents, and employees from all liabilities, obligations, and claims arising out of or under this contract, except--

(A) Specified claims stated in exact amounts, or in Page 34 of 63

RS-RES-97-051 Section I I.2 (Continued) 3 estimated amounts when the exact amounts are not known; (B) Claims (including reasonable incidental expenses) based upon liabilities of the Contractor to third parties arising out of the performance of this contract; provided, that the claims are not known to the Contractor on the date of the execution of the release, and that the Contractor gives notice of the claims 1

1. in writing to the contracting Officer within 6 years following the release date or notice of final payment date, whichever is earlier; and (C) Claims for reimbursement of costs, including reasonable incidental expenses, incurred by the Contractor under the patent clauses of this contract, excludi ng, however, any expenses arising from the Contractor's indemnification of the Government against patent liability.

I.3 52.222-2 PAYMENT FOR OVERTIME PREMIUMS (JUL 1990)

(a) The use of overtime is authorized under this contract if the overtime premium cost does not exceed $0.00 or the overtime premium is paid for work--

(1) Necessary to cope with emergencies such as those resulting from accidents, natural disasters, breakdowns of production equipment, or occasional production bottlenecks of a sporadic nature; (2) By indirect-labor employees such as those performing duties in connection with administration, protaction, transpurtation, maintenance, standby plant protection, operation of utilities, or accounting; (3) To perform tests, industrial proc 2sses, laboratory I procedures, loading or unloading of transportation conveyances, and operations in flight or afloat that are continuous in nature and cannot reasonably be interrupted or completed otherwise; or (4) That will result in lower overall costs to the I Government.

(b) Any request for estimated overtime premiums that exceeds the amount specified above shall include all estimated overtime for contract completion and shall--

(1) Identify the work unit; e.g., department or section in 1

Page 35 of 63 )

l

l 4

I RS-RES-97-051 Section I ,

l I.3 - (Continued) l which the requested overtime will be used, together with present workload, staffing, and other data of the j affected unit sufficient to permit the Contracting i Officer to avaluate the necessity for the overtime; (2)' Demonstrate the effect that denial of the request will l have on the contract delivery or performance schedule; )

i i

(3) Identify the extent to which approval of overtime would  !

. affect the performance or payments in connection with l other Government contracts, together with identification of each affected contract; and (1) Provide reasons why the required work cannot be performed by using multishift operations or by employing additional H personnel.

[End of Clause]

1.4 52.242-4 CERTIFICATION OF INDIRECT COSTS (OCT 1995)

(a) The Contractor shall--

(1) Certify any proposal to establish or modify billing rates  :

or to establish final indirect cost rates; l (2) Use the format in paragraph (c) of this clause to certify; and (3) Have the certificate signed by an individual of the Contractor's organization at a level no lower than a vice president or chief financial officer of the business segment of the Contractor that submits the proposal.

(b) Failure by tne Contractor to submit a signed certificate, as described in this clause, shall result in payment of indirect costs at rates unilaterally established by the Government.

(c) The certificate of indirect costs shall read as follows:

Certificate of Indirect Costs This is to certify that to the best of my knowledge and belief:

1. I have reviewed this indirect cost proposal;

2. All costs included in this proposal (identify proposal and date) to establish billing or final indirect costs rates for (identify period covered by rate) are allowable in accordance with the Page 36 of 63

RS-RES-97-051 Section I

I.4 (Continusd)

\

requirements of contracts to which they apply and with the cost principles of the Federal Acquisition Regulation (FAR) and its supplements applicable to those contracts; '

i 1 j 3. This proposal does pt- include any costs which are

unallowable under applicable cost principles of the FAR or its supplements, including, but not limited to: advertising and public relations costs, contributions and donations, entertainment costs, fines and penalties, lobbying costs, defense of fraud proceedings, and goodwill; and

4. All costs included in this proposal are properly allocable to Government contracts on the basis of a beneficial or casual relationship between the '

expenses incurred and the contracts to which they '

' are allocated in accordance with applicable j acquisition regulations.

I declare under penalty of perjury that the foregoing is true and correct.

t I

.. Firm:

l ,

Signature:

Name of Certifying Official:

l l

Title:

Date of Execution:

[End of Clause]  !

J l 1

l 1

.o l

l l

4 i

i Page 37 of 63 i

)

,....g___._

- .. ._m__. . . . _ _ . . _ . . . . . . _ . . _ . _ . . - _ . _ _ . . _ . . _ . . _ . . . . _ . _ _ _ . _ . _ _ _ . ._ _._ _ . _

-J j RS-RES-97-051 -

Section J l l

5 J

! PART'III - LIST OF DOCUMENTS,' EXHIBITS AND OTHER ATTACHMENTS l i

i- SECTION~J - LIST OF ATTACHMENTS i.

J.1 ATTACHMENTS (MAR 1987)

Attachment Number Title

~

.1

! 01 Billing Instructions

02 NRC Contractor Organizational Conflicts ~ )

! of Interest l 9

{'

03 NRC Handbook 3.8 i

! 04 Standard Form 1411 with' Instructions 4

l i 05 Contractor Spending Plan (CSP) i- Instructions f 06 Payment Information Form SF 3381 - ACH j

[ Payment System i 07 Agreement between the US and Rus'sia on  !

8 Cooperation in Research on Radiation..... l 1

1 -!

! 1 i -

I l i

4 1 t

1

! i 1

I i

I . i 4

l

< -i 4-Page 38 of 63 1

w.. s -- - - . , . _- - _ _ .- - , , , - , ,-,4

f. RS-RES-97-051 Section K PART IV -! REPRESENTATIONS AND INSTRUCTIONS SECTION K - REPRESENTATIONS,- CERTIFICATIONS, AND OTHER STATEMENTS OF OFFERORS 1K .1 52.203-11 CERTIFICATION AND DISCLOSURE REGARDING PAYMENTS TO INFLUENCE CERTAIN FEDERAL TRANSACTIONS (APR 1991)

(a) The definitions and prohibitions. contained in'the clause, at FAR 52,203-12,- Limitation on Payments to Influence Certain  ;

Federal Transactions, included in this solicitation, are l hereby incorporated by reference in paragraph (b) of this l certification.  !

(b) The offeror, by signing its offer, hereby' certifies t'o the

'best of his or her knowledge and belief that on or after-December-23, 1989--

(1) No Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to ,

influence an officer or employee of any agency, a Member l of Congress, an officer or employee of Congress, or an i employee of a Member of Congress on his or her behalf in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension,1 continuation, renewal, amendment or modification of any Federal contract, grant,' loan, or cooperative agreement; (2) If any funds other than Federal appropriated funds (including profit or fee received under a covered Federal ,

transaction) have been paid, or will be paid, to any j person for influencing _or attempting to influence an l officer or employee of-any agency, a Member of Congress, an officer or employee of Congress, or an employee of-a Member of Congress on his or her behalf in connection with this solicitation, the offeror shall complete and submit, with its offer, OMB standard form LLL, Dicclosure of Lobbying Activities, to the contracting Officer; and (3) He or she will include the language of this certification in~all subcontract awards;at any tier and require that all recipients of subcontract awards.in excess of l

$100,000 shall certify and' disclose accordingly.

(c) Submission of this certification and disclosure is a prerequisite for making or entering into this contract imposed by section 1352, title 31, United States Code. Any person who makes an expenditure prohibited under this provision or who Page 39 of 63

RS-RES-97-051 Section K K.1 (Continued) fails to file or amend the discloaure form to be filed or amended by this provision, shall be subject to a civil penalty of not less than $10,000, and not more than $100,000, for each such failure.

[End of Provision]

K.2 52.204-3 TAXPAYER IDENTIFICATION (MAR 1994)

(a) Definitions.

" Common parent," as used in this solicitation provision, means that corporate entity that owns or controls an affiliated group of corporations that files its Federal income tax returns on a consolidated basis, and of which the offeror is a member.

" Corporate status," as used in this solicitation provision, means a designation as to whether the offeror is a corporate 4

entity, an unincorporated entity (e.g., sole proprietorship or partnership), or a corporation providing medical and health care services.

, " Taxpayer Identification Number (TIN)," as used in this solicitation provision, means the number required by the IRS to be used by the offeror in reporting income tax and other returns.

(b) All offerors are required to submit the information required in paragraphs (c) through (e) of this solicitation provision in order to comply with reporting requirements of 26 U.S.C.

6041, 6041A, and 6050M and implementing regulations issued by the Internal Revenue Service (IRS) If the resulting contract is subject to the reporting requirements described in FAR 4.903, the failure or refusal by the offeror to furnish the information may result in a 31 percent reduction of payments otherwise due under the contract.

(c) Taxcaver Identification Number (TIN).

[] TIN:

{ ] TIN has been applied for.

[ ] TIN is not required because:

[ ] Offeror is a nonresident alien, foreign corporation, or foreign partnership that does not have income effectively connected with the conduct of a trade or business in the U.S. and i es not have an office or place of business or a fiscal paying agent in the Page 40 of 63

RS-RES-97-051 Section K K.2 (Continued)

U.S.;

[ ] Offeror is an agency or instrumentality of a foreign government;

[ ] Offeror is an agency or instrumentality of a Federal, state, or local government;

[ ] Other. State basis.

1 (d) Corporate Status. <

[ ] Corporation providing medical and health care services, )

or engaged in the billing and collecting of payments for ,

such services; j i

[ ] Other corporate entity l

[ ] Not a corporate entity: l l

[ ] Sole proprietorship l

[ ] Partnership

[ ] Hospital or extended care facility described in 26 CFR 501(c) (3) that is exempt from taxation under 26 CFR 501(a).

1 (e) Common Parent. I

[ ] offeror is not owned or controlled by a common parent as defined in paragraph (a) of this clause.

[ ] Name and TIN of common parent:

Name TIN

. [End of Provision]

K.3 52.204-5 WOMEN-OWNED BUSINESS (OCT 1995)

(a) Representation. The offeror represents that it [ ] is,

[ ] is not a women-owned business concern.

Page 41 of 63

4 i

RS-RES-97-051 Section K  ;

i K.3 (Continued)  :

I j' (b) pefinition. " Women-owned business concern," as used in

{ this provision, means a concern which is at least 51 percent  ;

owned by'one or more women; or in the case of any publicly owned business, at least 51 percent of the stock of which is *

~ owned by one or more women; and whose management and daily  ;

business operations are controlled by one or more women.

l

[End of Provision]

i K.4- 52.209-5 CERTIFICATION REGARDING DEBARMENT, SUSPENSION, 4 PROPOSED DEBARMENT, AND OTHER RESPONSIBILITY MATTERS )

(MAR 1996) j 1

(a) (1) The Offeror certifies, to the best of its knowledge and '

belief, that--

2 (i) The Offeror and/or any of its Principals--  ;

(.A ) Are ( ) are not ( ) presently debarred, i suspended, proposed for debarment, or declared j ineligible for the award of contracts by any Federal agency; (B) Have ( ) have not ( ), within a three-year

, period preceding this offer, been convicted of ,

! or had a civil judgment rendered against them l

} for: commission of fraud or a criminal offense <

l in connection with obtaining, attempting to  !

obtain, or performing a public (Federal, state, or local) contract or subcontract; violation of Federal or state antitrust statutes relating to

, the submission of offers; or. commission of i'

! embezzlement, theft, forgery, bribery, j falsification or destruction of records, making l

false statements, tax evasion, or receiving

! stolen property; and i (C) Are ( ) are not ( ) presently indicted for, or otherwise criminally or civilly charged by a ,

s governmental entity with, commission of any of  ;

the offenses enumerated in subdivision  ;

~

j ( A) (1) (i) (B) of this provision.

t

] (ii) The Offeror has ( ) has not ( ), within.a

, three-year period preceding this offer, had one or more contracts terminated for default by any I j Federal agency.

4 (2) " Principals," for the purposes of this certification,

, means officers; directors; owners; partners; and, persons l Page 42 of 63 i.

4

T RS-RES-97-051 Section K i ,

K.4 (Continued) .

having primary management or supervisory responsibilities I

within a business entity (e.g., general manager; plant manager; head of a subsidiary, division, or business segment, and oimilar positions).

l ~THIS CERTIFICATION CONCERNS A MATTER WITHIN THE JURISDICTION OF AN AGENCY OF THE UNITED STATES AND THE MAKING OF A FALSE, FICTITIOUS, OR. FRAUDULENT CERTIFICATION MAY RENDER THE MAKER SUBJECT TO PRCSECUTION UNDER SECTION 1001, TITLE 18, UNITED i STATES CODE.

.(b) The Offeror shall provide immediate written notice to the

, Contracting Officer if, at any time prior to contract award, l the Offeror learns that its certification was erroneous when

submitted or has become erroneous by reason of changed circumstances.

l (c) A certification that any of the items in paragraph (a) of this

provision exists will not necessarily result in withholding of

, an award under this solicitation. However, the certification i will be considered in connection with a determination of the j- Offeror's responsibility. Failure of the Offeror to furnish a certification or provide such additional information as

! requested by the Contracting Officer may. render the Offeror nonresponsible.

(d) Nothing contained in the foregoing chall be construed to i require establishment of a system of records in order to

?

render, in good faith, the certification required by paragraph i

(a) of this provisicn. The knowledge and information of an offeror is not required to exceed that which is normally l possessed by a prudent person in the. ordinary course of j business dealings.

(e).The certification in paragraph (a) of this provision is a 1

! material representation of fact upon which reliance was placed

when making award. If it is later determined that the Offeror

. knowingly rendered an erroneous certification, in addition to l other remedies available to the Government, the Contracting l Officer may terninate the contract resulting from this solicitation for default.

(End of Provision!

1 Page 43 of 63

.m._ _ _ . _ . . . - . _ _ . . _ _ _ _ _ _ . _ _ _ _ . _ . _ . _ . _ _ . . . _ _ . _ _ . _ _ _ _ _ . _ _ . _ . _ _ .

i RS-RES-97-051 Section K K.5 52.215-6 -TYPE OF BUSINESS ORGANIZATION (JUL 1987) l The offeror or quoter, by checking the applicable box,  !

represents that-- -

t t

(a) It operates as [] a corporation incorporated under the laws  !

of the State of , [.] an individual, [] a  !

. partnership, [] a nonprofit organization, or [] a joint l venture; or l

\

(b) If the offeror or quoter is a foreign entity, it operates as [ l

] an individual, [] a partnership, [] a nonprofit  !

organization, [] a joint venture, or [] a corporation, l registered for business in (country).

g

[End of Provision]  !

?

K.6 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 t connection with this request for preposals or quotations: [ list ,

names, titles, and telephone numbers of the authorized I negotiators). I t

t t

i i

[End of Provision]

l I K.7 52.215-20 PLACE OF PERFORMANCE (APR 1984) l ,

(a) The offeror or quoter, in the performance of any contract

! resulting from this solicitation, [] intends, [] does not i

intend (check applicable box) to use one or more plants or l l facilities located at a different address from the address of ,

the offeror or quoter as indicated in this proposal or quotation.

(b) If the offeror or quoter checks " intends" in paragraph (a) above, it shall insert in the spaces provided below the i required information:

i

)

i l'

I Page 44 of 63 L

L . .

RS-RES-97-051 Section K K.7 (Continued)

Place'of Performance (Street Name and Address of Owner and Address, City, County, State, Operator of the Plant or Zip Code) Facility if Other than Offeror or Quoter-

[End of Provision]

K.8 52.219-1 SMALL BUSINESS PROGRAM REPRESENTATIONS (JAN 1997)_

(a) (1) The standard industrial classification (SIC) code for this acquisition is 8733.

(2) The small business size standard is no more than S5.0 million average annual receipts for an offeror's preceeding 3 fiscal years.

(3) The small business size standard for a concern which submits an offer in its own name, other than on a construction or service contract, but which proposes to furnish a product which it did not itself manufacture, is 500 employees.

(b) Representations. (1) The offeror represents as part of '

its offer that it [] is, [] is not a small business concern.

'(2) (Complete only if offeror represented itself as a small business concern in block (b) (1) of this section.)

~

The offeror represents as part of its offer that it [] is,

[] is not a small disadvantaged business concern.

(3) (Complete only if offeror represented itself as a small business concern in' block (b) (1) of this section.) The offeror represents as part of its offer that it [ ] is,

[] is not a women-owned small business concern.

(c) Definitions. " Joint venture," for purposes of a small disadvantaged business (SDB) set-aside or price evaluation preference (as prescribed at 13 CFR 124.321), is a concern that is owned and controlled by one or more socially and economically disadvantaged individuals entering into a joint venture agreement with one or more business concerns and is considered to be affiliated for size purposes with such other concern (s) . The combined annual receipts or employees of the concerns entering into the joint venture must meet the applicable-size standard corresponding to the. SIC code designated for the contract. The majority of the venture's Page 45 of 63

l RS-RES-97-051 Section K I l

K.8 (Continued) j i

earnings must accrue directly to the socially and economically I disadvantaged individuals in the SDB concern (s) in the joint I venture. The percentage of the ownership involvement in a l joint venture by disadvantaged individuals must be at least 51 percent.

"Small business concern," as used in this provision, means a j concern, including its affiliates, that is independently owned l 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 in 13 CFR Part 121 and the size standard in paragraph (a) of this provision. I "Small disadvantaged business concern," as used in this i provision, means a small business concern that (1) is at least 1 51 percent unconditionally 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 unconditionally owned by one or more socially and I economically disadvantaged individuals, and (2) has its management and daily business controlled by one or more such individuals. This term also means a small business concern  ;

that is at least 51 percent unconditionally owned by an economically disadvantaged Indian tribe or Native Hawaiian Organization, or a publicly owned business having at least 51 percent of its stock unconditionally owned by one or more of these entities, which has its management and daily business controlled by members of an economically disadvantaged Indian tribe or Native Hawaiian Organization, and which meets the requirements of 13 CFR part 124.

" Women-owned small business concern", as used in this provision, means a small business concern--

(1) Which is at least 51 percent owned by one or more women or, in the case of any publicly owned business, at least 51 percent of the stock of which is owned by one or more women; and (2) Whose management and daily business operations are controlled by one or more women.

(d) Notice. (1) If this solicitation is for supplies and has

been set aside, in whole or in part, for small business concerns, then the clause in this solicitation providing notice of the set-aside contains restrictions on the source of the end items to be furnished.

(2) Under 15 U.S.C. 645(d), any person who misrepresents a firm's status as a small or small disadvantaged business concern in order to obtain a contract to be awarded under Page 46 of 63

. . - - . .- - - - = - - - -.-.- -. - _ .-. .- _ ~ ~ -

V RS-RES-97-051 Section K  ;

i. .

j k K.8 (Continued)  !

h the preference programs established pursuant to sections i i 8 (a) , 8(d), 9, or 15 of.the Small Business Act or any '

other provision of Federal law that specifically  !

j_ references section 8 (d) for a definition of program  !

eligibility, shall-- .

l (i) Be punished by imposition of a fine, . imprisonment, {

or both; f i

(ii) Be subject to: administrative remedies, including l suspension and debarment; and  ;

i (iii) Be ineligible for participation in programs conducted under the authority of the Act.

- K.9 52.222-21 CERTIFICATION OF NONSEGREGATED FACILITIES i (APR 1984)  ;

i (a) " Segregated facilities," as used in this provision, means any i waiting 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 i segregated by explicit directive or are in fact segregated on the basis of race, color, religion, or national origin because lof habit, local custom, or otherwise.

l

-1 (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 permit 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.

a (c) The offeror further agrees that (except where it has obtained  !

identical certifications from proposed subcontractors for i 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

-Opportunity clause; (2)' Retain the certifications in the files; and I (3) Forward the following notice to the proposed ,

subcontractors (except if the proposed subcontractors i have submitted identical certifications for specific time Page 47 of 63

RS-RES-97-051 Section K K.9 (Continued) l periods):

)

NOTICE TO PROSPECTIVE SUBCONTRACTORS OF REQUIREMENT FOR CERTIFICATIONS OF NONSEGREGATED FACILITIES l

A Certification of Nonsegregated Facilities must be submitted before the award of a subcontract under which i the subcontractor will be subject to the Equal I Opportunity clause. The certification may be submitted either for each subcontract or for all subcontracts during a period (i.e., quarterly, semiannually, or i

annually).

l NOTE: The penalty for making false statements in offers

is prescribed in 18 U.S.C. 1001.

[End of Provision]

K.10 52.222-22 PREVIOUS CONTRACTS AND COMPLIANCE REPORTS l (APR 1984) )

The offeror represents that--

l (a) It [] has, [ ] has not participated in a previous contract or l l subcontract subject either to the Equal Opportunity clause of  !

this solicitation, the clause originally contained in Section j 310 of Executive Order No. 10925, or 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 subcontracte-s, will be obtained before subcontract awards.  !

[End of Provision]

K.11 52.222-25 AFFIRMATIVE ACTION COMPLIANCE (APR 1984)

The offeror represents that (a) it [ ] has developed and has on l file, [ l has not developed and does not have on file, at each I

establishment, affirmative action programs required by the rules and regulations of the Secretary of Labor (41 CFR 60-1 and 60-2) ,

l or (b) it [ ] has not previously had contracts subject to the j written affirmative action programs requirement of the rules and I

regulations of the Secretary of Labor.

[End of Provision]

Page 48 of 63

~ -. - - - . - - - - - . - - - - - _ - - - -.

i j RS-RES-97-051 Section K I i -

l

]' K.12 52.223-1 CLEAN AIR AND WATER CERTIFICATION (APR 1984) l j -

I j -The Offeror certifies that--

l i

(a) Any facility to be used in the performance of this proposed i

contract is [], is not [] listed on the Environmental

Protection Agency (EPA) List of Violating Facilities; l (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 EPA, indicating that any l

facility that the Offeror proposes to use for the performance  ;

of the contract is under consideration to be listed on the EPA '

List of Violating Facilities; and i (c) The Offeror will include a certification substantially the same as this certification, including this paragraph (c), in ,

every nonexempt subcontract.

i

[End of Provision]  !

2 K.13 52.227-15 REPRESENTATION OF' LIMITED RIGHTS DATA AND RESTRICTED COMPUTER SOFTWARE (JUN 1987)

(a) This solicitation sets forth the work to be performed if a contract award results, and the Government's known delivery requirements for data (as defined in FAR 27.401). Any ,

resulting contract may also provide the Government the option .!

to order additional data under the Additional Data  !

Requirements clause at 52.227-16 of the FAR, if included in i the contract. Any data delivered under the resulting contract will be subject to the Rights in Data--General clause at 52.227-14 that is to be included in this contract. Under the ,

latter clause, a Contractor may withhold from delivery data that qualify as limited rights data or restricted computer software, and deliver form, fit, and function data in lieu  :

thereof. The latter clause also may be used with its l Alternates II and/or III to obtain delivery of limited rights data or restricted computer software, marked with limited  ;

rights or restricted rights notices, as appropriate. In .;

addition, use of Alternate V with this latter clause provides the Government the right to inspect such data at the  ;

Contractor's facility. ,

(b) As an aid in determining the Government's need to include any of the aforementioned Alternates in the clause at 52.227-14,  !

Rights in Data--General, the offeror's response to this  ;

solicitation shall, to the extent feasible, complete the l representation in paragraph (b) of this provision to either r state that none of the data qualify as limited rights data or restricted computer software, or identify which of the data qualifies as limited rights data or restricted computer  ;

software. Any identification of limited rights data or Page 49 of 63 i

I

l l 1 RS-RES-97-051 Section K )

i K.13 (Continued) '

restricted computer software in the offeror's response is not  !

determinative of the status of such data should a contract be i awarded to the offeror. I i

l REPRESENTATION CONCERNING DATA RIGHTS )

i Offeror has reviewed the requirements for the delivery of data or software and states (offeror check appropriate block)-- l

[ ] None of the data proposed for fulfilling such requirements qualifies as limited rights data or restricted computer software. l 1

[] Data proposed for fulfilling such requirements qualify as limited rights data or restricted computer i software and are identified as follows:

l i

l l

l l

NOTE: " Limited rights data" and " Restricted computer software" are defined in the contract clause entitled " Rights In Data-- General."

[End of Provision]

K.14 NRCAR 2052.209-70 QUALIFICATIONS OF CONTRACT EMPLOYEES (JAN 1993)

The offeror hereby certifies by submission of this offer that all representations made regarding its employees, proposed subcontractor personnel, and consultants are accurate.

[End of Provision]

K.15 NRCAR 2052.209-71 CURRENT /FORMER AGENCY EMPLOYEE INVOLVEMENT (JAN 1993)

(a) The following representation is required by the NRC Acquisition Regulation 2009.105-70(b) It is not NRC policy Page 50 of 63

RS-RES-97-051 Section K K.15 (Continued) to encourage offerors and contractors to propose current /former agency employees to perform work under NRC contracts, and as set forth in the above cited provision,.the use of such employees may, under certain conditions, adversely affect NRC's consideration of non-competitive proposals and task orders.

