ML20141D827
| ML20141D827 | |
| Person / Time | |
|---|---|
| Issue date: | 06/24/1997 |
| From: | Aufmuth M, Wiggins E NRC OFFICE OF ADMINISTRATION (ADM), SCIENTECH, INC. |
| To: | |
| References | |
| CON-FIN-E-7103, CON-NRC-08-97-302, CON-NRC-8-97-302 NUDOCS 9706300034 | |
| Download: ML20141D827 (179) | |
Text
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b 3..d , O Page 1 of 2 l 1. THIS CONTRACT IS A RATED ORDER UNDER.DPAS (15 CFR 700) RATING l 2. CONTRACT NO. 3. EFFECTIVE DATE 4. REQUISIT' ION / PROJECT NO. I l NRC-08-97-302 See box 19c OIP-97-302 l
l 5. ISSUED BY Code: 6. ADMINISTERED BY Code:
l (If other than Item 5)
U.S. Nuclear Regulatory Commission l h Division of Contracts !
Contract Management Branch 2 i Mail.Stop - T-7I2 l
- 7. NAME AND ADDRESS OF CONTRACTOR 8. DELIVERY SCIENTECH, Inc. [ ] FOB ORIGIN 1 l 111140 Rockville Pike, Suite 500 [X] OTHER (See below)
Rockville, Maryland 20852 TIN: 82-0381275 9. DISCOUNT-FOR PROMPT PAYMENT N/A Principal Investigator / Technical
Contact:
Dr. John Bickel Telephone No: (619) 436-1131
- 10. SUBMIT INVOICES (4 copies unless otherwise specified) TO THE ADDRESS SHOWN IN ITEM: 6
- 11. SHIP TO/ MARK FOR CODE l12. PAYMENT WILL BE MADE BY CODE U.S. Nuclear Regulatory Commission Division of Accounting and Finance
- Attn
- Dr. Hans Schechter Office of the Controller T-9 E2 OIP/BCA, Mail Stop - O-4E3 U.S. Nuclear Regulatory Commission Washington, DC 20555-0001 Washington, DC 20555-0001
- 13. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION
! [] 10 U.S.C. 2304 (c) [ ] [] 41 U.S.C. 253 (c) { ]
l 14. ACCOUNTING AND APPROPRIATION DATA B&R:77G-60-817-005, JOB CODE: E-7103, APPN NO.: 31X0200.77G l
BOC NO.: 252A, OBLIGATED AMOUNT $169,347 15A. ITEM 15B. SUPPLIES / 15C. QUANTITY 15D. UNIT 15E. UNIT 15F. AMOUNT NO. SERVICES PRICE
. Technical Assistance to the NRC Office of International Programs contract. This is a CPFF (Completion Form) ,s ,_ .
contract. ) [))) f j o70061 15G. TOTAL AMOUNT OF CONTRACT $526,928.00 EXCEPTION TO STANDARD FORM SF26 (REV.4-85) Prescribed by GSA l
- FAR (4 8 CFR) 53. 214 (a) b!! * ,
9706300034 970624 PDR CONTR NRC-08-97-302 PDR _,.
l AWARD / CONTRACT Page 2 of 2 Pages
- 16. TABLE OF CONTENTS X SEC DESCRIPTION PAGE(S)
PART I - THE SCHEDULE A SOLICITATION / CONTRACT FORM B SUPPLIES OR SERVICES AND PRICES / COSTS C DESCRIPTION / SPECIFICATIONS / WORK STATEMENT D PACKAGING AND MARKING E INSPECTION AND ACCEPTANCE F DELIVERIES OR PERFORMANCE G CONTRACT ADMINISTRATION DATA H SPECIAL CON'I'RACT REQUIREMENTS PART II - CONTRACT CLAUSES' I CONTRACT CLAUSES PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS l J LIST OF ATTACHMENTS l PART IV - REPRESENTATIONS AND INSTRUCTIONS l K REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS l L INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS l M EVALUATION FACTORS FOR AWARD l
CONTRACTING OFFICER WILL COMPLETE ITEM 17 OR 18 AS APPLICABLE
- 17. [X] CONTRACTOR'S NEGOTIATED AGREEMENT (Contractor is required to sign this document and return 02 copies to issuing office.) Contractor agrees to
-furnish and deliver all items or perform all the services set forth-or otherwise identified above and on any continuation sheets for the consideration stated herein. The rights and obligations of the parties to l this contract shall be subject to and governed by the following documents: (a) l this award / contract, (b) the solicitation, if any, and (c) such provisions,
! representations, certifications, and specifications, as are attached or incorporated by reference herein. (Attachments are listed herein.)
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- 18. [ ] AWARD (Contractor is not required to sign this document.) Your offer l on Solicitation Number , including the additions or changes made by l you which additions or changes are set forth in full above, is hereby accepted
' as to the items listed above and on any continuation sheets. This award consummates the contract which consists of the following documents: (a) the ,
l Government's solicitation and your offer, and (b) this award / contract. No further contractual document is necessary.
19A. NAME AND TITLE OF SIGNER 20A. NAME OF CONTRACTING OFFICER (Type or print)
Melissa H. Aufmuth Elois J. Wiggins Contracts Manaaer 19B. NAFE OF C@ TRACTOR 20B. UNI- ATES pF AMERICA
(-by /b vLdAM th3MM 4'/mW by ~
(Signature of person autnorized to sign) (Signature of Co pg cting Of ficer)
- 19C. DATS SIpNED 20C. DATE SIGNED j
(.d 14 M --
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. EXCEPTION TO STANDARD FORM 26 (REV.4-85) /
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TABLE OF CONTENTS PAGE l ,
i AWARD / CONTRACT PlutT I - THE SCHEDULE . . . . . . . . . . . . . . . . . . . . . . . 4 SECTION B - SUPPLIES OR SERVICES AND PRICES / COSTS . . . . . . . . . 4 !
B.1 PROJECT TITLE . . . . . . . . . . . . . . . . . . . . 4 i B.2 BRIEF DESCRIPTION OF WORK (POUR 1987) . . . . . . . . . 4 I ALTERNATE 1 (JUN 1988)
( B.3 CONSIDERATION AND OBLIGATION--TASK ORDERS (AUG 1989) 4 l
! ALTERNATE 1 (JUN 1991) i
! B.4 CONSIDERATION AND OBLIGATION -- TASK ORDERS (AUG 1989) 5 I l ALTERNATE 1 (JUN 1991) OPTION PERIOD l B.5 MINIMUM AND MAXIMUM-QUANTITIES . . . . . . . . . . . . 5 SFCTION C - DESCRIPTION / SPECIFICATIONS / WORK STATEMENT . . . . . . . 6 C.1 STATEMENT OF WORK . . . . . . . . . . . . . . . . . . 6
'C.
1.1 BACKGROUND
. . . . . . . . . . . . . . . . . . . . . 6 C.1.2 CONTRACT OBJECTIVES . . . . . . . . . . . . . . . . . 6 i C.1.3 WORK REQUIREMENTS . . . . . . . . . . . . . . . . . . 7 )
C.1.4 TECHNICAL PERSONNEL AND OTHER SPECIAL . . . . . . . . 7 l QUALIFICATIONS REQUIRED C.1.5 ASSISTANCE COORDINATION . . . . . . . . . . . . . . . 8 C.1.6 MEETINGS AND TRAVEL . . . . . . . . . . . . . . . . . 8 i l C.1.7 NRC-FURNISHED MATERIALS . . . . . . . . . . . . . . 8 I C.2 NRCAR 2052.215-83 TRAVEL APPROVALS (JAN 1993) . . . 9 SECTION D - PACKAGING AND MARKING . . . . . . . . . . . . . . . . . 10 l L D.1 PACKAGING AND MARKING (PUut 1987) . . . . . . . . . . . 10 l l 1 l
'SECTION E - INSPECTION AND ACCEPTANCE . . . . . . . . . . . . . . . 11 E.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988) 11 l L E.2 PLACE'OF INSPECTION AND ACCEPTANCE (MAR 1987) . . . . 'll i
SECTION F - DELIVERIES OR PERFORMANCE . . . . . . . . . . . . . . . 12 F.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988) 12 F.2 REPORTS, DOCUMENTATION AND OTHER DELIVERABLE END ITEMS 12 F.3 PLACE OF DELIVERY--REPORTS (JUN 1988) . . . . . . . . 17 F.4 DURATION OF CON.?RACT PERIOD (P0ut 1987) . . . . . . . . 17 ALTERNATE 4 (JUN 1988)
F.5 RESOLVING NRC CONTRACTOR DIFFERING PROFESSIONAL . . . 17 VIEWS (DPVs)
SECTION G - CONTRACT ADMINISTRATION DATA . . . . . . . . . . . . . 19 G.1 NRCAR 2052.215-71 PROJECT OFFICER AUTHORITY . . . . . 19 (JAN 1993) 1 G.2 NRCAR 2052.215-82 TRAVEL REIMBURSEMENT . . . . . . . . 21
- ALTERNATE 1 (JAN 1993)
G.3 NRCAR 2052.216-71 INDIRECT COST RATES (JAN 1993) . . . 22 G.4 NRCAR 2052.216-74 TASK ORDER . . . . . . . . . . . . . . 22 PROCEDURES (JAN 1993) i
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l TABLE OF CONTENTS PAGE G.5 NRCAR 2052.216-75 ACCELERATED TASK ORDER PROCEDURES . 24 (J1W 1993 )
l G.6 USE OF AUTOMATED CLEARING HOUSE (ACH) . . . . . . . 25 l ELECTRONIC PAYMENT l
l SECTION H - SPECIAL CONTRACT REQUIREMENTS . . . . . . . . . . . . . 26 l
H.1 NRCAR 2052.209-73 CONTRACTOR ORGANIZATIONAL . . . . . 26 CONFLICTS OF INTEREST (JAN 1993) ,
H.2 NRCAR 2052.215-70 KEY PERSONNEL (JAN 1993) . . . . . . 30 I H.3 NRCAR 2052.235-72 SAFSTY, HEALTH, AND FIRE . . . . . . 31 l l PROTECTION (JAN 1993)
- H.4 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED 31 (JUN 1988)
PART II - CONTRACT CLAUSES . . . . . . . . . . . . . . . . . . . . 32 l
SECTION I - CONTRACT CLAUSES . . . . . . . . . . . . . . . . . . . 32 I.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988) 32 1 l I.2 52.216-18 ORDERING (OCT 1995) . . . . . . . . . . . . 33 I.3 52.216-19 ORDER LIMITATIONS (OCT 1995) . . . . . . . . 34 I.4 52.216-22 INDEFINITE QUANTITY (OCT 1995) . . . . . . . 34 I.5 52.217-9 OPTION TO EXTEND THE TERM CF THE . . . . . . 35 i CONTRACT (foul 1989) ;
I.6 52.222-2 PAYMENT FOR OVERTIME PREMIUMS (JUL 1990) . . 35 I.7 52.229-8 TAXES--FOREIGN COST-REIMBURSEMENT CONTRACTS . 3G l (MAR 1990) j PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS . . . 38 SECTION J - LIST OF ATTACHMENTS . . . . . . . . . . . . . . . . . 38 J.1 ATTACHMENTS (f001 1987) . . . . . . . . . . . . . . . 38 l l
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- NRC-08-97-302 Section B 1
I PART I - THE SCHEDULE SECTION B - SUPPLIES OR SERVICES AND PRICES / COSTS l
l L B.1 PROJECT TITLE I
l The title of this project is as follows:
Regulatory Assistance and Support to the Regulatory Bodies l of a Selected number of Central and East European (CEE) l Countries (Lithuania, Bulgaria, Czech Republic, Hungary, i and Slovakia) and of the Former Soviet Union (FSU).
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! [End of Clause]
l l l B.2 BRIEF DESCRIPTION OF WORK (bum 1987) l ALTERNATE 1 (JUN 1988) J
- 1 (a) Brief description of work:
The Contractor shall provide technical expertise to assist I the Office of International Programs in accomplishing their i j missicns and associated programs and activities as described in the Statement of Work.
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(b) Orders will be issued for work required by the NRC in accordance with 52.216 Ordering. Only Contracting Officers of the NRC or other individuals specifically authorized under this contract may authorize the initiation of work under this contract. The provisions of this contract shall govern all orders issued hereunder. 1 I
[End of Clause)
B.3 CONSIDERATION AND OBLIGATION--TASK ORDERS (AUG 1989)
ALTERNATE 1 (JUN 1991) i l
(a) The Maximum Ordering Limitation (MOL) for products and services ordered, delivered and accepted under this contract is $526,928. The Contracting Officer may place orders with ;
the contractor during the contract period provided the !
aggregate amount of such orders does not exceed the MOL.
(b) The guaranteed minimum obligated by the Government under this contract is $169,347.
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NRC-08-97-302 Section B l l
l 3.3 (Continued) ,
l (c) A total estimated cost as well as any fee, if any, will be
- negotiated for each task order and will be incorporated as a ceiling in the resultant task order. The Contractor shall comply with the provisions of 52.232 Limitation of Cost for fully funded task orders and 52.232 Limitation of Funds for incrementally funded task orders, issued hereunder.
l l [End of Clause]
B.4 CONSIDERATION AND OBLIGATION -- TASK ORDERS (AUG 1989)
ALTERNATE 1 (JUN 1991) OPTION PERIOD l (a) The maximum ordering limitation (MOL) for products and services ordered, delivered and accepted under this contract
! is $278,061. The Contracting Officer may place orders with the contractor during the contract period provided the l aggregate amount of such orders does not exceed the MOL.
(b) A total estimated cost as well as any fee, if any, will be negotiated for each task order and will be incorporated as a ceiling in the resultant task order. The contractor shall ,
comply with the provisions of 52.232 Limitation of Cost I for fully funded task orders and 52.232 Limitation of
- Funds for incrementally funded task orders, issued hereunder.
B.5 MINIMUM AND MAXIMUM QUANTITIES It is anticipated that approximately 4 task orders will be issued during the two-year base period of performance and that approximately 3 task orders will be issued during the one thirty-six month option period. The minimum quantity that the Government will order and the Contractor shall furnish will be at leas- 15% of the mutually agreed upon ceiling amount of the Base Period of the contract. The maximum quantity the Government will order and the contractor shall furnish is the mutually agreed upon ceiling amount of the resultant contract. (Reference also the Articles on Ordering and Indefinite Quantity contracts.)
[End of Clause]
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NRC-08-97-302 Section C SECTION C - DESCRIPTION / SPECIFICATIONS / WORK STATEMENT C.1 STATEMENT OF WORK C.I.1 BACKGROUND The U.S. Nuclear Regulatory Commission provides regulatory assistance and support to the regulatory bodies of a selected number of Central and East European (CEE) countries (Lithuania, Bulgaria, Czech Republic, Hungary, and Slovakia) and of the Former Soviet Union (FSU).
The general areas where NRC has focused its technical assistance and training efforts include the following:
( 1. Developing and implementing nuclear safety regulations and
- nuclear safety standards for Soviet-design reactors.
- 2. Developing and implementing nuclear safety inspection programs for Soviet-design reactors patterned after NRC practices and methodology.
- 3. Transferring, and helping to implement, NRC nuclear safety evaluation practices and procedures for the review and licensing of Soviet-design reactors.
Continuation of these types of programs is anticipated for the coming years, and new needs will likely arise as a result of ongoing safety Assessments of Soviet-design reactors. Accordingly, NRC's Office of International Programs (OIP) is seeking to simplify internal administrative work by creating a general contracting instrument to obtain a wide variety of technical support services from a sing 1r contracting source.
, At the cresent time only the work scope for the Lithuanian assistance effort :.s fairly well defined, and partial funding through USAID is !
already in place. Availability of funding for additional work in other i countries is not yet assured, and may in fact not materialize.
c.1.2 CONTRACT OBJECTIVES !
The Contractor shall provide personnel with a wide range of technical and scientific disciplines on a task-ordering basis to assist the NRC's ;
Office of International Programs (OIP) staff in accomplishing their l work-related activities aimed at providing continuing and uninterrupted transfer of NRC regulatory and safety methodology to the countries with Page 6 of 38 0 .
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- l NRC-08-97-302 Section C g C.1.2 (Continued) ongoing USNRC assistance programs. Additionally, the contractor shall provide USNRC with the flexibility a deal in the future with similar requests from the CEE and FSU countries.
C.1.3 WORK REQUTREMENTS As noted in C.1.2, the Contractor's personnel shall be responsible for assisting OIP staff with work activities which support the Office's goal of providing continuing and uninterrupted technical training and-assistance to the CEE countries with ongoing USNRC assistance programs.
All work will be ordered on a task-ordering basis in accordance with the Task Ordering procedures found in Section G, Subsection G.6. It is likely that a number of task orders may be in place simultaneously.
The completion schedule will be determined for each task order when the task is issued.
As noted in C.1.1, contractor assistance is required for, but not limited to the following:
- 1. Developing and implementing nuclear safety regulations and nuclear safety standards for Soviet-design reactors.
- 2. Developing and implementing nuclear safety inspection programs for Soviet-design reactors patterned after NRC practices and methodology.
- 3. Transferring, and helping to implement, NRC nuclear safety evaluation practices and procedures for the review and ,' ,
licensing of Soviet-design reactors.
C.1.4 TECHNICAL PERSONNEL AND OTHER SPECIAL QUALIFICATIONS REQUIRED All personnel performing work under this contract, including Principal Investigators and team members involved in the performance of task orders, shall have pertinent technical experience in the disciplines listed in the description of Technical Qualifications for Contractor Personnel identified in Attachment No. 9.
The contractor shall designate one Senior Technical Expert with the capability to address highly complex technical issues such as those listed in Attachment No. 10, has a thorough knowledge of the NRC's approach to performing safety reviews and evaluations, and has the capability to serve as a Principal Investigator under the contract.
Such Senior Expert shall be considered key personnel and is considered to be critical to this contract. Removal of these personnel from the contract shall be performed in accordance with the Key Personnel Clause in Section H, Subsection H.2.
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i NRC-08-97-302 Section C C.1.4 (Continued) l The Contractor shall provide a Program Manager who shall also be considered as key pe_sonnel under the contract. The Contractor's Program Manager shall have the following responsibilities:
- 1. Oversight responsibility for all task orders placed under any resulting contract;
- 2. Oversight responsibility for the efforts of the contractor's team assembled for each task order placed under any resulting contract;
- 3. Performance of other project management duties necessary for successful completion of task orders and overall contract l
requirements;
- 4. Ensuring the quality of deliverables so that all information and data are accurate and complete. In addition, the Program Manager shall be responsible for assuring that work done for the NRC is performed adequately and the contractor's methods and approaches of executing the work are integrated to include all the appropriate and relevant technical disciplines.
C.1.5 ASSISTANCE COORDINATION l The Contractor shall assist the OIP Project Manager in coordinating l U.S. activities and interests with those performed by other Western
- Countries and Technical Support Organizations. This assistance shall l include, among other things, accompanying the OIP Project Manager to meetings held in Europe with representatives of other donor countries.
The Contractor shall be responsible for keeping the OIP Project Manager fully informed on important activitier/ issues tha" come up in technical discussions with other countries, and in recommending changes in work scope, as appropriate.
C.1.6 MEETINGS AND TRAVEL Specific meeting and travel requirements will be identified in the specific task order statements of work. Travel Approvals are required in accordance with Section G, Subsection G.4.
C.l.? NRC-FURNISHED MATERIALS l
Any reports, documents, equipment, and other materials that the l contractor will require to perform the work will be -_ated in the " Work
{ Requirements" section of the task order statement of work.
[End of Clause)
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- NRC-08-97-302 Section C C.2 NRCAR 2052.215-83 TRAVEL APPROVALS (JAN 1993)
.(a) All domestic travel requires the prior approval of the project officer.
-(b) All foreign travel must be approved in advance by the NRC on NRC Form 445 and 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. #
[End of Clause]
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i NRC-08-97-302 Section D l
l SECTION D - PACKAGING AND MARKING l
D.1 PACKAGING AND MARKING (MAR 1987)
The Contractor shall package material for shipment to the NRC in such a manner that will ensure acceptance by common carrier and-safe delivery at destination. Containers and closures shall comply with the Interstate Commerce Commission Regulations, 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]
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.o a NRC-08-97-302 Section E SECTION E - INSPECTION AND ACCEPTANCE E.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988)
This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text.
Upon request, the Contracting Officer will make their full text available.
I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES NUMBER TITLE DATE q 52.246-5 INSPECTION OF SERVICES APR 1984
- COST-REIMBURSEMENT I
[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]
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NRC-08-97-302 Section F SECTION'F - DELIVERIES OR PERFORMANCE F.1 52.252-2 CLAUSES INCORPORATED BY REFER 3NCE (JUN 1988)
This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text.
Upon request, the Contracting Officer will make their full text available.
I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES NUMBER TITLE DATE 52.242-15 STOP-WORK ORDER AUG 1989 Alternate I (APR 1984) ,
[End of Clause]
F.2 REPORTS, DOCUMENTATION AND OTHER DELIVERABLE END ITEMS F.2.1. MONTHLY BUSINESS LETTER REPORT REQUIREMENTS ,
A Monthly Business Letter Report (MBLR) will be submitted by the 15th of each month to the Technical Assistance Project Manager, OIP. A copy is to be provided to the Contracting Officer, Division of Contracts, NRC.
Each report will contain four sections as described below.
Information in Section F.2.2 and F.2.3 will be provided for.each task order.
F.2.2 WORK PROGRESS STATUS SECTION i
- a. Task Order Identification information 1
- The JCN, the task order number and title. !
The Principle Investigator (s) and telephone number (s).
- The NRC Technical Monitor (s) and telephone number (s).
- The Authorized Ceiling amount for the task order.
- The total cost for the period and cumulative to date;
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- NRC-08-97-302 Section F Task- Completion Date Completion Date Provide'a The day, month, The revised day, brief and year scheduled month and year summary of for completion, or based on a change.
the work; time-frame if The reacon for reports or a date_is not the change must travel. known or projected. be given in the
" Problem /Reso-lution" section
.below.
- c. Work Performed During the Period This section should contain a clear, succinct discussion of the work performed on each task order during the period. As a minimum, these discussions should support the costs reported for the period. Verbiage such as " worked on all tasks," or " continued l to work on Task 1.a" are not particularly useful and reduce the l effectiveness of the monthly report as a management tool and for historical documentation.
l L Any travel taken during the reporting period should also be summarized in this section of the report. Each travel summary should identify the persons traveling, the duration of the travel, the purpose of the travel, and any work / accomplishments not L reflected elsewhere.
l l d. Problem / Resolution
- All problems encountered during the period should be clearly and succinctly identified and stated. Then, the resolution or the proposed solution should_be briefly l described. It should be clearly evident, from a reading of L the description, who has the action to resolve the problem, l should it still exist at the time the report is written.
l-l - Notwithstanding type status of the problem at the time the l MBLR is written, problems should be recorded in the
" Problem / Resolution" section of the MBLR for documentation / historical purposes. If the problem still exists in a subsequent month, in whole or in part, it should be tescribed as it currently exists; otherwise, it should be deleted from the report.
- Problems or circumstances that require a change in the level of effort / costs, scope, or travel requirements are to j be described in the MBLRs for documentation purposes but are to be dealt with separately in a letter addressed and sent to the NRC Contracting Officer with a copy to the NRR
- Project Manager.
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NRC-08-97-302 Section F
- e. Plans for Next. Period Provide a brief description of the work to be performed / accomplished during the next reporting period. If a milestone is expected-to be completed during the.next report period, so state.
F.2.3 FINANCIAL STATUS SECTION L a. Provide-the total' direct staff use and the amount of funds
! expended (costed) during the period and total cumulative fiscal
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! , year to date in the following categories for'each task ordert l Current FY to l .-
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'1. Direct Labor (hours) Month Date I
(1)- Management (2) Technical' i (3) Support ,
L Total i t
Subcontractor hours
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j 2. Labor. costs >
(1) Direct. Labor Costs (2) Indirect Labor Costs (3) Project Management Cost
-Subtotal
- 3. Other Direct Costs '
(1) Subcontractor / Consultant Cost .
(2) Material and Services Costs (3) Computer Usage Costs (4) Travel (a) Domestic
- 03) Foreign i
Total Travel Subtotal Other Direct Costs
- 4. G&A Costs l- Total Reimbursable i Costs I
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a: - o' NRC-08-97-302 Section F
- 5. Fee Total Costs
! b. For each~JCN, provide the following summary table: ;
JCN: X-XXXX Total _ Obligations to Date $.
r Incremental Funding $ ,
Total Costs to Date $
l l Balance- $
! Authorized Cost to l Tasks Ceiling Date i o ,
XX '$ $ 'l XX $ $ l l
Totals $ $
- c. Provide the following information:
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Total Total Percent of l Contract Obligations Contract-Ceiling To Date Ceiling :
i F.2.4 MONTHLY EXPENSE FORECAST '
A Contractor Spending Plan (CSP) shall be completed for each task ord r expected to exceed $100,000 and for which the period of' performance is expected to exceed 6 months. See Attachment No. 5, CSP Instructions.
F.2.5 DELIVERABLES DURING' PERIOD L A table should summarize the deliverables submitted during the ,
period in the following format:
TAC / Inspect Type of Title of JCN' T.O # Report Report' Submittal l: F.2.6 TECHNICAL REPORTING REQUIREMENTS l
Technical reporting requirements will be specified to each task order. Some reports may be submitted in the form of computer
! files or on computer diskettes.
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NRC-08-97-302 Fection F
- a. Technical reporting requirements and other deliverables.
will consist of:
- 1. Identifying to whom the report is addressed, who should be on distribution, and how many copies each addressee should receive.
- 2. The type of report that is to be prepared, i.e.:
Technical Evaluation Report (TER). Requests for this type of report are made when a formal report is required but the distribution is limited.
NUREG/ER Report: This is the most formal contractor report and is requested when there is significant and important compilation of information and wide distribution of the report as a stand-alone document is required, and when the staff believes the document will be referenced frequently. NUREG/CR reports require the completion / execution of an NRC Form 426A, to be completed by the contractor and sent to the Project Manager for processing. For further information, refer to Management Directive 3.8 (formerly NRC Manual Chapter 3202).
Trip Report: In general, every trip for which results are not directly incorporated into either of the above two types of reports, except for inspections (see paragraph below), should be documented in a short, concise trip report.
Technical Letter Report: All other reports and documents and other information (e.g., requests for additional information (RAIs), computer software inspection report inputs) due to be delivered by the contractor under the contract that do not fall under the sther types of reports listed above are transmitted as or under the cover of a
" Technical Letter Report."
- 3. The format and content of each report will be specified. The report should reference the contract number, the Financial Identification Number (FIN), the task order assignment number, and the Technical Assignment Control (TAC) or inspection report number, as applicable. Other sections such as " Abstract,"
Executive Summary," " References," and any appendices will be specified.
- 4. If draft reports are required, the number of drafts expected will be stated, i
- 5. If proprietary or other sensitive information will be included
- in the report the means of handling this information will be specified.
Page 16 of 38 i
! 9 e
NRC-08-97-302 Section F l
l Presentations or publication in the open literature of papers or
! data based on reports already approved for publication by NRC as l final reports do not require NRC approval. Conversely, any l document containing predecisional or draft material must be j approved by NRC prior to release. Management Directive 3.8 l
(formerly NRC Manual Chapter 3202) provides further information.
j Requests for NRC approval for other than approved reports are to be forwarded to the Project Officer for coordination and NRC approval.
[End of Clause]
F.3 PLACE OF DELIVERY--REPORTS (JUN 1988)
The items to be furnished hereunder shall be delivered, with all charges paid by the Contractor, to:
l l
l (a) Project Officer (2 copies) l U. S. Nuclear Regulatory Commic_ ion
- -ATTN
- Dr. Hans Schechter
~OIP/BCA, Mail Stop 4E3 Washington, DC 20555-0001 (b) Contracting Officer (1 copy)
{End of Clause]
F.4 DURATION OF CONTRACT PERIOD (MAR 1987)
ALTERNATE 4 (JUN 1988)
The ordering period for this contract shall commence on the award date of the contract and will expire after two (2) years.