(b) .The offeror hereby certifies that there ( ) are ( ) are no current /former NRC employees (including special Government employees performing services as experts, advisors, consultants, or members of advisory committees) who have been or.will be involved, directly or indirectly,.in developing the offer, or in negotiating on behalf of the offeror, or in managing, administering, or performing any contract, consultant agreement, or subcontract resulting from this offer. For each individual so identified, the Technical and Management proposal must contain, as a separate attachment, the-name of the individual, the individual's title while employed by the NRC, the date individual left NRC, and brief description of the individual's role under this proposal.

[End of Provision)

K.16 NRCAR 2052.209 CONTRACTOR ORGANIZATIONAL CONFLICTS'OF INTEREST (REPRESENTATION) (JAN 1993)

I represent to the best of my knowledge and belief that:

The award to of a contract or the modification of an existing contract

/ / does

/ / does not involve situations or relationships of the type set forth in 48 CFR 2009.570- 3(b).

(a) If the representation, as completed, indicates that situations or relationships of the type set forth in 48 CFR 2009.570-3 (b) are involved, or the contracting officer otherwise determines that potential organizational conflicts of interest exist, the offeror shall provide a statement in writing which describes in a concise manner all relevant factors 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, (2) Disqualify the offeror, or Page 51 of 63

RS-RES-97-051 Section K K.16 (Continued)

(3) Determine that it is otherwise in the best interest of the United States to seek award of the contract under the waiver provisions of 48 CFR 2009-570-9.

(b) The refusal to provide the representation required by 48 CFR 2009. 570-4 (b) , or upon request of the contracting officer, the facts required by 48 CFR 2009.570-3(b), must result in disqualification of the offeror for award.

[End of Provision]

l l

1 l

l I

I 1

e Page 52 of 63

r

.RS-RES-97-051 Section L ;

.- 1

?

SECTION L - INSTRUCTIONS, CONDITIONS, AND ,

NOTICES TO OFFERORS  !

) L.1 52.252-1 SOLICITATION PROVISIONS INCORPORATED

. BY REFERENCE (JUN 1988)

l This solicitation incorporates one or more solicitation provisions by reference,.with the same force and effect as if they

were given.in full text. Upon request, the contracting officer l will make their full text.available.  ;

l i I. ' FEDERAL ACQUISITION REGULATION (18 CFR CHAPTER 1) j l PROVISIONS l NUMBER TITLE DATE l 52.214-34 SUBMISSION OF OFFERS IN THE APR 1991 I

ENGLISH LANGUAGE l 52.214-35 SUBMISSION OF OFFERS IN US APR 1991 i . CURRENCY 4 52.215-5 SOLICITATION DEFINITIONS JUL 1987 1 52.215-7 UNNECESSARILY ELABORATE APR 1984 3

PROPOSALS OR QUOTATIONS 52.215-8 AMENDMENTS TO SOLICITATIONS DEC l'989 52.215-9 SUBMISSION OF OFFERS FEB 1997  ;

i LATE SUBMISSIONS, MODIFICATIONS, 52.215-10 FEB 1997  !

l AND WITHDRAWALS OF PROPOSALS g 52.215-12 RESTRICTION ON DISCLOSURE AND APR 19P4 USE OF DATA 52.215-13 PREPARATION OF OFFERS APR 1984

52.215-14 EXPLANATION TO PROSPECTIVE APR 1984 l OFFERORS l 52.215-15 FAILURE TO SUBMIT OFFER JUL 1995 i 52.215-16 CONTRACT AWARD OCT 1995 i 52.222-24 PREAWARD ON-SITE EQUAL APR 1984 OPPORTUNITY COMPLIANCE REVIEW

[End of Provision)

L.2 52.215-41 REQUIREMENTS FOR COST OR PRICING DATA OR INFORMATION OTHER THAN COST OR PRICING DATA (JAN 1997)

(a) Exceptions from cost or cricino data. (1) In lieu of submitting cost or pricing data, offerors may submit a written request for exception by submitting the information described in the following subparagraphs. The Contracting Officer may require additional supporting information, but only to the extent necessary to determine whether an exception should be granted, and whether the price is fair and reasonable.

(i) Identification of the law or regulation Page 53 of 63

RS-RES-97-051 Section L L.2 (Continued) establishing the price offered. If the price is controlled under law by periodic rulings, reviews, or similar actions of a governmental body, attach a copy of the controlling document, unless it was previously submitted to the contracting office.

'( ii) For a commercial item exception, the offeror shall submit, at a minimum, information on prices at which the same item or similar items have previously been sold that is adequate for evaluating the reasonableness of the price for this acquisition. Such information may include--

(A) For catalog items, a copy of or identification  !

of the catalog and its date, or the appropriate pages for the offered items, or a statement  ;

that the catalog is on file in the buying l office to which the proposal is being  !

submitted. Provide a copy or describe current discount policies and price lists (published or unpublished), e.g., wholesale, original i equipment manufacturer, or reseller. Also  !

explain the basis of each offered price and its I relationship to the established catalog price, i including how the proposed price relates to the !

price of recent sales in quantities similar to I the proposed quantities.

(B) For market-priced items, the source and date or I period of the market quotation or other basis for market price, the base amount, and applicable discounts. In addition, describe the nature of the market.

(C) For items included on an active Federal Supply Service Multiple Award Schedule contract, proof that an exception has been granted for the schedule item.

(2) The offeror grants the Contracting Officer or an authorized representative the right to examine, at any time before award, books, records, documents, or other directly pertinent records to verify any request for an exception under this provision, and the reasonableness of price. Access does not extend to cost or profit information or other data relevant solely to the offeror's determination of the prices to be offered in the catalog or marketplace.

(b) B,gguirements for cost or cricina data. If the offeror is not granted an exception from the requirement to submit cost Page 54 of 63

RS-RES-97-051 Section L L.2 (Continued) d

] or pricing data, the following applies:

(1) The offeror shall submit cost or pricing data on Standard

. Form (SF) 1411, Contract Pricing Proposal Cover Sheet (Cost or Pricing Data Required), with supporting attachments prepared in accordance with Table 15-2 of FAR

15. 8 04 - 6 (b) (2 ) ,

(2) As soon as practicable after agreement on price, but before contract award (except for unpriced actions such 4 as letter contracts), the offeror shall submit a Certificate of Current Cost or Pricing Data, as prescribed in FAR 15.804-4.

L,3 52.216-1 TYPE OF CONTRACT (APR 1984) 3 The Government contemplates award of a Cost-No-Fee contract

. resulting from this solicitation.

l [End of Provision]

L.4 52.233-2 SERVICE OF PROTEST (AUG 1996)

(a) Protests, as defined in Section 33.101 of the Federal Acquisition Regulation, that are filed directly with an agency, and copies of any protests that are filed with the General Accounting Office (GAO), shall be served on the Contracting Officer (addressed as follows) by obtaining written and dated acknowledgment of receipt from:

U.S. Nuclear Regulatory Commission Division of Contracts and Property Management CMB#1, T-7-I-2 Washington, DC 20555 Hand carried address:

U.S. Nuclear Regulatory Commission Division of Contracts and Property Management, Room T-7-I-2 11545 Rockville Pike Rockville, MD 20852 (b) The copy of any protest shall be received in the office designated above within one day of filing a protest with the GAO.

Page 55 of 63

. - . - . .-- - - - . - ..- . - - _ . . _ ~ . . -- -

RS-RES-97-051 Section L l L.5 NRCAR 2052.215-74 TIMELY RECEIPT OF PROPOSALS (JAN 1993) j Because NRC is a secure facility with perimeter access control, offerors shall allow additional time for hand delivery (including express mail and delivery services) of' proposals to ensure that they are timely received in the depository at the address shown in Item 9 on the Standard Form 33.

, [E'nd of Provision]

L.6 NRCAR 2052.215-75 AWARD NOTIFICATION AND COMMITMENT OF PUBLIC FUNDS (JAN 1993)

(a) All offerors will be notified c.f their selection or nonselection as soon as possible. Formal notification of nonselection for unrestricted awards may not be made until a contract has been awarded. Pursuant to requirements of FAR 15.1001 (b) (2 ) , preliminary notification will be provided before the award for small business set-aside procurements on negotiated procurements.

(b) It is also brought to your attention that the contracting officer is the only individual who can legally commit the NRC to the 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 may not issue contract modifications, give informal contractual commitments, or otherwise bind, commit, or obligate the NRC contractually.  !

Informal contractual commitments include:  !

(1) Encouraging a potential contractor to incur costs prior to receiving a contract; (2) Requesting or requiring a contractor to make changes under a contract without formal contract modifications; (3) Encouraging a contractor to incur costs under a cost-reimbursable contract in excess of those costs contractually allowable; and (4) Committing the Government to a course of action with regard to a potential contract, contract change, claim, or dispute.

[End of Provision]

L.7 NRCAR 2052.215-76 DISPOSITION OF PROPOSALS o

Page 56 of 63 4

FS-RES-97-051 Section L .

l L.7 (Continued)  ;

i

• l After award of the contract, one copy of each unsuccessful proposal is retained by the NRC's Division of Contracts and l i'

Property Management in accordance with the General Records '

Schedule 3 (5) (b) Unless return of the additional copies of the  !

proposals is requested by the offeror upon submission of proposal, 4 all other copies will be destroyed. This request should appear in l a cover letter accompanying the proposal. i l

[End of Provision) l a.

L.8 2052.215-77 PROPOSAL PRESENTATICN AND FORMAT (DEC 1995) i (a) Proposals must be typed, printed, or reproduced on letter-size i paper and each copy must be leg 1ble.  !

i (b) Proposals in response to this Request for Proposal must be submitted in the following three (3) separate and distinct parts:

1 I

(1) One (1) orginial signed copies of this solicitation '

package. All applicable sections must be compieted by  ;

4 the offeror.

(2) One (1) original and 3 copies of the Prime Contractor's Cost Proposal.

(3) One (1) original and 3 copies of the Russian Federation subcontract cost proposal.

(4) One (1) original and 3 copies of any other subcontractor cost proposal.

(5) One (1) original and 7 copies of the " Technical and Management Proposal."

(c) Correctness of tne proposal. Caution--offerors are hereby notified that all information provided in its proposals, including all resumes, must be accurate, truthful, and complete to the best of the offeror's knowledge and belief.

The Government will rely upon all representations made by the offeror both in the evaluation process and for the performance of the work by the offeror selected for award. The Government may require the offeror to substantiate the credentials, education, and employment history of its employees.,

subcontractor personnel, and consultants, through submission of copies of transcripts, diplomas, licenses, etc.

(d) Prime and subcontractor cost proposals.

(1) The offeror and subcontractor (s) shall use Standard Form Page 57 of 63 2.

RS-RES-97-051 Section L

L.8 (Continued) 1411, Contract Pricing Proposal Cover Sheet, in submitting their cost proposals. A copy of the form and instructions is attached to this RFP. L'ach contractor (prime or sub) must submir a separate coat proposal.

Each cost proposal must p_cvide a detailed breakdown by cost element i.e. direct laoor including labor categories or individuals and labor rates, other direct cost including material and travel costs, indi. rect costs, if any, such as fringe benefit costs, labor overhead costs, general and administrative expenses and fee, if any.

Direct labor rates shall be substantiated by submission L of payroll stubs or printouts or other evidence of actual l pay. Indirect cost rates shall be substantiated by federal rate agreements or DCAA rate verification. Cost proposals shall explain in detail the basis of estimates for other direct costs. The prime and subcontractor cost proposals must be submitted separately from the Technical and Management Proposal.

. (2) If any of the prcposed costs for the effort described in Section C, the Statement of Work, represent work already being performed by the offeror for another U.S.

Government agency, the offeror shall describe that work and propose to delete that cost from this contract as an offset to the proposed amount or propose an equitable share amount for this contract.

1 (3) When the offeror's estimated cost for the proposed work exceeds $100,000 and the duration of the contract period exceeds six months, the offeror shall submit a contractor Spending Plan (CSP) as part of its cost proposal.

Guidance for completing the CSP is attached.

(3) The of feror's cost proposal shall include a description and est .aated acquisition / fabrication cost of property required for performance that has a proposed 4 acquisition / fabrication cost of $500 or more.

(4) If government furnished property will be provided under performance of the resulting contract or if contractor acquired property is proposed for performance of this effort, the proposal shall provide the following information about the offeror's inventory system:

(a) whether another U.S. Government agency has approve .i the inventory system (b) the date of such approval (c) a contact point with telephone number and address for the approving agency page 58 of 63

RS-RES-97-051 Section L L.8 (Continued)

If the inventory system has not been approved by 1

another government agency, the offercr shall provide a description of their inventory system for review and approval by the Nuclear Regulatory Commission.

(e) Technical and Management proposal.

(1) The Technical and Management Proposal may not contain any reference to cost. Resource information, such as data concerning labor hours and categories, materials, subcontracts, travel, computer time, etc., must be included in the Technical and Management Proposal so that the offeror's understanding of the scope of work may be evaluated.

(2) The offeror shall submit with the Technical and Management 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 objectives of this procurement.

(3) Statements which paraphrase the statement of work without communicating the specific approach proposed by the offeror or statements to the effect that the offeror's understanding can or will comply with the statement of work may be construed as an indication of the offeror's lack of understanding of the statement of work and objectives. I (4) The Technical and Management Proposal must be set forth as a minimum the following information:

i (i) Discussion of the statement of work to l substantiate the offeror's understanding of the requirement.

(ii) Discussion of the proposed method of approach to meet the contract objectives.

(iii) Discussion of potential problem areas and the approach to be taken to resolve these areas.

(iv) Statements of any interpretations, requirements, or assumptions made by the offeror.

(v) Discussion of support personnel and facilities available to assist the professional personnel.

(vi) Identify " Key Personnel," and for the person (s)

Page 59 of 63

RS-RES-97-051 Section L L.8 (Continued) so identified, specify the percentage of time that will be committed to other projects over the course of the proposed contract perico of performance.

(vii) Resumes for all professional personnel, including subcontractors and consultants, to be utilized in the performance of any resulting contract. Include educational background, specific pertinent work experience, and a list of any pertinent publications authored by the individual.

(viii) Description of the source of personnel required for performance of each task, including those 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 employed at time of contract award.

(ix) If the offeror plans to obtain consultant services, explain the need for the services.

List the proposed consultants by name, describe the work they will perform under this contract, and include related past experience.

Individuals who are employees of the contractor or of the U.S. Government are prohibited from being paid as a consultant under this contract.  ;

(x) If the offeror plans to subcontract any of the j work to be performed, list proposed j subcontractols. if known, by name. Provide a detailed description of the work to be performed by the subcontractor, and supporting i documentation of technical evaluation leading to !

l the selection.

I (xi) Provide a detailed schedule for work to be I performed and identification of significant l milestones and completion dates for each subpart i or task. 1 (xii) Project scheduling and contingency planning demonstrating a logical progression and integration of the tasks to ensure completion ,

within the performance period and without I program slippage. l l

(xiii) Describe of the management organizational l structure delineating areas of responsibility j l

Page 60 of 63 '

L_ i

RS-RES-97-051 Section L L.8 (Continued) 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.

(xiv) Procedures to periodically review in-house organizational functions, program reviews and controls, and subsequent coordination with the NRC.

4 (xv) Management controls expected to be utilized to .

preclude a contract cost growth.

(xvi) The offeror shall list of any commitments with other organizations, Government and/or commercial, for the same or similar effort.

1 i

(xvii) List of the name, title, and full telephone number for the proposer's technical representative and contract / business representative.

[End of Provision) l L.9 LEVEL OF EFFORT AND TRAVEL ESTIMATES '

For purposes of preparing the prime contractor cost proposal and .

the subcontractor cost proposals, the offeror shall use the  !

following government estimates of the level of effort and travel  !

requirements:

1. The Russian Federation cost proposal may include up to eleven <

team members (senior investigators, junior investigators, dosimetrist, and technicians / data entry clerks) on a part-time l basis to support this contract over its life. I

2. The Russian Federation cost proposal shall include reasonable travel costs for the following '_ rips: (per diem and airfare rates are governed by the Section C of the contract)

Contract Year 1 - 5 travelers from Ozyorsk to Pittsburgh for 10 days.

Contract Year 2 - 5 travelers from Ozyorsk to Albuquerque for 10 days; and 2 travelers from Ozyorsk to Washington, DC for 7 days Contract Year 3 -

8 travelers from Ozyorsk to Pittsburgh for 10 days

3. The offeror and its proposed US subcontractor (s) shall estimate a total level of effort to provide up to six senior investigators Page 61 of 63

RS-RES-97-051 Section L L.9 (Continued)

-and' scientists on a part time basis, not to exceed three full time equivalents per year, to support this contract.

4. The offeror and its proposed US. subcontractor (s) shall include reasonable travel costs in their cost proposals for the follo-wing trips: (per diem and airfare rates are governed by the Section G of the contract)

Domestic travel each contract year - 2 travelers from Albuquerque to Washington, DC for 5 days; 2 travelers from Albuquerque to Pittsburgh for 7 days; 3 travelers from Pittsburgh to Alburquerque

for 7 days; 2 travelers from Pittsburgh to Washington, DC for 5 l

days.

b Foreign travel one trip each 1st and 2nd yr - 5 travelers from US i to Ozyorsk for 7 days; 3rd year - 6 travelers from US to Ozyorsk for 10 days.

'L.10 NRCAR 2052.222-70 NONDISCRIMINATION BECAUSE OF AGE (JAN 1993)

It_.is the policy of the Executive Branch of the Government that:

(a) Contractors and subcontractors _ engaged in the performance of Federal contracts may 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 bona fide occupational qualification, retirement plan, or statutory requirements; and (b) That contractors and subcontractors, or person acting on their behalf, may not specify, in solicitations or advertisements for employees to work on Government contracts, a maximum age limit for employment unless the specified maximum age limit is based upon a bona fide occupational qualification, retirement plan, or statutory requirement.

[End of Provision]

L.11 ACCEPTANCE PERIOD (MAR 1987)

Because of th.e time required by the Government to evaluate proposals ana xnke an award, offerors are instructed to specify on the SF-33 a proposal acceptance period of not less than 60 days.

Page 62 of 63

RS-RES-97-051 Section L L.11 (Continued)

[End of Provision)

]

L.12 ESTIMATED DURATION (JUN 1988)

The duration of the contract is estimated to be 3 years. (See rection F for any option periods)

[End of Provision)

L.13 AUTOMATED CLEARING HOUSE AS DESIGNATED METHOD OF PAYMENT 4

i The Debt Collection Act of 1996 requires that all Federal payments

, except IRS tax refunds be made by Electronic Funds Transfer. It is the policy of the Nuclear Regulatory Commission to pay government vendors by the Automated Clearing House (ACH) electronic funds transfer payment system. Item 15c of the Standard Form 33 may be i disregarded.

[End of Provision) s

)

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Page 63 of 63 l

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(M ARCH 1996) l Page 1 of 3 I

BILilNG INSTRUCTIONS FOR l FIXED PRICE CONTRACTS l l

Genersi: The contractor shall prepare vouchers or invoices as prescribed herein. FAILURE TO SUBMIT VOUCHERSllNVOICES IN ACCORDANCE WITH THESE INSTRUCTIONS WILL RESULT IN l REJECTION OF THE VOUCHER llNVDICES AS IMPROPER. ,

4 [orm: Claims shall be submitted on the payee's letterhead, veucherlinvoices, or on the Government's l Standard Form 1034,"Public Voucher for Purchases and Services Other than Personal," and Standard Form 1035,"Public Voucher for Purchases Other then Personal-Continuation Sheet." These forms i

- are available from the U.S. Government Printing Office,710 North Capitol Street, Washington, DC 20401. j Number of Cooles: An original and three copies shall be submitted. Failure to submit all the required copies will result in rejection of the voucherlinvoice as improper.

f Desianated Agency Billing _Oflice: Voucherslinvoices shall be submitted to the following address:

i '

l U.S. Nuclear Regulatory Commission Division of Contracts T 712 Washington, DC 20555 0001 A copy of any involca which includes a purchase of property valued at the time of purchase at $5000 l

or more, shall odditionally be sent to

1 i Chief, Property Management Branch Division of Facilities and Property Management Mail Stop T 7 D 27 j Washington, DC 20555-0001

+

HAND DELIVERY OF VOUCHERSilNVOICES IS DISCDURAGED AND WILL NOT EXPE'llTE PROCESSING BY THE NRC However, should you choose to deliver voucherslinvoices by hand, including t'*Nery by i any express mail service nr special delivary service which uses a courier or other person to deliver the

, voucherslinvoices in person to the NRC, such woucherslinvoices must be eddressed to the above Desi0nstad Agency Billing Office and will only be accepted at the following location:

U.S. Nuclear Regulatory Commission One White Flint North Mail Room 11555 Rockville Pike Rockville.iAD 20852 i

HAND-CARRIED $UBMISSIONS Wil NOT BE ACCEPTED AT OTHER THAN THE ABOVE ADDRESS i

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(BILLING INSTRUCTIONS FOR FIXED PRICE CONTRACTS - Page 2 of 3 l Nets that the official receipt date for hand delivwed voucherslinvoices will be the date it is received by the official agency billing office in the Division of Contracts.

Aasacy Payment Office: Payment will continue to be made by the office designated in the contract in l Block 12 of the Standard Form 26 or Block 25 of the Standwd Form 33, whichevw is applicable.  !

i freauency: The contractor shall submit a voucher or invoice only after the NRC's final acceptance of services rendered or preducts delivwed in performance of the contract unless othwwise specified in

' l the contract. ]

Preewation and itemiration of the Voucherlinvoice: The vouchwlinvoice shall be prepared in ink or by i

, typewriter (without strike-overs). Corrections er erasures must be initialed. To be considwed a proper voucherlinvoice, all of the following elements must be included: i l

1. Contract number, i

2. Sequential voucherlinvoice numbw.

l 3. Date of woucharlinvoice.

4 Payee's name and address. (Show the name of the contractor and its correct address. In addition, when an assignment of funds has been made by the contractor, or a different payee l l

has been designated, include the name and address of the payee). Indicate the name and  !

i telephone number of the individual responsible for answering questions which the NilC may l

have regarding the voucherlinvoice.

5. Description of articles or services, quantity, unit price, and total amount.

6. For contractor acquired property list each item purchased costing $50,000 or more and having a life expectancy of more than 1 year and provide: (1) an item description (2) manuf acturer,(3) model number,(4) serial number,(5) acquisition cost,(6) date of purchase, and (7) a copy of the purchasing document.

7. Weight and zone of shipment,if shipped by percel post. i

8. Changes for fraight or express shipments. Attach prspaid billif shipped by freight or express.

S. Instructions to consignee to notify the Contracting Officer of receipt et shipment.

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! (BILLING INSTRUCTIONS FOR FlXED PRICE CONTRACTS .Page 3 of 3  ;

l 10. For indefinite Delivery contracts or contracts under which progress papnents are authorized, the final voucherlinvc!cs shall be marked " FINAL VOUCHER" OR " FINAL INV0lCE." i

, Currency: Billings may be expressed in the currency normally used by the contractor in maintaining his accounting records and payments will be mede in that currency. Hawever, the U.S. dollar i equivalent fe. all voucherslinvoices paid under the contract may not exceed the total U.S. dollars j authorized in the contract.

j Supersession: These instrentions supersede any previous billing instructions.

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M L L d C OU t ill H O . 10 a

NUCLEAR REGULATORY COMMISSION ACQUISITION REGULATION 2009.570 NRC organizational conflicts of interest.

62009.570-1 Scope of policy.

, (a) It is the policy of NRC to avoid, eliminate, or neutralize

' contractor organizational conflicts of interest. The NRC achieves this objective by requiring all prospective contractors to submit information i describing relationships, if any, with organizations or persons (including

! those regulated by the NRC) which may give rise to actual or potential i conflicts of interest in the eve'nt of contract award.

(b) Contractor conflict of interest determinatioris cannot be made L automatically or routinely. The application of sound judgment on virtually a case-by-case basis is necessary if the policy is to be applied to satisfy the overall public interest. It is not possible to prescribe in advance a ,

' specific method or set of criteria which would serve to identify an~d; resolve all of the. contractor conflict of interest situations which might arise.

4 However, examples are provided in these regulations to guide application of this policy guidance. The ultimate test is as follows: Hight the contractor, if awarded the contract, be placed in a position where its judgment may be i biased, or where it may have an unfair competitive advantage?