Any orders issued during this period shall be completed within the time specified in the order, unless otherwise specified herein (See 52.216 Ordering). The term of this contract may be extended at the option of the Government for one (1) additional three-year option period.
[End of Clause]
F.5 RESOLVING NRC CONTRACTOR DIFFERING PROFESSIONAL VIEWS (DPVs)
The Nuclear Regulation Commission's (NRC) policy is to support the contractor's expression of professional health and safety
( related concerns associated with the contractor's work for NRC l that (1) may differ from a prevailing NRC staff view, (2) disagree with an NRC decision or policy position, or (3) take issue with
, proposed or established agency practices. An occasion may arise I
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NRC-08-97-302 Section F F.5' (Continued) l -
when an NRC contractor, contractor's personnel, or subcontractor
. personnel believes that a conscientious expression-of a competent judgement'is required to document such concerns on matters directly associated with its performance of the contract. The procedure that will be used provides for the expression.and resolution of differing professional views (DPVs) of health and safety related concerns associated with the mission of the agency by NRC contractors, contractor personnel or subcontractor personnel on matters directly associated with its performance of the contract., may oe found in Section J of the solicitation. The
-contractor shall provide a copy of the NRC DPV-procedure to all of its employees performing under this contract and to all subcontractors who shall, in turn, provide a copy of the procedure
,- to its employees. NOTE: The prime contractor or subcentractor i shall submit _all DPV's received by need not endorse.them.
i
[End of Clause] ]
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NRC-08-97-302 Section G
. . . s. a l
SECTION G - CONTRACT ADMINISTRATION DATA G.1 NRCAR 2052.215-71 PROJECT OFFICER AUTHORITY I (JAN-1993) I (a) The contracting officer's authorized-representative hereinafter referred to as the project officer for this ;
contract is: j i
! Name: Dr. Hans Schechter I
Address: U. S. Nuclear Regulatory Commission ;
OIP/BCA, Mail Stop - O-4E3 l l Washington, DC 20555-0001 l i
Telephone Number: (301) 415-2775 (b) Performance of the work under this contract is subject to the i technical direction of the NRC project officer. The term )
technical direction is defined to include the following: l (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 I preparation of drawings, specifications, or technical l portions of the work description.
(3) Review and, where required by the contract, approval of technical drawings, specifications, and technical information to be delivered by the contractor to the Government under the contract.
(c) Technical direction must be within the general statement of work stated in the contract. The project officer does not 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.
L l (2) Constitutes a change as defined in the " Changes" clause I of this contract.
l l
(3) In any way causes an increase or decrease in the total e
- Page 19 of 38
NRC-08-97-302 Section G G.1 (Continued) estimated contract cost, the fixed fee, if any, or the time required for contract performance.
(4) Changes any of the expressed terms, conditions, or specifications of the contract.
(5) Terminates the contract, settles any claim or dispute arising under the contract, or issues any unilateral directive whatever.
(d) All technical directions must be issued in writing by the project officer or must be confirmed by the project officer in 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 contracting officer shall issue an appropriate contract modification or advise the contractor in writing that, in the contracting officer's opinion, the technical direction is within the scope of this article and does not constitute a change under the " Changes" clause.
(g) Any unauthorized commitment or direction issued by the project officer may result in an unnecessary delay in the contractor's performance and may even result in the contractor expending funds for unallowable costs under the contract.
(h) A failure of the parties to agree upon the nature of the instruction or direction or upon the contract action to be taken with respect there to is subject to FAR 52.233 Disputes.
(i) In addition to providing technical direction as defined in l
paragraph (b) of the section, the project officer shall:
l (1) Monitor the contractor's technical progress, including surveillance and assessment of performance, and recommend to the contracting officer changes in requirements.
Page 20 of 38 l
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1
, . 1 NRC-08-97-302 Section G G.1 (Continued)
(2) Assist the contractor in the resolution of technical problems encountered during performance. ,
(3) Review all costs requested for reimbursement by the ;
contractor and submit to the contracting officer recommendations for approval, disapproval, or suspension of payment for supplies and services required under this contract.
[End of Clause]
G.2 NRCAR 2052.215-82 TRAVEL REIMBURSEMENT
- ALTERNATE 1 (JAN 1993)
(a) The contractor is encouraged to use Government contract j airlines, AMTRAK rail services, and discount hotel / motel .l properties in order to reduce the cost of travel under this contract. The contracting office- shall, upon request, provide each traveler with a letter of identification which is required in order to participate in this program. The Federal Travel Directory (FTD) identifies carriers, contract fares, schedules, payment conditions, and hotel / motel properties which offer their services and rates to Government contractor
. personnel traveling on official business under this contract.
The FTD, which is issued monthly, may be purchased from the U.S. Government Printing Office, Washington, DC 20402.
(b) The contractor will be reimbursed for reasonable travel costs incurred directly and specifically in the performance of this contract. The cost limitations for travel costs are i determined in accordance with the specific travel regulations i 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 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 I (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 Nonprofit Organizations; and OMB Circular A-21, Cost Principles for Educational Institutions. l (c) When the Government changes the Federal Travel Regulations, or !
other applicable regulations, it is the responsibility of the contractor to notify the contracting officer in accordance with the Limitations of' Cost clause of this contract if the contractor will be unable to make all of the approved trips l and remain within the cost and fes limitations of this l contract due to the changes.
Page 21 of 38
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-n, .. , . . _ , . . , . , , . , - . - , . - . . , , - . , . - .,r. ,,,,
NRC-08-97-302 Section G G.1 (Continued)
(2) Assist the contractor in the resolution of technical problems encountered during performance.
(3) Review all costs requested for reimbursement by the contractor and submit to the contracting officer recommendations for approval, disapproval, or suspension of payment for supplies and services required under this contract.
[End of. Clause]
G.2 NRCAR 2052.215-82 TRAVEL REIMBURSEMENT
- ALTERNATE 1 (JAN 1993)
(a) The contractor is encouraged to use Government contract airlines, AMTRAK rail services, and discount hotel / motel properties in order to reduce the cost of travel under this contract. The contracting office- shall, upon request, ,
provide each traveler with a letter of identification which is required in order to participate in this program. The Federal Travel Directory (FTD) . identifies carriers, contract fares, l schedules, payment conditions, and hotel / motel properties i which offer their services and rates to Government contractor personnel traveling on official business under this' contract.
The FTD, which is issued monthly, may be purchased from the U.S. Government Printing Office, Washington, DC 20402.
(b) The contractor will be reimbursed for reasonable travel costs incurred directly and specifically in the performance of this contract. The cost limitations for travel costs are determined in accordance with the specific travel regulations cited in FAR 31.205-46, as are in effect on the date of the trip. Travel costs for research and related activities ,
performed at State and nonprofit institutions, in accordance with Section 12 of Pub. L. 100-679, shall be charged in accordance with the 'concractor's institutional policy to the degree that the limitations of Office of Management and Budget (OMB) guidance are not exceeded. Applicable guidance l
documents include OMB Circular A-87, Cost Principles for State and Local Governments; OMB Circular A-122, Cost Principles for l Nonprofit Organizations; and OMB Circular A-21, Cost Principles for Educational Institutions.
(c) When the Government changes the Federal Travel Regulations, or other applicable regulations, it is the responsibility of the l
contractor to notify the contracting officer in accordance L 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 contract due to the changes.
Page 21 of 38 l
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'NRC-08-97-302 Section G G.2 -(Continued) i (End of Clause)
G.3 NRCAR 2052.216-71 INDIRECT COST RATES (JAN 1993) l l -(a) 'Pending the establishment of final indirect rates which must be' negotiated based on audit of actual costs, the contractor shall-be reimbursed for allowable indirect costs as follows:
(
Rate Base Period Overhead Costs Eastern Region Labor 6/97- 6/2002 Fringe Benefit Full Fringe Benefit 6/97- 6/2002 L
G&A Corporate / Regional 6/97- 6/2002 l
l FCCM i l Eastern ,
! Labor O/H 6/97- 6/98 l l-6/98- 6/99 l 6/99- 6/2002 G&A Corp. Corporate FCCM _6/97- 6/98 6/98- 6/99 6/99- 6/2002 i
I l-(b) The contracting officer may adjust the above rates as L-appropriate during the term of the; contract upon acceptance of any revisions proposed by the contractor. It is the contractor's responsibility to notify the contracting officer in accordance with FAR 52.232-20, Limitation of Cost, or FAR 52.232-22, Limitation of Funds, as applicable, if these changes affect performance of work within the established cost or funding limitations. ]
{End of Clause] j G.4 NRCAR 2052.216-74 TASK ORDER 1 l
. PROCEDURES (JAN 1993) l (a) Task order request for proposal. When a requirement within i
the scope of work for this contract is identified, the
'- contracting officer shall transmit to the contractor a Task i Page 22 of 38 ,
i l
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NRC-08-97-302 Section G
.7 G.4 (Continued) '
Order Request for Proposal (TORP) which includes the i following, as appropriate:
l (1) Scope of work / meetings / travel'and deliverables; (2) Reporting requirements; i
l
.(3) Period of performance - place of performance; i (4) Applicable special provisions; l
! (5) Technical skills required; and i 1
(6) Estimated level of effort.
1 (b) Task order proposal. By the date specified in the TORP, the H contractor shall deliver to the contracting officer a written l proposal that provides the following technical and cost i information, as appropriate: 1 (1) Technical proposal content; (i) A discussion of the scope of work requirements to l substantiate the contractor's understanding of the requirements of the task order and the contractor's proposed method of approach to meet the objective of the order. I (ii) Resumes for professional personnel proposed to be utilized in the performance of any resulting task order. Include educational background, specific pertinent work experience, and a list of any -
pertinent publications authored by the individual.
(iii) Identification of administrative support personnel and/or facilities that are needed to assist the professional personnel in completing work on the task order.
(iv) Identification of " Key Personnel" and the number of staff hours that will be committed to completion of work on the task order.
(2) Cost proposal. The contractor's cost proposal for each task order must be prepared using Standard Form 1411, Contract Pricing Proposal cover sheet. A copy of the form and instructions are attached to this contract. Each task order cost proposal must be fully supported by cost and pricing data adequate to establish the reasonableness of the proposed amounts. When the contractor's estimated cost for the proposed task order exceeds $100,000 and the i
Page 23 of 38
l NRC-08-97-302 Section G i
G.4 (Continued) period of performance exceeds six months, the contractor may be required to submit a Contractor Spending Plan .
(CSP) as part of its cost proposal. The TORP indicates i
! if a CSP is required. j (c) Task order award. The contractor shall perform all work j described in definitized task orders issued by the contracting officer. Definitized task orders include the following:
l (1) Statement of work / meetings / travel and deliverables; (2) Reporting requirements; (3) Period of performance; (4) Key personnel; (5) Applicable special provisions; and )
(6) Total task order amount including any fixed fee. 1
[End of Clause] :
)
G.5 NRCAR 2052.216-75 ACCELERATED TASK ORDER PROCEDURES l (JAN 1993)
(a) The NRC may require the contractor to commence work before ;
receipt of a definitized task order from the contracting officer. Accordingly, when the contracting officer verbally .
( authorizes the work, the contractor shall proceed with l
-performance of the task order subject to the monetary i
limitation established for the task order by the co'ntracting l officer.
1 \
l (b) When this accelerated prccedure is employed by the NRC, the l contractor agrees to begin promptly negotiating with the j
- contracting officer the terms of the definitive task order and !
! agrees to submit a cost proposal with supporting cost or l l pricing data. If agreement an a definitized task order is not )
L reached by the target date mutually agreed upon by the contractor and contracting officer, the contracting officer may determine a reasonable price and/or fee in accordance with Subpart 15.8 and Part 31 of the FAR, subject to contractor appeal as provided in 52.233-1, Disputes. In any event, the contractor shall proceed with completion of the task order, I suoject only to the monetary limitation established by the contracting officer and the terms and conditions of the basic
- l. contract.
4 (End of Clause)
- 1 I
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y 4 NRC-08-97-302 Section G
' -G.6 USE OF AUTOMATED CLEARING HOUSE (ACH)
ELECTRONIC PAYMENT. .
It is the policy of.the U.S. Nuclear Regulatory Commission to I pay Government vendors by the' Automated Clearing. House (ACH) '
electronic funds transfer payment system in lieu of a Ur.S.
Treasury check. The electronic system isfknown as Vendor Express. '
Payment.shall be made in accordance with FAR 52.232-33, entitled
" Mandatory Information for Electronic Funds Transfer Payment."
To receive payment by Vendor Express, the contractor shall complete the " Company Information" portion of Form SF 3881, .
entitled " Payment Information Form - ACH Vendor Payment-System" 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 l
Coordinator how the payment identification information_(addendum record) will be passed to them once the payment'is received by the financial institution. The contractor must ensure that the addendum record will not be stripped from the payment. The ACH' Coordinator will fill out the "Finar'-ial' Institution Information" portion of the form and return it to the Office of the Controller at the following address: Nuclear Regulatory Commission, ATTN: ,
ACH/ Vendor Express, Division of~ Accounting and Finance, Mailstop. l l
T-9-E-2, Washington, DC 20555' . Once the Office of the Controller l
has processed the contractor's sign-up form, the contractor will
! begin.to receive payments electronically via Vendor Express /ACH.
l If the offerors / bidders have questions concerning ACH/ Vendor Express, they may call the Commercial-Payments staff on (301) 415-7520.
[End of Clause]
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Page 25 of 38
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NRC-08-97-302 Section H l
l SECTION H - SPECIAL CONTRACT REQUIREMENTS l'
l l H.1 NRCAR'2052.209-73 CONTRACTOR ORGANIZATIONAL l
1 CONFLICTS OF INTEREST (JAN 1993)
(a) Purpose. The primary purpose of this clause is to aid in ensuring that the contractor:
(1) Is not placed in'a conflicting role because of current or planned interests (financial, contractual, ,
organizational, or otherwise) which relate to the work under this contract; and l
(2) Does not obtain an unfair competitive advantage-over other parties by virtue of its performance of this contract.
(b) Scone. The restrictions described apply to' performance or l participation by the contractor, as defined in 48 CFR 2009.570-2 in the activities covered by this clause.
3 (c) Work for others.
(1) Notwithstanding any other provision of this contract, !
during the term of this contract the contractor agrees to l 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 or any employee that any proposed consultant or other contractual arrangement with=any firm or organization may involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting l officer before the execution of such contractual arrangement.
(2) The contractor may not represent, assist, or otherwise support an NRC licensee or applicant undergoing an NRC j audit, inspection, or review where the activities that j are the subject of the audit, inspection or review are i the same as or substantially similar to the services within the scope of this contract (or task order as appropriate), except where the NRC licensee or applicant requires the contractor's support to explain or defend the contractor's prior work for the utility or other entity which NRC questions.
(
- Page 26 of 38 o
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[' NRC-08-97-302 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 l completion of all work under the associated task' order, E 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 -
l appropriate.
L (ii) The contractor may not perform work at that. site for that licensee or applicant during the period of l performance of the task order or the contract, as appropriate, and for one year thereafter.
I' (iii) Notwithstanding the foregoing, the contracting officer may authorize the contractor to solicit or l
periorm this type of work (except work in the same or similar technical area) if the contracting officer determines that the situation will not pose a potential for~ technical bias or unfair competitive advantage.
(d) Disclosure after award.
l (1) The contractor warrants that to the best of its knowledge
' and belief, and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest as defined in 48 CFR 2009.570-2.
(2) The contractor agrees that, if after award, it discovers organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the contracting officer. This statement must include a description of the action which the contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, terminate the contract if termination is in the best interest of the government.
l (3) It is recognized that the scope of work of a
- task-order-type contract necessarily encompasses a broad i Page 27 of 38
[L l
i NRC-08-97-302 ,
Section H l 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 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 L and disclose any new work at that licensee'or applicant l 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 l written justification demonstrating urgency and due diligence to discover and disclose is provided by the contractor and approved by the contracting officer. The disclosuie 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 l deny approval of the disclosed work only when the'NRC has l 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.
(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 j 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 I Page 28 of 38 l
a s
NRC-08-97-302 Section H H.1 (Continued) public by the NRC.
(2) In addition, the contractor agrees that, to the extent it receives or is given access to proprietary data, data 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, business, or financial information under this l contract, the contractor shall treat the information in accordance with restrictions placed on use of the information.
(3) Subject to patent and security provisions of this I contract, the contractor shall have the right to use technical data it produces under this contract for private purposes provided that all requirements of this l l
contract have been met.
l (f) Subcontracts. Except as provi dc ' in 48 CFR 2009.570-2, the contractor shall include this clause, including this ,
paragraph, in subcontracts of any tier. The terms contract, 4 contractor, and contracting officer, must be appropriately modified to preserve the Government's rights.
(g) Remedies. For breach of any of the above restrictions, or I for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations that necessarily imply bad faith, the Government may terminate the contract for default, disqualify the contractor from subsequent contractual efforts, and pursue'other remedies permitted by law or this contract.
(h) Jaiver. A request for waiver under this clause must be directed in writing to the contracting officer in accordance with the procedures outlined in 48 CFR 2009.570-9.
(i) Follow-on effort. The contractor shall be ineligible to participate in NRC contracts, subcontracts, or proposals therefor (solicited or unsolicited), which stem directly from the contractor's performance of work under this contract.
Furthermore, unless so directed in writing by the contracting officer, the contractor may not perform any technical consulting or management support services work or evaluation activities under this contract on any of its products or services or the products or services of another firm if the l contractor has been substantially involved in the development i or marketing of the products or services.
(1) If the contractor, under this contract, prepares a
, complete or essentially complete statement of work or Page 29 of 38
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l NRC-08-97-302 Section H i
l 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 l Government.
l
[End of Clause]
H.2 NRCAR 2052.215-70 KEY PERSONNEL (JAN 1993) j i
(a) The following individuals are considered to be essential to i the' successful performance of the work hereunder:
]
I Dr.-John H. Bickel,. Tech. Dir. and Program Manager Mr. Randy Baker, Mechanical Engineer and Proj. Mgr 1 Mr. Ed Wenzinger, Electrical Engineer j l
l
)
The contractor agrees that personnel may not be removed from l the contract work or replaced without compliance with paragraphs (b) and (c) of this section.
(b) If one or more of the key personnel, for whatever reason, becomes, or is expected to become, unavailable for work under this contract for a continuous period exceeding 30 work days, or is expected to devote substantially less effort to the work than indicated in the proposal or initially anticipated, the contractor shall immediately notify the contracting officer and shall, subject to the concurrence of the contracting officer, promptly replace the personnel with personnel of at least substantially equal ability and qualifications.
(c) Each request for approval of substitutions must be in writing and contain a detailed explanation of the circumstances l 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 officer to evaluate the proposed substitution. .The l 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 30 of 38
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=
s NRC-08-97-302 Section H H.2 (Continued) replacement of key personnel who have been reassigned, l 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 I substantial as to impair the successful completion of the l contract or the service order, the contract may be terminated l by the contracting officer for default or for the convenience of the Government, as appropriate. If the contracting officer !
finds the contractor at fault for the condition, the contract l price or fixed fee may be equitably adjusted downward to compensate the Government for any resultant delay, loss, or damage. l
[End of Clause] l H.3 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 safoty of its employees and of members of the public, including NRC employees and contractor personnel, and to minimize danger from all hazards to life and property and shall comply with all applicable health, safety, and fire protection regulations and requirements (including reporting requirements) of the Commission 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]
H.4 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED l (JUN 1988)
The Government will not provide any equipment / property under this contract.
[End of' Clause) 1 Page 31 of 38 l
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NRC-08-97-302 Section I PART II - CONTRACT CLAUSES SECTION I - CONTRACT CLAUSES I.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988)
This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text.
Upon request, the Contracting Officer will make their full text available.
I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES NUMBER TITLE DATE 52.202-1 DEFINITIONS OCT 1995 52.203-3 GRATUITIES APR 1984 52.203-5 COVENANT AGAINST CONTINGENT FEES APR 1984 52.203-6 RESTRICTIONS ON SUBCONTRACTOR JUL 1995 SALES TO THE GOVERNMENT 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 SUBCONTRACTING WITH i 1
CONTRACTORS DEBARRED, SUSPENDED, I
OR PROPOSED FOR DEBARMENT 52.215-2 AUDIT AND RECORDS--NEGOTIATION AUG 1996 1 52.215-22 PRICE REDUCTION FOR DEFECTIVE OCT 1995 i COST OR PRICING DATA 1 52.215-24 SUBCONTRACTOR COST OR OCT 1995 l PRICING DATA I 52.215-27 TERMINATION OF DEFINED BENEFIT MAR 1996 l 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 i 52.216-7 ALLOWABLE COST AND PAYMENT MAR 1997 l 52.216-8 FIXED FEE MAR 1997 52.219-16 LIQUIDATED DAMAGES--SUBCONTRACTING OCT 1995 PLAN 52.223-6 DRUG-FREE WORKPLACE JAN 1997 52.223-14 TOXIC CHEMICAL RELEASING REPORTING OCT 1996 !
52.225-7 BALANCE OF PAYMENTS PROGRAM APR 1984 l Page 32 of 38 ,
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'NRC-08-97-302 Section I I I.1 (Continued)
NUMBER. TITLE DATE 52.225-11 RESTRICTIONS ON CERTAIN OCT 1996 FOREIGN FURCRASiS 52.227-14 RIGHTS IN DATA - GENERAL JUN 1987 52.228-7 INSURANCE - LIABILITY TO THIRD MAR 1996 PERSONS 52.232-17 INTEREST JUN 1996 52.232-22 LIMITATION OF FUNDS APR 1984 52.232-23 ASSIGNMENT 0F CLAIMS JAN 1986 52.232-25 -PROMPT PAYMENT MAY 1997 l- 52.232-33 MANDATORY INFORMATION FOR AUG 1996
' ELECTRONIC FUNDS TRANSFER PAYMENT 52.233-1 DISPUTES OCT 1995 3 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 UNALLOWI.rLE COSTS OCT'1995 I 52.242-13 BANKRUPTCY JUL 1995 l 52.243-2 ' CHANGES - COSI-REIMBURSEMENT AUG 1987 L .
Alternate I (APR 1984) j 52.244-2 SUBCONTRACTS (COST-REIMBURSEMENT FEB-1997-l AND LETTER CONT.'RACTS)
- 52.244-5 COMPETITION IN SUBCONTRACTING DEC 1996 i i
52.248-1 VALUE ENGINEERING MAR 1989 !
52.249-6 TERMINATION (COST-REIMBURSEMENT) SEP 1996 52.249-14 EXCUSABLE DELAYS APR 1984 l 52.353-1 COMPUTER GENERATED FORMS JAN 1991 L [End of Clause]
i I.2 52.216-18 ORDERING (OCT 1995) '
i
! (a) Any supplies and' services to be furnished under.this contract
-shall be ordered by issuance of delivery orders or task orders !
by the individuals or activities designated in the Schedule.
Such orders may be issued from date of contract award through ,
contract expiration date.
(b) All delivery orders or task orders are subject to the terms and conditions of this contract. In the event of conflict between a delivery order or task order and this contract, the contract shall control.
(c) If mailed,-a delivery order or task order is considered-
" issued" when the Government deposits the order in the mail.
r ' Orders may be issued orally, by facsimile, or by electronic commerce metheds only if authorized in the Schedule.
[End of Clause]
! Page 33 of 38 1
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7 NRC-08-97-302 Section I I.3 52.216-19 ORDER LIMITATIONS (OCT 1995)
(a) Minimum order. When the Government requires supplies or services covered by this contract in an amount of less than
$78,552, the Government is not obligated to purchase, nor is the contractor obligated to furnish, those supplies or services under the contract.
(b) Maximum order. The Contractor is not obligated to honor--
(1) Any order for a single item in excess of the ceiling amount of the contract; (2) Any order for a combination of items in excess of the ceiling amount of the contract; or l 1
(3) A series of orders from the same ordering office within '
30 days that together call for quantities exceeding the limitation in subparagraph (1) or (2) above. l 1
(c) If this is a requirements contract (i.e., includes the Requirements clause at subsection 52.216-21 of the Federal ,
Acquisition Regulation (FAR)), the Government is not required l to order a part of any one requirement from the Contractor if l that requirement exceeds the maximum-order limitations in l paragraph (b) above.
(d) Notwithstanding paragraphs (b) and (c) above, the Contractor i shall honor any order exceeding the maximum order limitations in paragraph (b), unless that order (or orders) is returned to the ordering office within 15 days after issuance, with written notice stating the Contractor's intent not to ship the item (or items) called for and the reasons. Upon receiving this notice, the Government may acquire the supplies or services from another source.
(End of Clause)
I.4 52.216-22 INDEFINITE QUANTITY (OCT 1995)
(a) This is an indefinite-quantity contract for the supplies or services specified, and effective for the period stated, in the Schedule. The quantities of supplies and services specified in the Schedule are estimates only and are not purchased by this contract.
(b) Delivery or performance shall be made only as authorized by orders issued in accordance with the Ordering clause. The Contractor shall furnish to the Government, when and if ordered, the: supplies or services specified in the Schedule up to and inc'.uding the quantity designated in the Schedule as the " maximum." The Government shall order at least the quantity of supplies or services designated in the Schedule as Page 34 of 38
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NRC-08-97-302 Section I I.4 (Continued) the " minimum." '
(c) Except for any limitations on quantities in the-Order
! Limitations clause or in the Schedule, there is no limit on l the number of orders that may be issued. 'The Government may
[ issue orders requiring delivery to multiple destinaticus or l performance at multiple locations.
l (d) Any order issued during the effective. period of this contract l and not ' completed within that period shall be completed by the l Contractor within the time specified in the order. The l
contract shall govern the Contractor's and Government's rights and obligations with respect to that order to the same extent as if the order were completed during the contract's effective period; provided, that the Contractor shall not be required to make any. deliveries under this contract after 3 months after the contract expiration date.
[End of Clause) l l I.5 52.217-9 OPTION TO EXTEND THE TERM OF THE l CONTRACT (MAR 1989) l t
l (a) The Government may extend the term of this contract by written-l notice to the Contractor within 60 days; provided, that the l Government shall give the Contractor a preliminary written notice of its intent to extend at least 60 days before the l contract expires. The preliminary notice does not commit the l Government to an extension.
(b) If the Government exercises this c'ption, the extended contract shall be considered to include this option provision.
(c) The total duration of this contract, including the exercise of any options under this clause, shall not exceed 5 years.
[End of Clause]
- I.6 52.222-2 PAYMENT FOR OVERTIME PREMIUMS (JUL 1990) l l (a) The use of overtime is authorized under this contract if the l
overtime premium cost does not exceed $0.00 or the overtime j premium is paid for work--
i (1) Necessary to cope with emergencies such as those resulting from accident: ,
natural disasters, breakdowns of productior. equipment, or occasional production bottlenecks of a sporadic nature; (2) By indirect-labor employees such as those performing duties in connection with administration, protection, Page 35 of 38 i
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NRC-08-97-302' Section I i I.6 (Continued) transportation, maintenance, standby plant protection, operation of utilities, or accounting; (3) To perform tests, industrial processes, laboratory procedures, loading'or unloading of transportation conveyances, and operations in flight or afloat that are
. continuous in nature and cannot reasonably be interrupted or completed otherwise; or (4) That will result in lower overall costs to the L Government.
(b) Any request for estimated overtime premiums that exceeds the amount specified above shall include all estimated overtime i for contract completion and shall--
(1) Identify the work unit; e.g.,' department or section in I J
which the requested overtime will be used, together with present workload, staffing, and other data of the affected unit sufficient to permit the contracting.
Officer to evaluate the necessity for the overtime; (2) Demonstrate the effect that denial of the request will have on the contract delivery or performance schedule; (3) Identify the extent to which approval of overtime'would affect the performance or payments in connection with other Government contracts, together with identification of each affected contract; and (4) Provide reasons why the required work cannot be performed by using multishift operations or by employing additional personnel.