(c) The conflict of interest rule contained in this subpart applies to contractors and offerors only. Individuals' or firms who have other relationships with the NRC (e.g., parties to a licensing proceeding) are not covered by this regulation. This rule does not apply to the acquisition of i consulting services through the personnel appointment process, NRC agreements witn other Government agencies, international organizations, or state, local, or foreign' Governments. Separate procedures for avoiding conflicts of interest will be employed in these agreements, as appropriate.

, 62009.570-2 Definitions.

i

!< As used in 52009.570:

Affiliatti means business concerns which are affiliates of each other when either directly or indirectly one concern or individual controls or has the power to control another, or when a third party controls or has the power to control both.

Contract means any contractual agreement or other arrangement with 'the NRC except as provided in 62009.570-1(c).

C.2.D. tractor means any person, firm, unincorporated association, joint venture, co-sponsor, partnership, corporation, affiliates timreof, or their successors in interest, including their chief executives,. directors, key personnel (identified in the contract), proposed consultants or subcontractors, which are a party to a contract with the NRC.

Evaluation activities. means any effort involving the appraisal of a technology, process, product, or policy.

u

i Offeror or crospective contractor means any person, firm, unincorporated association, joint venture, co-sponsor, partnership, corporation, or their affiliates or successors in interest, ircluding their chief executives, directors, key personnel, proposed consultants, or subcontractors, submitting a bid or proposal, solicited or unsolicited, to the NRC to obtain a contract.

Oraanizational conflicts' of interest means that a relationship exists whereby a contractor or prospective contractor has present or planned interests ~related to the work to be performed under an NRC contract which:

(1) May diminish its capacity to give impartial, technically 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.

Potential conflict of interest means that a factual situation exists that suggests that an actual conflict of interest may arise from award of a proposed contract. The term potential conflict of interest is used to signify those situations that-(1) Merit investigation before contract award to ascertain whether award would give rise to an actual conflict; or (2) Must be reported to the contracting officer for investigation if they arise during contract performance.

Research means any scientific or technical work involving theoretical analysis, exploration, or experimentation.

Subcontractor means any subcontractor of any tier who performs work under a contract with the NRC except subcontracts for supplies and subcontracts in amounts not exceeding the small purchase threshold.

Technical consultina and manaaement support services means internal assistance to a component of the NRC in the formulation or administration of '

its programs, projects, or policies which normally require that the contractor be given access to proprietary information or to informatien that has not been made available to the public. These services typically include assistance in the preparation of program plans, preliminary designs, specifications, or statements of work.

62009.570-3 Criteria for recognizing contractor organizational conflicts of interest.

(a) General.

(1) Two questions will be asked in determining whether actual or potential organizational conflicts of interest exist:

(i) Are there conflicting roles which might bias an

- offeror's or contractor's judgment in relation to its work for the NRC?

l

i' (ii) May the offeror or contractor be given an unfair competitive advantage based on the performance of the contract?

4 (2) NRC's ultimate determination that organizational conflicts of interest exist will be made in light of common sense and good business 3 judgment based upon the relevant facts. While it is difficult to identify and j to prescribe in advance a specific method for avoiding all of the various situations or relationships that might involve potential organizational conflicts of interest, NRC personnel will pay particular attention to proposed contractual requirements that call for the rendering of advice, consultation or evaluation activities, or similar activities that directly lay the groundwork for the NRC's decisions on regulatory activities, future procurements, and research programs. Any work performed at an applicant or licensee site will also be closely scrutinized by the NitC staff.

(b) Situations or relationships. The following situations or relationships may give rise to organizational conflicts of interest:

(1), The offeror or contractor shall disclose information, that

may give rise to organizational conflicts of intmst under tha following circumstances. The information may include the scope of work or' specification for the requirement, being performed, the period of performance, and the name and telephone number for a point of contact at the organization knowledgeable l, about the commercial contract.

(i) Where the offeror or contractor provides advice and recommendations to the NRC in the same technical-area where it is also providing consulting assistance-to any organization regulated by the NRC.

(ii) Where the offeror or contractor provides advice to the

' NRC on the same or similar matter on which it is also providing i assistance to any organization regulated by the NRC. I 1

(iii) Where the offeror or contractor evaluates its own products or services, or has been substantially involved in the development or marketing of the products or services of another  !

entity.

(iv) Where the award of a contract would result in placing 4

the offeror or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC, or would result in an unfair ccmpetitive advantage for the offeror or co :.ractor.

(v) Where the offeror or contractor solicits or performs '

work at an applicant or licensee site while performing work in the same technical area for the NRC at the same site.

(2) The contracting officer may request specific information from an offeror or contractor or may require special contract clauses such as provided in 52009.570-5(b) in the following circumstances:

(i) Where the offeror or contractor prepares specifications that are to be used in competitive procurements of products or services covered by the specifications.

(ii) Where the offeror or contractor prepares plans for specific approaches or methodologies that are to be incorporated into competitive procurements using the approaches or methodologies.

(iii) Where the offeror or contractor is granted access to information not available to the public concerning NRC plans, policies, or programs that could form the basis for a later

procurement action. ,,

(iv) Where the offeror or contractor is granted access to ,

proprietary information of its competitors. l (v) Where the award of a contract might resulh in placing the . offeror or contractor in a conflicting role in which its judpent may be biased in relation to its work for the NRC or might result in an unfair competitive advantage for the offeror or j i

contractor.

(c) Policy aoolication auidance. The following examples are I illustrative only and are not intended to identify and resolve all contractor  !

e organizational conflict of interest situations. l (1) (i) Example. The ABC Corp., in response to a Regvest For l Proposal (RFP), proposes to undertake certain analyses of a reactor component as called for in the RFP. The ABC Corp. is one ,

of several companies considered to be technically well qualified.

In response to the inquiry in the RFP, the ABC Corp. advises that it is currently performing similar analyses for the reactor manufacturer.

(ii) Guidance. An NRC contract for that particular work normally would not be awarded to the ABC Corp. because the company would be placed in a position in which its judgment could be biased in relationship to its work for the NRC. Because there are other well-qualified companies available, there would be no reason for considering a waiver of the policy.

(2) (i) Example. The ABC Corp., in resp ase to an R W ,

proposes to perform certain analyses of a reactor component that is unique to one type of advanced reacter. As is the case with other technically qualified companies responding to the RFP, the ABC Corp. is performing various projects for several different utility clients. None of the ABC Corp. projects have any relationship to the work called for in the RFP. Based on the NRC evaluation, the ABC Corp. is considered to be the best qualified company to perform the work outlined in the RFP.

(ii)

Guidance. An NRC contract normally could be awarded to the ABC Corp. because no conflict of interest exists which

.. -- - - ~. -. - .. -. . - -. , - .

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l could motivate cias with respect to the work. An appropriate

! clause would be included in the contract to preclude the ABC Corp.

from r,ubsequently contract ng for work with the private sector that could create a conflict ouring the performance of the NRC l l

contract. For example, ABC Corp. would be precluded from the  ;

performance of similar work for the company developing the 3

advanced reactor mentioned in the example. l l (3) (i) [xamole. 1he ABC Corp., in response to a competitive RFP,' submits a proposal to assist the NRC in revising NRC's  ;

guidance documents on the respiratory protection requirements of

10 CFR Part 20. ABC Corp. is the only firm determined to be technically acceptsble. ABC Corp. has performed substantial work l for regulated utilities in the past and is expected to continue l

. similar efforts in the future. The work has and will cover the l writing, implementation, and administration of compliance l respiratory protection programs for nuclear power plags. l l

(ii) Guidance. This situation would place the firm in a j

role where its judgment could be biased in relationship to its i work for the NRC. Because the nature of the required work is 1 vitally important in terms of the NRC's responsibilities and no reasonable alternative exists, a waiver of the policy, in accordance with 52009.570-9 may be warranted. Any waiver must be j

fully documented in accordance with the waiver provisions of this i

policy with particular attention to the establishment of

- protective mechanisms to guard against bias.

(4) (i) ,{x a". ol 2 The ABC Corp. submits a proposal for a new l system tn evaluate a specific reactor component's performance for l' the purpose of developing standards that are important to the NRC program. The ABC Corp, has d.'. sed the NRC that it intends to

' sell the new system to industry once its practicability has been demonstrated. Other companies in this business are using older l systems for evaluation of the specific reactor component.

j (ii) Guidan.c.t. A contract could be awarded to the ABC

' Corp. if the contract stipulates that no information produced j under the contract will be used in the contractor's private l

activities unless this information has been reported to the NRC. l l Data on how the reactor component performs, which is reported to l 1

the NRC by contractors, will normally be disseminated by the NRC l 7

to others to preclude an unfair competitive advantage. When the MRC furnishes information about the reactor component to the con- l i

tractor for the performance of contracted work, the information l

may not be used in the contractor's private activities unless the information is generally available to others, rurther, the contract will stipulate that the contractor will inform the NRC contracting officer of all situations in which the information, J developed about the performance of the reactor component under the contract, is proposed to be used.

(5) (i) Examol e . The ABC Corp., in response to a RFP, proposes to assemble a map showing certain seismological features

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of the Appalachian fold belt. In accordance with the l l

representation in the RFP and 62009.570-3(b)(1)(i), ABC Corp. I informs the NRC that it is presently doing seismological studies  !

' for several utilities in.the eastern United States, but none of i the sites are within the geographic area contemplated by the NRC

- study.

i (ii) Guidance. The contracting officer would normally 1 conclude that award of a contract would not place ABC Corp. in a '

r conflicting role where its judgment might be biased. Section 2052.209-73(c) Work for Others, would preclude ABC Corp. from ,

accepting work which could create conflict of interest during l l the term of the NRC contract. . 1 (6) (i) Example. AD Division of ABC Corp., in response to a  !

i RFP, submits a proposal to assist the NRC in the safety and

environmental review of applications for licenses for.the l

construction, operation, and decommissioning of fuel cy~cle l

- facilities. ABC Corp. is divided into two separate and distinct

divisions, AD and BC. The EC Division performs the same or i

similar services for industry. The BC Division is currently pro-viding the same or similar services required under the NRC's contract for an applicant or licensee.

(ii) Guidance. An NRC contract for that particular work would not be awarded to the ABC Corp. The AD Division could be  !

placed in a position to pass judgment on work performed by the BC l

Division, which could bias its work for NRC. Further, the Conflict of Interest provisions apply to ABC Corp. and not to separate or distinct divisions within the company. If.no i

reasonable alternative exists, a waiver of the policy could be ,

sought in accordance with 62009.570-9. l

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! 7(i) EXAMPLE The ABC Corp. completes an analysis for NRC of steam

- generator tube leaks at one of a utility's six sites. Three months later, ABC Corp. is asked by this utility.to perform the  :

same analysis at another of its sites.

l (ii) GUIDANCE 52052.290-73(c)(3) would prohibit the contractor from beginning this work for the utility until one year after completion of the NRC work at the first site.

{

8(i) EXAMP d ABC Corp. is assisting NRC in a major on-site analysis of a utility's redesign of the common areas between its twin reactors. The contract is for two years with an estimated value of $5 million. Near the completion of the NRC work, ABC Corp. requests authority to solicit for a $100K contract with the same utility to transport spent fuel to a disposal site. ABC Corp. is performing no other work for the utility.

(ii) GUIDANCE The Contracting Officer, would allow the

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contractor to proceed with the solicitation because A) it is not i

in the same technical area as the NRC work and B) the potential

for technical bias by the contractor because of financial ties to

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l the utility is slight due to the relative value of the two I contracts.

9(i) EXAMPLE The ABC Corp. is constructing a turbine building and installing new turbines at a reactor site. The contract with the utility is for five years and has a total value of $100 million.

t ABC Corp. has responded to an NRC Request for Proposal requiring i

the contractor to participate in a major team inspection unrelated to the turbine work at the same site. The estimated value of the contract is $75K.

(ii) GUIDANCE An NRC contract would not normally be awarded  !

to ABC Corp. since these factors create the potential for '

financial loyalty to the utility that may bias the technical judgment of the contractor.

] (d) Other considerations. ,

(1)- The fact that the NRC can identify and later avoid, eliminate, or neutralize any potential organizational conflicts arising from

} the performance of a contract is not relevant to a determination of the  !

existence of conflicts prior to the award of a contract.

l (2) It is not relevant that the contractor has the professional reputation of being able to resist temptations which arise from organizational i

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.

62009.570-4 Representaticn.

(a) The following procedures are designed to assist the NR.C contracting officer in determining whether situations or relationships exist i which may constitute organizational conflicts of interest with respect to a i particular offeror or contractor. The procedures apply to small purchases meeting the criteria stated in the following paragraph (b) of this section.

(b) The organizational conflicts of interest representation provision at s2052.209-72 must be included in solicitations and unsolicited proposals, (including those for task orders and modifications for new work) for: l (1) Evaluation services or activities; (2) Technical consulting and management support services; (3) Research; and (4) Other contractual situations where special organizational conflicts of interest provisions are noted in the solicitation and would be included in the resulting contract. This representation requirement also applies to all modifications for additional effort under the contract except those issued under the " Changes" clause. Where, however, a statement of the type required by the organizational conflicts of interest representation provisions has previously been submitted with regard to the contract being modified, only an updating of the statement is required.

(c) The offeror may, because of actual or potential organizational conflicts of interest, propose to ext D de specific kinds of work contained in a RFP unless the RFP specifically prta. bits the 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 essertial or integral part of the required work and its exclusion would be to the detriment of the competitive posture of the other offerors, the NRC shall reject the proposal as unacceptable.

(d) The offeror': failure to execyte the representation required by paragraph (b) of this section with respect to an invitation for bids is considered to be a minor informality. The offeror will be permitted to correct the omission. ,

62009.570-5 Contract clauses.

(a) General contract clause. All contracts and small purchases of the types set forth in E2009.570-4(b) must include clause entitle &,i

" Contractor Organizational Conflicts of Interes set forth in s2052.209-73.

(b) Other soecial contract clauses. If it is determined from the nature of the proposed contract that an organizational conflict of interest exists, the contracting officer may determine that the conflict can be avoided, or, after obtaining a waiver in accordance with f2009.570-9, neutralized through the use of an appropriate special contract clause. If appropriate, the offeror may negotiate the terms and conditions of these clauses, including the extent and time period of any restriction. These clauses include but are not limited to:

(1) Hardware exclusion clauses which prohibit the acceptance of production contracts following a related non-production contract previously performed by the contractor; (2) Software exclusion clauses; (3) Clauses which require the contractor (and certain of its key personnel) to avoid certain organizational conflicts of interest; and (4) Clauses which provide for protection of confidential data l and guard against its unauthorized use.

62009.570-6 Evaluation, findings, and contract award.  :

The contracting officer shall evaluate all relevant facts submitted by an offeror and other relevant information. After evaluating this information l

against the criteria of 52009.570-3, the contracting officer shall make a l finding of whether organizational conflicts of interest exist with respect to a particular offeror. If it has been determined that real or potential conflicts of interest exist, the contracting officer shall:

(a) Disqualify the offeror from award; (b) Avoid or eliminate such conflicts by appropriate measures; or

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(c) Award the contract under the waiver provision of %2009.570-9.

62009.570-7 Conflicts identified after award.

if potential organizational conflicts of interest are identified after award with respect to a particular contractor, and the contracting officer determines that conflicte do exist and that it would not be in the best interest of the Govern ,

to terminate the contract, as provided in the clauses required by 52u09.570-5, the contracting officer shall take every reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with E2009.570-9, neutralize the effects of the identified conflict. ,

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f2009.570-8 Subcontracts.

The contracting officer shall require offerors and contractors to submit l a representation statement from all subcontract 3rs (other than a supply subcontractor) and consultants performing services in excess of $10,000 in ,

I accordance with.f 2009.570-4(b) . The contracting officer shall require the l

contractor to include contract clauses in accordance with 92009.570-5 in consultant agreements or subcontracts involving performance of work under a l prime contract.  ;

t (2009.570-9 Waiver, The contracting officer determines the need to seek a waiver for (a) '

specific contract awards, with the advice and concurrence of the program office director and legal counsel. Upon the recommendation of the Procurement Executive, and after consultation with legal counsel, the Executive Director '

for Operations may waive the policy in specific cases if he determines that it '

is in the best interest of the United States to do o.

(b) Waiver action is strictly limited to those situations in which: ,

(1) The work to be performed under contract is vital to the NRC j

program, (2) The work cannot be satisfactorily performed except by a contractor whose interests give rise to a question of conflict of interest.

(3) Contractual and/or technical review and surveillance methods can be employed by the NRC to neutralize the conflict.

(c) For any waivers, the justification and approval documents must be placed in the NRC Public Document Room, 2120 L Street, NW. (Lower Level), .

-Washington, DC.

62009.570-10 Remedies.

In addition to other remedies permitted by law or contract for a breach j of the r"strictions in this subpart or for any intentional misrepresentation or intent ional nondisclosure of any relevant interest required to be provided for this section, the NRC may debar the contractor from subsequent NRC contracts.

I

nLtdcattieht isu. io NUCLEAR REGULATORY COMMISSION ACQUISITION REGULATION 2009.570 hRC organizational conflicu of interest.

f2009.570-1 Scope of policy.

(a) It is the policy of NRC to avoid, eliminate, or neutralize contractor organizational conflicts of interest. The NRC achieves this objective by requiring all prospective contractors to submit information describing relationships, if any, with organizations or persons (including those regulated by the NRC) which may give rise t actual or potential conflicts of interest in the event of contract award.

(b) Contractor conflict of interest determinatioris cannot be made ,

automatically or routinely. The application of sound judgment on virtually a :

case-by-case basis is necessary if the policy is to be applied to satisfy the .

overall public interest. It is not possible to prescribe in advance a-l specific method or set of criteria which would serve to identify anih resolve  !

all of tha contractor conflict of interest situations which might arise. l However, examples are provided in these regulations to guide application of j this policy guidance. The ultimate test is as follows: Hight the contractor, i if awarded the contract, be placed in a position where its judgment may be j biased, or where it may have an unfair competitive advantage? l (c) The conflict of interest rule contained in this subpart applies to contractors and offerors only. Individuals or firms wno have other relationships with the NRC (e.g., parties to a licensing proceeding) are not covered by this regulation. This rule does not apply to the acquisition of consulting services through the personnel appointment process, NRC agreements l with other Government agencies, international organizations, or state, local, or foreign Governments. Separate procedures for avoiding conflicts of interest will be employed in these agreements, as appropriate.

f2009.570-2 Definitions.

As used in 52009.570:

Affiliates means business concerns which are affiliates of each other when either directly or indirectly one concern or individual controls or has the power to control another, or when a third party controls or has the power to control both.

Contract means any contractual agreement or other arrangement with'the NRC except as provided in 52009.570-1(c).

Contractor means any person, firm, unincorporated association, joint venture, co-sponsor, partnership, corporation, affiliates tnereof, or their successors in interest, including their chief executives, directors, key personnel (identified in the contract), proposed consultants or subcontractors, which are a party to a contract with the NRC.

Evaluation activities means any effort involving the appraisal of a technology, process, product, or policy.

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' Offeror or orosoective contractor means any person, firm, unincorporated

association, joint venture, co-sponsor, partnership, corporation, or their affiliates or successors in interest, ircluding their chief executives, directors, key personnel, proposed consultants, or subcontractors, submitting a bid or proposal, solicited or unsolicited, to the NRC to obtain a contract.

Oroanizational conflicts of interest means that a relationship exists ,

whereby a contractor or prospective contractor has present or planned l interests related to the work to be performed under an NRC contract which:

(1) May diminish its capacity to give impartial, technically sound, i objective assistance and advice, or may otherwise result in a biased work l 1 product; or , l

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1 (2) May result in its being given an unfair competitive advantage.

1

[ potential conflict of interest means that a factual situation exists

! that suggests that an actual conflict of interest may arise from award of a propose,d_ contract. The term potential conflict of interest is used to signify ,

Those situations that-4 (1) Merit investigation before contract award to ascertain whether award would give rise to an actual conflict; or j (2) Must be reported to the contracting officer for investigation if ,

they arise during contract performance. l

Research means any scientific or technical work involving theoretical l analysis, exploration, or experimentation.

' Subcontractor means any subcontractor of any tier who performs work i under a contract with the NRC except subcontracts for supplies and subcontracts in amounts not exceeding the small purchase threshold. l 1

Technical consultina and manaaement support services means internal assistance to a component of the NRC in the formulation or administration of its programs, projects, or policies which normally require that the contractor be given access to proprietary information or to information that has not been made available to the public. These services typically include assistance in i the preparation of program' plans, preliminary designs, specifications, or statements of work.

! 62009.570-3 Criteria for recognizing contractor organizational conflicts of l interest.

1 (a) General.

(1) Two questions will be asked in determining whether actual or potential organizational conflicts of interest exist:

(i) Are there conflicting roles which might bias an

- offeror's or contractor's judgment in relation to its work for the NRC?

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(ii) Hay the offeror or contractor be given an unfair competitive advantage based on the perf:rmance.of the contract? l (2)' NRC's ultimate determination that organizational conflicts of interest exist will be made in light of common sense and good business  ;

judgment based upon the relevant facts. While it'is difficult to identify and  !

to prescribe in advance a specific method for avoiding all of the various i situations or relationships.that might involve potential urganizational i conflicts of interest, NRC personnel will pay particular attention to proposed l contractual requirements that call for the rendering of advice, consultation or evaluation activities, or similar activities that directly lay the I l- groundwork for the NRC's decisions on regulatory activities, ~ future procurements, and research programs. Any work performed at an applicant or licensee site will also be closely scrutinized by the Nhc staff. l V l l (b) Situations p_r relationships. The following situations or l

relationships rnay give rise to organizational conflicts of interest:

l r (1), The offeror or contractor shall disclose information, that may give rise to organizational conflicts of interest Cer the following  ;

i- circumstances. The information may include the scop .,t work or specification 1 l for the requirement, being performed, the period of erformance, and the name j and telephone number ~for a point of contact at the organization knowledgeable. l about the commercial contract.

(i) Where.the offeror or contractor provides advice.and j recommendations to the NRC ir the same technical area where it is 1 also providing consulting assistance to any organization. regulated j by the NRC.  ;

I (ii) 'there the offeror or contractor provides advice to the j NRC on the same or similar matter on which it is also providing  ;

assistance to any organization regulated by the NRC.

(iii) Where the offeror or contractor evaluates.its own products or services, or has been substantially involved in the development or marketing of the products or services of another entity.

(iv)- Where the award of a contract would result in placing the offeror or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC, or would result in an unfair competitive advantage for the offeror or-contractor.

(v) Where the offeror or contractor solicits or performs- ~

work at an applicant or licensee site while perferning work in the same technical area for the NRC at the same site. 1 (2) The contracting officer may request specific information

! from an offeror or contractor or may require special contract clauses such as  ;

I provided in 52009.570-5(b) in the following circumstances:  !

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l (i) Where the offeror or contractor prepares i 1 specifications that are to be used in competitive procurements of products or services covered by the specifications.  ;

i (ii) Where the offeror or contractor prepares plans for l l

specific approaches or methodologies that are to be incorporated 4

into competitive procurements using the approaches or

• methodologies. l (iii) Where the offeror or contractor is. granted access to ,

4 information not available to the public concerning NRC plans, j

4 policies, or programs that could form the basis for a later j i procurement action. ,

! (iv) Where the offerer or contractor is granted access to proprietary information of its competitors.

(v) Where the award of a contract might resultiin placing l the. offeror or contracter in a cor.fliu.ing role in which its judgment may be biased in relation tu ;ts wort fer the NRC or might result in an unfair competitive advantage for the offeror or contractor.

Policy apolication cuidance. The following' examples are (c)

< illustrative only and are not intended to identify and resolve all contractor organizational conflict of interest situations.

(1) (i) Examp_l

f. The ABC Corp., in response to a Request For Proposal (RFP), proposes to undertake certain analyses of a reactor component as called for in the RFP. The ABC Corp. is one of several companies considered to be technically well qualified.

In response to the inquiry in the RFP, the ABC Corp. advises that it is currently performing similar analyses for the reactor manufacturer.

(ii)

Guidance. An NRC contract for that particular work normally would not be awarded to the ABC Corp. because the company would be placed in 'a position in which its judgment could be biased in relationship to its work for the NRC. Be'cause there are other well2 qualified companies available, there would be no reason for considering a waiver of the policy.

(i) Example. The ABC Corp., in response to an RFP, (2) proposes to perform certain analyses of a reactor component that is unique to one type of advanced reacter. As is the case with other technically qualified companies responding to the RFP, the ABC Corp. is performing various projects for several different utility clients. None of the ABC Corp. projects have any relationship to the work called for in the RFP. Based on the NRC evaluation, the ABC Corp. is considered to be the best qualified company to perform the work outlined in the RFP.