(End of Clause)
I.7' 52.229-8 TAXES--FOREIGN COST-REIMBURSEMENT CONTRACTS (MAR 1990)-
(a) Any tax or duty from which the United States Government is exempt by agreement with the Government of any CEE or FSU, or from which the Contractor or any subcontractor under thi.s contract is exempt under the laws of any CEE or FSU, shall not constitute an' allowable cost under this contract.
Page 36 of 38 S
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WRC-08-97-302 Section I I.7 (Continued)
(b) If the Contractor or subcontractor under this contract obtains a foreign tax credit that reduces its Federal income tax liability under the United States Internal Revenue Code (Title 26, U.S.C.) because of the payment of any tax or duty that was reimbursed under this contr:,et, the amount of the reduction shall be paid or credited at the time of such offset to the Government of the United States as the Contracting Officer directs.
[End of Clause]
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NRC-08-97-302 Section J l PART III'- LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS ,
l SECTION J - LIST OF ATTACHMENTS l
J.1 ATTACHMENTS (MAR 1987) 1 l
Attachment Number Title l l 01- Billing Instructions l
l 02 NRC Contractor Organizational Conflicts of Interest l
03 NRC Handbook 3.8 I I
04 Standard Form 1411 with Instructions 05 Contractor Spending Plan (CSP) 1 Instructions l i
l 06 Subcontracting Plan l
07 Payment Information Form SF 3381 - ACH I Payment System j 08 Procedures for Resolving NRC Contractor Differing Professional Views i l
09 Technical Qualifications for Contractor Personnel 10 Safety Panel Report
]
11 Request for Approval of Official Foreign l Travel - NRC FORM 445 l l^
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Attachment 1 l
(MARCH 1996)
Page 1 of 10
, BILLING INSTRUCTIONS FOR l COST REIMBURSEMENT TYPE CONTRACTS l'
? l General: The contractor shall prepare vouchers / invoices for reimbursement of costs in the manner and format described herein.
l FAILURE TO SUBMIT VOUCHERS / INVOICES IN ACCORDANCE WITH THESE l INSTRUCTIONS WILL RESULT IN REJECTION OF THE VOUCHER / INVOICE AS ;
IMPROPER.
i Number of Cooies: An original and three copies, including supporting documentation shall be submitted. A copy of all supporting documents must be attached to each copy of your
- voucher / invoice. Failure to submit all the required copies will
! result in rejection of the voucher / invoice as improper. l l
t Desionated Acency Billino Office: Vouchers / invoices shall be l l submitted to the following address:
U.S. Nuclear Regulatory Commission
< Division of Contracts - T-7-I-2 i Washington, DC 20555 l i RAND DELIVERY OF VOUCHERS / INVOICES IS DISCOURAGED AND WILL NOT
! EXPEDITE PROCESSING BY NRC. However, should you choose to deliver vouchers / invoices by hand, including delivery by any i express mail services or spec 4-1 delivery services which use a l i
courier or other person to de..ver the voucher / invoice in person )
to the NRC, such vouchers / invoices must be addressed to the above Designated Agency Billing Office and will only be accepted at the following location:
U.S. Nuclear Regulatory Commission One White Flint North 11555 Rockville Pike - Mail Room Rockville, MD 20852 HAND "J.ARRIED SUBMISSIONS WILL NOT oE ACCEPTED AT OTHER THAN THE ABOVE ADDRESS.
i Note that the official receipt date for hand-delivered vouchers / invoices will be the date it is received by the official agency billing office in the Division of Contracts.
l Acency Payment Office: Payment will continue to be made by the office designated in the contract in Block 12 of SF 26 or Block 25 of SF 33, whichever is applicable.
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BILLING INSTRUCTIONS FOR COST REIMBURSEMENT TYPE CONTRACTS -
(Page 2 of 10)
Frecuency: The contractor shall submit claims for reimbursement once each month, unless otherwise authorized by the Contracting Officer.
Format: Claims should be submitted in the format depicted on the l attached sample form entitled " Voucher / Invoice for Purchases and l Services Other than Personal" (see Attachment 1). The sample The format is not required format is provided for guidance only.
l for submission of a voucher / invoice. Alternate formats are l permissible provided all requiremencs of the billing instructions are addressed. The instructions for preparation and itemization of the voucher / invoice are included with the sample form.
Task Orderina Contracts: If the contractor bills for more than l
l one task order under a voucher / invoice, detailed cost information for each individual task order shall be submitted, together with a cumulative summary of all charges billed on the voucher / invoice. This includes al'. applicable cost elements discussed in par'agraphs (a) through (n) of the attached instructions.
Fee Recovery Billin A: Pursuant to the provisions of 10 CFR Part 170 and 171 on liceuse fees, the NRC must recover the cost of work performed. Accordingly, the contractor must provide the total amount of funds billed during the period, fiscal year to date and the cumulative total for each task or task assignment by facility or report. The fee recovery billing reports shall be on a separate.page, and shall be in the format provided in Attachment 2. The billing period for fee recovery costs should be from the first day of each calendar month to the last day of the same month. Each separate fee billing report must be attached to the monthly invoice and cover the same period as the invoice.
Each report will contain a docket number or other unique identifier. The NRC'will provide a unique identifier for all work performed. Costs should be reported as whole number to the nearest cent. For work that involves more than one facility at the same site, each facility should be listed separately and the costs should be split appropriately between the facilities.
Common costs, as defined below, shall be identified as a separate line item in the fee recovery billing report each month.
Common costs are those costs that are not licensee unique and associated with the performance of an overall program that benefit all similar licensees covered under that program or that are required to satisfactorily carry out the program.preparatoryCommon costs include costs associated with the following:
or start-up efforts to interpret and reach agreement on methodology, approach, acceptance criteria, regulatory position, e ,
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BILLING INSTRUCTIONS FOR COST REIMBURSEMENT ~ TYPE CONTRACTS -
(Page 3 of 10) or technical reporting requirements; efforts associated with the
" lead plant" concept that might be involved during the first one or two plant reviews; meetings and discussions involving the above efforts to provide orientation, background knowledge or guidance during the course of a program; any technical effort applied to a docket or other unique identifier; and project .I management. Common costs must be reporting monthly for each docket or unique identifier. Common costs must be computed based ;
on the proportion of direct costs incurred against each docket or unique identifier for the billing period.
Billina of Cost After Exciration of Contract: If costs are incurred during the contract period and claimed after the contract has expired, the period during which these costs were incurred must be cited. To be considered a proper expiration voucher / invoice, the contractor shall clearly mark it " EXPIRATION VOUCHER" or " EXPIRATION INVOICE".
l Final vouchers / invoices shall be marked " FINAL VOUCHER" or " FINAL INVOICE".
Currency: Billings may be expressed in the currency normally used by the contractor in maintaining his accounting records; payments will be made in that currency. However, the U.S. dollar equivalent for all vouchers / invoices paid under the contract may not exceed the total U.S. dollars authorized in the contract.
- Suoerstssion. These instructions supersede any previous billing instructions.
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BILLING INSTRUCTIONS FOR COST REIMBURSEMENT TYPE CONTRACTS (Page 4 of 10) ATTACHMENT 1 INVOICEIVOUCHER FDR PURCHASES AND SEP'llCES OTHER THAN PERSONAL (SAMPLE FORMAT) ,
Official Asancy Billina Office (a) Contract Number U.S. Nuclear Regulatory Commission Division of Centracts MS: T.7-12 Task Order No. (if Applicable)
Washington. DC 20555 0001 Pavee's Name and A&lress (b) Vaucherlinvoice #
(c) Date of Vescherlinvoice ladividualto Centact (d) Fixed Fee Regarding tilis Veccher Name:
Tel. No.:
(e) This voucher represents reimbursable costs for the Amount Billed Current Period Cumulative (f) Direct Costs (1) Direct laber*.
(2) Fringe benefits
( %if computed as percentage) .
(3) Capitalized nonexpendable equipment ($50,000 or more .
see instructions)* _ (4)Non-capitalized equipment, meterials, and supplies (5) Premium pay (NRC approved evertime) (6) Censultants'_
(7) Travel' (8) Subcentracts' _ .
(3) Other seats *_
Total Diroct Cests Is) Indrost Costs (A) Overhead _ % of
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i (Indicate Base) .. l (B) Generel& Adeinietrative Expense
,_ % of Cost Elements l Nos.
1 Total Direct & ladirect Costs (h) Fixed Fee (Cite Formule): l
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(i) Totel Ameest Bilw .
(j) Adjustments _ 1 Ik) . Greed Tetek
- (Requires Supporting Information - See Attached) ;
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BILLING INSTRUCTIONS FOR COST REIMBURSEMENT TYPE CONTRACTS (Page 5 of 10 (Cont.) ATTACHMENT 1 SAMPLE SUPPORTING INF0AMATION
- 1) Direct Labor $2400 Labet Neurs Comalative l Total Hrs.
l Cetenerv Bi!!ed his Billed 100 $14.00 $1400 875 Senier Engineer i 50 $10.00 $500 465 Engineer 100 $ 5.00 $500 320 Computer Analyst
$2400
- 3) Capitalized Non-Expendshie Eauipment Protetype Spectrometer item number 1000 01 $60,000
- 4) Non capitalized Eauipment. Materials, and Sunslies 10 Raden tubes @ $110.00 = $1100.00 6 Pairs Electrostatic gleves @ $150.00 = $900.00
$2000.00
- 5) Premium Psy Walter Murphy 10 hours1.157407e-4 days <br />0.00278 hours <br />1.653439e-5 weeks <br />3.805e-6 months <br /> 9 $10.00 Per Hour = $t 00 (This was approved by NRC in letter dated 3l6195).
- 6) Ceesultaets' Fee
= 1{00 <1 ,,
Dr.Corney .1 hear 9 4100 ,
71 Trevel Destination Costs Start Date
' Week OC 4200 311l3 9 i
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. 4 BILLING INSTRUCTIONS FOR COST REIMBURSEMENT TYPE CONTRACTS (Page 6 of 10) .
ATTACHMENT 1 (Cont.)
INSTRUCT 10NS FOR PREPARING COST INFORMATION FOR NRC CONTRACT V0UCHERS/ INVOICES Preparation and itemiration of the Veuchwlinvoice: In order to constitute a proper invoice, the l
sentracter shall furnish all the information set forth below. These notes are keyed to the entries en l the sample voucherlinveise.
l Official Agency Billing office: Address the original and 3 copies of the vouchwlievoice, together with f
l supporting documentation attached to each copy to: U.S. Nuclear Regulatory Commission, Division of Centracts. MS: T 712, Washington, DC 20555 0001.
l Vouchwslinvoices delivered by hand, including delivery by express mail or special delivery services l
which use a courier or other pwson to deliver the vouchwlinvoice in person to the NRC, should be addressed in accordance with the foregoing and delivated to: U. S. Nuclear Regulatory Commission, One White Flirt North.11555 Rockville Pike Mail Room, Rockville. Maryland 20852. Hand delivwed voucherslinvoices will not be accepted at othw than the above address. Note, howevw, that the 1
official receipt date for hand delivwed voucherslinvoices will be the date it is received by the official l
l agency billing office in the Division of Contracts.
Payee's Name and Address. Show the name of the contractor as it appears in the contract and its correct address. When an approved assignment has been made by the contracter, er a different payee ,
or addressee has been designated. inswt the name and address of the payee. Indicate the name and I telephone number of the individual responsible for answering any questions that the NRC may have regarding the invoice. The following guidance corresponds to the entries required on the sample form.
(a) Centract Numbw. Inswt the NRC contract numbw.
Task Ordw Number,if applicable. Insert the task order number.
(b) Voucherlinvoice numbw. The appropriate sequential number of the voucherlinvoice, beginning l
! with 001 should be designated. Contracters may also include an individualinternal accounting numbw,if desired,in addition to the 3 digit seauential numbw.
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BILLING INSTRUCTIONS FOR COST REIMBURSEMENT TYPE CONTRACTS (Page 7 of 10) .
ATTACHNIENT 1 (Cont.)
(c) Date of Voucherflaveice. Insert the date the voucharlinvoice is prepared.
(d) Fixed Fee. Insert total fixed-fee. Include this information as it applies to individual task orders as well.
(e) Billing Period. Insert the beginning and ending dates (day, month, year) of the period during which costs wwe incurred and for which reimbwsoment is claimed.
(f) Direst Cests lasert the ameset billed for the icllowing cost elements, adjeetments, suspensions, and total amesses, fw both the surrent billing period and for the cameletive period (from sentreet inception to end date of this billing period).
l (1) Direct Labw. This consists of salaries and weges paid (or accrsed) for direct
! performance of the centract itemized as fellows:
Labor Hrs. Cumulative C,atenery Billed Ra_te Total Hrs.8illed (2) Fringe Benefits. This represents frings benefits applicable to direct labor and billed as a direct cost. Whwe a rate is used indicate the rate. Frings benefits included in direct labor or l in othw indirect cost pools should not be identified here.
(3) Capitalized Non Expendable Equipment. List each item costing $50,000 or mere and having a life supectancy of more than one year. List only these items of equipment for which reimbursement is requested. For each such item, list the fellowing (as applicable)- (a) the item number for the specific piece of egoipment listed in the propwty schedule of the contract; or (b) the Centracting Officer'.s approval letter it
~the equipment is not covwed by the propwty schedule.
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BILLING INSTRUCTIONS FOR COST REIMBURSEMENT TYPE CONTRACTS (Page 8 of 10) .
l ATTACHMENT 1 (Cent.)
(4) Non<apitalized Equg.nent, Materials, and Supplies. These are equipment other than l
that described in (3) above, plus consumable materials, supplies. List by category.
List items valued at $500 or mere separately. Provide the item number for each piese of equipment valued at $500 or more.
l (5) Premium Pay. This enumeraties in excess of the basic hourly rate. (Requires written approval of the Centracting Offi<.or.)
(6) Censultants. The supporting infwmation must include the name, hourly or daily rate of the censultant, and reference the NRC approval (if not specifically approved in the original centract).
(7) Travel. Total costs associated with each trip must be shown in the following format:
l Start Date Destination Costs From To From To $
(8) Subcontracts. Include separate detailad breakdown of all costs paid to approved subcontractors during the billing period.
(9) Other Costs. List all othw direct costs by cost element and deller amount separately.
(g) Indirect Costs (Overhead and Genwel and Administrative Expense). Cite the formula (rate and base)in effect in accordance with the terms of the centract, during the time the costs were incurred and for which reimbursement is claimed.
(h) Fixed Fee. If the contreet provides for a fixed fee. it must be claimed as provided fe' by the centract. Cite the formula or mothed of compatetion. The contracter may bill for fixed fee only up to 85% of total fee.
(i) Total Amount Billed, lasert the total amounts clsimed for the current and cumulative periods.
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BILLING INSTRUCTIONS FOR COST REIMBURSEMENT TYPE CONTRACTS (Page 9 of 10)-
ATTACHMENT 1 (Cont) l l
- (j) Adjustments. For cumulative amcunt. inc!ade outstanding suspensions. ;
l l (k) Grand Totals.
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l Further itemization of wouchwslinvoices shall only be required for items having specific limitations set forth in the centract.
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i BILLING INSTRUCTIONS FOR CDST REIMBURSEMENT TYPE CONTRACTS (Page 10 of 10)-
l ATTACHMENT 2 (Cont.)
l FEE REC 0VERY BILLING REPORT FIN:
Feeility Naam er Report
Title:
l TAC orinspection Report Nember:
l (or othw unique identifier) l Docket Number (if applicablet 1
Pwiod Fiscal Year Total Cost Categories Period Amt. Costincurred To Date Costs Cumulative Costs
! Labor
! Materials i
1 Subcontractori censultant l Travel 1
i Other(specify) l Commen Cests Total l l l
Remarks:
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- \EILUNG.398 1
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ATTACHMENT 2
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NUCLEAR REGULATORY COMMISSION ACQUISITION REGULATION 2009.570 NRC organizational conflicts of interest.
f2009.570-1 Scope of policy.
(a) It is the policy of NRC to avoid, eliminate, or neutralize l
contractor organizational conflicts of interest. The NRC achieves this l
t objective by requiring all.prospoctive contractors to submit information ~
describing relationships, if any, with organizations or persons (including l
those regulated by the NRC) which may give rise to actual or potential' conflicts of interest in the eveht of contract award.
(b) Contractor conflict of interest determination ~s cannot be made automatically or routinely. The application of sour.d 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 anit! resolve l' all of ths. contractor conflict of interest situations which might arise.
However, examples are provided in these regulations to guide application of this policy guidance. The ultimate test is as follows: Hight the contractor, l
if awarded the contract, be placed in a position where its judgment may be biased, or where it may have an unfair competitive advantage?
(c) The conflict of interest rule contained in this subpart applies to contractors and offerors only. Individuals or firms who have other relationships with the NRC (e.g., parties to a licensing proceeding) are not l' l
covered by this regulation. This rule does not apply to the acquisition of i
consulting services through the personnel appointment process, NRC agreements l
with other Government agencies, international org'anizations, or state, local,
! or foreign Governments. Separate procedures for avoiding conflicts of
' interest will be employed in these agreements, as appropriate.
i (2009.570-2 Definitions.
l As used in $2009.570:
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 (2009.570-1(c).
Contractor means any person, firra, unincorporated association, joint
! venture, co-sponsor, partnership, corporation, affiliates tiiereof, 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.
s
! Evaluation activities means any effort involving the appraisal of a technology, process, product, or policy.
e rs
1 l'
Offeror or orosoective contractor means any person, firm, unincorporated association, joint venture, co-sponsor, partnership, corporation, or their l
' affiliates or successors in interest, including their chief executives, '
directors, key personnel, proposed consultants, or subcontractors, submitting a bid or proposal, solicited or unsolicited, to the NRC to obtain a contract.
l Oraanizational conflicts of interest means that a relationship exists i
I 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.
t Potential conflict of interest means that a factual situation exists that suggests that an actual ccnflict of interest may arise from award of a proposef contract. The term ootential_ 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 Must be reported to the contracting officer for investigation if i
(2) j 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. ,
1 l
Technical consultina and manaaement suonort 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 the preparation of program plans, preliminary designs, specifications, or statements of work.
52009.570-3 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?
. ~ _ _ _ _ _ _ . _ _ _ . _ _ _ _ _ _ _ _ . _ _ _ . _ _ _ _ _ _ _ _ _ . _
(ii) May the offeror or contractor be given an unfair competitive advantage based on the performance of the contract?
(2) NRC's ultimate determination that organizational conflicts of interest exist will be made in light of common sense and good business judgment based upon the relevant facts. While it is difficult to identify and 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 i 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 any give rise to organizational conflicts of intere :
(1), The offeror or contractor shall disclose information, that j
may give rise to organizational conflicts of interest under the following l
circumstances. The information may include the scope of work or specification for the requirement, being performed, the period of performance, and the name and telephone number for a point of contact at the organization knowledgeable
, about the commercial contract.
(i) Where the offeror or contractor provides advice and t
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 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 l
work at an applicant or licensee site while performing work in the I same technical area for the NRC at the same site.
t l
- (2) The contracting officer may request specific information from an offeror or contractor or may require special contract clauses such as l provided in 52009.570-5(b) in the following circumstances
j i
(i) Where the offeror or contractor prepares specifications that are to be used in competitive procurements of ;
products or services covered by the specifications. l 3
(ii) Where the offeror or :.ontractor prepares plans for specific approaches or methodologies that are to be incorporated 4
into competitive procurements using the approaches or
- methodalogies.
- (iii) Where the of.feror or contractor. is granted access to l
information not available to the public concerning NRC plans, policies, or programs that could form the basis for a later ;
[ procurement action. ,
i (iv) Where the offeror or contractor is granted access to j proprietary information of its competitors.
1 (v) Where the award of a contract might resultiin placing j
! the offeror or contractor in a conflicting role in which its l l
judgment may be biased in relation to its work for the NRC or l l might result in an unfair competitive advantage for the offeror or contractor.
Policy anolication ouidance. The following examples are (c) e illustrative only and are not intended to identify and resolve all contractor organizational conflict of interest situations.
(1) (i) Examole. 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. l In response to the inquiry in the RFP, the ABC Corp. advises that l it is currently performing similar analyses for the reactor manufacturer.
(ii) Guidance. An NRC contract for that particular work normally would not be awarded to the ABC Corp. because the company would be placed in 'a position in which its judgment could be
' biased in relationship to its work for the NRC. Because there are !
other well-qualified companies available, there would be no reason for considering a waiver of the policy. !
(2) (i) Example. The ABC Corp., in response to an RFP, proposes to perform certain analyses of a reactor component that is unique to one type of advanced reactor. As is the case with other technically qualified companies responding to the RFP, the ,
ABC Corp. is performing various projects for several different utility clients. None.of the ABC Corp. projects have any relationship to the work called for in the RFP. Based on the NRC evaluation, the ABC Corp. is considered to be the best qualified company to perform the work outlined in the RFP.
(ii)
Guidance. An NRC contract normally could be awarded to the ABC Corp. because no conflict of interest exists which o ,
4 i
2 could motivate bias with respect to the work. 'An appropriate clause would be included in the contract to preclude the ABC Corp.
j from subsequently contracting for work with the private sector
- that could create a conflict during the performance of the NRC ,
i contract. For examplo, ABC Corp. would be precluded from the performance of similar work for the company developing the l 2 advanced reactor mentioned in the example.
Examole. The ABC Corp., in response to a competitive l (3) (i)
RFP, submits a proposal to assist the NRC in revising NRC's l guidance documents on the respiratory protection requirements of 2
10 CFR Part 20. ABC Corp. is the only fira determined to be I technically acceptable. ABC Corp has performed substantial work j
for regulated utilities in the past and is expected to continue similar efforts in the future. The work has and will cover the i
writing, implementation, and administration of compliance i
respiratory protection programs for nuclear power pla s.
- - (ii) Guidance. This situation would place the firm in a
! role where its judgment could be biased in relationship to its j Because the nature of the required work is work for the NRC.
vitally important in terms of the NRC's responsibilities and no
! reasonable alternative exists, a waiver of the policy, in accordance with s2009.570-9 may be warranted. Any waiver must be i
j fully documented in accordance with the waiver provisions of this policy with particular attention to the establishment of l
j protective mechanisms to guard against bias.
1 (i) Example. The ABC Corp submits a proposal for a new i (4) i system to evaluate a specific reactor component's performance for j
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 h s 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, will normally be disseminated by the NRC to others to preclude an unfair competitive advantage. When the NRC furnishes information about the ru ctor component to the con-tractor for the performance of cetracted work, the information may not be used in the contracto*'s private activities unless the information is generally availabb to others, rurther, the contract will stigiulate 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 a
. _ _m _ _ . _ _ . _ . _ . _ _ . _ _ _ _ _ _ . _ _ _ . _ _ _ _ _ _ _ _
l l
l of the Appalachian fold belt. In accordance with the I
representation in the RFP and S2009.570-3(b)(1)(i), ABC Corp.
informs the NRC that it is presently doing seismological studies for several utilities in the eastern United States, but none of the sites are within the geographic area contemplated by the NRC.
study.
(ii) Guidance. The' contracting officer would normally conclude that award of a contract would not place ABC Corp. in a conflicting role where its judgment might be biased. Section j
2052.209-73(c) Work for Others, would preclude ABC Corp. from accepting work which could create a conflict of interest during 4 l the term of the NRC contract.
l (6) (i) Examole. AD Division of ABC Corp., in response to a RFP, submits a proposal to assist the NRC in the safety ani l environmental review of applications for licenses for.the 1
construction, operation, and decommissioning of fuel cyicie facilities. ABC Corp. is divided into two separate and distinct divisions, AD and BC. The BC Divisio.; 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) Suidance. An NRC contract for that particular work would not be awarded to the ABC Corp. The AD Division could be l Placed in a position to pass judgment on work performed by the BC l
Division, which could bias its work for NRC. Further, the l
Conflict of Interest provisions apply to ABC Corp. and not to separate or distinct divis'.ons within the company. If.no ,
reasonable alternative exists, a waiver of the policy could be i sought in accordance with (M09.570-9.
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 12052.290-73(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) EXAMPLE ABC Corp. is . assisting NRC in a major on-site analysis of a utility's redesign of the common areas between its twin reactors. The contract is for two years with an estimated
, 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 Ccrp. is performing no other work for the utility.
I (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 o ,
'g .
l ..
?
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 to the turbine work at the same site. The estimated value of the l 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.
(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.
l l $2009.570-4 Representation.
(a) The following procedures are designed to assist the NRC contracting officer in determining whether situations or relationships exist l
which may constitute organizational conflicts of interest with respect to a particular offeror or contractor. The procedures apply to 'small purchases l meeting the criteria stated in the following paragraph (b) of this section.
I (b) The organizational conflicts of interest representation provision at 52052.209-72 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; l (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 l
type required by the organizational conflicts of interest representation provisions has previously been submitted with regard to the contract being modified, only an updating of the statement is required.
I-l:
l (c) The offeror may, because of actual or potential organizational conflicts of interest, propose to exclude specific kinds of work contained in a RFP unless the RFP specifically prohibits the exclusion. Any such proposed
- exclusion by an offeror will be considered by the NRC in the evaluation of
! proposals. If the NRC considers the proposed excluded work to be an essential or integral part of the required work and its exclusion would be to the detriment of the competitive posture of the other offerors, the NRC shall reject the proposal as unacceptable. l (d) The ~ offeror's failure to execute the representation required by
- paragraph (b) of this section with respect to an invitation for bids is l
considered to be a minor informality. The offeror will be permitted to l l correct the omission. ,
(2009.570-5 Contract clauses.
(a) General contract clause. All contracts and small purchases of the types set forth in 52009.S70-4(b) must include the clause entitles,i )
l "Contrar. tor Organizational Conflicts of Interest," set forth in 52052.209-73. 4 1
(b) Other special contract clauses. If it is determined from the 1 nature of the proposed contract that an organizational conflict of interest exists, the contracting officer may determine that the conflict can be avoided, or, after obtaining a waiver in accordance with 52009.570-9, neutralized through the use of an appropriate special contract clause. If appropriate, the offeror may negotiate the terms and conditions of these clauses, including the extent and time period of any restriction. These clauses include but are not limited to:
(1) Hardware exclusion clauses which prohibit the acceptance of l
l production contracts following a related non-production contract previously l 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 Clauses which provide for protection of confidential data (4) !
and guard against its unauthorized use.
12009.570-6 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 $2009.570-3, the contracting officer shall make a
[ finding of whether organizational conflicts of interest exist with respect to
- a particular offeror. If it has been determined that real or potential i
conflicts of interest exist, the contracting officer shall:
(a) Disqualify the offeror from award; i
(b) Avoid or eliminate such conflicts by appropriate measures; or l
i . .
l
t ,'
(c)- Award the r.ontract under the waiver provision of 52009.570-9.
(2009.570-7 Conflicts identified after award.
If potential organizational conflicts of interest are identified after award with respect to a particular contractor, and the contracting officer d'etermines that conflicts do exist and that it would not be in the best !
l interest of the Government to terminate the contract, as provided in the clauses required by 62009.570-5, the contracting officer shall take every reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with 12009.570-9, neutralize the effects of the identified conflict.
(2009.570-8 Subcontracts.
The contracting officer shall require offerors and contractors to submit a representation statement from all subcontractors (cther than a supply subcontractor) and consultants performing services in excess of $10,000 in accordance with.92009.570-4(b). The contracting officer shall require the contractor to include contract clauses in accordance with 62009.570-5 in consultant agreements or subcontracts involving performance of work under a prime contract.
(2009.570-9 Waiver.
(a) The contracting officer determines the need to seek a waiver for specific contract awards, with the advice and concurrence of the program office director and legal counsel. Upon the recommendation of the Procurement Executive, and after consultation with legal counsel, the Executive Director for Operations may waive the policy in specific cases if he determines that it is in the best interest of the United States to do so.
(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 Public Document Room, 2120 L Street, NW. (Lower Level),
Washington, DC.
{2009.570-10 Remedies.
In addition to other remedies permitted by law or contract for a breach of the restrictions in this subpart or for any intentional misrepresentation or -intentional nondisclosure of any relevant interest required to be provided for this section, the NRC may debar the contractor from subsequent NRC contracts.
. ATTACHMENT 3 l
i U.S. NUCLEAR REGULATORY COMMISSION i
1 l
f DIRECTIVE TRANSMITTAL ~..
- . }
.t l TN: DT-95-12 l To: NRC Management Directives Custodians j Subjed Transmittal of Directive 3.8, " Unclassified Contractor and Grantee Publications in the NUREG Series" Purpose- Directive and Handbook 3.8 are being revised in their entirety to update information, to include editorial changes, and to add information about references. Specifically, the directive and j handbook are being revised to specify that NRC must obtain prior j approval from the Institute of Nuclear Power Operations (INPO) l before referencing INPO documents and to explain how to l reference proprietary reports.
I Office and Division of Origin: Administration, Freedom of Information and Publications Services
Contact:
Juanita Beeson,415-7166 1
l Date Approved: June 17,1991 (Revised: July 9,1995)
Volume: 3 Information Management Part: 1 Publications, Mail, and Information Disclosure Directive: 3.8 Unclassified Contractor and Grantee Publications in the NUREG Series l Availability: U.S. Government Printing Office, (202) 512-2409 l
l l
t f
i OFFICE OF ADMINISTRATION
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NUREG Series 4
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. - V:lume 3, Part 1 - Publicati:ns, Mail, cnd Infsrmati:n Discirsure Unclassified 0:ntract r and Grantee Publicatirns in the NUREG Series Directive 3.8
.~
Centents 1
Policy.................................................................
1 Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Organizational Responsibilities and Delegations of Authority . . . . . . . . . . . . 2 Executive Directa br 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 Office Directors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Director, Office of Administration (ADM) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 m Director, Division of Freedom of Information and Publications Services, (DFIPS), ADM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 l Director, Division of Contracts (DC), ADM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Applicability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 l
Employe es . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 {
Other Publications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 {
Han dbook . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . , . . . . . . . . . . . . . . . . . . . . . . . 5 j
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I s
Approved: June 17,1991 ...
m (Revised: July 9,1995) ,
l, f
5 g U. S. Nuclear Regulatory Commission g Volume: 3 Information Management
- g Part: 1 Publications, Mail, and Information
- ,/ Disclosure ADM l
Unclassified Contractor and Grantee Publications in the NUREG Series Directive 3.8 Policy (3.8-01) l 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 (contravor j reports), NUREG/GR (grant reports), and NUREG/IA(international l .- 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) l . To ensure the production and dissemination of information and publications as required by the EnergyReorganization Act of 1974 and the Freedom of Information Act. (a) e To ensure technical staff and management reviews of formal reports and books before publication. (b)
! e To ensure that national security, patent rights, copyrights, l proprietary rights, and rights in other sensitive unclassified information, including those specified in interagency and l'
! international agreements and memoranda of understanding, are not compromised by the release or publication ofinformation by
, NRC.(c) 1
- 5. s Approved: June 17,1991 (Revised: July 9,1995) , 1 l
V:lums 3, Part 1 - Publicati:ns, Mail, cnd Inf rmati:n Disclcsurc ,
Unclassified Centract:r end Grantee Publicati:ns in the NUREG S:rits 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 identi6 cation 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) i e To ensure that NRC-sponsored book manuscripts receive proper j peer review from experts within and outside NRC. (e) {
e To provide uniform procedures for publishing formal reports and ,
books prepared by NRC contractors or grantees. (f) j i
(
Organizational Responsibilities and Delegations of Authority (3.8-03) {
Executive Director for Operations (EDO)
(031) l 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 f information. l 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 Nuclear Regulatory Research, and regional offices:
e 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)
Approved: June 17,1991 2 (Revised: July 9,1995)
. - Vclums 3, Part 1 - Publicati::ns, Mail, and Infcrmati:n Discirsure j Unclassified Centracter cnd Grantee Publicati:ns in the NUREG Series l' Directive 3.8 Deputy Executive Director for Nuclear i Reactor Regulation, Regional Operations and Research (DEDR)
(032)(continued) e 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) l l Deputy Executive Director for l . Nuclear Materials Safety, Safeguards, and Operations Support (DEDS) l l
I l (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) l e 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)
I Office Directors (034) l e Ensure that publications will be reviewed in draft for acceptability l before final printing and distribution by determining that they are ;
consistent with agency policy, management decisions, and that they raise no significant legal issues. (a)
. Ensure that statements of work on contracts
- include a requirement that contractors comply with this directive and bandbook and with Government Printing and Binding Regulations. (b)
Contract" in thseontext encompeen the " standard order for DOE Work"(NRC Form 173), interagency and international agreements, and srants.
Approved: June 17,1991 3 (Revised: July 9,1995) ,
V:lume 3, Part 1 - Publicatirns, ltil, and Infcrmati:n Discl:sure
- Unclassified Centract r cnd Grantee Publicati ns in the NUREG Series Directive 3.8 t
I Office Directors (034)(continued) e Sign, or delegate signature authority for, the NRC Form 426A,
" Release to Publish Unclassified NRC Contractor, Consultant, or l Conference Proceedings Reports" (Exhibit 1 of Handbook 3.8),
and for memoranda requesting reprints of contractor
! publications. (c)
Director, Offica of Administration (ADM) l l
(035) l As delegated from the DEDS, administers NRC's programs and policies for publishing unclassified contractor and grantee reports and l books in the NUREG series.
! Director, Division of Freedom of Information and Publications Services,(DFIPS), ADM (036) e Develops and administers, as delegated from the Director, ADM, l
NRC's program and policies for publishing unclassified contractor, consultant, and grantee formal reports, books, and NUREG/CR, international agreement reports in the NUREG/GR, and NUREG/IA series. (a)
. Applies the policy, procedures, standards, and guides for the 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 Regulations issued by the Joint Committee on Printing, U.S.
' Congress. (b)
. Develops and administers the central agency publication numbering system for identifying, producing, and retrieving unclassified NRC-sponsored publications in the NUREG series. (c) f Director, Division of Contracts (DC), ADM l (037)
Ensures that those requests for proposals, invitations for bids, and grant proposals, and the ensuing contracts aid grants that require f
Approved: June 17,1991 4 ,
(Revised: July 9,1995) l I
l '*
- V:lums 3, Part 1 - Publicati:ns, Mail, and Inf:rmr.tien Disclasure Unclassified Ccntract:r and Grantee Publicati:ns in the NUREG S:riis Directive 3.8 i
Director, Division of Contracts (DC), ADM (037)(continued) publications as deliverables include provisions requiring that l
contractors comply with this directive and handbook and with Government Printing and Binding Regulations.
Applicability (3.8-04)
Employees (041)
All NRC employees shall follow the policy and guidance specified in this directive and handbook.
Other Publications (042)
- The provisions of thir, directive and handbook do not apply to NRC l staff publications in the NUREG series, NRC docket material, or documents created by NRC boards, panels, advisory committees, or offices that report to the Commission.
L 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) l A Manual of Style, University of Chicago Press.
Atomic Energy Act of 1954, as amended (42 U.S.C. 2011 et seq.).
" Copyrights," Title 17, United States Code.
- " Cost Principles for State and Local Governments," OMB Circular 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 , 5 (Revised: July 9,1995)
i V: lum 2 3, Part 1 - Publicati:ns, Mail, cnd Infcrmati:n Discl:sure . .
Unclassified Contractsr and Grantee Publicati:ns in the NUREG Series Directive 3.8 References (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).
l Freedom ofInformation Act (5 U.S.C. 552).
1 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 l A-110, Office of Management and Budget, July 1976.
Memorandum of Understanding Between the Department of Energy and the U.S. Nuclear Regulatory Commission, February 24,1978.
Memorandum of Agreement Between the Institute of Nuclear Power Operations and the U.S. Nuclear Regulatory Commission, dated September 17,1993.
j NRC Management Directive 3.9, "NRC Staff and Contractor
- Speeches, Papers, and Journal Articles on Regulatory and Tecimical l Subjects."
l 3.11, " Conferences and Conference Proceedings."
l l
12.2, "NRC Classified Information Security Program."
i 12.6, "NRC Sensitive Unclassified Information Security Program."
NUREG-0650, Revision 1, " Publishing Documents in the NUREG Series," November 1990.
l NUREG/BR-0075, Revision 2, "NRC Field Policy Manual," Field Policy Manual No. 9, dated March 22,1993.
- "Public Printing and Documents," Title 44, Chapter 3, Government Printing Office, United States Code.
U.S. Government Printing Office Style Manual,1984.
e i
l Approved: June 17,1991 6 (Revised: July 9,1995) l .
i0 -
4 Unclassified Contractor and
, Grantee Publications in the l
i NUREG Series f nammmmmacmemamarsammmvasre-wwmmamaremmuaaaw--sma 4
j Handbook :
\ 3.8 i
i l
1 I
i en*m l Eremmwammassaame:wamasmaemmhwinenvrwamu l
4 i _ _ _ _
. . V:lume 3, Part 1 - Publicati:ns, Mail, and Infcrmatirn Discl:sure
- Unclassified C:ntractor and Grantee Publicati:ns in the.NUREG S: ries Handbook 3.8 Parts I- VI 1
Contents l 4
1 Part I ,
\
Introd u ction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 l
l
. Part II 1
Preparing Publication Requirements for Statements of Work for
- Contracts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Specifying Publication Requirements (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Publishing Formal Reports (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Publishing Unclassified Information in the Open Literature and Presenting Papers (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 i
Reports Containing Sensitive Unclassi5ed and Classified Information (D) . . . . . . . 6 i
Conference and Workshop Proceedings (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Distribution of Reports to Contractors (F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Coordinating Contractor Press or Other Media Releases of Information (G) . . . . 7 Part III Draft and Final NUREG Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 8
Identification Information (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
8 NUREG Number (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
8 Authors' Names (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Organizational Identification (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Previous Reports in Series (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 9
Report Dates (5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
9 Report Organization and Components (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
9 Pre-Publication Reviews (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
9 Patent Review (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Security Review (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Copyrignt Review (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Color Printing (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 12 Microfiche (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
13 Disclaimers (F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . : . . . . . . . . . . . . . .
Approved: June 17,1991 . . .
m (Revised: July 9,1995) ,
V:lume 3, Part 1 - Publications, Mail, and Inf:rmation Discl2 sura Unclassified C:ntract::r and Grantee Publicati:ns in the NUREG Series '
Handbook 3.8 Parts I- VI -
Contents (continued) 1 Part III (continued)
Availability Information (G) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Reference Material (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Reports (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 Fcrm 426A) (2) . . . . . . . . . . . . . . 14 Printing and Reprinting (I) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 Distribution (J) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 Part IV International Agreement Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Background and Rationale (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Identification Information (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Cover and Title Page (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 NRC Report Number (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Previous Reports in Series (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 Report Organization and Components (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 Availability Information (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 References and Bibliographies (1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 Reports (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 Disclaimer (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 Forms (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 Clanified or Sensitive Unclawfied Information (G) . . . . . . . . . . . . . . . . . . . . . . . . . 19 Approved: June 17,1991 iv , (Revised: July 9,1995)
- l. - V:lume 3, Part 1 - Publicati:ns, Mail, and Informati:n Discl:sure Unclassified C:ntractrr cnd Grantee Publicatisns in the NUREG S:riss l _. Handbook 3.8 Parts I - VI f
Contents (continued) l Part V
................................................................. 20 G en eral (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 Definition (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 Fo rma t (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 NRC Document Number (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 Availability of Reference Materials (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 Reviews (F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 Pe e r (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 Copyright (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Securi ty (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
_ Pate n t (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Publishing Authorization Form (G) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
~
i t
Disclaimers (H) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Printing (I) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 l Distribution and Sales (J) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 Part VI G rant P ublications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Background and Rationale (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Publication of Results (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Publication by NRC (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 l Publication by a Grantee (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 l Publication by a Grantee in the Open Literature (3) . . . . . . . . . . . . . . . . . . . . 25 l
Reprints of Open Literature Publications (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 l Identification Information (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 L Pre-Publication Reviews (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 3
Gl o s s a ry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28 Approved: June 17,1991 (Revised: July 9,1995) < V
V:lume 3, Part 1 - Publications, Mail, and Infcrmation Discl:sure '
+
Unclassified Centract:r and Grantee Publicati ns in the NUREG S ries Hrndbook 3.8 Parts I - VI Contents (continued)
- I Exhibits
- 1. NRC Form 426A, " Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports" . . . . . . . . . . . . . . . . . . . . . . . . 32
- 2. NRC Form 335, "Eibliographic Data Sheet" . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
- 3. Microfiche Sheet Sample . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 l
1
.~
j l
l Approved: June 17,1991 vi , (Revised: July 9,1995)
Wlumn 3, Part 1 - Publicatinns, Mail, and Informtti:n Disclosure '
i Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part I 1
Part I Introduction '
This handbook specifies the procedures that the Nuclear Regulatory Commission (NRC) contractors and grantees need to follow when preparing the following publications for the NRC: (A) e Final NUREG reports (1) e International agreement reports (2) e Books (3) _
e Grant publications (4) ;
l The bandbook is divided into six major parts and includes a glossary l and exhibits. PartII provides general information for staff consideration in preparing statements ofwork. Parts III,IV, V, and VI provide publishing guidelines specific to. respectively, contractor reports, international agreement reports, books, and grantee I publications. (B)
Contractor means a private contractor, consultant, expert, another State or Federal agency working under an interagency agreement, or a Department of Energy (DOE) facility or rubcontractor, 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 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 addition to the guidelines specific to each type of publication that appear in subsequent parts of this handbook, all statements of work must contain the applicable guidelines outlined in Part II. (D)
.- l Approved: June 17,1991 1
(Revised: July 9,1995) ,
1 Vclum3 3, Part 1 - Publicatisns, Mail, and Information Disclesure Unclassified Contractor and Grantee Publicati ns in the NUREG Series 1 Handbook 3.8 Part U ;
)
l Part II Preparing Publication Requirements for Statements of Work for Contracts Specifying Publication Requirements (A)
List and describe the type of technical reports required from each i project, task, or subtask, as applicable. State when, how many, and to l whom the reports should be submitted and the scope of information 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 i Directive (MD) 12.2, "NRC Classified Info 1mation Security l l
Program," and MD 12.6, "NRC Sensitive Unclassified Information Security 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 (s)-
NUREG series reports will be printed and distributed by NRC 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 reports are specified 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)
Vclume 3, Part 1 - Publicatiens, Mail, and Infcrmati:n Discl:sure Unclassified Contract:r and Grantee Publications in the NUREG Series Handbook 3.8 Part H !
Publishing Formal Reports (s)(continued)
If a draft is desired before completing a final report, 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 or input to a Safety Evaluation Report or an Environmental 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 report to be issued in the NUREG/CR series is not reached, the NRC contact may request the contractor to prepare the camera-ready copy with, in addition to the standard disclaimer required on all contractor formal reports (see Section '(F), Part III of this handbook), any caveats deemed necessary to cover NRC objections. These caveats may range from "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" to the addition of a preface setting forth the NRC opinion or footnotes at appropriate locations within the text. (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 adminimator 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 similarl be informed by the Approved: June 17,1991 (Revised: July 9,1995) , 3
V:lume 3, Part 1 - Publicati:ns, Mril, and Infcrmati:n Discl::sure .
I Unclassified Centract:r and Grantee Publicati:ns in the NUREG S:riis Handbook 3.8 Part H Publishing Formal Reports (B)(continued)
NRC contracting officer. The contractor is 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)
- Publishing Unclassified Information in i the Open Literature and Presenting i 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 4 following statement to the SOW:(1) m:
ITSMissiinsdjE3(E[MTEN5"n1tl%'ej:$d'7*
[eEbjEihitissimirdsstea(bah =unk/.s.:l?"1fddr p .R g J. G... py. . .<6%
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If the NRC contact wants to review the paper or journal article before presentation or submission for publication, so state in the SOW, as
, follows:(2)
- n. uswstnimwwwawwww ,
. r3.a -
% -. ,,.; - w ,+4 a,
nw. .. g g.m n.
ggwwm wm uuw ..' .g l 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 Commision," 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 -
previously stated. The contractor is then free to publish without 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 Operatiofis. (4)
Approved: June 17,1991 (Revised: July 9,1995) 4
V:lume 3, Part 1 - Publicati::ns, Mail, and Infsrmatinn Discl:sure Unclassified Ccntractar cnd Grantee Publicati::ns in the NUREG Serits Handbook 3.8 Part H 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 l 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 open literature even though the contract does not explicitly provide for this type of publication, the contract can be modified to provide for such presentations. (6) ,
i When the contractor submits journal articles for publication, each j must be accompanied by the following statement: (7) l
- j M~**Mus s ^"'98WW@msyssp3gi@?@$7tW E'"
gwwwm#mswamegggg g
+ m we ggan ad@mp 9 ggg .
q>ymenaresanaurQ g g g ya }
m MS$$$$Mi$$isl$E5f$bs l All published papers and articles must include the following i disclaimer:(8) t r" ystro w:~vpvrav+ - . w ;~w -e . , . nVm l
T ._.;_
ef Werk Spensered by l ki?!?"L ~ _
- v"+ _ . . ,. w
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$, 998@K. @-_MiliMRhidiMil e B!
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'For DOE work orders, the appropriate job code number is applicabic.
Approved: June 17,1991 I 5
(Revised: July 9,1995) ,
Vclume 3, Part 1 - Publicati::ns, Mail, and Information Disclosure .
Unclassified Ccntracter and Grantee Publications in th? NUREG Serits Handbook 3.8 Part H 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 sarnple letter shown as follows:(9) m . ~ _ , ~.-.v,- _ .- - - m , n n - ,, . .-
Dear,
(Copyright Holder's Name):' < ' ' ~ - , ~/c /', ' /
c; w_
. ~ ,
- s. , ,,
.- ' ~ 3 iWe'recently; received 'a! document. for signature assigning -
! copyrigh't'and republication rights inthe submitted ' article :
! (title) to (name of publication).This lettei is offered in heu of, ' ^
[the' document >as aj means' of; completing the tran'sfer ,of '
' ownership. Accordingly,nwe hereby " expressly transfer and :
[ assign our, rights'?of ownership'incthe;above-cited work tog L(name of publisher). ' :' ' ' g '^ J't ,
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' You ar,t advised, however, thatt ; he'above assignment and any hablication er republication of th'e' a boie4ited workisSubjeht !< ' '
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If NRC approves open literature publication and page charges and l 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 l and Classified Information (D)
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.
i Approved: June 17,1991 6 (Revised: July 9,1995)
Vclume 3, Part 1 - Publicatians. Mail, and Information Disclosura Unclassified Ccntracter and Grantee Publicati::ns in th2 NUREG Seri:s L
Handbook 3.8 Part H Conference and Workshop Proceedings (E) i- 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 Govemment Printing and Binding Regzdations 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 jusufication, to the NRC contact. If the additional distribution is approved by the NRC contact, the contractor shall send address labels with the camera-ready copy to the 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 ofInforination (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.
. e.?
Approved: June 17,1991 7
(Revised: July 9,1995)
V: lum 3 3, Part 1 - Publicati::ns, Mail, and Infermati::n Disclcsure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part III Part III l
Draft and Final NUREG Reports !
Identification Information (A) l NUREG Number (1) l Each contractor report published by NRC must be identified by a l unique alphanumeric designation controlled and maintained by the !
Division of Freedom of Information and Publications Services I (DFIPS). To obtain an NRC report number, call the Publications Branch, DFIPS, at (301) 415-7008. (a)
The NRC identification numbers will have one of the following forms:(b) e NUREG/CR-0000 e NUREG/GR-0000
- NUREG/IA-0000 CR indicates contractor report, GR indicates grant report, and IA i indicates international agreement report. The contractor report number,if any, will be placed below the NUREG number on the title page and cover. (c) l 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)
Authors' Names (2)
Authors' names must appear on the report cover and title page, unless placing them there is impractical, as for an annual report having many contributors. Editors or compilers with subject-area expertise may also be identified as such on the cover and title page. The authors' Approved: June 17,1991 8 ,
(Revised: July 9,1995)
V:lume 3, Part 1 - Publicati:ns, Mail, and Infsrmation Discl sura Unclassified Contractcr and Grantee Publicatians in the NUREG Seri s Handbook 3.8 Part HI I
Identification.Information (A)(continued)
Authors' Names (2) (continued) 1 affiliation need not be listed unless it differs from the organization !
creating the report. !
OrganizationalIdentification (3) l The Publications Branch, DFIPS, prepares the covers and title pages ,
! for all reports and will list information about the organization that l created the report as it is provided. l Previous Reports in Series (4)
If the report being prepared is one in an ongoing series, list all previous reports in the series. Include report numbers and issuance dates. Place this list on the back of the title page. 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 report dates are shown on the title page. These dates include the month and year the report is completed and the month and year it is published.
Report Organization and Components (B)
The organization and components of contractor reports vary, depending on their purpose and scope. Recommended format and organizational guidelines appear in "PdEshing Documents in the NUREG Series" (NUREG-0650, Rev.ision 1). (1)
Each draft and final report prepared for NRC must include an abstract of 200 words or less that appears on a separate page preceding the table of contents. The abstract also must appear on the " Bibliographic Data Sheet," NRC Form 335 (Exhibit 2). Instructions for completing NRC Form 335 appear on the back of the form. Guidelines on the i
l special writing requirements for preparing abstracts appear in Section 5.5 of NUREG-0650, Revision 1. (2) l l Pre-Publication Reviews (C) i Patent Review (1) f Patent implications must be considered before approval of reports for public release so that disclosure will not advet'sely affect the patent I
Approved: June 17,1991 9
l (Revised: July 9,1995) l
l V: lum 2 3, Part 1 - Publicati:ns, Mail, and Inf rmati:n Disclosure . ,
l Unclassified Osntract:r end Grantee Publicati:ns in the NUREG Serits Handbook 3.8 Part HI .
1 Pre-Publication Reviews (C)(continued)
Patent Review (1)(continued) rights of NRC or the contractor. If the work being reponed is !
contractually managed through another Government ager.cy (e.g., j DOE national laboratories), the contractor should request that l Government agency to perform the patent review. The result of the i review must be reported on NRC Form 426A under item 8 (see Exhibit 1). (a)
If NRC directly administers the contract, or the contractor is unable to obtain a patent clearance from the Government agency administering the contract, the responsible NRC contracting officer must be consulted, and the responsible NRC technical contact shall consider )
the patent implications. If the report does not require a patent review l because the report does not contain any description of novel tecludcal i developments that may be of an inventive nature, mark "N/A" on the J NRC Form 426A in the space for the Patent Counsel's signature. If a i possibility exists that developments of an inventive nature are disclosed, the contracting officer shall request assistance from the l NRC Awimnt General Counsel for Administration, Office of the l General Counsel, on (301) 415-1553. (b)
Security Review (2)
If a report of sensitive unclassified or classified work is required, the NRC contact must work with the NRC Division o'f Security to establish the appropriate procedures and inform the contractor of these procedures through the contracting officer.The standards for marking and handling these reports are given in Management Directive (MD) 12.2, "NRC Classified Information Security Program."
Copyright Review (3)
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 foll6 wing categories: (1)
Appr.oved: June 17,1991 (Revised: July 9,1995) 10
l V: lum 3, Part 1 - Publicati:ns, Mail, and Infctmatinn Disclosure Unclassified Centracter cud Grantee Publicati:ns in the NUREG S:rias l Handbook 3.8 Part III l .
Color Printing (o)(continued) e Maps and technical diagrams for which additional color is necessary for clarity. (a) l
. Object identification (medical specimens, diseases, plants, flags, uniforms, etc.). (b) l
- Safety programs, fire prevention, savings bonds progranis, and competitive areas of personnel recruiting. (c)
. Areas wherein clearly identifiable savings in costs can be soundly predicated on multicolor use. (d) e 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 respcnse can be logically attributable to the number of l colors planned and the manner in which they are proposed to be j used. (e) )
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 certain areas of need for veterans. (f)
The regulations indicate that the following categories do not meet the l
" demonstrable value" criteria:(2)
. Printed items wherein additional color is used primarily for decorative effect. (a) ,
e Printed items for which additional color is used primarily in lieu of effective layout and design. (b) e Printed 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 ultimate end-purpose. (d)
Approved: June 17,1991 11 (Revised: July 9,1995) ,
V: lum 2 3, Part 1 - Publicati:ns, Mail, and Inferintti:n Disclcsura . ,
Unclassified C:ntracter cnd Grantee Publicatians in the NUREG S: ries Handbook 3.8 Part HI 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 Diretor of DFIPS. (3)
Microfiche (E)
NRC contractors and DOE laboratories submitting microfiche with reports must submit a hard copy of each microfiche, include headers on each microfiche as shown in Exhibit 3, and conform to the following NRC specifications.*
- Microfiche must conform to either the 24/98 format for source 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) e The microfiche must be either a silver-halide master or a black or blue-black diazo placed in acid-free envelopes. (3) )
e The microfiche must contain headers as shown in the sample in Exhibit 3. Specifically, the first block of the header must contain the NUREG number (include volume or revision, if applicable),
the contractor identification number, and the classification (e.g.,
unclassified, proprietary). The second block must contain the description of the microfiche and may include the contractor's name. The third block must contain the publication date and the sheet identification. (4) e The header information must be eye readable on a clear background. (5) e A foldout page must be microfilmed in sections if the page is too l large to be microfilmed in a double frame. No less than 25-mm !
overlap of original material is acceptable. (6) ;
NSnals I t S Merograph f A I/A MSS-1985."_Copics of this standard are avanhble from the American National standards Institute, ATIN: 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 sprini,. MD 20910 (301) 587-8202.
Approved: June 17,1991 12 ,
(Revised: July 9,1995)
Vclume 3, Part 1 - Publications, Mail, cnd Infsrmati:n Disclcsura Unclassified Contracter and Grantee Publicati:ns in ths NUREG Serias Handbook 3.8 Part IH 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)
Disclaimers (F)
The following notice will be added by the Publications Branch, DFIPS, before the printing process on the inside front cover: (1) n m ,,- m , ,,,p g ,n g - - -:n - ~ n w i-This reprtwas prepared as an account of wortesponsored by Danageacyofthe: United States,Govemnaent. Neither the United
~
angenc tliereofinoreany('of theiy i.M;SkMGoyIrnimentiisorM'M)p%
[ fuikt9 M g or'intplied, M(
I um:=miescan/ Megal 4iability;ef4; '"" *ypier any third
' Whay inf.onnation';
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' ' irigiists. ' M MNb'0C M ~ ? ' i 1 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) l Availability Information (G)
Refennce Material (1)
Reports or other documents referenced in text, reference sections, bibliographies, and appendixes of unclassified regulatory and !
technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office (GPO), at the National Technical Information Service (NTIS), or at other reference or sales outlets) or in the NRC Public Document Room (PDR). This means that references should not be made to personal communications and interviews, unpublished information and information with restricted distribution (e.g.,
proprietary, National Security, and Official Use Only). If the unretrievable information is important and unrestricted, quote it in Approved: June 17,1991 (Revised: July 9,1995) 13
l V:lume 3, Part 1 - Publicati:ns, Mail, and Information Disclosure ,
Unclassified Ccntrcettr cnd Grantee Publicati:ns in the NUREG Series Handbook 3.8 Part III ,
f l
l Availability Information (G)(continued) l Reference Material (1)(continued) l the text or in footnotes. Provide any credit due to individuals in the text l or in an acknowledgment section. Availability may be stated l 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 included in an appendix or in a separate listing following the reference section titled " Proprietary Sources of Information." (b) l 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)
Reports (2)
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 report is printed. (a)
Draft reports for which comments are requested are typically announced in the Fedeml Register as being available from the NRC.
These reports are not sold at GPO or at NTIS. (b)
Forms (n)
Bibliographic Data Sheet (NRC Form 335) (1)
All published NRC reports must include an NRC Form 335 as the final 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 Tecimical Publications Section, DFIPS. NRC Form 426A must be signed by the staff member designated by the appropriate office director.