(ii) 9_uidance. An NRC contract normally could be awarded to the ABC Corp. because no conflict of interest exists which

could motivate bias with respect in the work. An appropriate  !

clause would be included ir the contract to preclude the ABC Corp.  !

from subsequently contracting for work with the private sector that could create a conflict during the performance of the NRC contract. For example, ABC Corp. would be precluded from the performance of similar work for the company developing the advanced reactor mentioned in the example.

(3) (i) Example. The ABC Corp., in response to a competitive RFP, submits a proposal to assist the NRC in revising NRC's guidance documents on the respiratory protection requirements of 10 CFR Part 20. ABC Corp. is the only firm determined to be technically acceptable. ABC Corp. has performed substantial work for regulated utilities in the past and is expected to continue similar efforts in the future. The work has and will cover the j writing, implementation, and administration of compliance i respiratory protection programs for nuclear power plants. ~

\

Guidance. This situation would place the firm in a l

(ii) role where its judgment could be biased in relationship to its work for the NRC. Because the nature of the required work is vitally important in terms of the NRC's responsibilities and no reasonable alternative exists, a waiver of the policy, in accordance with 62009.570-9 may be warranted. Any waiver must be fully documented in accordance with the waiver provisions of this policy with particular attention to tne establishment of protective mechanisms to guard against bias. l (4) (i) Example. The ABC Corp. submits a proposal for a new l system to evaluate a specific reactor component's performance for the purpose of developing standards that are important to the NRC program. The ABC Corp has advised the NRC that it intends to i sell the i ew 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.

(ii) Guidance. A contract could be awarded to the ABC Corp. if the contract stipulates that no information produced  !

under the contract will be used in the contractor's private i activities unless this information has been reported to the NRC.

Data on how the reactor component performs which is reported to the NRC by contractors, wiii normally ce aisse.ainatJ ', '.t . NRC to others to preclude an unfair competitive advantage. When the NRC furnishes information about the reactor component to the con-tractor for the performance of contracted work, the information may not be used in the contractor's private activities unless the t information is generally available to others. turther, the contract will stipulate that the contractor will inform the NRC contracting officer of all situations in which the information, developed about the performance of the reactor component under the contract, is proposed to be used.

(5) (i) Example . The ABC Corp., in response to a RFP, proposes to assemble a map showing certain seismological features

4 could motivate bias with respect to the work. An appropriate clause would be included in the contract to preclude the ABC Corp.

from subsequently contracting for work with the private sector

- that could create a conflict during th.e performance of the NRC

< contract. For example, ABC Corp. would be precluded from the performance of similar work for the company developing the '

advanced reactor mentioned in the example.

(3) (i) Example. The ABC Corp., in response to a competitive RFP, submits a proposal to assist the NRC in revising NRC's guidance documents on the respiratory protection requirements of 10 CFR Part 20. ABC Corp. is the only firm determined to be technically acceptable. ABC Corp. has performed substantial work for regulated utilities in the past and is expected to continue j similar efforts in the future. The work has and will cover the

- writing, implementation, and administration of compliance i respiratoryprotectionprogramsfornuclearpowerplags.

Guidance. This situation would place the firm in a

- (ii) role wnere its judgment could be biased in relationship to its work for the NRC. Because the nature of the required work is vitally important in terms of the NRC's responsibilities and no 4

reasonable alternative exists, a waiver of the policy, in Any waiver must be accordance with E2009.570-9 may be warranted.

fully documented in accordance with the waiver provisions of this l

policy with particular attention to the establishment of protective mechanisms to guard against bias.

(4) (i) Example. The ABC Corp. submits a proposal for a new system to evaluate a specific reactor component's performance for the purpose of developing standards that are important to the NRC

program. The ABC Corp. has advised the NRC that it intends to

' sell the new system to industry once its practicability has been

- demonstrated. Other companies in this business are using older systems for evaluation of the specific reactor component.

! (ii) Guidance. A contract could be awarded to the ABC Corp. if the contract stipulates that no information produced under the contract will be used in the contractor's private activities unless this information has been reported to the NRC.

Data on how the reactor component performs. which is reported to the NRC by contractors, wiin normally be aisseeinatJ '.., it . HP.C to others to preclude an unfair competitive advantage. When the NRC furnishes information about the reactor component to the con-tractor for the performance of contracted work, the information j

m v m t be used in the contractor's private activities unless the i' ation is generally available to others, rurther, the

' contract will stipulate that the contractor will inform the NRC contracting officer of all situations in which the information, developed about the performance of the reactor component under the contract, is proposed to be used.

2 (5) (i) Exampl e. The ABC Corp., in response to a RFP, proposes to assemble a map showing certain seismological features

}

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l of the Appalachian fold belt. In accordance with the .

representation in the RFP and 62009.570-3(b)(1)(i), ABC Corp.

l informs the NRC that it is presently doing seismological stud" j for several utilities in the eastern United States, but none ut 4

the sites are within the geographic area contemplated by the NRt i study.

d (ii) Guidance. The contracting officer would normally

conclude that award of a contract would not place ABC Corp. in a 4

conflicting role where its judgment might be biased. Section >

2052.209-73(c) Work for Others, would preclude ABC Corp. from accepting work which could create a conflict of interest during

> the term of the NRC contract. .

2 (6) (i) Example. AD Division of ABC Corp., in response to a RFP, submits a proposal to assist the NRC in the safety and environmental review of applications for licenses for.1he

construction, operation, and decommissioning of fuel cycle facilities. ABC Corp. is divided into two separate and distinct i divisions, AD and BC. The BC Division performs the same or similar services for industry. The BC Division is currently pro-viding the same or similar services required under the NRC's contract for an applicant or licensee.

(ii) Guidance. An NRC contract for that particular work would not be awarded to the ABC Corp. The AD Division could be placed in a position to pass judgment on work performed by the BC i Division, which could bias its work for NRC. Further, the 1 Conflict of Interest provisions apply to ABC Corp. and not to separate or distinct divisions within the company. If.no )

reasonable alternative exists, a waiver of the policy could be l sought in accordance with 62009.570-9. ]

j 7(i) EXAMPLE The ABC Corp. completes an analysis for NRC of steam generator tube leaks at one of a utility's six sites. Three months later, ABC Corp. is asked by this utility to perform the same analysis at. another of its sites. ,

(ii) GUIDANCE 52052.290-73(c)(3) would prohibit the  ;

contractor from beginning this work for the utility until one year after como.letion of the NRC work at the first site. l l

8(i) EXAMPLE ABC Corp. is assisting NRC in a major on-site l analysis of a utility's redesign of the common areas between its twin reactors. The contract is for two years with an estimated value of $5 million. Near the completion of the NRC work, ABC Corp. requests authority to solicit for a $100K contract with the same utility to transport spent fuel to a disposal site. ABC Corp. is performing no other work for the utility.

(ii) GUIDANCE The Contracting Officer, would allow the contractor to proceed with the solicitation because A) it is not in the same technical area as the NRC work and B) the potential for technical bias by the contractor because of financial ties to

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the utility is slight due to the relative value of the two contracts.

9(i) EXAMPLE The ABC Corp. is constructing a turbine building and installing new turbines at a reactor site. The contract with the utility is for five years and has a total value of $100 million.

ABC Corp. has responded to an NRC Request For Proposal requiring

. the contractor to participate in a major team inspection unrelated l to the turbine work at the same site. The estimated value of the '

contract is $75K.

(ii) GUIDANCE An NRC contract would not normally be awarded to ABC Corp. since these factors create the. potential for financial loyalty to the utility that may bias the technical i judgment of the contractor. '

(d) Oth er considerations. ,

(1)- The fact that the NRC can identify and later avoid, eliminate, cr neutralize any potential organizational conflicts arising from the performance of a contract is not relevant to a determination of the existence of conflicts prior to the award of a contract.

(2) It is not relevant that the contractor has the professional reputation of being able to resist temptations which arise from organizational conflicts of interest, or that a follow-on procurement is not involved, or that a contract is awarded on a competitive or a sole source basis.

62009.570-4 Representation.

(a) The following procedures are designed to assist the NRC contracting officer in determining whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a

particular offeror or contractor. The procedures apply to small purchases meeting the criteria stated in the following paragraph (b) of this section.

(b) The organizational conflicts of interest representation provision at 62052.209-72 must be included in solicitations and unsolicited proposals, (incleding those for task orders and modifications for new work) for:

(1) Evaluation services or activities; (2) Technical consulting and management support services; (3) Research; and (4) Other contractual situations where special organizational conflicts of interest provisions are noted in the solicitation and would be included in the resulting contract. This representation requirement also applies to all modifications for additional erfort under the contract except those issued under the " Changes" clause. Where, however, a statement of the type required by the organizational conflicts of interest representation provisions has previously been submitted with regard to the contract being modified, only an updating of the statement is required.

v I (c) The offeror may, because of actual or potential organizational

conflicts of interest,l propose to exc;ude specific kinds of wo-k contained in a RFP unless the RFP specifically proaibits the 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 l

or integral part of the required work, and its exclusion would be to the detriment of the competitive posture of the other offerors, the NRC shall reject the proposal as unacceptable.

r The offeror's failure to execute the. representation required by

! (d).

j paragraph (b) of.this section with respect to an invitation for bids is

' considered to be a minor informality. The offeror will be permitted to-correct the omission. ,

i i.

(2009.570-5 Contract clauses.

(a) General contract clause. All contracts and small purchases of the types set forth in 62009.570-4(b) must include the clause entitlecT,-

"Contrar., tor Orgaaizational Conflicts of Interest," set forth in s2052.209-73.

If it is determined from the Other special contract clauses.

(b)

I. nature of the proposed contract that an organizational conflict of interest 4 exists, the contracting officer may determine that the conflict can be avoided, or, after obtaining a waiver in accordance with s2009.570-9,

' neutralized through the use of an appropriate special contract clause. If appropriate, the offeror may negotiate the terms and conditions of these.

clauses, including the extent and time period of any restriction. These j clauses include but are not limited to:

i Hardware exclusion clauses which prohibit the acceptance of j (1) 4 production contracts following a related non-production contract previously performed by the contractor; h Software exclusion clauses; y (2) n Clauses which require the contractor (and certain of its key i (3) i personnel) to avoid certain organizational conflicts of interest; and 4

(4) Clauses which provide for protection of confidential data j

i and guard against its unauthorized use.

f2009.570-6 Evaluation, findings, and contract award.

The contracting officer shall evaluate all relevant facts submitted by an offeror and other relevant information. After evaluating this information against the criteria of 52009.570-3, the contracting officer shall make a finding of whether organizational conflicts of interest exist with respect to l

.a particular offeror. If it has been determined that real or potential conflicts of interest exist, the contracting officer shall:

(a) Disqualify the offeror from award; (b) Avoid or eliminate such conflicts by appropriate measures; or

4 o

l (c) Award the contract under the waiver provision of 62009.570-9.

l 62009.570-7 Conflicts identified altar award.

i If potential organizational conflicts of interest are identified after l award with respect tc a particular contractor, and the contracting officer determines that conflicts do exist and that it would not be in the best interest of the Government to terminate the contract, as provided in the l clauses required by 52009.570-5, the contracting officer shall take every reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with S2009.570-9, neutralize the effects of the identified ,

conflict.

92009.570-8 Subcontracts. l The contracting officer shall require offerors and contractors to submit a representation statement from all subcontractors (other than a supply subcontractor) and consultants performing services in excess of $10,000 in accordance with.52009.570-4(b). The centracting officer shall require the contractor to include contract clauses in accordance with s2009.570-5 in consultant agreements or subcontracts involving pe,rformance of work under a l

prime contract. l 12009.570-9 Waiver. 1 The contracting officer determines the need to seek a waiver for l (a) j specific contract awards, with the advice and concurrence of the program nffice director and legal counsel. Upon the reccmmendation of the Procurement Executive, and after consultation with legal counsel, the Executive Director for Operations may waive the policy in specific cases if he determines that it is in the best interest of the United States to do so.

(b)

Waiver action is strictly limited to those situations in which:

(1) The work to be performed under contract is vital to the NRC program. ,

(2) The work cannot be satisfactorily performed except by a contractor whose interests give rise to a question of conflict of interest.

(3) Contractual and/or technical review and surveillance methods can be employed by the NRC to neutralize the conflict.

(c) For any waivers, the justification and approval documents must be placed in the NRC Pub'lic Document Room, 2120 L Street, NW. (Lower Level),

Washington, DC.

(2009.570-10 Remedies.

t in addition to other remedies permitted by law or contract for a breach of the restrictions in this subpart or for any intentional misrepresentation or intentional nondisclosure of any relevant interest required to be provided for this section, the NRC may debar the contractor from subsequent NRC contracts.

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, Unclassified Contractor and '

, Grantee Publications in the NUREG Series EEi.EN$C ;t!322I:7/7/2?ll32E$dAU$.'if.$TdI$Uj$NfM1EdTlETf7d232iM.fis)27E2',UJ$2ETZ626~$$3;E$%2?f'M8d' s Ejf@$fd3&ffK$

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Volurne 3, Pcrt 1 - Publicati:ns, Mnil, and Infornetion Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series

! Directive 3.8 Contents l

Policy.................................................................

l 1 Obj ect i ves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Organizational Responsibilities and Delegations of Authority. . . . . . . . . . . . 2 Executive Director for Operations (EDO) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Deputy Executive Director for Nuclear Reactor Regulation, Regional Operations and Research (DEDR) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Deputy Executive Director for Nuclear Materials Safety, Safeguards, and Operations Support (DEDS) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 O ffice Di re ct ors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Director, Office of Administration (ADM) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4  !

Director, Division of Freedom ofInformation and Publications  !

Services, (DFIPS), ADM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 j Director, Division of Contracts (DC), ADM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 l l

App li cabili ty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Emp l oye e s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 O ther Publications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 H a n d b oo k . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Re fe re n ces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 l 1

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Approved: June 17,1991 ...

(Revised: July 9,1995) *

, f y , 9 ,E%,

U. S. Nuclear Regulatory Commission Volume: 3 Information Management

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jf Pan: 1 Publications, Mail, and Information

• • • • + Disclosure ADM Unclassified Contractor and Grantee Publications in the NUREG Series Directive 3.8 Policy (3.8-01)

U.S. Nuclear Regulatory Commission policy requires that the following publications published by NRC adhere to the documentation and production requirements, standards, and practices specified in this directive and handbook: (1) unclassified NRC contractor, consultant, or grantee formal reports, books, and international agreement reports in the NUREG/CR (contractor reports), NUREG/GR (grant reports), and NUREG/IA (intemational agreement reports) series: (2) reports and books by contractors of the U.S. Department of Energy (DOE); and (3) publications prepared for NRC under memoranda of understanding and interagency agreements.

Objectives (3.8-02)

. To ensure the production and dissemination of information and publications as required by the Energy Reorganization Act of 1974 and the Freedom of Information Act. (a)

. To ensure technical staff and management reviews of formal reports and books before publication. (b)

. To ensure that national security, patent rights, copyTights, proprietary rights, and rights in other sensitive unclassified information, including those speci5ed in interagency and international agreements and memoranda of understanding. are not compromised by the release or publication of information by hTC. (c)

Approved: June 17,1991 (Revised: July 9,1995) 1

Volums 3, Part 1 - Publicati:ns, Mail, and Information Disclosure Uncl ssifi:d Contractor and Grantee Publications in the NUREG Series '

Directive 3.8 Objectives (3.8-02) (continued)

. To ensure that all unclassified NRC contractor or grantee publications in the NUREG series carry the registered Government identification NUREG/CR-0000, NUREG/

GR-0000, or NUREG/IA-0000, with the exception of some publications prepared by grantees, and indicate the availability of

, source material used in these publications. (d) ,

. To ensure that NRC-sponsored book manuscripts receive proper peer review from experts within and outside NRC. (e)

. . To provide uniform procedures for publishing formal reports and f books prepared by NRC contractors or grantees. (f)

~

Organizational Responsibilities and Delegations of Authority (3.8-03)

J Executive Director for Operations (EDO)  !

(031)  ;

Delegates to the Deputy Executive Directors for Operation decisionmaking authority for the resolution of differences between NRC and contractors about the contents of publications, about granting contractors permission to publish NRC-sponsored )

information in the open literature, and about permitting contractors to issue press or other media releases concerning NRC-sponsored information.

Deputy Executive Director for Nuclear Reactor Regulation, Regional Operations and Research (DEDR)

(032) .

As delegated from the EDO, makes final decisions in the following areas for the Office of Nuclear Reactor Regulation, the Office of i Nuclear Regulatory Research, and regional offices:

. When an office director refuses to publish an NRC-sponsored  ;

document because of irreconcilable differences between himself or herself and the author about the contents of the document. (a) 1 1

Approved: June 17,1991 2 , (Revised: July 9,1995)

Vclume 3, Part 1 - Publications, Mail, and Information Disclosure

. Unclassified Contractor and Grantee Publications in the NUREG Series Directive 3.8 Deputy Executive Director for Nuclear Reactor Regulation, Regional Operations and Research (DEDR)

(032)(continued)

A . When an office director refuses to permit a contractor's principal investigator to publish NRC-sponsored information in the open literature. (b) e When an office director refuses to permit a contractor to issue a press or other media release about an NRC-sponsored publication. (c)

Deputy Executive Director for Nuclear Materials Safety, Safeguards, and Operations Support (DEDS)

(033)

As delegated from the EDO, makes final decisions in the following areas for the offices reporting to the DEDS:

. When an office director refuses to publish an NRC-sponsored document because of irreconcilable differences between himself or herself and the author about the contents of the document. (a)

= When an office director refuses to permit a contractor's principal investigator to publish NRC-sponsored information in the open i

literature. (b) e When an office director refuses to permit a contractor to issue a press or other media release about an NRC-sponsored publication. (c)

Office Directors

, (034)

( e Ensure that publications will be reviewed in draft for acceptability l before final prin_ing and distribution by determining that they are consistent with agency policy, management decisions, and that they faise no signi5 cant legal issues. (a)

. Ensure that statements of work on contracts

• include a

) requirement that contractors comply with this directive and I handbook and with Government Printing and Binding l Regulations. (b) l " Contract"in this context encompasses the " standard Order for DOE Woi k"(NRC rorm 173). interagency and international agrecroents, l

and grants.

I

( Approved: June 17,1991 (Revised: July 9,1995) 3 l

Volume 3, Part l'- Publications, Mail, and Information Disclosure -

Unclassifitd Contractor and Grantee Publications in the NUREG Series ~ '

Directiye 3.8 l l

b Office Directors '

(034)(continued) l I i e Sign, or delegate signature authority for, the NRC Form 426A, f

" Release to Publish Unclassi6ed NRC Contractor, Consultant, or -

Conference Proceedings Reports" (Exhibit 1 of Handbook 3.8), l and for memoranda . requesting reprints of contractor ,

i publications. (c)  ;

Director Office of Administration (ADM)  !

(035)  !

1 As delegated from the DEDS, administers NRC's programs and policies for publishing unclassified contractor and grantee reports and

!- books in the NUREG series.

[ Director, Division of Freedom of i Information and Publications

Services,(DFIPS), ADM i

(036) i i

{ e Develops and administers, as delegated from the Director, ADM, 1

NRC's program and policies for publishing unclassifed contractor, consultant, and grantee formal reports, books, and

! international agreement - reports in the NUREG/CR,

[ NUREG/GR, and NUREG/IA series. (a)

! . Applies the policy, procedures, standards, and guides for the l documentation, formatting, composition, printing, and i dissemination of NRC-sponsored publications in the NUREG

!- series consistent with the mission of the agency and in accordance

! with the requirements of the Government Printing and Binding j Regulations issued by the Joint Committee on Printing, U.S.

i Congress. (b) i . Develops and administers the central agency publication i

' numbering system for identifying, producing, and retrieving unclassified NRC-sponsored publications in the NUREG series. (c) l Director, Division of Contracts (DC), ADM

+

. (037) 4 t Ensures that those requests for proposals, invitations for bids, and grant proposals, and the ensuing contracts and grants that require i

i l- Approved: June 17,1991-

'~

4 (Revised: July 9,1995) 1' -- ,. -,-- - -. . . . .-

Volume 3, Part 1 - Publications, Mail, and Information Disclosure

- Unclassified Contractor and Grantee Publications in the NUREG Series Directive 3.8 Director, Division of Contracts (DC), ADM )

(037)(continued) l 1

publications as deliverables include provisions requiring that contractors comply with this directive and handbook and with ,

Government Printing and Binding Regulations. ]

Applicability i (3.8-04) ,

Ernployees (041)

All NRC employees shall follow the policy and guidance specified in this directive and handbook.

Other Publications (042)

The provisions of this directive and handbook do not apply to NRC staff publications in the NUREG series, NRC docket material, or documents created by NRC boards, panels, advisory committees, or ,

officas that report to the Commission.

Handbook (3.8-05)

Handbook 3.8 gives detailed guidelines for preparing unclassified contractor and grantee publications in the NUREG series.

References (3.8-06)

A Manual ofStyle, University of Chicago Press.

Atoiaic Energy Act of 1954, as amended (42 U.S.C. 2011 et seq.). -

" Copyrights," Title 17, United States Code.

" Cost Principles for State and I.acal Governments," OMB Cucular A-87, Office of Management and Budget, January 1981.

Energy Reorganization Act of 1974, as amended (42 U.S.C. 5801 et seq.).

Approved: June 17,1991

, (Revised: July 9,1995) 5 u

1 Volume 3, Part 1 - Publications, Mail, and Information Disclosure l

Unclassified Contractor and Grantee Publications in the NUREG Series -

Directive 3.8 -

l

• l l

i References I (3.8-06) (continued)

" Federal Grant and Cooperative Agreement Act," Pub. L 95-224, February 3,1978.

" Federal Regulation Requirements," Executive Order 12291, February 17,1981 (5 U.S.C. 5601 Note).

Freedom of Information Act (5 U.S.C. 552).

Government Printing and Binding Regulations, Pub. L 101-9, February 1990.

" Grants and Agreements With Institutions of Higher Education, Hospitals. .and Other Nonprofit Organizations." OMB Circular A-110, Office of hianagement and Budget, July 1976.

hiemorandum of Understanding Between the Department of Energy and the U.S. Nuclear Regulatory Commission, February 24,1978.

hiemorandum of Agreement Between the Institute of Nuclear Power Operations and the U.S. Nuclear Regulatory Commission, dated September 17,1993.

NRC hianagement Directive 3.9, "NRC Staff and Contractor Speeches, Papers, and Journal Articles on Regulatory and Technical Subjects."

3.11, " Conferences and Conference Proceedings."

12.2, "NRC Classified Information Security Program."

12.6 "NRC Sensitive Unclassified Information Security Program."

NUREG-0650, Revision 1, " Publishing Documents in the NUREG Series," November 1990.

NUREG/BR-0075, Revision 2, "NRC Field Policy hianual," Field r Policy hianual No. 9, dated hiarch22,1993.

"Public Printing and Documents," Title 44, Chapter 3, Govemment Printing Office, United States Code.

U.S. Govemment Printing Office Style Mamial,1984.