Approved: June 17,1991 (Revised: July 9,1995) l 14 l
^
V lum 3 3, Part 1 - Publicaticns, Mail, and Informati:n Disclosure Unclassified Ccntracter and Grantee Publicati:ns in the NUREG Series Handbook 3.8 Part HI ,
Printing and Reprinting (1)
The Publicadons 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 relevant guidelines from NUREG-0650, Revision 1. Unsatisfactory manuscripts will be returned to the NRC contractor for appropriate action. (1)
Submit a memorandum requesting a reprint to the Director, DFIPS, or designee, for approval. Include with the request a written justification and the approval of the office director or designee for reprinting. Also provide address labels for recipients not on NRC standard distribution lists. (2)
Distribution (J)
The Publications Branch, DFIPS, will arrange distribution for all copies of unclassified formal contractor reports in accordance with instructions on NRC Form 426A(Exhibit 1).The Publications Branch will also arrange automatic distribution of these reports to NRC NUDOCS, the NRC PDR, NTIS, GPO, and the GPO Federal Depository Library Program. (1)
Sensitive unclassified and classified reports will be distributed by the NRC sponsoring office on a case-by-case basis. (2) s l _
Approved: June 17,1991 15 (Revised: July 9,1995) ,
Vzlume 3, Part 1 - Publicatisns, M ll, and Infcrmati:n Disclosure '
Unclassified Centract:r and Grantee Publications in the NUREG Series Handbook 3.8 Part IV Part IV I International Agreement Reports Background and Rationale (A)
NRC has cooperative nuclear safety research programs that involve either or both foreign governments and organizations and U.S.
-industry. These programs include monetary contributions, information exchange, and comments on program plans and results as authorized in the Energy Reorganization Act of 1974. To this end, international end 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 international nuclear safety research program participants are ser/ed best by formal dissemination ofinformation on these programs or codes developed for or in cooperation with NRC. (2)
Identification Information (s)
Cover and Title Page (1)
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 by the Publications Branch, Division of Freedom of Information and Publications Services (DFIPS).
NRC Report Number (2)
Each report must be identified by an NRC-controlled alphanumeric number as the prime number unique to that report. The centralized document control system for unique identification is maintained by DFIPS. Numbers may be obtained by calling the Publications Branch at (301) 415-7008. (a) 16 Approved: June 17,1991 (Revised: July 9,1995) l l
Wlume 3, Part 1 - Publicati:ns, Mail, and Infcrmation Dischsure Unclassified Centract:r and Grantee Publications in the NUFfG Series Handbook 3.8 Part IV Identification Information (s)(continued)
NRC Report Number (2)(continued)
The NRC identification number will have the km "NUREG/IA-000," where IA indicates " international agreement."
The foreign participant's report number, if any, may be inserted below the NUREG number on the cover, if desired. (b)
When a report consists of more than one volume or binding or is issued in tr. ore t1 n one edition, include t.n appropriate volume, number, supplement, part, ad dendum, or raision designation below the report ,
number and the foreign participant's report number, if any. (c)
Previous Reports in Series (3)
If the report being prepared is one in an o ageing series, list all previous
- reports in the series. Include report numbers and issuance dates. Place j 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.
j
)~
Report Organization and Components (C)
The organization and components of cooperative agreement reports l
l l
1 vary somewhat, depending on their purpose and scope. Each of these reports must include an abstract of 200 words or less that appears on a l
separate page before the table of contents. The abstract must also e
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.
L i Availability Information (o)- 1
> t References and Bibliographies (1)
Reports or other documents referenced in text, reference sections, bibliographies, and appendixes of unclassified regulatory and technical reportsin the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office (GPO), at the National'lbchnical Information Service (NTIS), or at other reference or sales outlets) or in the NRC Public Docuremt 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 informition is important and Approved: June 17,1991 17 (Revised: July 9,1995) ,
l l
i
I V:lume 3, Part 1 - Publicati ns, Mail, cnd Informatirn Discl:sure ,
- Unclassified C
- ntract:r and Grantee Publications in the NUREG Series Handbook 3.8 Part.IV i
Availability Information (o)(continued)
References and Bibliographies (1) (continued) l l
unrestricted, it can be quoted in the text, in footnotes, or m l
appendixes. If the title of a document containing proprietary I information is uncimified, it can also be quoted in the text or in a l
footnote. If credit is due to individuals, they can be mentioned in the text or in an acknowledgment section. Availability may be stated i 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 included in an appendix or in a separate listing following the reference ;
section titled " Proprietary Sources of Information." (b)
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)
Reports (2)
These reports will be made available for sale by GIO and NTIS.
Disclaimer (E)
The following notice will be added by the Publications Branch, DFIPS, on the inside front cover before printing.
^
k p dM@GRF
. ettJSNp4:eem y 2 mwresmA ,<
l l
Approved: June 17,1991 (Revised: July 9,1995) 18 l
Vclums 3, Part 1 - Publicati:ns, Mail, and Infcrmati:!n Discltsure Unclassified Contract:r and Grantee Publicati:ns in the NUREG Series Handbook 3.8 Part IV L 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 (G)
The NRC contact should refer to Management Directive 12.2 or call the Division of Security for answers to questions about the status of
^ classified or sensitive unclassified information in NUREG/IA reports.
l
'ea W Approved: June 17,1991 19 (Revised: July 9,1995) ,
Vclume 3, Part 1 - Publications, Mail, cnd Infcrmati:n Discl:sure Unclassified Contract:r and Grantee Publicatirns in the NUREG Series Handbook 3.8 Part V Part V Books General (A)
These guidelines apply to books written by contractors and grantees that are printed by NRC. 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.
Forinat (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 Manual 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 Freedom 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 for printing acceptability by the Printing and Mail Services Branch, DFIPS. Unsatisfactory manuscripts will be reported to the NRC contact for appropriate contractual action by the NRC contracting officer or, in the case of Government agency or interagency agreement work, the publications manager of the performing organization. (2)
Approved: June 17,1991 20 (Revised: July 9,1995)
- - ~ _ _ _ _ _ _ . - - - . - - . -. .- . - - . _
l Vclums 3, Part 1 - Publicati:ns, Mail, and Informttion Discl:sure Unclassified Centracter and Grantee Publicatisns in the NUREG S:riis Handbook 3.8 Part V l
l Format (C)(continued)
DFIPS will approve the design of the cover and title page containing appropriate information concerning-(3)
. Authors' names (a) e Organizationalidentification (b) e Public availability and sales (e)
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 identified 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 La appropriate volume, number, supplement, part, addendum, or revision designation directly below the document number. (2)
Numbers are assigned by the Publications Branch, DFIPS. The o amber may be obtained before the manuscript is submitted to DFIPS for printing by calling the Publications Branch at (301) 415-7165. 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 pven in Section G l of PartIII of this handbook also apply to books prepared by contractors and grantees that are published by NRC.
Approved: June 17,1991 (Revised: July 9,1995) , 21
d i
4 Vtlume 3, Part 1 - Publicati:ns, Mail, and Inf:rm ti:n Disclasura . ,
Unclassified Ocntract:r and Grantee Publications in the NUREG S: ries j Handbook 3.8 Part V l
Reviews (F)
I Peer (1)
Books published by NRC must undergo peer review by experts within
! and outside NRC. Peer review refers to a critical evaluation of the i technical contents of a publication. These reviews may be conducted I
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 independent judgment about whether the publication successfully accomplishes the author's aims. Peer reviewers should be chosen for their expertise in the subject matter of the book. They may come from academia, the national laboratories, other Federal agencies, or from other research institutes or consulting firms. They may be identified from the membership rolls of professional societies, American National Standards Institute (ANSI) subcommittees, and the like. Do not choose more than one reviewer from the same organization. (b)
When assessing poteritial peer reviewers, screen for demonstrated competence and achievement in a specific discipline or research specialty. Assess competence based on the quality of research accomplished, publications in refereed journals, and other significant technical activities, achievements, and honors. Consider the judgment, perspective, and objectivity of reviewers. Consider also the personal integrity of those selected to ensure the confidentiality of information reviewed. Finally, avoid real or perceived conflicts of interest. Do not choose reviewers who are licensees or consultants to licensees, nor reviewers from intervenor groups. Likewise, do not choose reviewers who may profit financially from influencing the information reviewed. (c)
The services of reviewers from outside the agency may be acquired through consultant services contracts. The decision as to whether to reimburse peer reviewers should be made on a casc-by-case basis, however. Recognize that reimbursing peer reviewers mr.y give the appearance of a conflict ofinterest, suggesting to some that because NRC is paying for this service, the agency will seek only reviewers thought to be favorably disposed to the material reviewed. One way to offset this impression is to seek recommendations for peer reviewers from independent organizations, such as the American Physics Approved: June 17,1991 22 ,
(Revised: July 9,1995)
4m J J Volume 3, Pcrt 1 - Publicati:ns, Mdl, and Inf rmati:n Discl:sure Unclassified Ccntrcct:r cnd Grcntee Publications in the NUREG S: ries Handbook 3.8 Part V Reviews (F)(continued)
Peer (1)(continued)
Society, the American Nuclear Society, the American Society of Mechanical Engineers, or appropriate universities. Reimbursement could then be made to the organization. (d)
Copyright (2)
Copyrighted material must not be reproduced in NRC books without appropriate authority, usually written permission of the copyright holder. See Section 3.4 of NUREG-0650, Revision 1, for information about obtaining copyright perTnission.
Security (3)
On the basis of the knowledge of the information sources used, the author is responsible for ensuring that the manuscript does not contain classi5ed 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 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 III of this handbook also apply to ,
books prepared by contractors and grantees.
1 Publishing Authorization Form (G)
A completed NRC Form 426A (Exhibit 1), signed by the office l director or designee or by a DOE national laboratory authorized official if the publication is prepared for the ' Office of Nuclear Regulatory Research, must be submitted to DFIPS with the book manuscript. ,
I i
Disclaimers (n)
The following standard U.S. Government notice will be added before printing:(1) i
~
Approved: June 17,1991 23 (Revised: July 9,1995) ,
V:lume 3, Part 1 - Publicati:ns, Mail, and Inf:rmati:n Discitsure .
Unclassified Centract:r and Grantee Publicati:ns in the NUREG Seriis Handbook 3.8 Part V Disclainters (n)(continued) f' Ibis'dosiassiitiaisinEpaiid asalisicsiintW6sirk~spsniMFed i by'an' agency of,the Unisedl Ststis,Governamest. Neither'the
!UnitedStatesGoberisinent ioranyagencythereef,'noranyof
("*'C'" ~~ j -14astiesimmyisarr5 sty,esgntsseder39W,or Mabuiti'kirO;. * $for!anyfthird f'adeniiiniany!Iessi(iesuks
!^pairys'use; or shel of such'eise,;ofsaysinfobast i apparktus,pieductj er proeiss #W in this d esiment, br iregir ennetits'asebyiniich' third,partyweiuldnot; LE;2 igriya@{esed rights,'i'un': idh';_;j2;gij 1
The following additional statement may be printed below the standard disclaimer,if authorized by the NRC office director or designee: (2)
$1HTd35ssiM~NiiaT~
[m~essisia6fdiND)}pifijiUIGiTuG3EE Cos Oost5 8IE gg 3 lati those of thsianthei(s) and Oe'Mt'mecessarily$efle~c 't'thei Niews of t.h_e'NRC5N3h!M.
m - ';' t ': 0 ?. 9_/^:d !M,,'2_ .J:a
, n 1 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 (J)
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 shauld be limited to those who contributed materially to the back 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 24 (Revised: July 9,1995)
Vclum 3, Part 1 - Publicatians, Mail, cnd Infcrmatian Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series
! Handbook 3.8 Part VI l
l 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, Sections 31.a and 141.b.
Publication of Results (s) 1 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 HI of this handbook for reports or in Part V of this handbook for books, as appropriate. See " Identification Information,"
Section (C) of this part.
Publication by a Grantee (2)
When the grant specifies that the grantee is to publish the results of his or ht.r work, the grantee must grant to the Goveinment a royalty-free, nones vlusive, 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)
Approved: June 17,1991 25 (Revised: July 9,1995)
V lume 3, Part 1 - Publicati:ns, Mail, cud Infcrmati:n Discl:sure . ,
Unclassified Contrcct:r and Grantee Publicati:ns in the NUREG Stries Handbook 3.8 Part VI Publication of Results (s)(continued)
Publication by a Grantee in the Open Literature (3) (continued)
.,,_ v.w,-.n -
-ilhen,-----_ias' submitted manuscript been authored l by a' grantee of,
[thh U.S Gsv0= ment under Grant No.' ' a OJAccordingly,b sE lt fre .y etoi e e U S.1.mm.,m,u.
ith.m.x g .g
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.torca
,ll,o,w wem--mm-mm am.n,.an k . w-%emam-w sop ~C,ovenument:pur
%p.osesteerk -n s
--mmu All open literature publications prepared under this grant must contain the following statement: (b) pr m._ - y - - - .m--;m ,- g.m.
s This paper was prepared with'the support of cyj U.S. Nuclearl F Regulatory Cosimission (NRC) under Girant No? ' i ."Thkj j opisiend ifindings, : conclusions,' c an'd :: recommendations t iexpressed .tiereinj are' thosetofi%e 'authei(s)/anddo= noti
!; ne,ces,sa, rily ; refisci the vie,wsie,f the.' Nm c RC ~
'e'! >.b A c ^ '?,,Ns
-szu e 6.i_.ww ',mam- -wm a w~.a.AAw .
6u,us.w.samh. oc.' .MAe'.4 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 publisher in writing in accord with the sample letter shown as follows:(c) ;
i
~ l
... Dear ~m(Publishdr'fNanit)iW7775>
- n a x; . ~ ~ ,c a _,u n"7'"~j'FN~T"~f~7']
m n , /a We recently receivsdVasensicat festeignature assigning copyright' ,
ab te(namhof I and Q _" 'ication riihtkin n'sulguitlph,dWe'* ~ publication) '
t ' Ameendiaggwe;hereby!
of comple'ing4he expressir, transtsAndhansisd%s iransfes(of 'l' 4eff ,, heimmershipinjthe
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(Revised: July 9,1995)
,
- V: lum 2 3, Part 1 - Publicati:ns, Mail, and Infermatian Discl2 sura Unclassified Centractar and Grantee Publicati:ns in the NUREG Series Handbook 3.8 Part VI i i
w . ;i Publication of Results (s)(continued)
Reprints of Open Literature Publications (4)
When any article resulting from work under the grant is published in a ,
scientific, technical, or professional journal, two reprints of the l publication must be sent to the cognizant NRC program officer, clearly labeled with the grant number and other appropriate ,
identifying information. j l
Identification Information (C)
Each report or book published by NRC that results from a grant must be identified by an alphanumeric number, "NUREG/GR-000,"
where "GR" indicates " grant report." (1)
When the publication consists of more than one volume, number, supplement, part, or binding, or is issued in more than one edition, an appropriate volume, supplement, part, or revision designation must appear below the NUREG/GR number. (2)
Numbers may be obtained from the Publications Branch at j
(301) 415-7008.(3) i Pre-Publication Reviews (o) l l
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, participation, or intervention as long as it is run in accordance with the terms of the instrument." 4 Approved: June'17,1991 (Revised: July 9,1995) ,
27
l V:lume 3, Part 1 - Publicatirns, Mail, and Infcrmatinn Discl::sure '
Unclassified Contractor and Grantee Publications in the NUREG Series
, Handbook 3.8 Glossary l
l Glossary
- Book. ^ publication 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. Tb arrange letters, in type or fi.'m, for printing. Usually synonymous with typesetting.
Composition. The process of setting type by hot-metal casting, phototypesetting, or electronic character f.enerating devices (e.g.,
computers) for the purpose of producisg camera-ready copy, '
negatives, a plate, or an image to be uwd 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 provide ~d 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 reports and make them available for free distribution, sale, or copying.
awonk u inanciin dennitions are aho dermed in the abssary -
Approved: June 17,1991
.g (Revised: July 9,1995)
l*
L
- Vclums 3, Part 1 - Publicalitns, Mail, cnd Infcrmation Disclssura Unclassified Centract:r c.nd Grantee Publicati:ns in the NUREG S:rits Handbook 3.8 Glossary ;
l 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 Freedom of Information and Publications Services at the request of the originating office or region.
j 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 refers to format, such aspaperback, casebound, or to the text, as revised, expanded, and so on. If extensive revisions have been made to the text and the book is reprinted, the revised version is the new edition.
Grant. Alegalinstrument which defines the relationship between the Government and a recipient for the transfer of money, property, services, or anything of value to the recipient for the accomplishment of a public purpose of support or stimulation authorized by law. A grant presumes a limited amount of involvement by the agency in the performance by the recipient.
Grant Report. A record of work done prepared in accordance with the provisions of the trant.
Index. An alphabeticallist of all major topics discussed in a book. It 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 accordance with the provisions of an interndrional agreement.
I -
Approved: June 17,1991 29 (Revised: July 9,1995) ,
Vtlume 3, Part 1 - Publicati:ns, Mail, and Inf rmatisn Disclusure .
l Unclassified Contracter and Grantee Publicati:ns in the NUREG Seriec Handbook 3.8 Glossary Glossary (continued)
Manuscript. A handwritten, typewritten, or composed version of a document, as distinguished from a printed copy.
NRC Project Manager. The NRC staff member responsible for the work performed by consultants or contractors and their subcontractors, or for work performed under or pursuant to an 1 interagency agreement.
Paperback. Abook 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 totally independent of the work leading to the mam: script. Reviewers should be chosen from the potential audience for the publication and should provide 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 typewriter composition.
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 Infonnation. Trade secrets; privileged or confidential research, development, commercial, or financial information exempt from mandatory disclosure under 10 CFR Part 2 (Sections 2.740 and 2.790) and under 10 CFR Part 9 (Section 9.17);
and other information 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 the public domain.
Approved: June 17,1991 (Revised: July 9,1995) 30 ,
V:lums 3, Part 1 - Publicati:ns, Mail, and Infcrmatien Disclosure l
Unclassified Contract:r cad Grantee Publicati:ns in the NUREG Series Handbook 3.8 Glossary l
L Glossary (continued) i Reproducible Masters. Camera-ready copy that includes (1) originals of line drawings (or prints that can be copied); (2) glossy prints of black and white photographs; (3) original typeset or printed text, tables, cover, title page, contents, and abstract; or (4) other forms
- of the materials that a printer can reproduce.
Trim Size. The final size of the whole page, margins included.
- Typesetting. The placement of type on a page (letters, numbers, and i
other characters) in conformance with specific style and layout instructions.
Y j Unique Identification. NRC identification (NUREG number) used on a report and its attachments, revisions, and supplements that is not
- , used on any other publication. l i
\
l I
1 i
l Approved: June 17,1991 31 (Revised: July 9,1995)
_ . _ . _ _ . _ . . . _ _ . . ~ . _ _ . . . _ . _ _ - _ _ _ _ _ . _ _ _ _ . _
l 1
l V: lum 3 3, Part 1 - Publicati:ns, Mail, cud Inforrnatian Disclssure Unclassified Contractor and Grantee Publications in the NUREG Series l Handbook 3.8 Exhibits 1 l
Exhibit 1 NRC Form 426A, " Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports" ._
e.ac e ana us. muc6 san nasuu ron v - s aaeons -- n
- ". . s ame
_e RELEASE TO PUSUSH UNCIASSIFIED NRC CONTRACTOR. hL REG 57 CONSULTANT. OR CONFERENCE PROCEEDINGS REPORTS ~
em.m on.eoreno **** }-
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l Approved: June 17,1991 32 (Revised: July 9,1995)
. . Vclume 3, Part 1 - Publicatisns, Mail, cnd Infcrmation Discl:sure Unclassified Contractor and Grantee Publicati:ns ir. the NUREG S2 ries Handbook 3.8 Exhibits Exhibit 2 NRC Form 335, " Bibliographic Data Sheet"
,.,c .o== sa.
us. muc6aa. .soutai ,-====vaos ; .. agsysa ~~'
~
BIBt.lOGRAPHIC DATA SHEET
'8""""*"'""******""# MUREG/CR-5603 s riits ano susterse EGG-2607 Pressure-Dependent Fragilities for Piping Components : . oava.uo v.u us s.
Pilot Study on Davis-Besse Nuclear Power Station -- naa l
October 1990 85[ ~
.auf Opal ETr -
D.A. Wesley T.R. Kipp, D.K. Nakaki, H. Hadidi-Tamjed ch[ A ,
M*'** ***'e**;, ^ =
..a,-.-..-.-.--._._.._c W TT"6)rporation Under contract to:
.- ~ .:Dgd 27401 Los Altos. Suite 480 Idaho National Engi .i' Laboratory '
Mission Viejo. CA ' 92691 EG&G Idaho, Inc.
Idaho Falls ID 8341 gig x A
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~ ~ ~ As' Nag-n.assmcr .
39 . ,.
tes 'to wi stand pressures and tempera-The capacities of four, low-pres rei uid!
tures above the design lev we es i foe :On S-Besse Nuclear Power Stat-ion. The results will as ri e 1 'sro ity of plant damage freen Inter-
' facing System Loss of lant! ); part of the probabilistic risk as-sessment of the Davis- leer ice a rtaken by EG&G Idaho, Inc. In-
~ ngers, filters, pumps, valves, and cluded in this evaluati sarei . E t
. flanged connections for 3ys "tThei ities of failure, as a function of in-
.ternal pressu evalua east 1 variabilities associated with them. Leak rates or les rees. esti rolling modes of failure. The pressure capacities f ( a pi- and elsRa U.= eva+luated using li'it-state analyses for the various failu red. 'The' pacities art depenem on several factors, in.
- ciuding the ma a . 1 assumptions, and the postulated failure cri-ete -f ange connections, valves, and pumps do not lend teria. The fail
- ford t to eva ti ? con onal structural mechanics techniques and evaluation irely rimaril en:. from ongoing gasket research test programs and avail-el informa '.a ye.
tes data.
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ed. asks s amemmy ane esmos.d nL at"t=4.rv svaisau.u ESV 9 _
presh- # ~ _ . M'rag i es Unlimited pingSc s&
eme act jl4'ss of Coolant Accidents (ISLOCA) .r a.-
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! pr st sk;atsessment
<r a===
Davi s-Bes 1 Power Station jf Unclassified
. a. unseen os emoss
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J Approved: June 17,1991 1 (Revised: July 9,1995) , 33
l Wlums 3, Part 1 - Publicati::ns, Mail, and Informatisn Disclosure e a Unclassified Centracter and Grcntee Publicatiens in the NUREG Series Handbook 3.8 -Exhibits Exhibit 2 (continued)
DO NOT PRINTTHESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT INSTRUCTIONS NRC PORM 335, BISLIOGRAPHIC OATA SHEET IS BASED ON GUIDEUNES FOR FORMAT AND PRODUCTION OF SCIENTIFIC l ANO TECHNICAL REPORTS, ANSI 239.1S-1987 AVAILASLE PROM AMERICAN NATIONAL STANDARDS INSTITUTE.1430 l BROADWAY, NEW YORIC, NY 10018. EACH SEPARATELY SOUNO REPORT-POR EXAMPLE. EACH VOLUME IN A MULT1 VOLUME SET-SHALL HAVE ITS UNIQUE SIBUOGRAPHIC DATA SHEET.
- 1. REPORT 100 BASER. Eenh Individumpy bound sesort enuet - 3. PEftPORasiteG ORGANIZATION SIAME AND MAluMG carry a unioso otshemumerne elesigneten (NUREG) assened ADDRESE. Give norne, sweet, may, stone, and 2IP ende.
try the Repdesory Pae+aan Branch, Divhion of Freedom Use no mese then tuvo Isveis of an ergonnaeuonet hierarchy.
of Information end Pidsilustions Servises, in ascendonos with Dispesy the name of the organisetion esectly as folleurs:
Asnerissa Nedonal Sandenf ANSI 239.23-1983, Standed Division, Office, Organization or Gowersonant ogency, and
'Teshnssel Report Number (STRNL use uoperumme esteers, oddress.
Asobic smemorais, slashes, and hygiens only, as in the follois.
ing esempius- NUREG-0100, NUMEG/CP4010 NUREG/ 9. SPONSORING ORGANIZATION. If NRC, type "Same es CR4100, and NUREG/SR 0010. For reports in a series odd above*;if contractor, provisie NRC Division, Office or f egion, VoL, Supp., Rev., and Addendum, indien meesssary. Add U.S. Nuoteer Regulatory Commission, and ensiling address, contracter mus>referunne identificassen nurnbar (if any) below NUREG-sortes nurnber, e-9, PNL,XXXX. SANDXX. 10. SUPPLEMENTAftY NOTES. Entst information not included XXXX. sal.XXXX, sessushere tsue useful, such as: Prepared in cooperation vuith ...
Presented et conference of . To be rashmahed ... Docket No, .
- 2. TITLE AND SUSTITLE. Title should Indiente cinerty and * * ""
turtofly time edilect (assurage) of the report; inedustag any
,, ,,, f ,,,,,g, subtide to de main Wee. When a soport is propewd in more We one volune, nesent the primary tite, add wohame number 11. ABSTRACT. Incluste a brief (200 wones or less) factaal esm-mary of the most oipilficent inferrnation contained in the and W subthee for dw speelRe wohane. Uns upsur and lount am letters, but capiulies earneuw code manus. Do esport if the report contains a significant banliegsuchy or Eterature suswey or muhiple volumes, mention it here. Abstreet not me uronyms end h in tidos; may in endad in l is to lue psepared by author or progest monogar.
pereneweis.
- 12. KEY WWOftOS/OESCRIPTOfts. Select from the Enerpr Date
- 3. DATE REPORT PUSusHED. Eoch report must carry a dose Dese Subiect Theesunas. DOE / TIC,700R R4, the proper ineScasing month and year pubSehed, authertsed terms titet identify the maior eencept of the resserth and ese offiaienUy sonolfic and precise to be used
- 4. FIN OR GRANT as mamsR. Insert the PIN or pont eumber under shich ssport us prepumL 13. AVAILAStuTY STA" tit 4Elff. Denose sadslic reinemability, for seenple "unEnt'.di", or liniteetion for reasons other
- 5. AUTMORlS). Give name(s) in conventional evaler (e.g., John shensoeurMy, R. Dee, J. Robert Dee). Use asthes's eftination it it is estter.
e.ggyg, g , ,,,venninge,p .s. sa. 14. f4CURITY CLASSIFICATION. Enter U.S. Gesarity Classifi-anden h' esmuulonne with U.S. Seeurity P=t"'=ms (i.e.,
E6 TYPE OF REPORT. Stone alreft, innel, preliminary, sapiset, testinisel, empissery, eneust, euerurty, str. 11 NLAMER OF PAGES. Leave blank. (Added by NTIS)
- 7. PERIOD COVERED. Addinctustus sleens. 18. ' RICE. Leme blank. (Asidad by NTI2) u - seas. es. . s e l
l l
l ..
Approved: June 17,1991 34 M# 3"U
t
1 Volume 3, Part 1 - Publications, Mail, and Information Disclosure -
j Unclassified Contractor and Grantee Publications in the NUREG Series l
- Handbook 3.8 Exhibite i
1.
1 i
Exhibit 3 1 Microfiche Sheet Sample I
i i
NUREG/CR-XXXX DESCRIPTION OF MICROFI'CHE 'POB ON ATE
- g C gCTOR ig NO.
(e.g Appendix A) of 09 [ ID)
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- 1. 50LK2TATlDUS/UlseTV4ACT/ReOUIF1 CATION ML**MR CONTRACT PRICING PROPOSAL COVER SHEET OMB No.:9000-0013 Expwes: 09/30/98 (Cost or pbcing Date Required)
Pupc reportmg burden for thes Cohectson of mformatson es estimated to average 4 hours4.62963e-5 days <br />0.00111 hours <br />6.613757e-6 weeks <br />1.522e-6 months <br /> per response, includ ng the time for reviewing anstructions, searcNng existmg data sources, gathenne and meantasneg the dets needed, and completmg and reviewing the conection of information, Send comments regardeng thes burden estwnste or any other aspect of tNs coNection of information, inC suggestions for reducmg thes burden, to the FAR Secretanet (VRS), Office of Federal Acquesetson Policy, GSA, Washington.
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3a. seAME OF C;--J S POSeT OF C9 T ACT 2a seAME OF OFFEROR 3c. TELEPHONE 3n. TTTLE OF OffEROff s POsaT OF CONTACT AMA COOE NUMER 2n. FoET Lese ADOMS$
2s. 5TREET ADOESS 4. TYPE OF CONTRACT ACTION (Check)
- e. ..EW CONTRACT d. LET11R CONTRACT 2e. STATE 2f. 2r CODE CBMNGE OfWER e. UsePftCED ORDER 2d. CTTY t.
- s. OTHER iSpeeryl
,, m my,,,an, M OET u naseATiON
- 6. TvPE OF CONTRACT scAseAs FFF 0 cP- OCPAF e. PROeOSEo COST /e +s-Ce
[ [CPFF A.COsi 8. PROFIT / FEE C. TOTAL FPt _
OTHERifeenfW l 7. PERFORMANCE l - g s ..
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- c. QUANTITY d. TOTAL PRICE e. PROP. REF. PAGE
- a. UNE ITEM NO. b. IDENTIFICATION
- 9. PROVIDE THE FOLLOWING W evadeWel NAadE Of CON %ACT ADhdest&TRATION OFTICE esAME OF AuOrt OFFICE 5TMET ADOI ESS STMET AuOfESS CITY $ TATE 28' CODE CITY STATE Zr CODE
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- 13. 5 THE r,sw v.AL COpeteST9eT wffH YOUR ESTABLEHED ESTRAATeeG AND
- 12. MAVE YOU SEEN AWAfCED ANY CoteTRACTS OR Suwi UmsTRACTS FOR THE ArvrismsygeG PRACTICES AfeO PROCEOUIES AseO FAR PAftT 31. COST SAME OR SeatAR ITDAS WITHet THE PAST 3 YEAfEF (# *Ves
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- 14. COST ACCOUNTING STANDARDS BOARD (CASB) DATA (FbMe Law Sf-379 as amended and FAA PART 30/
- t. MAVE YOU suiiiusiiizu A CASS OeECLL*_M 6TATBAENT eCASS 06-1 er 217 e.wtt THen CoseTRACT ACTION SE SUSJECT TO CASS flEOULAT10se57 (# er *Ves
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- d. E Afry ASPECT OF THE PROPOEAL marvinnansTBei WfTH YOUR DISCLOSED s.HAVE YOU et !se NOTFED THAT YOU AfE OR teAY SE se feOseCObePLlaseCE PluCTICE5 OR APPLICAEE COST ACCOUNTeeG STA8eOAfCE? IK 'Yes
- WTTH YOUR OGGO6ufE STATDdENT OR COET ACCOUNTDee STApsOA8CEF tr "Yes
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- 18. DATE OF SUGMIE540N 17, 580 NATURE STANDARD FORM 1411 (REV.10 51 AumORIZED FOR LOCAL REPROOUCT10se Pseeershed by O$A . FAR 64e CFps S3.216-2tal Psoweeue edstman a set useMe i
,' , FAC 90-32 OCTOBER 1,1995 15.s04 6 FEDERAL ACQUISITION REGULATION (FAR)
TABLE 15-2 INSTRUCTIONS FOR SUBMISSIGN OF A CONTRACT PRICING PROPOSAL WHEN COST OR ;
PRICING DATA ARE REQUIRED The SF 1411 provides a cover sheet for use by offerors to submit to the Government a pricing proposal of estimated and/or actual costs only when cost or pricing data are required.
- 1. The pricing proposal shall be segregated by contract line item with sufficient detail to permit cost analysis. Attach cost-element breakdowns, using the applicable formats prescribed in Item 8 A, B, or C of this section, for each proposed line item.
These breakdowns must conform to the instructions in the solicitation and any specific requirements established by the con-tracting officer. Furnish supporting breakdowns for each cost element, consistent with the offeror's cost accounting system.
When more than one contract line item is proposed, summary total amounts covering all line items must be furnished for l
each cost element. If agreement has been reached with Government representatives on use of forward pricing rates / factors,
- l
! identify the agreement, include a copy, and describe its nature. Depending on offeror's system, breakdowns shall be provided for the following basic elements of cost, as applicable:
Materials-.-Provide a consolidated priced summary of individual material quantities included in the various task, orders, or contract line items being proposed and the basis for pricing (vendor quotes, invoice prices, etc.). Include raw mate-rials, parts, components, assemblies, and services to be produced or performed by others. For all items proposed, iden-tify the item and show the source, quantity, and price.
Competitive Methods-For tl.ose acquisitions (e.g., subcontracts, purchase orders, material orders, etc.) exceeding the l
pertinent threshold set forth at 15.804-2(a)(1) priced on a competitive basis, also provide data showing degree of com-petition, and the basis for establishing the source and reasonableness of price. For interorganizational transfers priced at other than cost of the comparable competitive commercial work of the division, subsidiary, or affiliate of the con-tractor, explain the pricing method (see 31.205-26(e)).
Established Catalog or Market Prices or Prices Set by Law or Regulation or Commercial item Not Covered By Another Exception-When an exception from the requirement to submit cost or pricing data is requested, whether the item was produced by others or by the offeror, provide justification for the exception as required by 15.804-l(d).
l I Noncompetitive Methods-For those acquisitions (e.g., subcontracts, purchase orders, material orders, etc.) exceeding pertinent threshold set forth at 15.804-2(a)(1) priced on a noncompetitive basis, also provide data showing the b i
establishing source and reasonableness of price. For standard commercialitems fabricated by the offeror that are gen-erally stocked in inventory, provide a separate cost breakdown if priced based on cost. For interorganizational trans-fers priced at cost, provide a separate breakdown of cost by elements. As required by 15.806-2(a), provide a co cost or pricing data submitted by the prospective source in support of each subcontract, or purchase order that is (i) 51,000,000 or taore, or (ii) both more than the pertinent threshold set forth in 15.804-2(a)(1)(iii) and (iv) and more than 10 percent of the prime contractor's proposed price. The contracting officer may require submission of cost or pricing data in support of proposals in lower amounts. Submit the results of the analysis of the prospective sour proposal as required by 15.806. When the submission of a prospective source's cost or pricing data is required described above, it shall be included as part of the offeror's initial pricing proposal.
Direct Labor-Provide a time-phased (e.g., monthly, quarterly, etc.) breakdown of labor hours, rates, and cost by appro-priate category, and furnish bases for estimates.
Indirect Costs-Indicate how offeror has computed and applied offeror's indirect costs, including cost breakdowns, and showing trends and budgetary data, to provide a basis for evaluating the reasonableness of proposed rates. Indic rates used and provide an appropriate explanation.
Other Costs-List all other costs not otherwise included in the categories described above (e.g., special tooling, travel, computer and consultant services, preservation, packaging and packing, spoilage and rework, and Federal excis l finished articles) and provide bases for pricing.
Royalties-If more than $250, provide the following information on a separate page for each separate royalty or name and address of licensor; date of license agreement; patent numbers, patent application serial numbers, or othe on which the royalty is payable; brief descrip ion (including any part or model numbers of each contract item or compo on which the royalty is payable); percentar,e or dollar rate of royalty per unit; unit price of contract item; number o and total dollar amount of royalties. In 6dition, if specifically requested by the contractmg officer, provide a copy of current license agreement and identification of apphcable claims of specific patents. (See FAR 27.204 and 31.20 Facilities Capital Cost of Money-When the offerot elects to claim facilities capital cost of money as an allowable c the offeror must submit Form CASB-CMF and show the calculation of the proposed amount (see FAR 31.205-10).
j
> 2. As part of the specific information required, the offeror must submit with offeror's proposal, and clearly iden such, cost or pricing data (that is, data that are verifiable and factual and otherwise as defined at FAR 15.801
! tion, 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 15-24
- ,.- .- ~ , .. -
FAC 90-32 OCTOBER 1 1995 9 15.804 6 PART 15-CONTRACTING BY NEGOTIATION projecting from known data; and
- b. The nature and amount of any contingencies included in the proposed price.
- 3. Whenever the offeror has incurred costs for work performed before submission of proposal, those costs m in the offeror's cost / price proposal.
- 4. 'Ihere is a clear distinctioa between submitting cost or pricing data and merely making available books, re documents without identification. The requirement for submission of cost or pricing data is met when all accurate cost pricing data reasonably available to the offeror have been submitted, either actually or by specifi As later information comes into the offeror's possession, it should be l tracting officer or an authorized representative. l promptly submitted to the contracting officer in a manner that clearly shows how the informatio ;
proposal. 'The requiument for submission of cost or pricing data continues up to the time of agrel date agreed upon between the parties if applicable.
- 5. In submitting offeror's proposal, offeror must include an index, appropriately referenced, of all the co infonnation accompanying or identified in the proposal. In addition, any future additions and/or revisions,l agreement on price, must be an,'otated on a supplemental index.
- 6. By submitting offeror's proposal, the offeror, if selected for negotiation, grants the contracting officer resentative the right to examine, at any time before award, those books, records, documents, and other type mation, regardless of form or whether such supporting information is specifically referenced or included in the basis for pricing, that will permit an adequate evaluation of the proposed price.
- 7. As soon as practicable after final agreement on peice, but before the award resulting from the proposa under the conditions stated in FAR 15.804-4, submit a Certificate of Current Cost or Pricing Data.
R. HEADINGS FOR SUBMISSION OF LINE-ITEM SUMMARIES:
A. New Contracts (including Letter contracts).
PROPOSED CONTRACT REFERENCE COST ELEMENTS PROPOSED CONTRACT ESTIMATE-TOTAL COST EST! MALE--UNIT COST (3) (4)
(1) (2)
Under Column (1)-Enter appropriate cost elements.
Under Column (2)-Enter those necessary and reasonable costs that in offeror's judgment will properly be efficient contract performance. When any of the costs in thi. column have already been incurred (e.g., under a or unpriced order), describe them on an attached supporting schedule. When preproduction or star or when specifically requested to do so by the contracting officer, pmvide a full identification and explanatio Un&r Column (3)-Optional, unless required by the contracting officer.
UrJer Column (4)-Identify the attachment in which the information supporting the specific cost element m Attach separate pages as necessary.
B. Change Orders, Modif; cations, and Claims.
COST OF WORK NET COST OF REFERENCE ESTIMATED COST OF NET COST TO COST ADDED CHANGE COST OF ALL DELETED BE DELETED ELEMENTS WORK WORK DELElID ALREADY PERFORMED (6) (7)
(3) (4) (5)
(t) (2)
Under Column (1)-Enter appropriate cost elements.
Under Column (2)-Include the current estimates of what the cost would have been to complete the deleted wo I performed (not the original proposal estimates), and the cost of deleted work already perfor Under Column (3)-Include the incurred cost of deleted work already performed, actually computed if mated in the contractor's accounting records. Attach a detailed inventory of work, materials, parts, com ware already purchased, manufactured, or performed and deleted by the change, indicating the c of each line item. Also,if offeror desires to retain these items or any portion of them, indicate the amount off Under Column (4)-Enter the net cost to be deleted which is the estimated cost work already performed. Column (2)less Column (3) = Column (4).
15-25
- - - - _. .-- ~ - - - . - . -- - - -- -
1 - FAC 90-32 OCTOBER le 1995 ;
6 e l
! ~ ' 15.s04 6 FEDERAL ACQUISITION. REGULATION (FAR)
. Under Column (5)-Enter the offeror's estimate for cost of work added by the change. When nonrecurring costs are sig-nificant, or when specifically requested to do so by the contracting officer, provide a full identification and explanation of them. When any of the costs in this column have already been incurred, describe them on an attached supporting schedule.
Under Column (6)-Enter the net cost of change which is the cost of work added, less the net cost to be deleted. When l this result is negative, place the amount in parentheses. Column (4) less Column (5) = Column (6).
Under Column (7)--Identify the attachment in which the information supporting the specific cost element may be found.
l Attach separate pages as necessary.
C. Frice Revision / Redetermination.
NUMBER OF CONTRACT REDETERMINATION DIFFERENCE l CLITOFF DATE NUMBER OF UNITS COMPLETED UNITS TO BE AMOUBrl PROPOSAL COMPLETED AMOUNT l (2) (3) (4) (5) (6).
(1)
INCURRED INCURRED TOTAL ESTIMATED ESTIMATED REFERENCE COST INCURRED COST- COST- COST- INCURRED COST TO TOTAL COST ELEMENTS PREPRODUC- COMPLETED WORK IN COST COMPLETE TION UNITS PROCESS (10) (II) (12) (13) (14) l (7) (8) (9)
Under Column (1)-Enter the cut off date required by the contract, if applicable.
Under Column (2)-Enter the number of units completed during the period for which experienced costs of production are being submitted.
Under Column (3)-Enter th,. aumber of units remaining to be completed under the contrac' Under Column (4)-Enter the cumulative contract amount.
Under Column (5)-Enter the offeror's redetermination proposal amount.
Under Column (6)-Enter the difference between the contract amount and the redetermination proposal amount. When this result is negative, place the amount in parentheses. Column (4)less Column (5) = Column (6).
Under Column (7)-Enter appropriate cost elements. When residual inventory exists, the final costs established under fixed-price-incentive and fixed-price-redeterminable arrangements should be net of the fair market value of such inventory In support of subcontract costs, submit a listing of all subcontracts subject to repricing action, annotated as to their statu Under Column (8)-Enter all costs incurred under the contract before starting production and other nonrecurring costs (usually referred to as startup costs) from offeror's books and records as of the cutoff date,'Ihese include such costs as pre-production engineering, special plant rearrangement, training program, and any identifiable nonrecurring costs su rework, spoilage, pilot runs, etc. In the event the amounts are not segregated in or otherwise available from offeror's enter in this column offeror's best estimates. Explain the basis for each estimate and how the costs are charged on offeror's accounting records (e.g., included in production costs as direct engineering labor, charged to manufacturing overhead, Also show how the costs would be allocated to the units at their various stages of contract completior;.
Under Columns (9) and (10)-Enter in Column (9) the production costs from offeror's books and reconis (exclusive of preprodu tion costs repoited in Column (8)) of the units completed as of the cutoff date. Enter in Column (10) thnosu of work in pr
' determined from offeror's records or inventories at the cutoff date. When the amounts for work in process are rot available in tor's records but reliable estimates for them can be made, enter the estimated amounts in Column (10) and ener in Colum ferences between the totalincurred costs (exclusive of preproduction costs) as of the cutoff date and these estimates. E i
. for the estimates, including identification of any provision for experienced or anticipated allowances, such changes, etc. Furmsh expenenced unit or lot costs (or labor hours) from inception of contract to the cutoff date, impr j and any other available production cost history pertaining to the item (s) to which offeror's proposal relates.
Under Column (ll)-Enter total incurred costs (Total of Columns (8), (9), and (10)).
l Under Column (12)-Enter those necessary and reasonable costs that in contractor's judgment will properly be incurred pleting the remaining work to be performed under the contract with respect to the item (s) to which contractor'
[
Under Column (13)-Enter total estimated cost (Total of Columns (11) and (12)).
! Under Column (14)-Identify the attachment in which the information supporting the specific cost element may be Attach separate pages as necessary.
! 15-26 l
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., 4 Attachment 4 1
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.. GA2T AThigpar'=GTIDee ""'n'"5M l ou3 so.:gooo.oot3 CONTRACT PRICING PROPOSAL COVER SHEET Expires: 09/30/98 )
(Cset or Mucire Date #eguired) l l
Public reportmg burden for this couecteon of mformatson e estimated to everage 4 hours4.62963e-5 days <br />0.00111 hours <br />6.613757e-6 weeks <br />1.522e-6 months <br /> por response, inctuomg the time for rsviewnng enstructions, searcheng existmg date sources, gathenng and meenteenmg the date needed, and completmg and reviewing the couection of informatson. Send Comments regardog this burden estwnste or any other espect Of this CoHection of mformation, Suggestons for reducang this burden, to the FAR Secretenet (VMS), Office of Federal Acquasation Poiscy, GSA, Washington, 3e. """' 0F t.-.J & POeIT OF CONTACT
- 23. seAAeE OF OFFER 0m 3c. TitEPHONE 3h. TTTLE OF OFFEROR'S POesT OF CONT ACT AMA CODE MuheeER 25p. FUET LetE ADOMsg 2s. sTMET ADOM&s 4. TYPE OF CONTRACT ACTION (Checkl
- a. Befw CONTInACT d. LETTER CONTRACT 2e. 8TATF 7t.ZF C00E b. CD4AfeeE OfWER e. UtretCED OfCER 21 CTTY
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- 6. Tvn OF CoNinACT sCn.se OPF av CPAF 6. PROPOSED COST (A + 8 = C/
[FFF [ A. COST 4. PROMT/ FEE C. TOTAL FPI _
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- a. UNE ITEM NO. b. IDENTIFICATION c.QUANuif d. TOT AL PYUCE e. PROP. REF. PAGE
- 9. PROVIDE THE FOLLOWlNG (# evealeNel 1 MsE OF COssTRACT ADeses6TMATiose OFFICE
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- 10. WELL YOU Mange THE uSE OF AprY 00VEftee9df PeorERTY se THE CONT 9 TACT FeemseCae0 TO PEk PERF0fe4AmeCE OF THIS WOlelf F W* stenerr# Folef THE PROPOSED COM-TanCT7 F Fat
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- 13. S THE PIWPOSAL CossBST9si wtTH Youm ESTAESHED EsiteATW60 AND
- 12. nAvf You SEse AWAfWED ANY 00ef1MACTS OA masarnasTRACTS FOR THE SansE OR SesLAR FTBes wmens THE PAST 3 YEAfs7 ra *Ves* Atomorr AOCOUNTese PaseCyts ar wePel4CTMS
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- 16. eeasaE OF ornmon tr,iser is. DATE or suchetS$40N i 7. sacesATusE STANDARD FORM 1411 (Mv. tc *5 AuTwofuzED FOR LOCAL narn00uCTion Pieenseed av Osa . Fan i4e CFse s3 2itr2eal Pm us seman is s : usens.
~-. . - - . - - - - . - - - . - - . - . - -.- . -.- --
, . FAC 90-32 OCTOBER 1,1995 FEDERAL ACQUISITION REGULATION (FAR) 15,so44 '
I- TABLE 15 2 INSTRUCTIONS FOR SUBMISSION OF A CONTRACT PRICING PRO PRICING DATA ARE REQUIRED
['
'The SF 1411 provides a cover sheet for use by offerors to submit to the Govemment a pncing proposa actuti costs only when cost or pricing data are required.
y
- 1. The pricing proposal shall be segregated by contract line item with sufficient detail to permit cost an element breakdowns, using the applicable formats prescribed in item 8A, B, or C of this section, for each propo
'Ihese breakdowns must conform to the instructions in the solicitation and any specific requirements establishe 3
tracting officer. Furnish suppotting breakdowns for each cost eternent, consistent with the offeror's cost ac When more than one contract line item is proposed, summary total amounts covering all line items must b each cost element. If agreement has been reached with Government representatives on use of forward prici i identify the agreement, include a copy, and describe its nature. Depending on offeror's system, br provided for the following basic elements of cost, as applicable: Materials-Provide or contract line items being proposed and the basis for pricing (vendor quotes, invoice prices, etc.). Include ra j
j- rials, parts, components, assemblies, and servicu to be produced or performed by others. . For a
! tify the item and show the source, quantity, and pse. .
Competitive Methods-For ti.ose acquisitions (e.g., subcontracts, purchase orders, material order 15.804-2(a)(1) priced on a competitive basis, also provide data showing degree of com-pertinent threshold set forth at
' petition, and the basis for establishing the source and reasonableness of price. For interorg
' at other than cost of the comparable competitive commercial work of the division, subsidiary, or affiliate of tractor, explain the pricing method (see 31.205 26(e)).
!' Established Catalog or Market Prices or Prices Set by Law or Regulation c- Commercial Item Not Cov l Excepdon-When an exception from the requirement to submit cost or psicing data is requested, wh i~
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produced by others or by the offeror, provide justification for the exception as required by 15.804 l(d)
Noncompentive Methods-For those acquisitions (e.g., subcontracts, purchase orders, material ord j 15.804-2(a)(1) priced on a noncompetitive basis, also provide data showing the basis for pertinent threshold set forth at j' establishing source and reasonableness of price. For standard commercial items fabricated by the offer erally stocked in inventory, provide a separate cost breakdown 15.806-2(a), if priced based provide aon copy cost.
of For interor l
i fers priced at cost, provide a separate breakdown of cost by elements. As required by
{
cost or pricing data submitted by the prospective source in support of each subcontract, or purc 15.804-2(a)(IXiii) and (iv) and more (i) $1,000,000 or taore, or (ii) both more than the pertinent threshold set forth in l than 10 percent of the prime contractor's proposed price. 'Ihe contracting officer may require su i
{
pricing data in support of proposals in lower amounts. Submit the results of the analysis
- proposal as required by 15.806. When the submission of a prospective source's cost or p described above, it shall be included as part of the offeror's initial pricing proposal Direct Labor-Provide a time-phased (e.g., monthly, quarterly, etc.) breakdown of labor hours, rates, an l
priate category, and fumish bases for estimates.
Indirect Costs-Indicate how offeror has computed and applied offeror's indirect costs, including showing trends and budgetary data, to provide a basis for evaluating the reasonableness of rates used and provide an appropnate explanation.
Other Costs-List all other costs not otherwise included in the categories described above (e.g., s j computer and consultant servim, proervation, packaging and packing, spoilage and rework, finished articles) and provide bees for pricing.
L' more than $250, provide the fo!!owing information on a separase page for each sepense ro I Reiname L and addises of t=annr; date of license agreement; patent numbers, pasent applicanon
[ on which the voyaky is payable; brief desenpuon (including any part or model ==nhaus of each con on whsch the royahy is payable); percentage or dollar rase of royalty per unit; unit price of co and total daller annan=* of royalues. In addition, if specifically requessed by the contracting o urient hceans agreement and idsetificanon of appbcable claims of specific panam (See FAR 27 i Facides Capital Cost of Money-When the offeror elects to claim facilities capital cost of money the Oeror must submit Form CASB-CMF e.nd show the calculation of the proposed amount (se I
l'
- 2. As part os he specific information requir.;d, the offeror mus tien, submit with d*-ror's proposal say information reasonably required to explain offeror's estima
! including-j a. 'The judgmental factors applied and the mathemaucal or other methods used in the
- 15-24 e
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FEDERAL ACQUISITION REGULATION (FAR) f .15.804 6
{ Under Column (5)--Emer the offeror's estimate for cost of work added by the change. When nonrecurring costs are sig-nificant, or when specifically requested to do so by the contracting officer, provide a full identification and explanation of them. When any of the costs in this column have already been incurred, describe them on an attached supporting schedule.
Under Column (6)--Enter the net cost of change which is the cost of work added, less the net cost to be deleted. When this result is negative, place the amount in parentheses. Column (4)less Column (5) = Column (6).
Under Column (7)-Identify the attachment b +hich the infonnation supporting the specific cost element may be found.
. Attach separate pages as necessary.
' C. Price Revision / Redetermination.
NUMBER OF CONTRACT REDETERMINATION DIFTERENCE CtHOFF DATE NUMBER OF UNITS COMPLETED UNITS TO BE AMOUNT PROPOSAL l
COMPLETED AMOUNT (3) (4) (5) (6)
(1) (2)
INCURRED INCURRED TOTAL ESTIMATED ESTIMATED REFERENCE COST INCURRED COST- COST- COST- INCURRED COST TO TOTAL COST ELEMENTS PREPRODUC- COMPLETED WORK IN COST COMPLETE 110N UNITS PROCESS (10) (11) (12) (13) (14) )
(7) (8) (9)
Under Column (1)-Enter the cut off date required by the contract, if applicable.
Under Column (2)-Enter the number of units completed during the period for which experienced costs of production are being submitted.
Under Column (3)-Enter the number of units remaining to be completed under the contract.
Under Column (4)-Enter the cumulative contract amount.
Under Column (5)-Enter the offeror's redetermination proposal amount.
UK.ar Column (6)-Enter the difference between the contract amount and the redetermination proposal amount. When
' this result is negative, place the amount in parentheses. Column (4) less Column (5) = Column (6). i Under Column (7)-Enter appropriate cost elements. When residual inventory exists, the final costs established under l
fixed-price-incentive and fixed-price-redeterminable arrangements should be net of the fair market value of such inventory.
~ In support of subcontract costs, submit a listing of all subcontracts subject to repricing action, annotated as to their statu Under Column (8)-Enter all costs incurred under the contract before 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 pre-production engineering, special plant rearrangement, training program, and any identifiable nonrecurring costs suc; rework, spoilage, pilot runs, etc. In the event the amounts are not segregated in or otherwise available front offeror's rj
$2:er in this column offeror's best' estimates. Explain the basis for each estimate and how the costs are charged on offeror's J
accounting records (e.g., included in production costs as direct engineering labor, charged to manufacturing overhead, etc.I Also show how the costs would be allocated to the units at their vatious stages of contract completion.
Under Columns (9) and (10)-Enter in Column (9) the production costs from oferor's books and records (exclusive of preprodu tion costs reported in Column (8)) of the units completed as of the cutos date. Enter in Column (10) the costs of work in p 2- " from ofesor's records or invensones at the cutof ilate. When the amounts for work in process are not available in contrac-tor's socords Int reliable estimates for them can be made, enter the estimased amounts in Column (10) and enter in Colu ierences between the total incuned costs (exclusive of preproducuon costs) as of the cutos date and these estimates. E for the estimases, including identification of any provision for expenenced or anticipated allowances, such as shrinkage changes, etc. Fumish expenenced unit or lot costs (or labor hours) from incepuon of contract to the cutos date, impro and any other available producuan cost lustory pertaining to the item (s) to which oferor's proposal relates.
Under Column (ll)--Enter total incurred costs (Total of Columns (8), (9), and (10)).
Under Column (12)-Enter those necessary and reasonable costs that in contractor's judgment will properly be incurre l
l pleting the remaming work to be performed under the contract with respect to the item (s) to which contract l Under Column (13)-Enter total estimated cost (Total of Columns (11) and (12)).
Under Column (14)-Identify the attachment in which the inforniation supporting the specific cost element may be fo l-Attach separate pages as necessary.
15-26
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SCIENTBOLInc. CONTRACTORSPENDING PLAN (CSP)- RFP No. RS-OIP-97-302 (to be completed as a part of the Offeror's Cost Proposal for each cost reimbursement contract or individual task order or for any contract or task
- order modification which exceeds $100.000 and has a performance period exceeding 6 months) i l Sciicndon No. RS-OIP-97-302 Performance Period: 10/1/97 - 9/30/98
! Contract No.
Total Estimated Costs (including fixed fee, if any) of the l Task Order No. Proposed Contractfrask Order / Modification (to a contract -
l Modification No. m task mder) at the time of proposal submission.
SCIENItCH, Inc. Does not include options. $- 254,825 Offeror / Contractor Name:
l Provide cost details by month for the total contract / task order /or task order modification.
1st Month 2nd Month 3rd Month 4th Month 5th Month 6th Month 3
Cost Elements Direct Costs $10,736 $10,736 $10,736 $10,736 $11,903 $11,903 h
$8,707 $8,707 $8,707 $8,707 $10,229 $10,229 Indirect Costs
$19,443 $19/43 $19,443 $19,443 $22.131 $22,131 TotalEstunated Costsincludmg -
fixed feeif any Project 8% 15 % 23 % 31 % 39 % 48 %
Completion Cost Elements 7th Month 8th Month 9th Month Im.h % nth lith Month 12th Month
$11,903 $11,903__ $11,903 $11,903 $11,903 $11,903 Direct Costs N,
$10,229 $10,'.1 $10.229 $10,229 $10.229 $10,229 g ,
Indirect Costs !
ii
$22,131 $22,131 $22,131 $22.131 $22,131 $22.131 g '
TotalEstunated e ;
Costsincluding u, j fixed feeif any :
Project 100 %
57 % 65 % 74 % 83 % 91 %
Completion t Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this proposal.
l II May 30,1997 Proposal No.9820-175 i
'- > , s. .