Approved: June 17,1991 6 (Revised: July 9,1995)

b 4

l- Unclassified Contractor and l Grantee Publications in the NUREG Series

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Vdume 3J Part 1 - Publicaticns, Mril, cnd Information Disclosure

.. Unclassiffid Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Parts I - VI Contents Part I In t rod u ct i on . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Part II Preparing Publication Requirements for Statements of Work for Co n tra ct s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Specifying Publication Requirements (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Publishing Formal Reports (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 ,

Publishing Unclassified Information in the Open Literature and Presenting Pap e rs (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Reports Containing Sensitive Unclassified and Classified Information (D) . . . . . . 6 Conference and Workshop Proceedings (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 i Distribution of Reports to Contractors (F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Coordinating Contractor Press or Other Media Releases ofInformation (G) . . . . 7 Part III-Draft and Final NUREG Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Identification Information (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 NUREG Numb er (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Au thors' Nam es (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Organizational Identification (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 '

Previous Reports in Series (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Repon Date s (5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9  :

Report Organization and Components (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9  :

I' Pre-Publication Reviews (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Pa tent Review (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Security Review (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Copyright Review (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 <

Color Printing (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Mi cro fi ch e (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 Discl aim ers (F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Approved: June 17,1991 (Revised: July 9,1995) iii

Volum 3, Part 1 - Publicati:ns, Mail, cod Information Disclosure Uncl:ssified Centract:r and Grantee Publications in the NUREG Series .,

Handbook 3.8 Pcrts I - VI Contents (continued)

Part III (continued)

Availability Information (G) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Reference Material (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Rep orts (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Fo rms (H) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Bibliographic Data Sheet (NRC Form 335) (1) . . . . . . . . . . . . . . . . . . . . . . . . . 14 Release To Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A) (2) . . . . . . . . . . . . . . 14 Printing and Reprinting (I) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 Distrib u ti on (J) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 Part IV International Agreement Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Background and Rationale (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Identification 1nformation (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Cover and Title Page (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 NRC Report Num ber (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Previous Reports in Series (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 Report Organization and Components (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 Availability Information (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 References and Bibliographies (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 Rep orts (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 Discl a im e r (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 Fo rm s (F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 Bibliographic Data, Sheet (NRC Form 335) (1) . . . . . . . . . . . . . . . . . . . . . . . . . 19 Release to Publish Unclassified NRC Contractor, Consultant or Conference Proceedings Reports (NRC Form 426A) (2) . . . . . . . . . . . . . . 19 Classified or Sensitive Unclassified Information (G) . . . . . . . . . . . . . . . . . . . . . . . . . 19 Approved: June 17,1991 iv (Revised: July 9,1995)

I Wluma 3, Part 1 - Publications, Mnil, and Informrtion Disclosura Unclissified Centractor and Grantee Publications in the NUREG Series Handbook 3.8 Parts I - VI Contents (continued)

Part V Books................................................................. 20 G e n e ral ( A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 D e 5 ni ti o n ( B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 Fo rm a t (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 NRC Document Number (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 Availability of Reference Materials (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 Revi ews (F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 Pe e r ( 1 ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 Copyrigh t (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 S e cu ri ty (3 ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Pa t e n t (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Publishing Authorization Form (G) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Dis cl aim e rs (H) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Printing (I) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 Distribution and Sales (J) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 Part VI G ra n t P ublication s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Background and Rationale (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Publication of Results (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Publication by NRC (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Publication by a Grantee (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Publication by a Grantee in the Open Literature (3) . . . . . . . . . . . . . . . . . . . . 25 Reprints of Open Literature Publications (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 Identi5 cation Information (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 Pre-Publication Reviews (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 G l o s s a ry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28 Approved: June 17,1991 (Revised: July 9,1995) v

1 Vcluma 3, Pcrt 1 - Publications, Mcil, and Information Disclosurs Unclassified Centrccter cnd Grantee Publications in the NUREG Series Hendbook 3,8 Parts I - VI ..

t i

Contents (continued)

Exhibits

1. NRC Form 426A, " Release to Publish Unclassified NRC Contractor,  ;

Consultant, or Conference Proceedings Reports" . . . . . . . . . . . . . . . . . . . . . . . . 32  !

2. NRC Form 335, " Bibliographic Data Sheet" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 j

3. Microfiche Sheet Sample . . , . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 I

l i

1 l

1 1

l I

i l

l Approved: June 17,1991 vi (Revised: July 9,1995)

l l ' .. Volume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part I a

l t

Part I ,

l i

. Introduction.

j This handbook specifies the procedures that the Nuclear Regulatory

! Commission (NRC) contractois and grantees need to follow when preparing the following publications for the NRC: (A) l l e Final NUREG reports (1)  ;

l. . International agreement reports (2) l

• Books (3) i

e Grant publications (4)

The handbook is divided into six major parts and includes a glossary ,

and exhibits. PartII provides general information for staff .

consideration in preparing statements of work. Parts III,IV, V, and VI provide publishing guidelines specific to, respectively, contractor reports, international agreement reports, books, and grantee ,

publications. (B)

Contmetor means a private contractor, consultant, expert, another  :

State or Federal agency working under an interagency agreement, or a .

Deparanent of Energy (DOE) facility or subcontractor, such as a national laboratory, working under the DOE /NRC Memorandum of Understanding of February 24,1978, and any subcontractors of these organizations. (C)

This directive and handbook, as well as a copy of " Publishing Documents in the NUREG Series" (NUREG-0650, Revision 1), must l be included or referenced. in all contracts, interagency and international agreements, and grants for which the publications

! previously listed are contract deliverables or grant obligations. In ,

j addition to the guidelines specific to.each type of publication that l appear in subsequent parts of this handbook, all statements of work must contain the applicable guidelines outlined in Part H. (D) l Approved: June 17,1991 (Revised: July 9,1995) 1 i

Volume 3, Part 1 - Publications, Matig and Information Disclosure ..

Unclassified Contractor and Grantee Publications in the NUREG Series >

. Handbook 3.8 Part II Part II Prep'aring Publication Requirements for  !

Statements of Work for Contracts l i

Specifying Publication Requirements (A)  ;

List and describe the type of technical repons required from each i project, task, or subtask, as applicable. State when, how many, and to i whom the reports should be submitted and the scope ofinformation they should contain. These reports may be unclassified. sensitive unclassified, or classified. For guidelines and requirements covering sensitive unclassified and classified publications, refer to Management Directive (MD) 12.2, "NRC Classified Information Security Progrrun," and MD 12.6, "NRC Sensitive Unclassified Information Secarity Program."(1)

This directive and handbook pertain to publications that will be issued in the NUREG/CR, NUREG/IA, and NUREG/GR series. (2)

Publishing Formal Reports (B)

NUREG series reports will be printed and distributed by hmC from

, camera-ready copy submitted by the contractor to the Publications Branch, Mailstop T-6 E7, U.S. Nuclear Regulatory Commission, '

Washington, DC 20555-0001. The camera-ready copy is to be prepared in accordance with the provisions of this handbook.

Recommended guidelines for the organization and format of formal repons are speci5ed in " Publishing Documents in the NUREG Series" (NUREG -0650, Revision 1). (1)

When the report contains sensitive unclassified or classified information, the contractor must comply with MD 12.2. (2)

Approved: June 17,1991 2 (Revised: July 9,1995)

V:Jum2 3, Part 1 - Publications, Mail, and Informztion Disclosure Unclassifi:d Centractor end Grantee Publications in the NUREG Series Handbook 3.8 Part II Publishing Formal Reports (e)(continued)

If a draft is desired before completing a Snal repon, specify in the statement of work (SOW) the due date for delivering the final camera-ready copy after receiving comments from NRC staff or participants (if applicable) on the draft State that all draft material be submitted to the cognizant NRC contact. (3)

When the contractor is to submit draft material for comment before preparing the final report, state that the contractor will be asked to make changes if there are comments from NRC staff or participants. If agreement on the changes is reached, the NRC contact will authorize the contractor to prepare the final copy and submit it to the NRC contact ifit is a letter report orinput to a Safety Evaluation Report or an Emironmental Statement, or to the Director, Division of Freedom of Information and Publications Services (DFIPS) if it is a camera-ready copy for printing and distribution. This procedure will ensure proper publication, handling, distribution and, among other things, preclude further changes that might nullify the agreement. (4)

If special caveats were agreed to between the contractor and the NRC contact, the caveats should accompany the NRC Form 426A (Exhibit 1) for approval when it is sent to the NRC contact. A copy of special caveats should also accompany the camera-ready copy sent to DFIPS. (5)

If agreement on changes to a formal technical repon to be issued in the NUREG/CR series is not reached, the NRC contact may request the contractor to prepare the camera-ready copy with, in addition to the standard disclaimer required on all contractor formal repons (see Section (F), Part III of this handbook), any caveats deemed necessary to cover NRC objections. These caveats may range from "The siews expressed in this repon are not necessarily those of the U.S. Nuclear Regulatory Commission" to the addition of a preface setting forth the NRC opinion or footnotes at appropriate locations within the text. (6)

If NRC objections cannot be covered in this manner, NRC can refuse to publish the report. In the case of DOE / national laboratory reports, the DOE Operations Office Manager responsible for the laboratory should be informed by the NRC office director or regional administrator of the decision and the reasons therefor. A copy of the decision should be sent to the laboratory director. In the case of another Federal agency, a State, or a private contractor, the person who entered into the contract should similarly be informed by the Approved: June 17,1991 (Resised: July 9,1995) 3

Wlurn2 3, Part 1 - Publicati::ns, Mail, and Informatit:n Disclosure Unclassified Centrcct::r cnd Grtntee Publications in the NUREG Series i Handbook 3.8 Part II 1

Publishing Formal Reports (n)(continued) '

NRC contracting officer. The contractor i.s then free to publish the report without identifying NRC as the funding sponsor of the report and without the NRC disclaimer. Decisions by the office director or designee may be appealed to the appropriate Deputy Executive  ;

Director for Operations. (7) l Publishing Unclassified Information in the Open Literature and Presenting Papers (C) '

Specify whether the contractor's principal investigator is permitted to ,

publish in the open literature instead of submitting a final report '

and/or to present papers at public or association meetings during the  ;

course of the work. If this arrangement is authorized, add the following statement to the SOW:(1)

-m,m.ygems_ .

-m .- ~ ;. m . _ -_

?rhe ppincipal mfistigat6r may publish the results'orthisLworkin

{thhlopen lit $rathriinstsail'of submitting a' final report or may; i

<presentipapers?st;pubhetorcassoctstionimeetings)at interim)

U

! stages offthiwdrkR ~ , >._.u-m.aamammac. m wef mam

.u2 If the NRC contact wants to review the paper orjournal article before presentation or submission for publication, so state in the SOW, as follows:(2) r mgmygg..weny,w.

n. n,m . ~ w m _ m, ffhe prancipalinvestisatormay poblish theresults ofthis workin : I lthii open litesat Minst4sd 6f suldsit' ting alfinal repdrilorinay!  ;

{present;papersjAQ pUblic!.orisssosiation Fmeetings tstiinterim ! l

! stages sf the%r.kifthisrticlisppaperhis been reviewed by the,

~

[NRC costsst inidskit f6rsi and agreemsnt'has beedireache{on :

[th y este S & m j fy@ Q h 6 m u u w w u xaw.a .a If agreement is not reached, NRC may also require that the paper include in addition to the standard statement " Work supported by the U.S. Nuclear Regulatory Commission," any caveats deemed necessary to cover NRC objections. If NRC objections cannot be covered in this manner, NRC may refuse to authorize publication in the open literature and/or presentation of papers. (3)

In the latter case, NRC will inform the contractor of the decision, as l previously stated. The contractor is then free to publish without I identifying NRC as the funding sponsor of the information. Decisions '

by office directors or designees may be appealed to the appropriate NRC Deputy Executive Director for Operations. (4) l l

Approved: June 17,1991 l 4 (Revised: July 9,1995) I

Volume 3, Part 1 - Publications, Mail, and Information Disclosure

.. Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part II Publishing Unclassified Information in the Open Literature and Presenting Papers (C)(continued)

If the contractor proposes to publish in the open literature or present the information at meetings in addition to submitting the required technical reports, approval of the proposed article or presentation

! should be obtained from NRC. NRC shall approve the material as submitted, approve it subject to NRC-suggested revisions, or disapprove it. In any event, NRC may disapprove or delay presentation of papers on information that is subject to the Commission's approval that has not been ruled upon or that has been disapproved. (5)

If the contractor requests permission to publish in the c pen literature even though the contract does not explicitly provide f or this type of publication, the contract can be modified to prcvide for such presentations. (6)

When the contractor submits journal articles for publication, each must be accompanied by the following statement: (7)

.n, v.,

,,,, ,gy _

!The submitted manuscript has'been authored by a contractorof

!the U.S. Gdvernment'under Codtract* Ni . Accordingly, th'e l U.S.1 Government flid la; nodeslusive, j royalty-free 4 license' to lpublisti or repr6duc6 the pubHshed . form of this contribution, or Lallygpthg{,to do%'fp@;pjyngranient, purposes.' .

All published papers and articles must include the following disclaimer:(8) m rma^mmmwe'm .m m -

rpfhis report was pmpared as an account of work sponsored by t >

7an agencysf the Unitsi States' Government. Neither the United

sStates'; Government norLany agency thereof, nor any of their Kemployees,Emakesfany;warrantydexpressed or) implied,

.or fassumestanyllegaliliabilityJordresponsibilitylforf any third Eparty's useiokthe results of'suchruse,Lof any information, Mahparatus[piddoct, org process [disclosediin i this? report,- or M reprbsents that itsuse by such third 2partswould'not' infringe o thifately owned rights. The viess;expressedin this paper are not 7

necessarily those of the'U.SJNuc1har Regulatory Commission.

M.! a:a . w h i , ,. . oak u&&&:h&.6 : - A1:.4 , ., .4M:ss . ,;.m; ,

'For DOE work orders, the appropnate job code number is apphcable.

Approved: June 17,1991 l 5

(Revised: July 9,1995)

V:lume 3, Pcrt 1 - Publications, Mail, and Information Disclosure Uncl ssified Handbook 3.8 Contrectcr Part U end Grantee Publications in the NUREG Series "

l Publishing Unclassified Information in .

the Open Literature and Presenting  ;

Papers (C)(continued)

If the contractor is requested by the journal or other publisher to transfer the copyright, the contract author will respond to the journal or other publisher in writing in accord with the sample letter shown as follows: (9)

,,.m,,,

Dear (Copyright Holder's Name):

We recently received' a document for signature assigning'

, copyright and republiEstion rights in the submitted article'

, (title) to (name of pub" cation). This letter is offered in lieu ofp  :

the document as,a means of completing the transfer ore I

, ownership. Accontingly,'we'hereby expressly transfer and '

assign our dghts,0f ownership in the above-cited work to f (name of publisher). - ' , ' p-' ; - '

s '

I

, a , as 4 ,' <

s .

l 1

i You an advised, however, that the above assignm'e nt and an,y , I l publication ornpublication of the above-cited workissubject '

t to the following Government rights:'  :,.L,,

.y,,, c , ,

,  ;+, , - e 1

j , ,

lJThesubmitted m,anuscript has been authend by a contractor '*

ef the U.S.'Govenunent under Contract No. > > '

i Accordingly, the U.S.^' Government has* a nonexclusivk )

lisyalty-free license'to',pu' blish ^or reproduce the', published,

! form of this contributiori, or allow othe' rs' to' do so, for U.S.

IGovernmehtpurposes. '

s, *'! '

t .. ,

> u

.1 'n, ' ' '

~

[ c,f 7 ; <I ~1 -

sincerel3 ; -

L'.Tll'ualg,['qf[h,<G iL&51Ll'~ :- < ,,-. 'n- ,. : L If NRC approves open literature publication and page charges and travel costs are required for the presentation of papers, see MD 3.9, "NRC Staff and Contractor Speeches, Papers, and Journal Articles on Regulatory and Technical Subjects." (10)

Reports Containing Sensitive Unclassified and Classified Information (o)

Examples of the proper marking of reports designated Official Use Only, Limited Official Use, Proprietary Information, Safeguards Information, and classified (CONFIDENTIAL, SECRET, and TOP SECRET) are specified in MD 12.2.

Approved: June 17,1991

'6' (Revised: July 9,1995)

Wlume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassifi:d Contr:ctor and Grantee Publications in the NUREG S: ries Ilandbook 3.8 Part II, Conference and Workshop Proceedings (E)

If NRC approves publication of compilations of papers presented at NRC-sponsored or cosponsored meetings, conferences, and symposia, see MD 3.11, " Conferences and Conference Proceedings."

Distribution of Reports to Contractors (F)

Up to 50 copies of printed unclassified NUREG/CR, NUREG/GR, and NUREG/IA reports will be bulk shipped to the contractor by NRC. (The Joint Committee on Printing's Government Printing and Binding Regulations permit contractors to receive free of charge up to 50 copies of reports they have produced for NRC.) If fewer than 50 copies are needed, indicate the desired quantity on NRC Form 426A (Exhibit 1). Contractors requesting single copies for specific individuals in organizations other than the contractor's organization who are not included in the distribution requested by the NRC contact may address such a request, with written justification, to the NRC ,

contact. If the additional distribution is approved by the NRC contact, the contractor shall send address labels with the .amera-ready copy to the Publications Branch, DFIPS, USNRC, Washington, DC 20555-0001, and that distribution will be made along with the standard distribution.

Coordinating Contractor Press or Other Media Releases ofInfornlation (G)

A contractor may request permission to issue a press or other media release on the work being done. That request must be made to the NRC office director or designee, who will consult with the staff of the Office of Public Affairs. The contractor must not issue a press release on nonroutine information without this prior approval. This approval may be obtained by a telephone call to the office director or designee

to expedite the request. The contractor may appeal decisions not to authorize the release ofinformation or delays in handling the request to the appropriate Deputy Executive Director for Operations.

l Approved: June 17,1991 (Resised: July 9,1995), 7

V: lum 3, Part 1 - Publications, Mail, and Information Disclosure "

Uncl ssif1:d Centractor and Grantee Publications in the NUREG Series Handbook 3.8 Part III Part III Draft and Final NUREG Reports Identification Information (A)

NUIEG Number (1)

Each contractor report published by NRC must be identified by a unique alphanumeric designation controlled and maintained by the Division of Freedom of Information and Publications Senices (DFIPS). To obtain an NRC report number, call the Publications Branch, DFIPS, at (301) 415-7008. (a)

The NRC identi5 cation numbers will have one of the following forms:(b) e NUREG/CR-0000 e NUREG/GR-0000 e NUREG/IA-0000 CR indicates contractor report, GR indicates grant report, and IA indicates international agreement rer> ort. The contractor report number, if any, will be placed below the NUREG number on the title page and cover. (c)

When a report consists of more than one volume or binding, or is issued in more than one edition, an appropriate volume, number, supplement, part, addendum, or revision designation must appear immediately below the NRC report number and the contractor's report number, if any. (d)

I Authors' Names (2)

Authors' names must appear on the report cover and title page, unless placing them there is impractical, as for an annual repon hasing many contributors. Editors or compilers with subject-area expertise may also be identified as such on the cover and title page. The authors' j Approved: June 17,1991 8

l (Revised: July 9,1995)

Volume 3, Part 1 - Publications, Mail, and Information Disclosure i

Unclissified Contractor end Grantee Publications in the NUREG Series Handbook 3.8 Part III l l

Identification Information (A)(continued) 1 Authors' Names (2)(continued) affiliation need not be listed unless it differs from the organization creating the repon.

Organizational Identification (3)

The Publications Branch, DFIPS, prepares the covers and title pages

- for all repons and will list information about the organization that meated the repon as it is provided.

Previous Reports in Series (4)

If the repon being prepared is one in an ongoing series, list all presions >

reports in the series. Include report numbers and issuance dates. Place  !

this list on the back of the title page. If this list cannot be placed on a single page, place the pages at the end of the front matter rather than on the back of the title page.

Report Dates (5)

The repon dates are shown on the title page. These dates include the month and year the report is completed and the month and year it is published.

Report Organization and Components (s)

The organization and components of contractor repons vary, depending on their purpose and scope. Recommended format and organizational guidelines appear in " Publishing Documents in the NUREG Series"(NUREG-0650, Revision 1). (1)

Each draft and Enal report prepared for NRC must include an abstract of 200 words or less that appears on a separate page preceding the table of contents. The abstract also must appear on the ". Bibliographic Data Sheet," NRC Form 335 (Exhibit 2). Instructions for completing NRQ Form 335 appear on the back of the form. Guidelines on the special writing requirements for preparing abstracts appear in Section 5.5 of NUREG-0650, Revision 1. (2)

Pre-Publication Reviews (c)

Patent Review (1)

Patent implications must be considered before approval of repons for public release so that disclosure will not adversely affect the patent l

Approved: June 17,1991 (Revised: July 9,1995) 9

3 Wlume 3, Pcrt 1 - Publicati:ns, Mail, cnd Information Disclosure Unclassified Centr:ctor and Grantee Publications in the NUREG Series Handbook 3.8 Part HI Pre-Publication Reviews (C)(continued)

Patent Review (1)(continued) rights of NRC or the contractor. If the work being reported is contractually managed through another Government agency (e.g.,

DOE national laboratories), the contractor should request that  ;

i Govemment agency to perform the patent review. The result of the l review must be reported on NRC Form 426A under item 8 (see l Exhibit 1). (a)

If NRC directly administers the contract, or the contractor is unable to obtain a patent clearance from the Government agency administenng the contract, the responsible NRC contracting officer must be consulted, and the responsible NRC technical contact shall consider  ;

the patent implications. If the report does not require a patent review j because the repon does not contain any description of novel technical i developments that may be of an inventive nature, mark "N/A' on the ,

NRC Form 426A in the space for the Patent Counsel's signature. If a i possibility exists that developments of an inventive nature are i disclosed, the contracting officer shall request assistance from the j NRC Assistant General Counsel for Administration, Office of the i General Counsel, on (301) 415-1553. (b) l Security Review (2)

If a report of sensitive unclassified or classified work is required, the  !

NRC contact must work with the NRC Division of Security to establish l the appropriate procedures and inform the contractor of these procedures through the contracting officer. The standards for marking  ;

and handling these reports are given in Management Directive (MD) 12.2, "NRC Classified Information Security Program."

Copyright Review (3) l Copyrighted material must not appear in NRC-sponsored publications without written permission from the copyright holder.

See Section 3.4 of NUREG-0650, Revision 1, for information about obtaining copyright permission.

Color Printing (D)

Regulations issued by the Joint Committee on Printing (JCP) restrict the use of color in printed materials to those uses that are of demonstrable value. JCP regulations specify that " demonstrably valuable multicolor printing" includes the following categories: (1)

Approved: June 17,1991 10 (Revised: July 9,1995)

Volume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part III Color Printing (o)(continued)

. Maps and technical diagrams for which additional color is necessary for clarity. (a) e Object identification (medical specimens, diseases, plants, flags, uniforms, etc.). (b)

. Safety programs, fire prevention, savings bonds programs, and competitive areas of personnel recruiting. (c)

. Areas wherein clearly identifiable savings in costs can be soundly predicated on multicolor use. (d)

. Printing for programs required by law, whose relative success or failure is in direct ratio to the degree of public response, and for which that response can be logically attributable to the number of colors planned and the manner in which they are proposed to be used.(e)

. Color for promotional or motivational purposes, such as programs concerning public health, safety, and consumer benefits, or to encourage utilization of Government facilities, such as programs for Social Security, Medicare, and cenain areas of need for veterans. (f)

The regulations indicate that the following categories do not meet the

" demonstrable value" criteria: (2)

. Printed items wherein additional color is used primarily for decorative effect. (a)

. Printed items for which additional color is used primarily in lieu of effective layout and design. (b)

. Erinted items for which additional color is used excessively, that is, four colors when two or three will fulfill the need, three colors when two are adequate, two colors when one is adequate. (c)

. Printed items wherein the inclusion of multicolor does not reflect careful, competent advance planning that recognizes the contribution that the use of color is expected to make to the t

ultimate end-purpose. (d)

Approved: June 17,1991 (Revised: July 9,1995) 11 l

I t

V:lums 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series-Handbook 3.8 Part III k

j Color Printing (D)(continued) .  !

• If color printing is anticipated when the statement of work or standard order for DOE work is being prepared, contact the Publications  ;

Branch, DFIPS. Prior approval must be granted by the Director of DFIPS. If a requirement for color printing arises as the report is being prepared, submit a written justification for its use to the Director of i

i DFIPS. (3)

Microfiche (E)

NRC contractors and DOE laboratories submitting mic,rofiche with reports must submit a hard copy of each micro 5che, include headers i

on each microfiche as shown in Exhibit 3, and conform to the following i NRC specifications.* 1 e

i Microfiche must conform to either the 24/98 format for source i documents with 14 columns and 7 rows (reduction ratio of 1 to 24) or the 48/270 format for computer output microfilm with 18 columns and 15 rows (reduction ratio of 1 to 48). (1)

The microfiche sheet must be standard 105 mm by 148 mm. (2)

} .

The microfiche must be either a silver-halide master or a black or blue-black diazo placed in acid-free envelopes. (3)

The micro 5che must contain headers as shown in the sample in

! Exhibit 3. SpeciEcally, the first block of the header must contain the NUREG number (include volume or revision,if applicable),

the contractor identification number, and the classification (e.g.,

unclassified, proprietary). The second block must contain the description of the microfiche and may include the contractor's

name. The third block must contain the publication date and the i

,' sheet identification. (4)

The header information must be eye readable on a clear background. (5)

{~ .

A' foldout page must be microfilmed in sections if the page is too 3

large to be microfilmed in a double frame. No less than 25-mm

, overlap of original material is acceptable. (6)

'With the exception of items (3), (4), and (8), these specifications are consistent with the American National Standards 1nst2tute " Standard for Micrographics-M2crofiche, ANSI /AIIM t MSS-1985."

ies of this standard are available from the American National Standards Institute. A

Sales Department.11 West 42nd Street.13th floor, New York NY 10036 (212) 642-4900, or from the Association for Information and Image Management.

ATTN: Publications section,1100 Wayne Avenue, Silver spnng, MD 20910 (301)587-8202.

4 Approved: June 17,1991 12 (Revised: July 9,1995)

1 Wlume 3, Part 1 - Publications, Mail, and Information Disclosure j

" Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part HI 4

Microfiche (E)(continued).