. SCIElfrECH,Inc. CONTRACTOR 5PENDING PLAN (CSP) RFP No. RS-OIP-97-302 (to be completed as a part of the Offeror's Cost Proposal for each cost reimbursement contract or individual task order or for any contract or task order modification which exceeds $100 C r.n<t has a performance period exceeding 6 months) t Solicitation No. RS-OIP-97-302 Performance Period: 1(V1/98 - 9/30/99 Contract No.
Total Estimated Costs (including fixed fee, if any) of the Task Order No. Proposed Contract /rask Order / Modification (to a contract Modification No. or task order) at the time of proposal submission.
Offeror / Contractor Name: SCIENTECil, Inc. Does not include options. $ 268,855 Provide cost details by month for the total contract / task order /or task order modification.
Cost Elements 1st Month 2nd Month 3rd Month 4th Month 5th Month 6th Month Direct Costs $11,779 - $11,779 $11.779 $11,779 $12,157 $12,157 l Indirect Costs $10,085 $10,085 $10.085, $10.085 $10,519 $10,519
! TotalEstunated $21.863 $21,863 $21,863 $21,863 $22,675 $22.675 Cats including i fixeo feeif any Project Completion 8% 16 % 24 % 33% . 41 % 49%
l Cost Elements 7th Month 8th Mocth 9th Month 10th Month lith Month 12th Month l
$12,157 $12,157 $12,157 $12,157 $12,157 $12,157 !
Direct Costs
$10,519 $10,519 $10,519 $10,519 $10.519 $10,519 t i Indirect Costs
$22,675 $22,675 $22,675 $22,675 $22,675 $22,675 ;
{ TotalEstimated I Costsincluding l fixed feeif any ;
I ho, ject Completion 58 % 56 % 75% 83 % 92 % 100 %-
Use or disclosure of data contain6d on this sheet is subject to the restriction on the title page of this proposal. .
I 12 May 30,1997 l Proposal No. 9820-175
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ATTACHMENT 5 I
l 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.
l Applicability l The Nuclear Regulatory Commission (NRC) requires that the CSP be completed I for cost reimbursement contracts when the award amount is expected to exceed l
$100,000 and the period of perfomance is expected to exceed 6 months. For l task order type contracts, a CSP is required when an individual cost ,
reimbursement task order is expected to exceed the above thresholds. When a i contract or tan 5 -der modification increases the contract or task order amount of a cost Nimbursement contract or task order to over $39,000 and the period of perfomance from the effective date of the modifica* tion to the contract or task order er.piration exceeds 6 months, a CSP is required for all contract work to be performed after the et fective date of the l modification.
i Submission ,
4
- 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 t
which meets the above thresholds;
- b. as part of the Best and Final Offer (if requested) as a result of 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 Report").
Fomat The attached CSP sample format may be duplicated and used by the Contractor, or modified to pemit more accurate reporting or to meet other needs of the contractor. For instance, the sample format provides spaces to report prWected costs for 12 months, but the contractor may wish to alter the smMe format for shorter or longer contract / task order periods. The ceuractor may also wish to alter the sample format for ease of typing or .
f automated production. So long as complete information is provided on actual.
and projected costs or accompitshments, changes to the format to improve relevance to the circumstances are encouraged.
It is up tc the discretion of the offeror to determine the appropriate level
(
of cost detail to be presented based on the complexity of the effort. This l
plan reflects only the minimum requirements for submission of cost details which will be considered for completeness, reasonableness, and as a measure of effective management of the effort. The Contracting Officer reserves the l
right to request additional cost information, if deameo necessary.
l
CONTRACIOR SPENDI,NG PLANJ 5PJ (to be completed as a p;rt of the Of fersr's Csst Pr:pos:1 f r c(ch cast relebwese*ent contract or individual t2sk crder er fcr cny conteret cr task order modtf tcatten which onceeds $100,000 and has a performance perted exceeding 6 months) to / /
I'IICIt*tI'" "*- Performance Pertod: from / /
Centract Me.
l Total Estimated Costs (f ac19 ding f f med fee, if any) of the Tcsk Order No. Proposed Contract /Tas,k Order /Modtftcasten (to a contract Modiffcatten No. or task order) at the ttee Of proposal submission.
Off:rer/Centracter Name: Does not taclode options.
t Provide cost det411s by month for the total contract /tesk order /or task order modiffcatten 5th Month 6th Month 1st Month 2nd Month 3rd Month 4th Heath Cast Elements S
g g 3 .
Direct Costs S g g s 3 g s
Indfrect Costs 3 s s T;tal Estimated s g g 3 ,
C&,sts including f1xed fee if any Project 3 _%
Completton g g 3 J
i i
lith Month 12th math Cost Elements 7th Month eth hath 9th Month 10th Month g
g 3 3 Otreet Cests s 3 i
3 3 Indirect Costs S g. g 3 T;ts) Estimated s g , 3 g- g-Ccsts including ftsed fee if any
)
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i SMALL BUSINESS AND Contractor t 1
SMALL DISADVANTAGED BUSINESS lll{lIlll.lll.! j
! SUBCONTRACTING PLAN 910 ciopper arma '
- omither*ars,wo
- tc:7s .
j Period: October 1,1997 - Septernber 30,2002 l I !
4
- i
% follow!ug, together with any snachmoms, is hereby submmed as a Suhe.c. ting Plan to sansfy the!
- applicab;c requittenems of Public Law 95-507 as implemesited by OFPP Policy letter 80-2. !
l 1.
l (a) The following perosmase goals, (expressed in terms of a percentage of total platmedi 4 j subcontracties dollars) are applicable to governmem contracts as defined by this Masteri l Suh&.das Plan. ;
l (i) Smail' Tlusiness coneems. 55% of total planned suh w:kg dollars will go to!
subcontractors who are anall business conoems 1 (ii) Small Disadvantaged Business Concoms: 0% of total planned subcontracting dollars willi i so to subcatractors who are small business comarns owned and controlled by socially and l l ownumically disadvamaged individuals. This percentage is included in the percentage!
j shown under 1.(aXI), above, as a subset.
i !
i (ul) Women Owned Business Concems. 45% of total plarmed subcontracting dollars will go to .
i subcontractors who are small boninans concoms owned and controlled by socially and
- economically disadvantaged individuals. '!his percentage is included in the percentage t
- shown under 1.(a)(i), above as a subase.
j i ,
(b) The following dollar values corrvspond to the percentage goals shown in (a) above. l
) (i) Total dollars planand so be subcontracted to sma!! business owned concems 32&91 l ,
- i (ii) Total dollars planned to be subcomracted to small disas d busmess concems: 50. l j This dollar amatet is included in the amount shown under 1.(b)(i), above, as a subset. l'
- (iii) Total do!!ars planned to be subcontraded to women owned business concerns: 120.000 (dapaad=* upon the exercise of options). This dollar amount is included in the emotmt shown ,
I under 1.(bXi), above,as a subest
.I (c) The total estimated dollar value of governmsse planned suL athii (to all sypes of business ;
coneema)is $R.d80, ;
i (d) The following principal products and/or services will bo subcontracted under this Contract. j Tom R. Murley (Consaltant/Small Busimes) - Will provide high lew! riviews cf rugulations and I
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Zoltan Rossenery (Consultant /Small Business) Will provide thermal b>draulic support and act as the liasion with the Huasary Atomic Energy Commission. l l
Robcrt Bu&utz (Consultant /Small Bunmese) . Will provide risk assessment and adsr le Mai-li senions. ;
i Ed Orsonman (Consultant /Samu Business) - Will preytdo taspection program dewlopmentl support.
Tedmical A Ragufatory Evsinations Orcup (Women.0wned) - W111 provide laternanonel, l regulations and standards developmait consulting services in the area of radianotive wasts;
- management.
t '
i Envirocone, Inc. (Women Owned) Will provide engineering, and regelseory complianoe!
{ tedmical servias. I (e) Based upon specific contract requirements and serving the best intemte of the Govenunent.
SCIENTECH management determines if supplics/servias wt be ru, sired that are not available 1
wi$in the Company. If th!s is the onse, subcontractors are salested based upon the same sourse ;
i wknion critarts set ibeth in SCIENTBQfs contrace. Source lists asa maintained 13 both Program M--- . " and Purdissing, although a!! procorument awards are made thrvugh j Purchasmg.
1
[ The method used in developing subccatract goals and to identdy poterzial sooroes (csg., what!
i source Hsts were used and what orgamsstions were or will be contacted to obtain Small itusit.ses i j and SrnallDM .-d Bu! aces souvem)is described in Paragraph 3 below. j i
Indirect and overhead costs haw not been included in the goals spectSed in 1(a) and 1(b). I j (f) ,
I 2. The'fbDowing indMdual will admmister the subeantractmg propum:
i l l Name- 59- '.re _A' "- ;
- Address & 910 ClopperRaad r-r_2_m MD 20u7s !
! Telephone: naa) mt.2419 i 1
! Title; m-inw t'aner-.* it==1.un ,
i, ,
, This individual's speci6e duties, as they reises to the Arm's subcontreeting program, are to assume l anneral overall responsibGity fbr SCIENITCM's Small Budness Pmgram, the development,i.
preparation and exceuteen ofindivulual subcontracting plans, and br monitoring perfbrrranos relative l to enntraemt sub;..cd., requirements oomained in tids plan, including, but not hmiend to: ;
. I j (a) Denk,i .land maintaining biddcrs' lists of small and ammH disadvantaged business concerns !
4 fromknown souress ;
} (b) Ensuring ths: piecuremsat pasieges are struetured to permit small and small '=tm--C' i '
- business concerne to panic 1pse to the maxirnum extent possible. I 1 i !
i (c) Assunns incluston of small and SDB coneems in solicitations fbr products or services wideh
- they ans capable ofprov' eding.
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(d) Reviewing solicitatioca to remove statemer:ts, olauses, etc., whleh rnay tend to rest ict or prohibit' SB and SDB participanon (e) F.nsuring periodic rotaden of pottdial subcontracters on biddes' list.
(f) bevring that the bid proposal review board documenes its reasons for not alossing low bids:
su ttted by small and small disadvantaged business concess. i F
(g) Ensuring the establ4hment and maintenance of moords of solicitations and subcontract ward:
activi:y. :
l (h) Attendmg or ananging for attendance of wf counselors at Businses Opportaityl Workshops, Minority Businem Enterprise Sennaars, Trade Fairs, etc. ,
(i) Conducting or arransms for conduct of moevatier.a! traming fe? rursa ig gmc.-J pursuant, to the intent of P.L. 95 507,
- 0) Munitoring attamment of proposed goals.
(k) Preparms and sobenitting periodic subcontrachng reperta required, I
(1) Onndinating comrector's activities dunng the conduct of comphance reviews by Federal l agencies.
I :
(m) Coordinating the condum of contractor's activities inveMng its email and small disadysataged !
business subsentractisq program. i (n) There are an additions to (or deletions from) the dutos speci6ed above.
l
- 3. The following offorts will be taken to assure that erna'l :nd small disadvantaged business !
concess will have an equitable opportunity to competc for subcontracts- l (a) Outreach efforts will be made as Miows:
(1) Centacts with mberny and small business trade associations !
(ii) C=run with hueiness 6', ; orgamistions (iii) Attendance at small and minority business procuromcat w..La and trade fhirs (iv) Soumos will be requested ham SBA's PASS system, small business directories, or j SCIElfITCatbidder'slists. ;
(v) Centenst with SCIENTECH's regional SBA offica. :
(vi) SCIPNTECH's senior managsment wl!! pn>4ctively establish contacts with small business {
l coneema l l
! (b) The followmg imwnal esorts will be made to guide and encourase bayors; l scartscH shaustism s ,
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i i i' (i) Workshops, seminars and training pmgmms will k eenducted i i (ii) Activities win be monitored *.o evaluate compliance with this subcontracting plan. l
)
l l j (iii) The sucosas in reaebing small business goals will be a fhctor la ovaluating j l j scismenmamsyrs' pw - aand r.usigt of any salary / bonus incrensa. j j i
i j (c) Small and small disadvantaged busfasas concems source lists, guides and other data identifyl ing} i small and sman f A - 72 busmess conosens will be maintained and utilised by buyers in' solicittrig contracts. !
{
j l
(d) Additions to the above listed edbets are shown above in 3(aXiv). SCIENTECH's serviesa are
- l very specialised and we may need to dowlop sources beyond PASS, the proomement Aa.i d j j 4
Soures System. Further. SCIENTECH has taken signi6ennt steps to 'mcasse business; i j opportunities for smaB busmass by addir. subparagraphs 3(a)(v),3(aXvi), and 3(b)(iii). >
l 4. SCIFNTECH aame ths: the olauses erWit M "Utilisadon of Smau Business Conocma and Sam!!!
4 Business Concerns owned sad CentronW tj Socinny and Er3~11y Dimdvantard Individuals"i i will be ineluded is an abcontrasts which oost further =hmmenming opportunities, and alli i subcontractors except sman business concerns who recehe subcomracts in eteens of $500,0;y) wd! be j i required to adopt and cornply with a sal . de plan samlar to this one. Such pleas will be
- reviewed by comparingiham with tbs peovisions of Public Law 95 307, and assuring i requirements of an acosptabis subcontracting plan have been satisSed. The scooptability of porosatags ]
j goals shall be deternuned on a E:-by rx basis depeding on the supplics/servioss involwd, the
! availability of potential small and small disadvantaged subcontractors, and prior experianos. Ones i approved and implemented, plans will be reonitored through the submission of periodic reports, and/or, .,
as time and availabahty ofihmis perndt, periodie visits to sub,.m A facilities to review appliesble i
! reconis and e.6,i.actig omgram progress 4
- 5. ACTFNTECH ayses to sobrdt such periodio reports and +,.; is any studies or surveys as may bc , ,
required by the osseraeths esency or the Esnan Dasiness Administration in order to determine the ;
i j extent of complianac by sk bidder with the subcontnuAing plan and with the clauas entidad "Utilisation j
- of Small Pusiness Concerns Owned and comrolled by socially and Economically Disadvantaged ;
i Individuals". SF 194's shall be sutadned semi.enanally; SF 293's shall be salimitted cet sa annual !
4 basis. i i !
t i i 6. SCIEN1'ECH agress that we will maintain at least the following types of records to document i
- compliance with this subcontracting plan- .
I I l (a) Small and smaH disadvantaged business coneems source lists, gulds and other data identifyins ! !
- SB/SDBC vendors i
. (h) Organisselons oootested for small and small disadvantaged busmess sourses.
i (c) Rooords on all subcontract solicitations ova $100,000, N'=
i ca each solicitadon (1) '!
whether aman busiones concerns were soliched, and, if not, why not: (2) whelber small disadvantaged businus conooms were solletted, and, if not, why not; and (3) reasons for the j ;
i fkilum of soticited sman or small disadvantaged busmens conoems to receive the subcontract i l
! award. j
! i I i I i scarracu s*==*,n=
- l t
i j enem E - . , . - . -. ..-ei== .. . -. . ..
- t (d) Reconis to support ashur outrud sams: Caws with Minorky and 5 man Busiones Trade Assaolations, esc. Assendmans as mean and num7 busmens prossranent conomenoss and! trado,
- l (a) Records to support lokraal activities to snids and snoourses Igors: Wodshops. namines,!
tuining payams, sec. Monitoring activities to evoluses =vi .
(0 mammes to support subamerset a==d ama, tniaciuds name end dann at aboane ter.
I
- CALW u
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Typed Name. _h A. re i
' Dele: Meanger of Contracas and AaniniWqdica '
Dess: Juma lt_1 R 1 i
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i ASDD87 l ensorsed mio m o:
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4 %. > ATTACHMENT 7 A - n.
- - -- u n fi. PAYMENT INFORMATION FORM ACH VENDOR PAYMEN' SYSTEM Th's form as used for ACH payments mth ao addendum record mal carnes paymenteetated enky i i these payments should tmng t&s informanon to the anent.on of their finanoal insistuton when p u ~i: :-T PAPGtwORK REDUCT)ON ACT STATEMENT f The indenstemon hasng conected on siis Aorm es regured under the prmeon of 31 '
i U.S.C. f 3322 This indemiseson ese tue used by sne Treasury Department to transmd payment date, by edecaronse mea M anencial snessumen. Femuro so pnmde she requessed esormeson may deler or prowent i the receipt o lleeut.1Ihe Automated C3eenn0 House Pay nent Symerr..
~
i-COesPANY INFONefATION f- . ._ _ .
,,,,,,, I TAX icd
- I accesas .
._m s =>.c, a s. 3 maao. -
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Ak.JCY INFORGAATION ALC: 31000001 NUCLEAR REGUL ATORY COMMI5510N -- f4RC DIVISION OF ACCOUNTING AND FINANCE WASHINGTON, DC 20555 '
~"
m- === Icts-7;9n 2
.( 301 CAROLYN L. BERRY 3
FiNAsocaAL INSTITUTION INFORIAATION l i
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t I XTTACHMENT 8 I
PROCEDURES FOR RESOLVING XRC CONTRACTOR DIFFERING PROFESSIOEAL VIEW 3 i The Nuclear Regulatory Comunission's (NRC) policy is to support the expression of professional health and safety related concerns associated with the contractors' work for l
NRC that may differ from a prevailing staff view, an NRC decision or policy position, proposed or established agency practices or similar considerations. The following procedure provides for the expression and resolution of differing professional views (DFVs) of health and safety related concerns of NRC contractors and contractor personnel on matters connected to the subject of the contract. The NRC may authorize up to eight reimbursable hours for the contractor to document in writing a DPV by tha contractor, the contractor's personnel, or subcontractor personnel.
Subcontractor DPVs shall be submitted through the prime contractor. The prima contractor or subcontractor shall submit all DPV's received but need not endorse them. In the event sufficient funds are not available under the contract, the contractor shall first obtain authorization from the Contracting Officer providing sufficient funds to cover the cost of preparing the DPV. With the exception of the above specified payment for eight hours work on a DPV, the contractor shall not be entitied to any additional compensation or additional work under its contract by virtue of the DPV submission.
Contract funds shall noi. 3e authorized to document an allegation in the following instances where the use of this NRC contractor DPV process is inappropriate. This process shall met be used for allegs' ions of wrongdoing which'should be addressed directly to the NRC Office of the Inspector General (OIG); issues suhaitted anonymous 1vi issues that are deemed by NRC-to be frivolous or otherwise not in accordance with the policy underlying these procedures; or issues-raised which have already been considered, addressed, or rejected, absent significant new information. Note hat this procedure does met provide anonymity. Individuals assiring anonymity should contact the NRC Office of the Inspector General or submit the information undar NRC's Allegation Program, as appropriate.
Each DPV shall be submitted in writincy and will be evaluated on its own merits.
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When required, the contractor shall initiate the DPV process by submitting a written statement directly to the NRC Office Director or Regional Administrator responsible for the contract, with a copy to the Contracting Officer, Division of Centracts, Office of Administration. l The DPV, while being brief, shall contain the following as it relates to the subject matter of the contracts e a summary of the prevailing NRC view, existing NRC !
decision or stated position, or the proposed or established NRC practice, e a description of the submitter's views and ho.t they differ from any of the above items.
e the rationale for the submitter's views, including an assessment based on risk, safety-and cost benefit considerations of the consequences should the submitter's position not be adopted by NRC.
The Office Director or Regional Administrator will i inunediately forward the submittal to the NRC DPV Review l Panel and acknowledge receipt of the DPV, ordinarily within five (5) calendar days of receipt.
The panel will normally review the DPV within seven calendar days of receipt to determine whether enough information has been supplied to undertake a detailed review of the issue.
Typically, within 30 calendar days of receipt of the necessary information to begin a review, the panel'will provide a written report of its findings to the Office Director or Regional Administrator and to the Contracting Officer, which includes a reconsnanded course of action.
The Office L rector or Regional Administrator will consider the DPV Review Panel's report, make a decision on the DPV and provide a written decision to the contractor and the Contracting Officer normally within seven calendar days after receipt of the panel's rec - aadation.
Subsequent to the decision made regarding the DPV Review Panel's report, a summary of the issue and its disposition will be included in the NRC Weekly Information Report submitted by the Office Director. The DFV file will be retained in the Office or Region for a minianam of one year thereafter. Por purposes of the contract, the DDV shall be Based upon the considered a deliverable under the contract.
Office Director or Regional Administrator's report, the matter will be closed.
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RS-0IP-97-302 ATTACHMENT NO. 9 i Technical Qualifications for Contractor Personnel N0lEl In addition to the qualifications described below, technical personnel shall have a demonstrated ability to prepare clear and concise technical reports.
In each of the technical qualification areas listed below, the Contractor shall provide a Senior Technical Ex)ert with demonstrated capabilities to address highly complex issues who slall be designated as Key Personnel. In addition, the Pricipal Investigator should have proven capability in the performance of NRC-like nuclear safety analyses, and be skilled in the use of PRA.
A Program Manager with the qualifications described in the Statement of Work shall be designated for this procurement.
Technical Qualifications Nuclear Engineer: Engineering or relevant technical degree with demonstrated experience in neutronics and reactor systems operations for pressurized water reactors (PWRs) or boiling water reactors (BWRs) (both preferably) and familiarity with the Commissions regulations in Appendix A to 10 CFR Part 50.
Mechanical Engineer (Mechanical Component Design): Engineering or relevant technical degree with demonstrated extensive design and field experience with nuclear service pump design, rotating equipment vibration analysis, and/or fluid dynamics. Must have knowledge of the applicable ASME Code requirements and industry standards and demonstrated ability to apply that knowledge in evaluating the safety significance of not meeting (or alternatives to) the Codes and Standards.
Electrical Engineer (Plant Power Systems): Engineering or relevant technical degree with demonstrated experience in the design of electrical power distribution systems (preferably some should be with nuclear power plants designs) and experience in the reliability analysis of such systems including consideration of electrical equipment degradation and failure mechanisms (including aging factors) and preventative maintenance. Background should include working knowledge of industry standards / practices for periodic inspections and tests of electric equipment. Some experience should be in the evaluation of electrical systems as incorporated into probabilistic risk assessments with background experience associated with electrical equipment failure rate data and modeling techniques.
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ATTACHMENT 10 4
Ignalina Safety Panel Recommendations on the Ignalina NPP Units 1 & 2 In-Depth Safety Assessment l
l February 1997 a
i i Table of Contems c
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Main Part 1
introduction 1
Background
l Ignalina Safety Panel Assessend 2 i l
l Ignalina Safety Panel Recommendations 4 Annex 1 8 Major Conclusions - The Panel's Summary on the ;
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.in-Depth Safety Assessment of the Ignalina NPP' l
- Annex 2 11 In-Depth Safety Assessment of Ignalina NPP
- Safety Analysis Report
- Review of the Safety Analysis Report Members ofignahna Safety Panel 14
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References 15 Table 1 16 Major SAR Recommendsbons i
Tatne 2 27 i
Summmy of RSR Recommendabons on the Basis of Unos of Defence
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2 1 Introduction 4
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- A Grant Agreement was signed on 10 February 1994 by the Lithuanian Govemment,
] the Ignahna Nuclear Power Plant (INPP) and the European Bank for Reconstruebon and Development (EBRD). The grant was to fund a project of short term safety l
i upgrades in support of the Safety imprc,;;.Twet Program (SIP) bemg implemented at
. INPP.
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l Included in the Grant Agreement was a commitment by Uthuanian authonbes that an l ,,In-Depth Safety Assessment of the Ignalina NPP ' would be performed. The safety assessment was the responsibility of the INPP with the support of Westem and i Eastem nuclear safety experts and the reactor designer, NIKIET. Subject to budget and time constraints, the irHiepth safety assessment was to be comparable to a Safety l Analysis Report (SAR) produced in Westem countries to demonstrate the adequacy of l plant safety and to provide the major contnbution for the regulator in the hcensmg
- process. In addition to production of the SAR, this particular project included the i
independent review of the safety analysis report (RSR) jontly by Westem and Eastem i
experts. Unit 1 of INPP was the objective of this assessment. However, since no i significant differences were identified between Units 1 and 2, the results appy to both l plants.
3 Prior to project execubon, Guidelines were developed and endorsed by the regulatory i authority (VATESl). This endorsement required the examinsbon of Lithuanian / Russian j standards. The examinabon concluded that in general the cummt Lithuanian / Russian l regulabons constitute an adequate framework, but a number of spec.Tc areas were i identi6ed where the Westem pracbce was to be taken as the basis for comparison for i the plant.
1 A Parri 9 intemsbonal nuclear safety experts, Ignalma Safety Panel, was established
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in accott,ance with the Grant Agreement. The objectives of the Panel were to define, i monitor and supervise the scope and production of the Ignalma SAR and its review.
The Panoi was to make independent recommendabons to the Lit'n+'i Govemment, j- wtuch has ultimate responsibility for plant safety, regardog a decis5n for cononued INPP opershon and implementabon strategies of the SAR and RSR recommendsbons l: and to the EBRD.
i f 2 Background i
The INPP, Lithusma's only nuclear power stabon, consists of two units, commissioned l
in December 1983 and August 1987. Both units are of the later Soviet RBMK design j and are the largest of their kind with a design capacity of 4800 MWth (1500 MWe).
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culture required for a safety basis for plant operation. These recommendations are summansed in the Annex 2. The Panel broad;y endorses the recommendations and pnortbes defined by RSR (see Table 2).
The Panel concludes that the measuses defined by the ongoing Safety improvement Program (SIP) /9/ are in general supported by SAR and RSR results. . The scope of the ongoing SIP, however, is not in itself sufficient for contmuod opershon for the time penod defined by the Grant Agreement.
The ,lgnalma NPP - Nuclear Safety Account Projosf, which was part of the SIP has already addressed several important recommendsbons of SAR/RSR (e.g. engineenng study for a second shutdown system, additional reactor trips, fire protechon equipment, sunulator) However, that project does not provide complete resolubon of the safety issues. Some elements of this Nuclear Safety Account project addressed issues other than those covered in the SAR/RSR (e.g. radumetrve release and environmental mM.drg, seismic upgrading, hydrogen monitoring system).
The Panel is disappointed that the senior mar.agement of (NPP does not accept ownership and responsibility for the SAR despite the active involvement of plant staff.
Also the Panel believes that nesther INPP nor VATESI fully understand and accent their respective roles and responsibilities to resolve the identified safety issues. If their roles and responsibilities are not clearty defined, understood and aggressively implemented, this would be a significant issue requiring immediate shutdown. Both INPP and VATESI require significant improvements in management. In addition, they need to develop an appropriate safety culture before they can perform to acceptable standards.
The Panel reiterates that the Lithuanian Govemment as the owner of INPP is l ultimately responsible for plant safety.
The Panel holds the view that the most important safety issues in design and operation must be resolved without delay. Specifically the Panel recommends that neither unit should be restarted from its extended 1997 maintenance outage until the most important safety issues identified Jn the Panel's Recommendations (chapter 4) are resolved to the satisfaction of the Lithuanian authorities.
The follow,ng sechon provxies the Panel recommendabors to the Lithuanian Govemment, INPP and VATESI. Intermediate term operation will require an operating license from VATESI.
i 4 Ignalina Safety Panet Recommendations General Recommendations ,
The Panel is directing its recommendations to the Lithuanian Govemment.
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The INPP is in need of significant improvements in safety before its operation can be j considered tolerable within the time defined by the Grant Agreement i.e. the time when the preswre tubes would require replacement.
The Panel holds the view that the most imponant safety issues needing immediate resolution are as follows: '
- The INPP should introduce an appropriate management structure to ensure safe operation of the plant, efficient implementation of necessary safety improvements and adequate support of the licensing process.
- The safety case for the reactor control and protection system should be completed by INPP.
- The safety case for the accx$ent localisation system should be provided by INPP.
- The safety case for the structural integrity of the reactor cooling circuit should be ,
provided by INPP.
- A fire hazard analysis for all safety systems should be carried out by INPP.
- INPP should develop and implement emergency operating procedures and the limits and conditions of safe operabon in addition to these requirements on the INPP, the following applies specdically to VATESI:
- Substantial changes in the athtude of the regulator are necessary with regard to safety problems VATESI must develop a regulatory regime for the heensing process and for monitoring of INPP opersbon using bilateral and multilateral assistance.