. The first frame must be blank (on the first sheet only), and the second frame must contain the National Institute of Standards and Technology's (NIST's) Reference Material resolution target in Microcopy Test Charts (NBS SRM 1010A). (7) e Jacketed microfiche is unacceptable. (8)

DiSclaherS (F)

The following notice will be added by the Publications Branch, DFIPS,  ;

before the printing process on the inside front cover: (1)

-# ,w,m _ . - .

. yu eThis r,eport was prepared;as an account of_ wor,kl sponsored by '

Dan agensforthe Unitsd States G6vernenent. Neither tiie;Dnised dStatesSGoVernmentinorlanyJagsney thereof,inorsangsfftheir ,

$einpl6yees,$nialiesi!Sim@ warranty,j e$r' e ssedioriimplisdl for

" assu' mss ! anyflegalfliabl.litysolsresponsibilit)[fei!$njithiid r;theirssult's'of'suchiuse,lof any?information; ifparty'sMse{$$dicM bappnFAEus ospfoceslsidiscldsesin} thisiFepostjior

{ repifesents thdt its idibp siinjhird FArhoidd not infringe

~ " ' '

rifalelyownedFrights

$aaw:um swam &dMdhP ', ww w ,-

w mwawu mu w The branch will print the additional statement, "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission," below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed. (2) i Availability Information (o) l Reference Material (1)

Reports or other documents referenced in text, reference secoons, bibliographies, and appendixes of unclassified regulatory and ,

technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government l Printing Office (GPO), at the National Technical Information Senice (NTIS), or at other reference or sales outlets) or in the NRC Public i l

Document Room (PDR). This means that references should not be  :

made to personal communications and inteniews, unpublished information and informttion with restricted distribution (e.g.,

proprietary, National Sece.rity, and Official Use Only). If the  ;

unretrievable information is f aponant and unrestricted, quote it in I

f Approved: June 17,1991 (Resised: July 9,1995) 13 r

+

I

Volume 3, Pcrt 1 - Publications, Mail, and Information Disclosure Unchssified Contrcctor and Grantee Publications in the NUREG Series I Handbook 3.8 Part III Availability Information (G)(continued)

Reference Material (1) (continued) the text orin footnotes. Provide any credit due to individuals in the text or in an acknowledgment section. Availability may be stated collectively for all entries. (a)

Although proprietary reports may not be included in a list of references, listing or identification of proprietary repons may be included in an appendix or in a separate listing following the reference section titled " Proprietary Sources of Information." (b)

In adition, reference to Institute of Nuclear Power Operations (INPO) documents may not be made without prior approval from INro. Approval to reference INPO documents must be stated on the NRC Form 426A. (c)

Guidelines for developing and presenting reference material are provided in NUREG-0650, Revision 1. (d)

Reports (2) l Most final reports are sold by GPO and NTIS. A statement indicating ]

this availability is added to each report, as appropriate, by the Publications Branch staff before the repon is printed. (a)

Draft reports for which comments are requested are typically announced in the Federal Register as being available from the hTC. I These reports are not sold at GPO or at NTIS. (b) l Forms (a) l Bibliographic Data Sheet (NRC Form 335) (1) l All published NRC reports must include an NRC Form 335 as the Enal .

right-hand page of the manuscript. Instructions for completing the NRC Form 335 appear on the back of the form. A completed NRC Form 335 must be submitted to the Technical Publications Section, DFIPS, with the camera-ready copy of the report. Exhibit 2 shows a completed NRC Form 335.

Release To Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A) (2)

The NRC contact must submit a completed NRC Form 426A (see Exhibit 1) with the camera-ready copy of the report to the Technical Publications Section, DFIPS. NRC Form 426A must be signed by the staff member designated by the appropriate office director.

Approved. June 17,1991 14 (Revised: July 9,1995)

y Volume 3, Part 1 -- Publications, Mail, and Information Disclosure l

" Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part III-1 i

Printing and Reprinting (I)  :

The Publications Branch, DFIPS will review the camera-ready report submitted for printing for its adherence to the standards and requirements set forth in this directive and handbook, as well as any l relevant guidelines from NUREG-0650, Revision 1. Unsatisfactory i manuscripts will be returned to the NRC contractor for appropriate j acrion. (1)  ;

Submit a memorandum requesting a reprint to the Director, DFIPS, l

or designee, for appreval. Include with the request a wTitten

! justification and the approval of the office director or designee for reprinting. Also provide address labels for recipients not on h7C ,

standard distribution lists. (2)  !-

Distribution (J)

The Publications Branch, DFIPS, will arrange distribution for all l l

' copies of unclassified formal contractor reports in accordance with instructions on NRC Form 426A (Exhibit 1).The Publications Branch i will also arrange automatic di:stribution of these reports to NRC NUDOCS, the NRC PDR, NTIS, GPO, and the GPO Fed:ral i l Depository Library Prograin. (1) 1' Sensitive unclassi5ed and classified reports will be distributed by the NRC sponsoring of6ce on a case-by-case basis. (2) j l

l U

l

\

l 1

l l l 1 ,

l i

1 i

i I

1 Approved: June 17,1991 (Revised: July 9,1995) 15 l l

l

__________1_______________________L___._____________________________.___________________________________.______.____.________.___

y . -- . .

Volume 3, Part 1 - Publications, Mail, and Information Disclosure "

Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part IV n

t a

1 Part IV i International Agreement Reports .

1 Background and Rationale (A)

NRC has cooperative nuclear safety research programs that involve either or both foreign governments and organizations and U.S.

j industry. These programs include monetary contributions,

)

information exchange, and comments on program plans and results as authorized in the Energy Reorganization Act of 1974. To this end, international and U.S. industry agreements have been signed that provide for transmitting unclassified technical information from foreign participants to NRC. These procedures apply only to NRC-managed work. (1)

' The interests of all NRC in ternational nuclear safety research program participants are served best by formal dissemination ofinformation on these programs or codes developed for or in cooperation with NRC. (2) p Identification Information (n) l J

Cover and Title Page (1) l The cover and title page will contain a title, a subtitle (if appropriate),

the names of the authors, the performing organization, and the NRC office sponsoring the project. The cover and title page will be prepared 1 by the Publications Branch, Division of Freedom of Information and Publications Senices (DFIPS).

1 NRC Report Number (2)

Each report must be identified by an NRC-controlled alphanumenc

, number as the prime number unique to that report. The centralized i document control system for unique identification is maintained by DFIPS. Numbes may be obtained by calling the Publications Branch 1

' at (301) 415-7008. (a) i l

' Approved: June 17,1991 l

16 (Revised

July 9,1995)

Volume 3, Part 1 - Publications, Mail, and Information Disclosure l i .- Unclassifi:d Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part IV Identification Information (B)(continued)

NRC Repo'rt Number (2) (continued)

The NRC identification number will have the fann .

. "NUREG/IA-000," where IA indicates " international agreement." l The foreign participant's repon number, if any, may be inserted below l the NUREG number on the cover, if desired. (b)  !

When a repon consists of more than one volume or binding or is issued l

in more than one edition, include an appropriate volume, number, supplement, pan, addendum, or revision designation below the repon number and the foreign participant's report number,if any. (c)

Previous Reports in Series (3)  :

If the repon being prepared is one in an ongoing series, list all previous reports in the series. Include repon numbers and issuance dates. Place this list on the back of the title page. If this list cannot be placed on a single page, place the pages at the end of the front matter rather than on the back of the title page.

Report Organization and Components (C)

The organization and components of cooperative agreement repons vary somewhat, depending on their purpose and scope. Each of these repons must include an abstract of 200 words or less that appears on a separate page before the table of contents. The abstract must also appear on the " Bibliographic Data Sheet," NRC Form 335 (Exhibit 2).

Instructions for completing NRC Form 335 appear on the back of the form (Exhibit 2). Guidance on the special writing requirements for preparing abstracts appears in Section 5.5 of NUREG-0650, Revision 1.

Availability Information (D)

References and Bibliographies (1)

Reports cr other documents referenced in text, reference sections, bibliographies, and appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public cither in the public domain (as in a public library, at the Government Printing Office (GPO), at the National Technical Information Senice (NTIS), or at other reference or sales outlets) or in the NRC Public Document Room. This means that references should not be made to personal communications, interviews, and unpublished information with restricted distribution (e.g., proprietary, National Security, Official Use Only). If the unretrievable information is imponant and Approved: June 17,1991 (Revised: July 9,1995) 17 i

Vclunn 3, Part 1 - Publications, Mail, cnd Information Disclosure 1

Unclassifi::d Contrccior cnd Grcntee Publications in the NUREG S: ries '

1 Handbook 3.8 Part IV i

j i

Availability Information (o)(continued)

References and Bibliographies (1) (continued) s unrestricted, it can be quoted in the text, in footnotes, or in i

appendixes. If the title of a document containing proprietary }

information is unclassified, it can also be quoted in the text or in a '

footnote. If credit is due to individuals, they can be mentioned in the text or in an acknowledgment section. Availability may be stated  !

collectively for all entries. (a)  !

Although proprietary reports may not be included in a list of references, listing or identification of proprietary reports may be i included in an appendix orin a separate listing follor,ing the reference  ;

section titled "Proprietwy Sources ofInformation."(b) J In addition, reference to Institute of Nuclear Power Operations (INPO) documents may not be made without prior approval from INPO. Approval to reference INPO documents must be stated on the NRC Form 426A. (c)

Guidelines for developing and presenting reference material are provided in NUREG-0650, Revision 1. (d) l Reports (2)

These reports will be made available for sale by GPO and NTIS.  !

Disclaimer (E) 1 The following notice will be added by the Publications Branch, DFIPS, l

on the inside front cover before printing. l

.sw , m,.y y v- - - ' l

,$$;wd 2.~

• 2 NOTICE '

s%, w ww.wgh .M I

This% report wao dergannoternatmnal coopera.. ive.s t iMfM&preparedf un' %.T g.JRUyL,,.x .

sichnQebfischhiEil 16fsriination2Neithinid5  !

EUnitedSislEiGEEEnmentidsanf agescy thervor, norsnydthiiri )

[essployNNi5k2ianywarr!anty,bnssied Ar'iinplied[6Es$suninM  ;

sanylegallisbiliitinMi31tiilitpfdeidfnini pnEffs ass lsr thel l Tssults".v'isc'l'os.v6f)selnuse,fsf c:s . . ., ,n Mt ipt oces'r.sd

~- ~ ~+:- %9 *:..n ' ..

ed i.n th';is report,' .%.or:

.,....w>=ys adjPrnfdhistientappavatns$..

a -w -

.u- +-

y

a. ,

. . ~ . r,esents

~~ th' at i. ts u,se b. . . : ^ dis

. . ,su ith~rrd~pa~rty would n'ot' 'n inin. <.,..:nmawsnge ..pnva y owned irights.t wy s sx . .e , ,~n ~ {

Approved: June 17,1991 }

18 ,

(Revised: July 9,1995)  ;

l 1

Volume 3, Part 1 - Publications, Mail, and Information Disclosure Uncl ssifi:d Centractor and Grantee Publications in the NUREG Series Handbook 3.8 Part IV Forms (F)

Bibliographic Data Sheet (NRC Form 335) (1)

Submit a typed NRC Form 335 (Exhibit 2) with the camera-ready copy to the Technical Publications Section, DFiPS, as the final right-hand page.

Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A) (2)

An NRC Form 426A (Exhibit 1) must be completed and signed by the office director or designee and submitted with the camera-ready copy of the report to the Technical Publications Section, DFIPS.

Classified or Sensitive Unclassified Information (c)

The NRC contact should refer to Manspment Directive 12.2 or call the Division of Sccurity for answers to questions about the status of classified or sensitive unclassified information in NUREG/IA reports.

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Approved: June 17,1991 (Revised: July 9,1995) 19 l

l- - - - - _ _ _ _ _ - _ - _ _ _ _ _ _ _ _ _ __

~

Volume 3g Part 1 - Publicationso Mailg and Information Disclosure .

l Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part V {

Part V Books General (A)

Thesc guidelines apply to books written by contranors and grantees that are printed by hTC. See Part VI of this handbook for guidance on publications, including books, by grantees.

Definition (B)

A book refers to a publication intended as a permanent reference or as a textbook or major critical review of a technical or regulatory topic.

Format (C)

Books are usually 6 by 9 inches in trim size, but size will be based on requirements such as ease of use and legibility for graphics, foldouts, and the like. The binding (casebound or paperback) will be chosen according to the need for durability. Additional guidance on manuscript preparations can be found in the U.S. Govemment Printing Office Style Manua! and the Chicago University's A Manual of Style.

Refer also to NRC's " Publishing Documents in the NUREG Series" (NUREG-0650, Revision 1). (1)

The contractor shall submit to the NRC project manager the typeset (photocomposed) manuscript suitable for printing. The NRC contact shall submit the manuscript to the Chief, Publications Branch, Division of Freedem of Information and Publications Services, (DFIPS) where it will be reviewed for adherence to the standards set forth and referenced in this directive and handbook. The manuscript will also be reviewed forprinting acceptability by the Printing and Mail Services Branch, DFIPS. Unsatisfactory manuscripts will be reported to the NRC contact for appropriate contractual action by the hTC contracting officer or, in the case of Govermnent agency or interagency agreement work, the publicatiora manager of the performing organization. (2) 20 Approved: June 17,1991 (Revised: July 9,1995)

,- ,,L ,

l Volume 30 Part 1 - Publications, Mail, and Information Disclosure i- Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part V ,

(

Format (C)(continued)

DFIPS will approve the design of the cover and title page containing appropriate information concerning-(3)

. Authors' names (a)

• Organizationalidentification (b) e Public availability and sales (c)

All books must include a comprehensive subject index of the book's contents, unless the book is made up almost exclusively of graphical or tabular matter. See NUREG-0650, or The Chicago Manual Style (13th ed.) for guidelines on creating an index. (4)

NRC Document Number (D)

Each book must be !denti5ed by an NRC-controlled alphanumeric code unique to that book. The alphanumeric code will have the form NUREG/CR for books prepared by contractors and NUREG/GR for books prepared by grantees. (1)

When a book consists of more than one volume or binding, or is issued  ;

in more than one edition, include an appropriate volume, number, ,

supplement, part, addendum, or revision degnation directly below the document number. (2) j i

Numbers are assigned by the Publications Branch, DFIPS. Thc number may be obtained before the manuscript is submitted to DFIPS for printing by calling the Publications Branch at (301) 415-7166. The DFIPS staff will arrange to meet with the NRC contact for the project and, when appropriate, the author (s), to discuss the publication production requirements and the schedule for the book. (3)

Availability of Reference Materials (E)

The guidelines for availability of reference material given in Section G of Part III of this handbook also apply to books prepared by contractors and grantees that are published by NRC. '

l l

Approved: June 17,1991 (Revised: July 9,1995) 21

V lume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contr:.ctor end Grantee Publications in the NUREG Series '

Handbook 3.8 Part V I

.. 1 Reviews (F) i Peer (1)  !

1

' Books published by NRC must undergo peer review by experts withm '

and outside NRC. Peer review refers to a critical evaluation of the  !

technical contents of a publication. These reviews may be conducted anonymously by reviewers from the author's own or a related field who are totally independent of the work leading to the manuscript. (a)

{

Reviewers should be chosen by the NRC office sponsoring the book from the potential audience for the publication and should provide an 1 independent judgment about whether the publication successfully 1

accomplishes the author's aims. Peer reviewers should be chosen for their expertise in the subject matter of the book. They may come from j academia, the national laboratories, other Federal agencies, or from other research institutes or consulting firms. They may be identified from the membership rolls of professional societies, Ameri

:an National Standards Institute (ANSI) subcommittees, and the like. Do not choose more than one reviewer from the same organization. (b)

When assessing potential peer reviewers, screen for dernonstrated 1 competence and achievement in a speci5c discipline or research specialty. Assess competence based on the quality of rewarch I accomplished, publications in refereed journals, and other significant technical activities, achievements, and honors. Consider u judgment, perspective, and objectivity of reviewers. Consider also the personal integrity of those selected to ensure the confidentiality of l information reviewed. Finally, avoid real or perceived conf'ic:s of  !

interest. Do not choose reviewers who are licensees or consultants to licensees, nor reviewers from intervenor groups. Likewise, do not choose reviewers who may profit Enancially from influencing the information reviewed. (c)

The services of reviewers from outside the agency may be acquired l through consultant services contracts. The decision as to whether to l reimburse peer reviewers should be made on a case-by-case basis, however. Recognize that reimbursing peer reviewers may give the appearance of a conflict ofinterest, suggesting to some that because NRC is paying for this service, the agency will seek only resiewers thought to be favorably disposed to the naterial reviewed. One way to offset this impression is to seek recommendations for peer resiewers i from independent organizations, such as the American Physics  !

Approved: June 17,1901 22 (Revised: July 9,1995) i

Volurne 3, Part 1 - Publications Mail, and Information Disclosure o

Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part V Reviews (F)(continued)

Peer (1) (continued)

Society, the American Nuclear Society, the American Society of ,

Mechanical Engineers, or appropriate unisersities. Reim"oursement could then be made to the organization. (d)

Copyright (2)

Copyrighted material must not be reproduced in NRC books without i appropriate authority, usually written permission of the copyright holder. See Section 3.4 of NUREG-0650. Revision 1, for information about obtaining copyright permission.

Security (3)

On the basis of the knowledge of the information sources used, the author is responsible for ensuring that the man uscript does not contain classified or other access-controlled information. If uncertainty exists with respect to the security classification of a reference document or manuscript, an authorized classifier or the NRC Division of Security i should be contacted for assistance. See also Management Directive 12.2. "NRC Classified Information Security Program."

Patent (4)

The patent review guidelines for draft and final formal reports specified in Section (C)(1) of Part HI of this handbook also apply to books prepared by contractors and grantees.

Publishing Authorization Form (G)

A completed NRC Form 426A (Exhibit 1), signed bf the office director or designee or by a DOE national laborately authorized  ;

official if the publication is prepared for the ' Office of Nuclear Reguhtory Research, must be submined to DFIPS with the book manuscript.

Disclaimers (n)

The following standard U.S. Government notice will be added before printing: (1)

Approved: June 17.1991 (Revised: July 9,1995) 23 i

V Ium2 3, Pcrt 1 - Publications, Mail, and Information Disclosure Unclassified Centr:ctor cnd Grantee Publications in the NUREG Series "

Handbook 3.8 Part V Disclainiers (n)(continued)

[This'dokiiment was prepared as an account ofssrk~ sponsored lby an agency of the United States Gmermuent2Neithers the i United States Government"nor any agendytiiereof/nor any of

! theireinsloyees/makes ahy warr6nty, exprissed 6fiinklifd/br pass 6mek Ans legal l liability orMesp~olnsibilitylorianj(third party's;usef0Ethe resultsLoflsuch Use,Tof anyiinformation;'

, , i ajpaFa(dM $$ddcQor prbsess disclosed in'this d6ce' ment, or

~

represin ts' thnt its use by such third paity wodid'ndt infrinde

3Pri%telym'hed rightsY m s

}[ j 'f

The following additional statement may be printed below the standard disclaimer, if authorized by the NRC office director or designee: (2) l [Thhidscuriaentias AFp'ared" bed'c2 D.SiNucliai%ijEliisi@

' fCommisiun?(NRC)f C onirketfN67 A ATheIogsinionsh l{ finding's , conblu'sions, an'd recomniendations expressed herein i fare thoss?6f tha:adth6r(sland do'nOf~'nscessarilyiifleet the;

@iss of the NRCA W,r%ima. 1#

3.at > ms mm:,..mmmm .a. 2 @'C

W ee;& di.. m.:asa m ,

Other qualifying statements may be added, if needed. (3)

. Printing (1)

DFIPS will submit book manuscripts to GPO for printing. The printing cycle requires from 6 to 8 weeks.

Distribution and Sales (.1)

The DFIPS staff will arrange distribution in accordance with distribution guidance provided by the NRC project manager on NRC Form 426A (Exhibit 1). (1)

Free distribution should be limited to those who contributed mateiially to the book or to those for whom the book's subject matter bears directly on their work at or for NRC. (2)

DFIPS will arrange to make the book available for sale through GPO.

DFIPS also will arrange to have it made available at the NRC PDR and for the GPO Federal Depository Library Program. (3)

Approved: June 17,1991 I 24 (Revised: July 9,1995)

.- Volume 3, Part 1 - Publications, Mail; and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series  !

Handbook 3.8 Part VI  !

Part VI Grant Publications Background and Rationale (A)

The Nuclear Regulatory Commission funds grants for educational and nonprofit institutions, State and local governments, and professional societies for the expansion, exchange, and transfer of knowledge and ideas pursuant to the Atomic Energy Act of 1954, as amended, Secdons 31.a and 141.b.

L Publication of Results (s)

The grant will specify the publication requirements of the award.

Grant results may be published by NRC, by the grantee, or in the open literature.

Publication by NRC (1)

This publication option must be governed by the guidelines specified in Part IH of this handbook for reports orin Part V of this handbook for books, as appropriate. See '" Identification Information,"

Section (C) of this part.

Publication by a Grantee (2) i When the grant specifies that the grantee is to publish the results of his or her work, the grantee must grant to the Government a royalty-free,

nonexclusive, irrevocable license to reproduce, translate, publish, use, and dispose of all copyrightable material first produced or composed in the grantee's performance under the grant.

Publication by a Grantee in the Open Literature (3)

When the grantee submits journal articles for publication, each article must be accompanied by the following statement: (a) l l

Approved: June 17,1991 l (Revised: July 9,1995) .5 l

l

j Volume 30 Part 1 - Publicationsg Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series

i Handbook 3.8 Part VI l ..

! Publication of Results.(a)(continued)

Publication by a Grantee in the Open Literature (3)(continued) m -,, ,nn.,.mn- 7. ,n .,,n_c~ . .

j .

[The submitted'aianuscript has been authored by a grantee of; 1-

!the;U.S.4 Government ends Grant 'Nu.

,.,,.,;y mfA.ccoidhisly,5 L....,,

ithe U.S('.G o.f. Avernment has a, no; n. .exclus, iv'e, royalty--free hyeense to'!  :

l publish lor[ reproduce the publish'ed form ~of this contributionn Peri_ll6w others^t6de solfoRU Sj Government purposes.

~ . n . -n . . ~ . . . - . -:. . -_.a a n.

All open literature publications prepared under this grant must contain the following statement: (b) n nmgynw. . w,, , - ,- . nn a. , ,

This paper was prepar_ed with the support 'of the 'U.S. Nucleah iR$gulatoiy Com6dssion(N_RCl.ander Grant No!

< QThij .

! OPimons,yfin. d. . .mgs,gconclusions, gad. .grecommenda.tions ?

f expressed s hereiRars ; thosei of 4 the n hstheiis)f and (ds i not ?

! neceissarilyref1sel0:e3iews of ths NRCi ~ ~ ' < >

La m 4 N. sadh m ~ < a.s i 1 aam J - . -u If the grantee is requested by the journal or other publisher to transfer the copyright, the grantee author will respond to the journal or other i publisher in writing in accord with the sample letter shown as follows:(c)

Pt i

Dear:

(Publisher'iNanie^)@fPm"9T"..

p lj ; 4 gA; M ("g j . .. ~ ' ' " " .

.gf f gbllggreceve andocument;;for,MiQ signature'assignmg copyright gWe;rece;;ntly;ditiheiighdiuRthisubsittesariicle f5n$ubli lpublicatiss$iThislAttEdif effend in lieu N thiddcumen)t an means loficoinp_lEtid.

. n. thd$isaI6s.,fErjef[swnershipSI,Ecddin.

n . .~. . gly, ws!hereby,  ;

- - sly =stransfe,an~~di n . a , =. rsan ass. .ign t our, gh,tssbfsewnersh. ~.;. a.ipgm;the ta *tedmorkto FA M4A!M(nameofpu ga. M p dougarejadvisedphewevergthaldes ove MS!Me%d CEi.{ m..m -

[publib$ tid 6 Ofrephblidslihn bf thEa6ohsciis).assignment d'workiisubject th the ifollowingGWshneifirishub WMW C & : ~1, n;grat

[ThesEdmitted angegnA m[bsenauthsre%

manuscriptha h.1 ^dbyagrantee$tihieU;S) '

iGssernmest

< n Gh .~ -t

[Goverm,- ,?uhdsd.n.-iintNsM MWM %iA nent;h.n.,as armonesclus.ive, royalty-free;:h.cense

! ~ -~to pubh. hs o+r; hifoddes flEpsidishEd form of this bontfitMinn,^or"all6viethers t6!

M+

~ ~

S # N EdesslfAr(U.SlCoyernmeist <purp~oses$ 9@ '

y 3tpx w > y -

g : .. . '

" m u s u m w w g;, g,e %A r 2 Sincerely & wa x- ,

Approved: June 17,1991 26 (Revised: July 9,1995)

Volume 3, Part 1 - Publications, Mail, and Information Disclosure

.. Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part VI Publication of Results (B)(continued)

Reprints of Open Literature Publications (4)

When any anicle resulting from work under the grant is published in a scientific, technical, or professional journal, two reprints of the publication must be sent to the cognizant NRC program officer, clearly labeled with the grant number and other appropriate identifying information.

Identification Information (C)

Each repon or book published by NRC that results from a grant must be identified by an alphanumeric number, "NUREG/GR-000,"

where "GR" indicates " grant repon." (1)

When the publication consists of more than one volume, number, supplement, pan, or binding, or is issued in more than one edition, an appropriate volume, supplement, pan, or revision designation must l appear below the NUREG/GR number. (2)

Numbers may be obtained from the Publications Branch at (301) 415-7008.(3) l Pre-Publication Reviews (o)

The U.S. Congress characterizes the relationship between a Federal agency and a grant recipient as one in which "the recipient can expect to run the project without agency collaboration, panicipation, or intervention as long as it is run in accordance with the terms of the instrument."

l l

l l

1 l

l 1

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l Approved: June 17,1991 (Revised: July 9,1995) 27

Volums 3, Part 1 - Publications, Mail, and Information Disclosure .

Unclrssifi:d Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Glossary Glossary

• Book. Apublication intended as a permanent reference or textbook or

' as a major critical review of a technical or regulatory topic. It may be casebound (hardback) or paperbound.

Camera-Ready Copy. Pages ready for printing by the offset printing process. This is a colloquial term used even though the printing process may not involve the so-called copy camera (see also reproducible masters).

Casebound. Term denoting a book with a hard cover.

Compose. To arrange letters, in type or film, for printing. Usually synonymous uith typesetting.

Composition. The process of setting type by hot-metal casting, phototypesetting, or electronic character generating devices (e.g.,

computers) for the purpose of producing camera-ready copy, negatives, a plate, or an image to be used in the production of printing or microform.

Contractor Report. Record of work done (a report) prepared in accordance with the provisions of a contract or under or pursuant to an interagency agreement.

Copyright. A form of protection provided by the laws of the United States (Title 17, U.S. Code), to the authors of " original works of authorship," including literary, dramatic, musical, artistic, and certain other intellectual works. This protection is available to both published and unpublished works. Generally, copyrighted material may not be reproduced without the permission of the author or the publisher.

Disseminate. To announce the publication of repons and make them available for free distribution, sale, or copying.

'Words in itahcs in de5runons are also de5ned in the glossary.

8 Approved: June 17,1991 (Revised: July 9,1995)

Volume 3, Part I - Publications, Mail, and Information Disclosure  ;

-.. Unclassified Contractor and Grantee Publications in the NUREG Series t Handbook 3.8 Glossarv t

Glossary (continued)

Distribution. Reports dispensed to. specific organizations and individuals to ensure their participation in the regulatory process and support of research and technological investigations. Such distribution may be accomplished by the use of standard distribution lists established and maintained by the Division of i Freedom ofInformation and Publications Senices at the request of the originating office or region'. ,

Documentation. Classification and associated markings required for classified or sensitive unclassified documents, the NRC report ,

number unique to the report, title (and subtitle,if any), author or

, correspondent (if any), organization identification and contract .

number (or job code number), date, and availability. '

Edition. .All copies of a book printed from the same type. Edition also i refers to format, such as paperback, casebound, or to the text, as  ;

revised, expanded, and so on. If extensive revisions have been ,

made to the text and the book is reprinted, the revised version is "

the new edition. t Grant. A legalinstrument which defines the relationship between the i Government and a recipient for the transfer of money, property, ,

senices, or anything of value to the recipient for the accomplishment of a public purpose of support or stimulation authorized by law. A grant presumes a limited amount of involvement by the agency in the performance by the recipient.

Grant Report. A record of work done prepared in accordance with the t

provisions of the grant. t L

l Index. An alphabeticallist of all major topics discussed in a book. It  ;

1

' ' cites the page numbers where each topic can be found. The index is  ;

the last section of a book.

International Agreement. Cooperative nuclear safety research programs that involve either or both foreign governments and organizations and U.S. industry. Such involvement, authorized under 42 U.S.C. 5801, includes monetary contributions, information exchanges, and comments on program plans and results.

International Agreement Report. A record of work done prepared in f accordance with the provisions of an miemanonalagreement. t i

i Approved: June 17.1991 i

(Revised: July 9,1995) 29  :

V:lurna 3, Part 1 - Publications, Mail, end Information Disclosure Uncl;ssifi:d Contrcctor cnd Grantee Publications in the NUREG Series **

Handbook 3.8 Glossary l

Glossary (continued)

Manuscript. A handwritten, typewritten, or composed version of a document, as distinguished from a printed copy.

NRC Project Manager. The NRC staff member responsible for.the work performed by consultants or contractors and their subcontractors, or for work performed under or pursuant to an interagency agreement. -

Paperback. A book with a flexible paper cover.

Peer Review. A critical evaluation of the technical contents of a publication. These reviews are conducted by reviewers from the author's own or a related field who are totallyindependent of the work leading to the manuscript. Reviewers should be chosen from the potential audience for the publication and should proside an independent judgment about whether the publication successfully accomplishes the author's aims.

Photocomposition. Typesetting performed when photosensitive paper or film is exposed to light in the form of letters and characters.

Photocomposition is to be distinguished from hot-metal and 4

typewriter composition.

i Printing. As defined by the Joint Committee on Printing, includes and applies to the process of composition, platemaking, presswork, collating, and microform; the equipment used in such processes; or the end product produced by such processes and equipment.

Proprietary Information. Trade secrets; privileged or confidential research, development, commercial, or financial information exempt from mandatory disclosure under 10 CFR Part 2 (Sections 2.740 and 2.790) and under 10 CFR Part 9 (Seetion 9.17);

and other information submitted in confidence to the NRC by a foreign source and determined to be unclassified by the NRC.

Public Domain. Materials for which a copyright never existed, such as U.S. Government publications, or for which a copyright has expired.

Publicly Available Documents. Information (reports and references) that is available in the NRC Public Document Room (PDR) for public inspection and copying or available in thepublic domain.

2 Approved: June 17,1991 30 (Revised: July 9,1995)

1 Volum2 3, Pzrt 1 - Publications, Mail, and Information Disclosure Unclassifi:d Contr:ctor end Grantee Publications in the NUREG Series j Handbook 3.8 Glossarv  ;

Glossary (continued)

Reproducible Masters. Camera-ready copy that includes (1) originals ofline drawings (or prints that can be copied); (2) glossy prints of black and white photographs; (3) original typeset or printed text, tables, cover, title page, contents. ar.1 abstract: or (4) other forms of the materials that a printer can reproduce.

Trim Size. The final size of the whole page, margins included.

Typesetting. The placement of type on a page (letters, numbers, and other characters) in conformance with specific style and layout Instructions.

Unique Identification. NRC identification (NUREG number) used on a report and its attachments, revisions, and supplements that is not used on any other pub'ication.

Approved: June 17,1991 (Resised: July 9,1995) 31

Volume 3, Part 1 - Publications, Mail, and Information Disclosure '-

Unclossified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Exhibits Exhibit 1 NRC Form 426A, " Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings l Reports"

_ m....

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. . . . . _ . . & 4 3, Approved: June 17,1991 (Revised: July 9,1995)

Vclurne 3, Part 1 - Publications, Mail, cnd Information Disclosure

.. Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Exhibits t

Exhibit 2 NRC Form 335, " Bibliographic Data Sheet" '

a.ageo aas - u.a. =wcts aa nscus sion commaismoa j e gi ta

~ ~~'

BIBUOGRAPHIC OATA SHEET a"-=~a'**'a***'"

NUREG/CR-5603

viv6a o sva6a EGG-2607 r Pressure-Dependent Fragilities for Piping Components : 3 pair maeoanusus ao Pilot Study on Davis-Besse Nuclear Power Station ~ '- g . a ..

i October 1990 B 5b, L AWis*onsse L TvP 7ptPO '

O.A. Wesley, T.R. Kipp, D J. Nakaki, H. Hadidi-Tamjed chnic 7 asco covgo n A

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XU~fEpDTtorporation

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Idaho Falls, ID 8341 '

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Washinoton, D.C. 70555 A /

in. surrosusuvany notes .

The capacities of four, low-pres re f uid s ste to vi stand pressures and tempera-tures above the design lev were est ishe for e Da s-Besse Nuclear Power Stat-ion. The results will b use n e alu g th rob ity of plant damage from Inter-  ;

facing System Loss of olant Ac ' e ts CA) part of the probabilistic risk as-sessment of the Davis- sse clear r t ion u dertaken by EG&G Idaho, Inc. In-cluded in this evaluatio are tanks, t c ngers, filters, pumps, valves, and flanged connections for ea sys The p bab ities of failure, as a function of in-ternal pressu e evalua d -as 1 s the variabilities associated witn them. Leak [

rates or lea reas e esti ed fo t trolling modes of failure. The pressure  !

capacities f th pi and ve els a evaluated using limit-state analyses for the i various fallu ao con - ered. The pacities are dependent on several factors, in-  !

cluding the mat ria pert , no 1 assumptions, and the postulated failure cri-teria. The fail re d for g ete -flange connections, valves, and pumps do not lend ,

th to eva ati y conven onal structural mechanics technioues and evaluation '

rely rier.a ril on er 1 from ongoing gasket research test programs and avail-le ven r informa on a test data.

. .na,

,n' osnf.im:n oa's '

_- .- _a .u. ....ss. . . s , . . . .

press (-dependent rag i es Unlimited  ;

ping comp i ts . sue w.cas.o. t

.1 rfac1 Sys em Loss of Coolant Accidents (ISLOCA) a-. r .

pr st isk a<sessment Unclassified Davis-Bes . uclea Power Station La .--

Unclassified a v sta o+caces i

.v.,es

._.._ .. ._ r i

Approved: June 17,1991 (Revised: July 9,1995) 33

I Wlume 3, Part 1 - Publications, Mail, and Information Disclosure.

Unclassified Centractor and Grantee' Publications in the NUREG Series Handbook 3.8 Exhibits Exhibit 2 (continued)

DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT INSTRUCTIONS NRCTECHNICAL AND FORM 335,REPORTS, BltUOGRAPHIC OATA SHEET, l$ SASED ON GulDEUNES FOR FORMAT AND PRODUCTION OF SCIENTIFIC ANSI 23g.18-1967 AVAILABLE FROM AMERICAN NAtlONAL STANDARDS INSTITUTE.1430 BROADWAY, NEW YOR8(, NY 10018. EACM SEPARATELY B0U940 REeORT-FOR EXAMPLE, EACH VOLUME IN A MULTIVOLUME SET-.SHALL HAVE ITS UNIQUE BISUOGRAPHIC DATA SHEET.

1. REPORT NL240ER. Each indMduelty bound report must 8, PERFORMING ORGANtZATION NAME AND SAAlWHG carry a unkitse alphanumeric designauon fNUREG) maigned ADDRESS. Give na*ne. street, esty, state, and ZIP code, by the Regulatory Publications Branch, DMseon of Freedom Lbt no more then two levels of an orpenizeteonet heerarchy, of informaten and Pubiscalsons Servers. in accordmco with Dupley the tsame of the organization saaetly as followst Amarecen National Standard ANSI 239.23-1983 Standard Divisen, Offme, Organization or Government egency, and Technical Report Numper (STRN). Use uppercase eetters, addres.

Arabic numerals, slas!.es, arid hyphens only, as in the fobs.

ing examples: NUREG.C100 NUREG/CP.0010, NUREG/ 9. SPONSORING ORGANIZATION. If NRC, type "Some as CR4100, and NUREGIBR4010. For reports hn a serses add shove"; il contractor, provide NRC Daisson. Off ace or Region, Vol., Supp., Rev and Addendurg when necessary. Add U.Sw Nuclear Regulatory Conenessaan, and mailing tedress, contractor crossfeterence identif. cation number (if any) below NUMEG. series numbe; e.g. PNL.XXXX. SANDXX.

XXX X, sal.XXXX. 10. SUPPLEMENTARY NOTES. Erner information not included elsewhere but useful, such es' Prepared in cooperation with ...

Premonaed at conferer en of ... To be published ... Docket No.

2. TITLE AND SUSTITLE. Title should ind,cate cleerty and *** ** ** * "* "'" '

briefly the subject (cowrnge) of the report; encludens any * # "

subtitle to the main title, lesen o report is pregered in more than one volurne, rupeet the primary title, add volume numb" it. ABSTRACT. include a brief (200 words or less) factual sum-end include subtitte for the specific volume. Use upper and mary of the anost significant enformaison containad an the lower come letters, but capitalize computer code naines. Do seport, If the report contains a sWfacant b&leography or not use acronyms and initialisms in titles;mey be added in tirerature survey or multiple volumes, mention it here. Abscuct parenthesis. is to be prepared by author or protect moneger

12. KEY WORDS/DESCRIPTORS. Select from the Energy Data L DATE REPORT PUBUSHED. Each report must Carry a date Base Subject Thesaurus. DOE / TIC.700R R.6, the proper indicating month and year published. authertrod terms that identify the maior concept of the resserch and are suffscsently specific and precsse to be used 4 FIN OR GRANT NUMBER. lasert the /IN or grant number " '*"'"*'"

under which seport uns prepared 11 AVAILARILITY STATEMENT. Drnoer putdic releasability, for enemple **unlimised, or limitation for reasons other

5. At#HORlS), Give name(s) in conventrenal order (e.g., John than securrty.

R, Doe, J. Robert Doe). Ust author's offilentson if it is differ.

eat from the performing organitation. 14. SECURITY CLASSlFICATION. Enter U.S. Security Classifs.

estson in senordonne with U.S. $scurety Regulations (i.e.,

E. TYPE OF REPORT. State draft, finsi, preliminary, tepical. " '

sechnical, repletory, ennual, cuerwrty, etc.

15. NLRFSER OP PAGES. Laeve blank,(Added by re'flS)

7. PERIOD COVERE06 Add incluske sates. 16. PRICE. Lasse blank. IAdded by NTIS) stenausesseeiseasetens ps Approved: June 17,1991 34 M# 3"D

Volume 3, Part 1 - Publications, Mail, and Information Disclosure

.. Unclassified Contractor and Grantee Publications in the NUREG Series l Handbook 3.8 Exhibits l l

1 Exhibit 3  !

1 Microfiche Sheet Sample IR No. E. I,$no"xI "' " roI "8' NTRA R NAME (Op f) g A3  :

s.

E -

/

\ '

/ >

t Approved: June 17,1991 (Revised: July 9,1995) 35 i

• • 1. 5v6K il e ' sun /LONT H AC I fMoDIF AL Al EON F ORM APPkUvlO j CONTRACT PRIClNG PROPOSAL COVER SHEET """ho.coi3 9

{ NOTE: This form is used in contract actions if submission of cost or pricing data is requered (See FA4 FS 8044(b11

2. N AME AND ADORE 15 OF OF F EROR (ineinde ZlP Code) 3A. NAML AND Ti1 LE OF OF F E ROH'b POIN t 3b. '8 E L L PHON E N O. .

.. OF CONTACT I I

4. TYPE OF CONTRACT ACTION (Checki i 4 NEW CONTRACT D. LETTER CONTRACT l

8. CHANGE ORDER E. UNPRICED ORDE R C. PRICE REVISION / l RE DETE RMINATION

5. T VPE OF CONTH AC1 (Chee41 FFP 6 PROPOSED COST (A+s Cs CPFF CPF h3 CPAF A. COST B. PROF IT/F EE C. TOT AL

] FPI OTHER (spretty; l L PLACE (5) AND PERIOD (5) OF PERFORMANCE i

8. List and reference the identification, quantity and tota: price proposed for each contract hne item. A hne item cost breakdown supporting this recap is re.  ;

ouired unless otherwrse specified by the Contracting Of ficer. (Contmue on reverse, and then on plats paper,if necessary. Use same headinat1  !

A LINE ITEM NO. B. IDENTIFICATION C. QUANTITY D. TOTAL PRICE E REF. l 5

9. PROVIDE NAME, ADDRESS. AND TELEPHONE NUMBER FOR THE FOLLOWING (f/svailable)

A. CONT R ACT ADMINtST RATION OFF ICE B. AUDIT OF FICE  !

lo. WILL YOU REQUIRE T HE USE OF ANY GOVERNMENT PROPERTY 11 A DO YOU R E.QUIR E GOVE RN. 118. TYPE OF F6N ANCING (v one)

IN THE PERF ORMANCE OF THIS WORKP(If "Yes." adentsfy) MENT CONT R ACT FINANCING TO PE RF ORM THIS PROPOSED ADVANCE PROGR ESS C NT CT r (f f "Yes." complete PAYMENTS

• PAYMENTS O veS ~O vES NO O Ou^a^~TeeO 'O^~s  !

12. HAVE. YOU BEEN AWARDED ANY CONT R ACTS OR SUBCONT s4 ACTS 13. 45 THis PROPOSAL CON 515T ENT wtTH YOUR ESTABLISHF D EST 4 FOR THE SAME OR SIMILAR ITEMS WITHIN THE PAST 3 YEARE? MATING AND ACCOUNTING PRACTICES AND PFtOCEDURES AND (if " Yea,"identsfy itemle). eustomertsi and contract numbertal) F AR PART 31 COST PRDNC8PLE51(if "No,"esplami YES

]NO YES

]NO

14. COST ACCOUNTING STANDARDS BOARD (CASB) DATA (Public Law 91379 as amended and FAR PAftf J0J A. WILL THIS CONT R AC1 ACT 6ON BE SUBJECT TO C ASB REGULA. B. HAVE YOU SUBMITTED A CASB DISCLOSURE ST ATEMENT TlON59 (if "No," esplain in proposal) (C AsB Ds I or 29 9 (If "Yes." specify m proposal the offste to whsch submitted and if determined to be adreware)

YES NO [YES NO C.HAVE YOU BEEN NOYlFIED T HAT YOU ARE OR MAY BE IN NON- D. 65 ANY ASPECT OF THis PROPOSAL INCONSISTENT WITH YOUR COMPL4ANCE WITH YOUR DISCLO5URE STATEMENT OR COST - Ot$ CLOSED PR ACTICES OR APPLICABLE COST ACCOUNTING ACCOUNT tNG ST ANDAR D51(if " Yes."esplom en proposal) ST ANDARD5?(if "Yes,"esplom en pmposal)

O vcs ~o YES O~O This proposal is submitted en response to the RF P, contract modification etc. m item 1 and reflects our best estimates and/oi actual costs as of this date and conforms with the instructions in F AR 15$044(b) (2), Table 15-2. Bir submitting this proposal, the offeror,if selected for negotiation grants the contracting offrer or an authorized representative the right to examine, et any time before award, those books.

records documents and othat types of factual information, repairdless of form or whether such supporting information is specifically ref.

erenced or included in the prooosal as the basis for priemq. that will permit an adeauste evaluation of the proposert price.

15. N AME AND TITLE (Type) 16. N AME GF F 4RM iL SIGNATORE 38* DATE OF SUBM45540N NSN 7640-01-142-9845 1411-102 STANDARD FORM 1411 (REV. 7 871 U.C. GOVEHepfNT PRINTIPG OFFICE 19eo

• 262.b81 PrescrlDed by GSA F AR (48 CF R) 53.215-2(c)

_ _ ._ _ . _ . _ _ _ _ _ ~ _ _ _ . _ . _ _ _ _ . _ . . _ _ . _ _ _

i STANDARD FORM 1411 WITH INSTRUCTIONS

! 1. SF 1411 provides a venicle for tne offeror to suomit to the Government a pricing proposal of estimated and/or incurred costs by contract line item l with supporting information, adequately cross-referenced, suitable for i detailed analysis. A cost-element breakdown using the applicable format prescribed in 7A, B or C below, shall be attached for eacn proposed line item and must reflect any specific requirements established by the Contracting Officer. Supporting breakdowns must be furnished for eacn cost element, consistent with offeror's cost accounting system.

j Wh66 more than one contract line item is proposed, sunnary 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.

i Watarials - Provide a consolidated priced summary of individual material

! quantities included in the various tasks, orders, or contract line items <

! being proposed and the basis for pricing (vendor quotes, invoice prices, etc.).

Subcontracted Items - Include parts, components, assemblies, and services that are to be produced or performed by others in accordance with offeror's design, specifications, or direction and that are applicable only to the 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 anc reasonableness of price, as well as the results of review and evaluation of subcontract proposals when required by FAR 15.806.

Standard Coemercial 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 exemption from submission of cost or pricing data, as required by FAR 15.804-3(a).

Interorganizational Transfer (at other than cost) - Explain pricing method used. (Sea.fAR 31.205-26.)

Raw Material - Consists of material in a form or state that reouires further processing. Provide priced quantities of items required for tne proposal.

Interorganizational Transfer (at cost) - Include separate breakdown of cost by element.

Direct Labor - Provide a time-phased (e.g., monthly, quarterly, etc.) and

~~ breakdown of labor hours, rates, and cost by appropriate category, furnish bases for estimates.

4 i

l Indirect Cost; - Indicate how offeror has computed and applied offeror's '

indirect costs, including cest 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.

l Other Costs -

List all other costs not otherwise included in the I

categories described above (e.g., special tooling, travel, computer and

consultant services, preservation, packaging _ and packing, spoilage and I rework, and Federal excise tax on finished articles) and provide bases for l pricing.

Royalties - if more than $250, provide the following information on separate page for each separate royalty or license fee: name and address l

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 ex 1 numbers of each contract item er l component on which the royalty is pay; ale); percentage or dollar rate 3f i royalty per unit; unit price of contract ites; number of units; and total i dollar amount of royalties. In addition, if specifically requested by the i Contracting Officer, provide a copy of the current license agreement, and l 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 offerer must

! submit Form CASB-CMF and show the calculation _of the proposed amount (see

FAR 31-205-10).

1

2. As part of the specific information required, the offeror must submit with

. offeror's proposal, and clearly identify as such, cost or pricing data

(that is, data that are verifiable and factual and otherwise as defined in l FAR 15.801). In addition, submit with offeror'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 met when all accurate cost or pricing data reasonably available to the offeror have been submitted, either actually or by authoruec specific identification, to the Contracting Officer or an representative. As later information comes into the offeror's possession.

it should be promptly submitted to the Contractin.) Officer. The requirement for submission of cost or pricing data continues to the time of final agreement on price.

i

4 In submitting offeror's proposal, offeror must include an index,  !

! appropriately referenced, of all the cost or pricing data and information i accompanying or identified in the proposal. In addition, any future  !

3 additions and/or revisions, up to the date of agreement on price, must be l annotated on a supplemental index.

4

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. l l

As soon as practicable after final agreement on price, but before the 6.

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 l l

• Data.

I 7. Headings for Submission of Line-Item Summaries: l 1

A. New Contracts (including Letter contracts).

Proposed Contract Proposed Contract Cost Elements Estimate-Total Cost Estimate-Unit Cost Reference (1) (2) (3) (4)

Under Column (1) - Enter appropriate cost elements.

Under Column (2) - Enter those necessary and reasonable costs that in offeror's judgment will properly be incurred in efficient contract performance. When any of the costs in- this. column have already been incurred (e.g., under a letter contract or unpriced order), describe them on an attached supportiny schedule. When preproduction or startup costs are significant, or whu. specifically requested to do so by the Contracting Officer, provide a full identification and explanation of them.

Under Column (3) - Optional, unle:s required by the Contracting officer.

Under Columr} (4) - Identify the. attachment in which the information supporting the specific cost element may be found. Attach separate pages as necessary.

4.

l i

1 4

l 8. Change Orders (modifications).

Cost of Estimated Deleted J Cost of All Work j Cost Work Already Net Cost to Cost of Net Cost of Elements Deleted Performed Be Deleted Work Added Change Reference

(1) (2) (3) (4) (5) (6) (7) l 1

Under Column (1) - Enter appropriate cost elements.

Urider Column (2) - Include (1) current estimates of what the cost would have been to complete deleted work not yet performed, and (ii) the cost I of deleted work already performed.

Under Column (3) - Include the incurred cost of deleted work already performed, actually computed if possible, or estimated in the l 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 j i and proposed disposition of each line item. Also, if offeror desires to retain these items or any portion of them, indicate the amount offered for them. l L

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).

l Under Column (5) - Enter the offeror's estimate for cost of work added by the change. When nonrecurring costs are significant, or when

' specifically requested to do 50 by the Contracting Officer, provide full i

identification and explanation of them. 1 s

j 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 results is negative. l place the amount in parentheses. Column (4) less Column (5) - Column i (6).

l Under Colussi (7) - Idantify the attachment in which the information supporting the specific cost element may be found. Attach separate pages l

l as necessary.

I i

d v

j

. . __._ _ _ -_. _ _.. - - - _ _ _ _ _ _ ~ _. __ __ _ _ _ .

i i

l C. Price Revision /Redeterminatior Number of Number of Redetermina-

! Units To Be Contract tion Proposal Units

' Cutoff Date Completed Completed Amount Amount Difference i (1)- (2) (3) (4) (5) (6) h l

4 incurred ~ incurred Incurred Cost- Cost Cost- Total Estimated Cost Preproduc- Completed Work In Incurred Cost To Estimated

! Complete Total Cost Reference Elements tion Units Process Cost

! (7) (8) (9) (10) (II) (12) (13) (14)

Under Column (1) - Enter the cutoff date required by the contract, if l applicable.

Under Column (2)~ - Enter the number of units completed during the period a

for which experienced costs of production are being submitted.

i 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.

i Under Column (6) - Enter the difference between the contract amount and the redetermination proposal amount. When this result is negative, place the amount in parenthesis. Column (4) less Column (5) = column (6).

Enter appropriate cost elements. When residual Under Column (7) -

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 as a listing of all subcontracts subject to repricing action, annotated to their status.

before Under Column (8) - Enter all costs incurred under the contract starting production and other nonrecurring costs (usually referred to as startup costs) from offeror'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 Explain the records, enter in this column offeror's best estimates.

" basis for each estimate and how the costs are charged onasofferor's costs direct accounting records (e.g., included in production 9.

__ _ _ _ _ _ _ _ - . _ . . ~ _ . _ . - . _ _ _ . _ ._____ _ _ _ _ _ _ _ _ _ _ . _

l

l

! I l..

)

. engineering labor, charged to manufacturing overhead, etc.). Also how

! the costs would be allocated 1o the units at their various states of contract completion.  !

l Under Columns (9) and (10) - Enter in Column (9) the production costs

. from offeror's books and records (exclusive of preproduction costs I reported in Column (8) of the units completed as of the cutoff date. j

- Enter in Column (10) the costs of work in process as determined from l offeror's records or inventories at the cutoff date. When the amounts i for work in process are not available in Contractor's records but i reliable estimates for them can be made, enter the estimated amounts in l Column (10) and enter in Column (9) the differences between the total

incurred costs (exclusive of preproduction costs) as of the cutoff date l and these estimates. Explain the basis for the estimates, including i identification of any provision for experienced or anticipated i allowances, such as shrinkage, rework, design changes, etc. Furnish experienced unit or lot costs (or labor hours) from inception of contract

to the cutoff date, improvement curves, and any other available l production cost history pertaining to the itM(s) to which offeror's l l 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 l Contractor's judgment will properly be incurred in completing the remaining work to be performed under the contract with respect to the item (s) to which Contractor's proposal relates.  ;

Under Column (13) - Enter total estimated cost (Total of Columns (11) and I

(12)).

Under Column (14) - Identify the attachment in which Attach the information separate pages supporting the specific cost element may be found.

as necessary.

p i

CONTRACTOR SPENDING _ PLAN - INSTRUCTIONS The Contractor Spending Plan (CSP) is an important tool for projecting and tracking contract costs and progress each task under the contract, i

Applicability The Nuclear Regulatory Commission (NRC) requires that the CSP be completed for cost reimbursement contracts when the award amount is expected to exceed

$100,000 and the period of performance is expected to. exceed 6 months. For task order type contracts, a CSP is required when an individual cost reimbursement task order is expected to exceed the above thresholds. When a contract or task order modification increases the contract or task order amount of a cnst reimbursement contract or task order to over $1D,0,000 and the pericd of performance from the effective date of the modifica' tion to the contract or task order expiration exceeds 6 months, a CSP is required for all contract work to be performed after the effective date of the modification.

Submission

1. A CSP is required:

a. as part of the cost proposal for a cost reimbursement contract or

- individual task order, or modification to a contract or task order

. which meets the above thresholds;

b. as part of the Best and Final Offer (if requested) as a result of j negotiations;

2. Updated CSP information is required on a monthly basis or as approved by the CO as part of the " Financial Status Report" (Ref: Section F.3,

" Financial Status Reportd ).

Format The attached CSP sample format may be duplicated and used by the Contractor, or raodified to permit more accurate reporting or to meet other needs of the contractor. For instance, the sample format provides spaces to report projected costs for 12 months, but the _ contractor may wish to alter the sample format for shorter or longer contract / task order periods. The contractor may also wish to alter the sample format for ease of typing or automated production. So long as complete information is provided on actual and projected costs or accomplishments, changes to the format to improve relevance to the circumstances are encouraged.

It is up to the discretion of the offeror to determine the appropriate level of cost detail to be presented based on the complexity of the effort. This plan reflects only the minimum requirements for submission of cost details which will be considered for completeness, reasonableness, and as a measure of ef fective management of the effort. The Contracting Officer reserves the right to request additional cost information, if deemed necessary.

CONTRACIO3 SPENDING PLAM (CJ J (10 IN comp 1cted cs e p;rt sf the Of fersr'c C:st Prtpossi fir etch cast retabursement csetrict cr individu)) tssk cMer cr fcr cry contr ct er task order modt f tcation which exceeds $100.000 and has a performance perted anceeding 6 months)

/ to / /

• seltcitetten No. Performan e Period: froe /

Contrcet Mo, Total Esttsated Costs (lacludtag flued fee. if any) of the i

Tesk Order No, i Proposed Contract /lask Order / Modification (to a contract Modification No. or task order) at the time of proposal subetssion.

Cfferwr/ Contractor Name: I Does not include options.

e t

Provide cost details by month for the total contract /tesk order /or task order med!?1 cation 4

4th Month 5th Month 6th Mor.th C:st Elements 1st Month 2nd Month 3rd Month s S s s s Direct Costs $__

s s s s Indirect Costs s s s s s s Tet:1 Estimated S $

Cssts including fixed fee if any Project  % .3 Compietion g y, x 3 .

lith Month 12th Month C2st Elements 7th Menth oth matn 9th math 10th Montt3 s s s Direct Costs s s s s s s Indirect Costs s 3- s 5 s _.

htal Estimated 5 $  :: $ $

Ccess including tired fee if arty

. i rojxt r~.-t... y g x _2 x

- . 2 _

. . - . . _ . . ... _ . - . . . - - . .. - . . - . . - . ~ , , _ _

,, Attachment No.

4 ELECTRONIC FUNDS TRANSFER l

.i l-ADDEND.A SAMPLES .

- I

, Remember...ACH addenda records can be up to 94 characters long. The first 3

positions are "705". The next 80 position are available to provide inforniation about the i payment. The last 11 positions are reserved for the special addendum sequence i

number (4 positions) and the entre dntail sequence number (7 positions). Below are

sample addenda records that you wili receive

1 Sample 1 LATE INVOICE PAYMENT with Prompt Pay Interest Penaky Notice 705RMT*N*01234******" Includes Interest of $25.00 et 12% for 8 daye\00019878543 a

where, 'RMT' is ANSI Segment 6dentifier Code for Remittance Advice

• separates the data elements; mukipie *** indicate intermediate data elements not used in the segment

• lV' is ANSI Reference Number Quahfier Code for Seller's invoce Number l *01234' (Reference Number) represents the seller invoice number

'includeu imerest of . .' (Description) clanfies the related data elements and their l content i

'\' terminates the segment Sample 2 UTILTTY PAYMENT l 705RMT*CR*9999.999999\00019676544 where,

'CR* is ANSI Referarce Number Qualifier Code for Customer Reference Number

• 9999 999999' represents the customer reference number l

Sample 3 CONTRACT PAYMENT i

j 705RMT*CT*7890987\00019876545 l

l where. *CT' is ANSI Reference Number Quahfier Code for Contract Number l '7890987' represents the contract number i

Sample 4 LOCKBOX PAYMEid

705 RMT*fV*12345\REF *LB *289\00019876546 wnere, *12345' represents the invoice number

' REP is AflS1 Segment identifier Ccvde for Reference Numbers

'LB' is ANSI Reference Numtw Qualifier Code for Lockbox

'269' represents the lockbox number Sample 5 INYOICE PAYMENT (DATED) 1 705RMT*N*43265\DTM

• 003* 891227\00019878547 where, '43265' represents the invoice number

'DTM* is ANSI Segment identifier Code for Date/ Time Reference

• 003* is ANSI Date/ rime Quahfier Code for Irweice

'891227' (Date) represents the invoce cate, formatted TrMMODa i

l ACH VENDOR / MISCELLANEOUS PAYMENT OMB No 1510-0056 l Expiration Date 06/30/93 ENROLLMENT FORM e.

This form is used for Automated Clearing House (ACH) payments with an addendum record that contains payment-related information processed through the Vendor Express Program. Recipients of these payments should bring this l

informabon to the attention of their financialinsttution when presenbng this form for completon. '

PRIVACY ACT STATEMENT

(

The following information is provided to comply with the Privacy Act of 1974 (P.L. 93 579). All l

, information collected on this form is required under the provisions of 31 U.S.C. 3322 and 31 CFR 210. j This information will be used by the Treasury Department to transmit payment data, by electronic means, to vendor's financial institution. Failure to provide the requested information may delay or prevent the receipt of payments through the Automated Clearing House Payment System.

3 AGENCY INFORMATION FEDERAL PROGRAM AGENCY

'U.S. NUCLEAR REGULATORY COMMISSION l

, AGENCY IDErmFIER I AGENCY LOCATION CODE (ALC) ACr4 FORMAT I NRC l 31000001 0 CCO+ 0 cTx 0 cTP l j tCDRESS l  : DIVISION OF ACCOUNTING AND FINANCE, Mall STOP T-9 H4 1 l

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I WASHINGTON, DC 20555-0001, l  !

l iCONTACT PERSON NAME TELEPHONE NUMBER i y FINANCIAL OPERATIONS SECTION ( 301 ) 415 - 7520 e

! PAYEE / COMPANY INFORMATION l E

INAME SSN NO. OR TAXPAYER 10 NO.

iADDRESS I

' CONTACT PERSON NAME: TELEPHONE NUMBER:

( )

FINANCIAL INSTITUTION INFORMATION  !

jNAME i

} ADDRESS i ACH COORCINATOR NAME- TELEPHONE NUMBER;

( )

' NINE-DIGIT ROUTING TRANSIT NUMBER

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DEPOSITOR ACCOUNT TITLE-

' DEPOSITOR ACCOUNT NUMBER. LOCK BOX NUMBER:

- ACH FORMAT:

CHEC40NG , SAVINGS

[ LOCK BOX SIGNATURE AND TITLE OF AUTHORZED OFFICIAL: TELEPHONE NUMBER-( )

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t l instructions for. Completing SF 3881 Form

1. Agency Information Section - Federal agency prints or types the name and address of the

, Federal Program agency originating the vendor / miscellaneous payment, agency identifier -

agency location code, contact person name and telephone number of the agency. Also, the

- appropriate box for ACH format is checked, i

i 2. Payee / Company Information Section -- Payee prints or types the name of tne i . payee / company and address that will receive ACH vendor / miscellaneous payments, social i security or taxpayer ID number, and contact person name and telephone number of the

. payee / company. Payee also verifies depositor account number, account title, and type of 4

account entered by your financial institution in the Financial Institution Information Section.

, 3. Financial Institution Information Section - Financial institution prints or types the name and

! address of the payee / company's financialinstitution who will receive the ACH per, ment, ACH i coordinator name and telephone number, nine-digit routing transit number, depositor.

j (payee / company) account title and account number. Also, the box for type of account is checked, and the signature, title, and telephone number of the appropriate financial institution official are included.

Burden Estimate Statement

The estimated average burden associated with this collection of information is 15 minutes per respondent or record keeper, depending on individual circumstances. Comments conceming the. accuracy of this burden estimate and suggestions for reducing this burden should be directed to the Financial Management Service, Facilities Management Division, Property and

- Supply Branch, Room B-101; 3700 East-West Highway, Hyattsville, MD 20782, and the Office sf Management and Budget, Paperwork Reduction Project (1510-0056), Washington, DC 2(.503.

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• . r .e ngs rv. rv a c r . ,u -e t p, THE GOVEENMENT OFAND THE UNITED STATES CF AMIEICA THE GOVERUMENT OF THE RUSSIAN FEDERATION ON COOPERATION IN RESEARCH ON RADIATION EFTECTS FOR THE PURPOSE OF MINIM!2ING THE CONSEQUENCES OF RADIOACTIVE CONTAMINATION ON HEALTH AND THE ENVIRONMENT and the The Government of the United States of America Government of the Russian Federation (hereinafter referred to as the "Farties"): .

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Desiring to establish clcse and long-term cooperarien in the field cf studying the radiation effects upon the healtn and "

cf the environment for the purpose of minimicing the effect radicactive contamination; I

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Noting the benefits to humanity of increased scientific understanding cf the radiation effects upon the health and the e n'. . r c nme nt :

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Have agreed as fcllcws; 1

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Article I The purpoce of this Agtcement is to establish a framework f or cooperation bet. oen the participating organizations of the ,

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parties, as' determined pursuant to Article IV of this Agreement, i'n research on raciation effects for the purpose t

I minimization of the consequences of radioactive contamination on health and the environment.

Article II The areas of cooperation under the Agreement may include, but are not limited to, the fo11cwing: .

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1. acalth effects studies including epidemic 1cgic and other health-related studies of werkers and community members potentially exposed to ionizing radiation;

2. Information and data management activities including information development and exchange of experience in radiation effectr, data creservatien, and daratase and i5fermation system deve'. prent; l I

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3. Environmental studies including the identification and modeling of deposition, dispersion, and ecological transport of radionuclides and other hazardous contaminants as necessary to study and reconstruct doses to human populations and to assess the impact of radioactivity on the environment. Levelopment and application of dosimerric systems and methodologies for retrospective reconstruction of doses to human populations.

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Health communication of risk assessment including i

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l distribution of public health information pertaining to l radiological contamination and measures to reduce present and  ;

future human exposure to radionuclides and associated hazardous substances; l

} 5. policy analysis including review of radiation detection and reporting mechanisms, as well as evaluatien of l i

l safeguards to minimize radiation effects on human population; l

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6. Scientific research to develop information which can assist in minimization of the conrequences of radioactive I

and health; contamination on the environmen

7. Other areas ef coeperatier as may be mutus'.ly agreed by tne parties, i 1

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Article III

1. To implement this Agreement, there shall be established a Joint Coordinating Committee f or Radiation Ef f ects Research (the "JCCRER").

2. The JCCRER shall consist of an ecual number of representatives from each Party. All decisions taken by the JCCRER shall be by mutual agreement of the Parties.

and meeting

3. The JCCRER will decide on its membership schedule. Generally, it will be convened once a yeer, alternatively in the United States and Russia, unless agreed otherwise. Times, places and agendas fcr meetings will be i.

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agreed upon in adv:nce by the Parties. i 9

4. The JCCRER will, within the framework cf its jurisdiction, cocrdinate and review all aspects of cooperation under this Agreement and shall take such action as is I I

apprcprista fer this Agreement *: eifective implementa:icn.

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The JCCRER may organi c, estat?. sh and arran7e w; rhin 9 I

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y: cur: cenie:er.ces ene remi,au oi re-cielist: i:: ,

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cascussion and study of specit.ic topics related to the purposes

' of this Agreement. Specific prcjects and programs for radiation effects research, exchanges of scientific and technical safety information, perronnel and equipment, and a

l procedores for addressing and resolving cuestions of such matters as payment of costs under this cooperation, and patent

and/or publication rights for jcint act

vities administered under this Agreement may be developed separately by the JCCRER l l

in accordAnce with the laws anc regulations cf the Parties.

6. The JCCRER shall generally establish on an annual basis b a program cf cooperation to be 1.nplemented during the following Year. t l

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,p 7 .. The Executive Agents responsible for coordination of il this Agreement shall be, for the United States of America, the United States Department of Energy, and for the Russian ,

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Federation, the State Committee of the Russian iederation for i.

' the Social Prctecticn of ?cpulatien and Rehabilitation cf Regions Affected by Chernobyl and Otner Radiation Catastropher.

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Article IV 1

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The forms of cooperation to be approved by the JCCRER under i

this Agreement may include the following:

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l. Joint' data collection and information exchange, as well as experimental, developmental, demonstrational and design work l 1

l by technical personnel at appropriate facilities and sites of 1

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the two countries; i 1

2. Exchanges of appropriate instrumentation, equipment and materials for projects;

3. Exchange cf technical specialists for participation in agreed activities; r

4. Exchange of appropriate scientific and technical information, documentation and results of research:

5. organizatien of seminars and other meetings en v; reed tcpics: and

6. Such adeiticna' ferms cf coc.:eration, ar mutu2113 t

j agreee.

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Article V

1. Cooperation under this Agreement will be conducted according to the plans and programs of the following principal establishments and organizations, as agreed to pursuant to ArticleI$1.5:

In the United States of America:

-- the Department of Energy;

-- Nuclear Regulatory Commission;

-- Department of Defense;

-- Department of Health and Human Services;

-- Environmental protection Agency; and other government and departments and nuclear industry establishments i

i organizations, as appropriate; a in the Russian Federation:

-- State Committee of the Russian Federation for the Social protection and Rehabilitation of Regions Affected by Chernobyl and Other Radiation Catastrophes;

-- Ministry of the Russian Federation for Atomic Energy; Ministry of Health of the Russian Federation:

Ministry of Agriculture of the Russian Federation; State Committee on Sanitary and Epidemiological f

' Surveialnnce of the Russian Federation; ,

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-- Federal Service of Russia on Nuclear and Radiation Safety;

-- Ruscian Federal Service for Hydrometeorology and Environmental Monitoring;

-- Federal Service of Russia on Forest Economy;

-- Russian Ministry of Defense;

-- Russian State Committee for Civil Defense Affairs, Emergencies and Elimination of Consequences of Natural Disasterc;

-- Russian Academy of Sciences, and other interested Russian ministries, departments, and organizations. f

2. Each Party may adjust the list of its principal establishments and organizations participating in this cooperation, and shall inform the other Party of any such Russian adjustments through the State Committee of the ,

Federation for the Social Protection of Population and i I

l Rehabilitation of Regions Affected by Cherncbyl and Other l l

Radiation Catastrophes and the United States ^epartment f I

of Energy.

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Article VI 9

1. Provisions for the protection and allocation of intellectual property are set forth in the Anner to this Agreement and form an integral part of this Agreement and apply to all activities carri _,out hereunder.

2. For purposes of this Agreement, the obligations of Article III of the Annex shall also apply to " Confidential Information". Confidential information means information containing know-how, trade secrets, or technical commercial, c:

financial informaticn that: f

-- has been held in confidence by its owner;

-- is not generally known c: available f:cm other sources;

-- has not been made available by its cwner to other parties without an obligation concerning its confidentiality; and

-- is not available to the receiving Party without cbligations concerning its confidentiality I

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Article VII i

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1. Cooperation under this Agreement will be conducted according to the international obligations, laws and regulations of the Parties and will be subject to the availability of funds.

2. Exchange of specialists and experts shall be governed by mutual agreement of the Parties in each case.

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3. Any cuestions of interpretation and implementation relating to this Agreement shall be resclved by agreement of the Parties.

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1. This Agreement will enter inte force upon signature and w;11 remain in force for five (5) years, sub;ect t0 exten on cf additional tive (5) yes: terms by written agreement of the i 1

F a r t :. e r fe:lewing jcint revie. et .he end of each five-yea:

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Ci thic b 9 I C3Ee n *- > EII CiU l 2, In Care Of Certs '.Cn g,

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- : :: . t and experimen:t be i .g ccnducted at the CerratiCn Cf i

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this Agreement may be continued to their conclusion in accordance with the terms of this Agreement.

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3. This Agreement may be amended by mutual agreement ,

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wr ting.

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4. Either Party has the right to terminate this Agreement f

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I notice. 1 1

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l IN WITNESS WHEREOF, the undersigned, being duly authorized by their respective Governments, have signed this Agreement.

day of Done at Moscow, in duplicate, this 14th January, 1994, in the English and Russian languages, each text being equally authentic.

FOR THE GOVERNMENT OF FOR THE GOVERNMENT OF THE RUSSIAN TEDEF.AT~sN:

THE UNITED c'ATES F AMER:CA: i

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ANNEX INTELLECTUAL PROPERTY Pursuant to Article VI of this Agreement:

The Parties shall ensure adequate and effective i

I protection of intellectual property created or furnished under I The l this Agreement and relevant implementing arrangements. l J

Parties agree to notify one another in a timely fashion of any inventions or copyrighted works arising under this Agreement and to seek protection for such intellectual property in a timely fashion. F.ights to such intellectual property shall be allocated as previded in this Annex.

I. SCCFE e A. This Annex is applicahle to all cooperative to inis Agreement, except as activities undertaken pursuant ctnerwire specifically agreed to by the Parties or their I

i derigneer.

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purpcses cf this agreement, Intellectual

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snail have tne mean;ng f ou:.d ; n A::irle : rf *5e

{ werld Intel;ectua; Prcperty 1 cnvent:en Establishing the C:qsrizaticn, done a: StockhC;m, Jul. 14, 196~

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C. This Annex addresses the allocation of rights, interests, and royalties between the Parties. Each Party shall ensure that the other Party can obtain the rignts to intellectual property allocated in accordenre with the Annez, by obtaining those rights from its own pa;ticipants through contracts or other legal means, if nect.ssary This Annex does not otherwise alter or prejudice the allocation between a Party and its nationals, which shall be determined by that Party's laws and practices.

D. Disputes concerning intellectual p:cperty arising under this Agreement should be resclved thrcugh discussions between the concerned participating i ns t i:u r i c r.s cr, if necessary, the Parties or their designeer. Upcn mutual agreement of the Parties, a dispute shall be submitted :c an arbitral tribunal for binding arbitratien ir acccrdance with the applicable rules of international law. Ur.les: the Parties or their designees agree ctherwise in writir.g, the arbitration rules of the UNCITEAL shall govern.

Termination cr er;iration cf :. A; ecc : c h a *. .  !

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affect ::e.nt: :: celic.ationc uncer thit e

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II. ALLOCATION OT RIGHTS A. Each party shall be entitled to a non-exclusive, a

i irrevocable,l royalty-free license in s12 countries to j

't translate, re' produce, and publicly distribute scientific and technical journal articles, reports, and books directly arising i

from cooperation under this Agreement. All publicly distributed copies of a copyrighted work prepared under this prevision shall indicate the names of the authors of the work unless an author specifically declines to be named.

B. Rights to all forms of intellectusi property, other i

than those rights described :n Section II(A) above shall be allocated as follows: e 1

3. Researchers and scientists visiting in furtherance of their education shall receive intellectual prcperty rights under the er.: sting rules cf the host In addition, each iriting researcher or institution.

e scientist named es an inventer rnall have the right :: r.aticr.a!

I treatment regarding awardr, benefits er other compensaticn,  !,

I the ' _ : . r t i r.g rules cf {

ncluding rcyalties, in eccc: car.ce w :  :

i the nest institutien. l l

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2. (a) For intellectual property created during joint research, for example, when the Parties, participating institutions, or participating personnel have agreed in advance on the scope of work, each Party shall be entitled to obtain in its own territory. Rights and all rights and interests interests in third countries will be determined in implementing The rights to intellectual property shall be arrangements.

allocated with due regard for the econcmic, scientific and f

technological contributions from each Party to the creation o If research is not designated as "jcint intellectual property.

research" in the relevant implementing arrangement, rights to research will be intellectual property arising from the In addition, allecated in accordance with Paragraph II(E)(1).

an inventor shall have the right te each persen named as a

national treatment regirding awards, benef.its and other compe:4sation, including rcyalties, in accordance with the existing rules cf the hest institutien. .

'f a (b) NotwitnSt anding Faragr aph II(3) 2(a),

type :f intellectuci prepert; is available under the laws of j

ene part; but nct :Pt ri ter F a r t; . the par : where laws p cvide '

e r : e r t i e n : r.a l l te entit:ed to a:: right: are (

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III. BUSINESS-CotJFIDENTIAL INFORMATION In the event that information identified in a timely fashion as business-confidential is furnished or created under the Agreement, each Party and its participants shall protect such information in accordsnce with applicable laws, regulaticns, and administrative practice. In'ormation may be identified as " business-confidentral if a c.. Ton having the information may derive an economic benefit from it or may obtain competitive advantage over those who do not have it, the information is not generally known or publicly available from other sources, and the owner has not previously made the information available without imposing in a timely manner an I

cbligation te keep it ccnfidential.

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