The Panel behoves that a prudent approach would be to consider the future opersbon of the reactors at the end of their next scheduled maintenance shutdowns. At that (approximately 6-8 months from now for Unit 1, a few months later for Unit 2) we recommend a decision by VATESI to restart should be contingent on a sabsfactory resolubon of the outstanding safety issues.
For unit 1 this will require a development of an economic and speedy resolution to the control and protection system issue, able to provide an acceptable system for the few
years (2-3) of the operation of the plant befora its planned closure on pressure tube / graphite gap closure grounds.
For unit 2 however, the projected longer life of this plant requires a more reliable solution, the provision of a second abutdown system. The Panel behoves that a four year time scale to design and install this system is unas;eptebly long.
For both units the plan must include'schon items covering the dentified safety, management and organisational issues. In parbcular, the following measures have to be completed prior to restart after igg 7 annual shutdown:
commit to an appropriate management structure complete a single failure analysis of the control and protection system identify and , implement des 6gn and procedural modifications required to )
compensate for control and protection system deficiences . 1 complete planning and start developme,t of a safety case for the structural integrity of the reactor circuit; as part of this safety case the design analysis required by the SAR/RSR on critical reactor circuit components (drum separator and group distributn i header nozzles) should be provided prior to restart complete planning and start development of a safety case for the accident localisation system complete the emergency operating procedures important safety deficiencies discovered by analyses required above should be l I
resolved before restart.
in addition an action plan and schedule for all safety issues be prepared by INPP and approved by VATESI. It should r,nver all recomrnendations of the SARIRSR and the Panel as well as safety issues identified by the plant and VATESI. Each identified safety issue should have resolution criterion which should be prepared by the plant and approved by the regulator. Implementabon of the action plan requires immediate and aggressive schon.
Specific Recommendations to the Lithuanian Government in accordance with the Lithuanian Nuclear Energy Law and intomabonal conventions and practices the Lithuanian Govemment should define and establish appropnate dmsson of responsibilities between the Lithuaruan State, the Ignalina NPP, the regulatory organisation VATESI and the Technical Support Organisabons (TSO's) with regard to nuclear safety. Lithuania did not have a developed nuclear infrastructure when it gained independence. It has had to generate both regulatory and technical support and necessary legal basis. This has progressed well, but the Panel concludes that further strengthening is essential.
Lithuania must provide direction and resources to ensure a qualified and adequate regulatory staff and technical and scientific expertise to perform their required
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l augment the VATESI management and staff as well as their TSO's to assist in the j enhancement of their capabilities.
l The Panel believes that insufficent oversight of VATESI is provided by its position l withm the govemmental structure. Ongt example for resolving this problem could be the j estabitshment of a , Board of Govemors" for the regulatory authority.
i 1 The Lithuanian Govemment has established the Lithuanian Nu' clear and Radiation Safety Advisory Committee which includes senicr intemational experts, to assist INPP l and VATESI. The Committee should be charged specifically with monitoring the j- implementation of the recommended safety improvements. The Advisory Committee
- should serve as main supporter to the Lithuanian Govemment on other major issues i affochng the safety including design, opersbon, urgading and possible
. decommissioning.
The Govemment of Lithuania is the owner of INPP. As such it must take all necessary measures required for safe plant operation. This includes providing funding that is required for the plant to adequately address nuclear safety issues, and implement appropnate plant safety management struciures. In sddition it is necessary to establish the lacking legal documentation and to consider a Board of Govemors to facilitate l necessary interactions between the Govemnient and INPP.
Specific Recommendations to VATESI Consistent with the Convention on Nuclear Safety of which Lithuania is a signatory a l regulatory body must be designated ar'd entrusted with the implementabon of the legislabve and regulatory framework. The regulator must be provided with adequate authority, competence and financial and human resources to fulfil its assigned responsibilities.
The Panel discussed safety problems with the regulator VATESI several times and behoves that substantial changes in the attitude of VATESI and the regulatory regime are necessary.
Consistent with the new Lithuanian Nuclear Energy Law, VATESI and INPP must clanfy the definsbons of their respective roles and responsibilities and the boundary within which the plant has control and accountabihty, such that the required independent regulatory review responsioility of VATESI is maintained.
VATESI must develop a regulatory regime for the bcensing process and for moratonng of INPP opersbon using bilateral and multilateral assistance as appropnate.
1 VATESI has the responsibility of a licensing authonty. As an urgent action it is important for VATESI to perform a detailed review of the SAR and the SAR/RSR recommendations and to exercise its regulatory authonty and require the plant to provide technical justificabons for each safety issue.
VATESI must define and schedule a specific program of inspecbon, monotonng and
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) . specific safety systems and work activities, required to assess operational safety.
- VATESI should not perfom. structural inspections which are the responsibility of INPP.
- Specific Recommendations to INPP 4
. It is entical that an schon plan and schedule for all safety issues be prepared by INPP and approved by VATESI. It should cover all recommendabons of the SAR/RSR and
! the Panel as well as safety issues idenbfied by the plant and VATESI. Each identified
- safety issue should have resolution cntenon which should be prepared by the plant and approved by the regulator. Implementabon of the action plan requires immediate and i aggressive schon.
j The INPP must not only accept ownership of the current SAR but also continuously
] update the document tc demonstrate increasing level of safety responsibility and
- awareness in the operabon of the plant. Consistent with the RSR and Panel
{ recommendations, it is important that INPP previde the plant safety infrastructure to i ensure closure of the unresolved safety issues. It is impodant that appropriate j independence be maintained between the INPP and VATESI.
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! Responsibility for operational safety should oe focused upon INPP alorie. Z. l
- development of quality assurance and management programs will enable INPP to i j handle that increased responsibility.
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- Specific Recommendations to the Donor Countries The Panel recognises the urgent need for and supports an integrated intemational l assistance program that builds upon the existing safety imp'.ovement program of INPP and includes guidance to VATESI and its TSO's.
! Future assistance programs focused on RBMK's should use the expenence gained
- from the ,in-Depth Safety Assessment of ignalina NPP" project . Similar plant specific i- safety assessments should be performec for all operating units to evaluate the cunent
- safety level. These assessments should be connected strongly to li definite licensing i
process to ensure a serious commitment to meet scope and schedule by all parties j (NPP, designer, regulatory authority, TSO) involved.
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! The .in-Depth Safety Assessment of INPP' is the first attempt to provide a plant specific Westem-style safety assessment for any Soviet designed NPP. The Ignalina l SAR and RSR thus represent a unique multilateral project to use intemationally i recognised safety principles and prachses for the safety assessment of Soviet
- designed NPPs. The transfer of methodologies and approaches from the Ignalina in-j depth safety assessment to other Soviet designed NPP's would be highly valuable.
l Because Ignalina NPP is of more recent design, and has higher power rating the Panel j notes that the direct transfer of generic findings and recommendations does not replace the need for plant specific in-depth safety assessment by the plant operator.
Every site has specific issues.
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. - _ __ l The Panel believes that the project management approach worked well. Specifically:
The organisata of this project which separates the SAR production and the 1 independent review is an excellent approach it is important that the independent review be performed in parallel with,the SAR produchon and provide interactive feedback thereby improving the final product. The use of a Westem management team ,
responsible for organisation and quality assurance is also effective.
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) Major Conclusions .
i i The Panel's Summary on the "in-Depth Assessment of INPP" ')
.m l 1. Safety management and safety culture at the plant is in the early stage of 2
emergence from the Soviet situabon into a very different situation based more on i Westem prachoe This is bemg asseted by Westem ergenisetiens but is only j progressing slowly. Maximum benefit is not bemg gamed from operabonal i experience, either from INPP or from other plants. Plant configurabon control is
- inadequate. Current management prachces mean that some of the responsibdity for safety is still implicitly shared by organisstions other than the NPP, for example j the Chief Designer and the Lithuaruan Regulatory Author:ty, although it is clear that i formally the responsibility rests solely on INPP. The plant management team does 2
j not show a strong commitment to deve!opment of a convincing safety case for l continued operabon of the plant. The management does not appear to encourage l and promote an adequate safety culture.
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! 2. Post-Chemobyl modifications made to the reactor have reduced the void coefficient
- l. to the point that there is no longer a significant power pulse during accdents caused j by break of large pipework. This combined with isistkaiy slow depressurisabon l rates means that the existing shutdown system is fast enough to cope with all j design basis accidents. .
i 3. The existing control and protechon system (CPS) is structured in a way which
- makes complete separabon of the control and protechon funcbons impossible.
Furthermore matrumentation assocated with the CPS does not meet accepted
- i requirements for segregabon. Failure of shutdown for some accidents leads to
! unacceptable consequences and therefore requires addibon of a second shutdown
! system, and the use of compensatory measures to reduce the risk until the second
! shutdown system is implemented. - A cormncmg case is also laciong that the i existing protechon system cannot be dmabled by any single failure. This needs to ,
j be demonstrated urgently because of the potenbal consequences of failure to shut
- down when requred.
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- A safety case is a formany argued case that the safety of the plant is adequate, talung into
, account accepted principles and critons of safety. its scope is an aspects of the piant demon and
! operaton that can asect the safety of workers or the public. It normany covers a fixed pened or j contmuod opershon. It may claim credit for firmly planned and committed future improvements i provided it is sino shown that the risk is tolerable in the ;..; r .;..ii paiod The argument needs in s. ...nnn,w w mon u.~ r...rw ,u.w , w.w. nr w ., u ~.w 4
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I- 4. There is not an adequate demonstration that the reactor coolant circuit has been l
built and mantamed to ensure high levels of integnty Such a demonstrabon would 4 need to integrate results from inspecton, theorebcal analysis and study of the i potenbal for defect indiation and propagaben in the high pressure components. This
- lack of integrity demonstrabon is parbcularly important for the drum separators, because there is no defence in depth, if a drum separator were to rupture there is l no engineered safety feature which is designed to protect pgamst core damage and I. a large rolesse of radioactmty. The situation is smier to that of the pressure vessel I of a PWR, for which a comprehensive safety case is requred.
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. 5. Apart from in the CPS, for which some uncertamty still exists, there were no smgie i failures identified in the pnmary safety systems which would prohitzt their
[ functioning Many of the safety support systems are, however, susceptible to smole failures but none have been idenbfied that would invahdate the overall safety
[ . funcbon. Improsernents !n fire detochon systems, fire cell separabon and creabon l
of sepamte fire compartments for safety and safety related systems are needed Equipment quakfication requrements have been minimised since most of the enbcsi ,
! equipment is located in areas of ' mild environment (post-accident) and actions to l l
ensuie integrity of these bamers must be emphasised. The potenbal for floodmg of j i some safety equipment needs further investigation and remedial schon if ;
L necessary.
i 6. Several required design and procedural modifications have been accepted by INPP l
relating to: additional reactor trips, early initiation of the emergency' core cooling i system (ECCS) for all breaks, improved diversity in ECCS instisbon logic, pressure
! relief in the steam compartments and in the reactor hall, drainage of radioachve l pools in areas outside confinement, reduchon in the number of allowable pre-l existing fuel failures, and enhanced operator instructions and training for control of j long term emergency cooling, i
- 7. The lack of Westem style containment at INPP is somewhat offset by the results for i design basis accidents which show that all LOCAs where significant fuel failures could occur from fuel over-heating are located within confinement. However, the l
j structural integnty of the confinement in accident conditions is not demonstrated j and the leaktightness of unit 1 is poor. Recommendations have been made to l i ensure that no fuel failures at all would occur in breaks of unconfined pipework, and l to improve the confinement integrity and performance.
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- 8. The venting capacity of the reactor cavity is limited, even thwgh it has been l recently improved. Multiple pressure tube rupture (MPTR) can cause severe i consequences if the venbng capacdy is exceeded. Any general fuel temperature
! excursion while at high pressure has the potenbal to rupture fuel channels The I probability of MPTR is low but needs to be further reduced by several of the I improvements currently being instituted (trip on low flow in multiple fuel channels,
)' automatic trip on low operational reactmty margin). Failure of the shutdown system (see above) can also cause MPTR, and this gives the recommendsbons associated with it a high pnonty. Enhancements to ECCS initiation logic are also needed to 1 protect against earty, local temperature excursions followmg specific pipe breaks j and some other initiators affecting a group of pressure tubes.
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- 9. The time of contact between the pressure tubes and the graphite moderator has been estimated to occur between 1999 ano 2002 for Unit 1 but the actual time of
- closure can only rehably be determined from measurement. Programmes are l currently undetway at INPP to measure the diameters of the channels and new
< equipment is under A4T,e,it jo measure the channel to graphite gap from within the channel. Operaten with contact is not shown to be safe and this has l l l j been accepted by INPP as a life-limiting phenomenon.
i 4 10.An indicatwe estur. ate of the cost of the modificabons proposed in the SAR, and i pnonhos for undertaking these modificabons have been estabhshed and are
- eshmated at about 120 Million US $ for both units includmg the full scale simulator.
In addibon about 125 pe .,on-years of operating staff will be required to implement all of the operatonal prradure and pracbces recommendsbons 1
1 11.The fundamental design of this reactor rehes on the operator to undertake 1 .,nc:M safoty actions and correct accion is heavily dependent on the operators memorising h required schons. The Emergency Opera +ing Procedures require substantial improvement or new development in regard to content and reference ;
- material essential for response in accident situations. Operator training needs to make more use of written procedures and simulators.
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i Annex 2 4
j j in depth Safety Assessment of.lgnalina NPP
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< Safety An afysis Report 4
4 I The Grant Agreement by the Lithuanian Govemment, the INPP and the European j Bank for Reconstruebon and Development on behalf r.f the Nuclear Safety Account required that an irwiepth safety assessment of the plant (SAR) be undertaken.
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i Common Guidelines /1/ were proposed and implemented for the production and review of the SAR. The Guidelines descnbe the safety philosophy behind the in-depth assessment. They also describe the standards and practices which are to form the i basis of the requirements for the SAR and its review, and explain how the scope of the
- assessment shall be determined from existing knowledge, in the East and the West, of
, the significant safety issues for RBMK's.
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As the initial task the Guidelines required the examinsbon of Lithuanian / Russian
- standards. The higher level standards were reviewed and compared with commonly
- accepted Westem g cuce. It was concluded that in general the current j Lithuanian / Russian regulations constitute art adequate framework, but a number of j areas were idenbfied where the westem pracbee was to be taken as the basis for i compenson for the plant. Examples of applicabon of Westem prachoes included j equipment qualificabon, separation of controi and protechon funcbons, operator schons j and seismic considerabons t The objectives of the Irwiepth safety assessment were to demonstrate that the plant is j =d+=J"i safe and to identify and evaluate any factors which may limit the safe j operation of the plant in the foreseeable future. In addibon the safety assessment was to assess the plants safety standard and prachces, recommend any additional improvements which are reasonably pra@ cable and pn:nndes eshmates of their costs i and se.adules.
i in meebng these general objecbves, three further goals were to be achieved.
- the process of producing and reviewmg the SAR will assist in developing the roles j of the operator and regulator in the management of nuclear safety within LJthuania
! - the findings of the SAR and review will aid the regulator in the decision regarding j the grantmg of a new license if INPP unit-1 is to be operated beyond 1998 a
j - the findings of the SAR and review will aid the Lithuaniaan Authoribes in decessons regarding pnonty of investment in hardware and software improvements i '
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The SAR represents a coordmated effort of INPP, reactor designer (NIKIET) and westem organisations. In compenson with former mainly generic . Technical Safety JustWicetions' (TOB) for RBMK's the SAR co itains:
plant specific system desenpbons (as far as possible as built)
- the idenbfication of all faults and hazards with the potential to lead to fuel damage or radioactive releases from the plant plant specific accident analysis (including a detailed review of acceptance entens for accident analyses and Russian computer codes) operators role and safety management a cross comparison with the results of other RBMK safety projects in order to assess the applicability of findings and recommendsbons valid for other RBMK's to INPP
- evaluabon of costs and schedule for addibonal safety improvements outside the existing SIP The SAR team concluded that:
- an adequate safety case for continued operation of INPP has been demonstrated,
- the safety case is adequate to the point of first gap closure which is the life limiting factor, and
- the plant's safety standards and practices have been assessed and recommendations for improvement have been made and accepted by INPP.
Table i summarises the major recommendations of the SAR.
Review of the Safety Analysis Report A team of intemational nuclear safety experts was established to perform an independent review of the safety analysis report (RSR). The specific objechves of the SAR review were to:
- review the analysis carrieJ e4 during production of the SAR,
- perform independent assessments of the SAR findings and recommendations,
- independently assess the adequacy of the safety basis for continued operation The RSR performed independent analysis and assessments and concurred with most of the SAR findings and recommendations. The RSR agreed that the SAR provides the major contribution to the Lithuanian regulator to consider in their licensing decision of INPP.
The RSR believes that the SAR can not be considered as a complete basis for a l heensing decision and a limited set of irrportant safety issues remain for resolution l between INPP and VATESI prior to a licen .ir g decision.
In particular the RSR believes that an gdequate safety case has not been made on the control and protection system. The RSR agrees on the need for a second shutdown system and the addebon of diverse automatic shutdown initiation signals to ensure reactor shutdown under all accident conditions. The RSR believes that short and intermediate term compensatory measures are required until the second shutdown system would be available (2000 at the eariiest).
, The RSR is not convinced that the SAR presents an ovarall safety case for the structural integrity for the reactor coolant system. In particular evidence was not presented in the SAR that the reactor coolant system or the accident localisation system were designed, fabricated and analysed to appropriate standards or that the quality assurance and inspection system is sufficient.
4 The RSR founds that the recommended improvements in engineered plant safety systems are necessary but are not by themselves sufficient, without corresponding improvements in the plant safety culture. Because of the lack of passive mitigating features, in particular a full containment ano forgiving physical characteristics, great emphasis needs to be placed on active protecbon measures normally defined in emergency operating procedures. In many cases, if adve protection were to fail the consequential release would be large and earty. The RSR expressed concem that the existing emergency procedures are not of sufficient detail or prachsed sufficiently that a high degree of confidence may be attnbuted to operator actions which may be necessary to recover from potential accident situations. In addition a limited equipment qualification demonstration program is required to ensure that systems important to safety will function property for all accident sequences.
Table 2 summarises the major recommendations of the RSR.
In view of the importance of the safety issues of INPP in design, operation and safety management and their complexity, RSR considers that INPP should be temporarily shutdown until the entical issues are resolved and SAR and RSR recommendsbons are accepted and carried out with an appropriate degree of urgency.
I
1 l Members of Ignalina Safety Panel Prof. Armen Abagyan, Russia . [ 7Il L , 7 l Prof. Adolf Birkhofer, Germany (Chairman) . e0 ojA d- 11 Dr. Robert Budnitz. USA Prof. Michael Hayns, UK d ## 4 i
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De hn H. Nistad, Sweden #" .
' \
Mr. Philippe Vesseron, France -
f Prof. Jurgis Vilemas, Lithuania m- -
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Drafting team of the ISP report:
l Dr. Detlev Reichenbach, Gennany Mr. Gary Lee Smith, USA ,
Prof. Jurgis Vilemas Uthuania
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1 References ;
1 a
4
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- 1. In Depth Safety Assessment of ignalina NPP, , Guidelines for Produchon and l 4 Review of Safety Analysm Report", 7 June 1994 l
- 2. R. A. Brown, G. H. Archmov, L H. Austman, . Summary and Demonstration of
- Acceptabety", SAR95-101-AECURAB-182, (vomson 5)
- 3. R. A. Brown, H. L Austman, V. Luukkonen, , Regulatory lasues and Cost
! Estimates".19/11/96 (revision 0)
- 4. R. A. Brown, G. H. Archinov, L H. Austman, SAR Executive Summary", SAR95-l 101-AECURAB-183, (version 5) i l S. Review of the Ignalina Nuclear Power Plant Safety Analysis Report, RISKAUDIT i Report No. 55, prepared for EBRD, Contract No. C 4424 and 4584, December i 1996 1
- 6. Review of the Ignalina NPP Safety Analysis Report , Execubve Summary,
!- RISKAUDIT Report No 60, January 1997 I l
[ i i 7. European Union TACIS Programme 1991, ,RBMK Safety Review" Phase 1: Final l Reports of Topic Groups 1- 9, AEA Technology, Risley, U.K. March 1994 4
j 8. European Union TACIS Programme 1993, ,RBMK Safety Review" Phase 2:
! Inception Report, June 1995
- 9. The Lithuanirm Programme for Safety improvement Work at the Ignalina Nuclear j
Power Plan'4 Ignalma, August 1993 i
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Table 1: Major SAR Recountnendations No. ImpL Rec. Title Mejor Recommendations INPP Pastek,a Prier. Prior System Mediskations
- 1. I Pl Diverse Shutdown INPP has @ the en d .5 the diverse shutdown system, but the details Agreed System and implementation scWr% ave not been established. ,
2* i PI ECCS Signal For A signal to promptly initiate ECCS for a critical GDH break is needed His Agreed Stagnation Breaks in signal should be based on the reactor trip on low flow in makiple channels GDH (currently being designed by Westinghouse). To ensvre ECCS is not fired spuriously this signal should be "anded' with high pres.ure in confinement.
- 3. I Pl dP/dt Reactor Trip And A new sigwl to promptly trip the reactor and to inkiate ECCS for breaks Agreed ECCS Initiation Signal outside coorneement based on rate of change of Drum Separator pressure decrease
- 4. I P2 Conteniineted Water High capacky drainage into the ALS should be provided in order to reduce Agreed Drsinese For Breaks tha time contaminated water pools in non. confined areas are exposed to the Outside Confinement. environment. Task Group 5 has reviewed the situation and believe that this can be achieved in a realistic nianner.
5' i PI Reactor Hell Over. INPP has agreed to install a blow.out penei of some kind to cover the Agreed Pressure Protection opening where the transfer shan is not in use His size of opening has been shown by the Task Group 5 analysis to be adequate to prevent over-
,,,_ --- of the reactor hell.
6' 2 Pi ECCS Inlet Nozzle k is necessary to ensure a low Aesquency of pipe break at thejunction of the :INRP agrees to inspect 4 of p,,eeegion ECCS inlet nozzle and the GDH. There are several options which INPP the pipes and then determine should investignee with designers to develop a viable design solution. Dese what Aertheractions are include: *+: i ased b upon the
. increased pipe inspection in this region Predicted probability of
. encase the pipe in another pipe to provide a double herrier failure.
umn 16
i Impt. Rec. Title Majer Recommendations INPP m i No. - r Pro.r. Prior Pl Seimnic Restraints It is recommended that INPP formally accept die recommendations of the Agreed. INPP will advise as
- 7. 3 !
ISMES report and commh to undertaking the actions identified in the to which of the ISMES !
l report. recommendations they will His one recommendation <;ncompasses the following system specific **'"*UY I" "
re - ' ions::
6.4 MSREA-1,9.I-18,6.7-R2,9.4-R1,4-9.7-6,9.8-RI .
i 1 3 PI Fuelling Machine It .ls tecomniendal sat the modincations to the Wling machine Decline, since it is not :
3" Seismic Restraints. tecomsnanded in ti.e SAR report be implemented, unless INPP ce a provide lucluded in SAR scope and the I lefotnistion which demonstrates that the fuelling machine will rentain stable question has not yet examined [
daring seismic events, enough EFWP Flow Limitation. INPP should take the necessary steps to ensure that EFWP are not Agreed 9' 2 P2 ;
permanently disabled by excessive throughput by either installing over- '
current protection or preferably by introduction of f'.ow limiters to prevent i excessive throughput Separate Fire not each of the six relay rooms (206/ I-6) situated in each reactor building This work has been completed 10' 2 PI l Compartments in Room be made into separate fire compartments. in cooperation with the [
206 Swedish SIP programme. j I
FireDesectors, Alarms, Since it is not possible to install physical fire barriers between the cabinets Exclude since k has been
- 11. 2 P2 Gas Based Fire within relay rooms 320 and 329 due to lack of space, it is recomeunded to already performed' Extinguishing System. Install individual fire detectors and alarm for each cabinet, and ensure that Vattenfall advise that this adequate manual fire fighting capability can be present within project is stillongoing and !
approximately one minute. It is also desirable to install a fixed gas-based that there is a bid about to be i fire extinguishing system in order to improve fire protection further. It shall placed with Swedish SIP. j be investigated if any such system is available where a release is not harmfiel to personnel that might be located in the room.
Separate Fire Modify and _r .de relay rooms 320 and 329 into classified fire Agreed
- 12. 3 P2 C_ ,
1---- Rooms compartments.
320,329 Install a fast acting sensitive smoke detection system in relay rooms 320 and Agreed
- 13. 3 P2 Smoke Detection Rooms 320,329 329.
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Title Major Recommendations INPP Positten No. Impi. Rec.
Prior. Prior
. P2 MCR Fire C-g_r ^ Modify the main control room (322) for each unit is to a classified fire Agreed l
- 14. 3 ,
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Fke1 oed Reduction Reduce the fire load in the main control rooms and adjacent rooms by Agreed I 15' 3 P2 removing any material that unnecessarily contributcs to the combustible loedes, and if required there, change the material to a non-combustible ;
type or, at a minimum, make it fire retardent.
i= =^ Modify the emergency control rum (321) for each unit into a classified fire This work has been con.pleted 16' 3 P2 ECR Fhe C_ ,
^ nt. in cooperation with the i Swedish SIP programme.
^
Fire Cellseparation improve the fire cell separation between the comim._u and their cabling Agreed 17- 3 P2 in the Service Water (SWS) and Intermediate Cooling Circuits (ICC) pump f rooer.s.
Install fire detection and alarm .)_...s in the SWS and ICC pump rooms Agreed
- 18. 3 P2 Fire Detection And l Aleros SWS &ICC Rooms. :
To improve the One cell separation between the components and their Agreed 3 P2 Fire Cell Separation i
and UWDS pump room by installing individual fire detection for each And UWDS Rooms.
pump unk and fire alarm, and to ensure that sufficient manuel fire fighting capability can be present within approximately five minutes. Extra fke protection measures shall also be taken when maintenance and similar
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activkies are going on in any of the rooms. l 11st the Emergency Deserstor Feed Water (EDAF) pump room be Agreed 3 P2 EDAF Classified Firq 20.
t_ _ , -- .
modified into a classified fire -:- .- - -- ;
lleet a fire detection and eierm .j- .. be installed in the EDAF pump Agreed 21, 3 P2 Fire Detection And Alanns EDAF, ECCS & scoms and else L y Core Cooling System (ECCS) and Unsalted Water Distribution System (UWDS) pump rooms.
UDWS Rooms.
' The switch gears for emergency pow r generation in the latermediate Agreed
- 22. 3 P2 Switch Geer Fire building D-2 level 0.00 and the two iesel switch gears in the turbine Compartments !
building for each unit should be modified into seperate fire compartments i
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Rec. Title Major Recoininendettons IMPP Peenteen . ,
No. imp. l Prior. Prior -l
- 23. 3 P2 Replace Flooring Replace the plastic floor covering material in. safety related areas and Agreed !
associated access ways with a fke retardent material. ;
hisserial Auto Cut-OffValves lastell assomatic cut-off ve!m in the hydrogen lines to limit leakage of Decline. INPP ha' c.ever !
- 24. 3 P2 hydrogen in the event of a pipe rupture within the turbine building. ,c 4 [
t P2 Fire Hazards Report A Fire Heaards A :,.is should be i,.W. including identification of Agreed
- 25. 3 I potential fires and consolidation of design documents and procedures ;
addressing posential fire risks. ;
INPP should develop and . ~ ,' ==^ an Equiramat Qualification EQ Progranune For Agreed i
- 26. 2 P2 hiinimum Set Of prograrnme wish the obl ective of: assuring the necewe ; qualification of the I
limited set of safety related electrical equipment expected to be exposed to a Equipment.
harsh environsment during design basis accidents. ;
ALS StructuralIntegrity h k b no el Wegdy te dany dik comm at a __
3 "_ "_ ">
27- 1 Pi pressure equal to either the design pressure or the maximum accident i
.g.,,,,
pressure which, according to IAEA Safety Series No. 50-SG-D12 would be a.,; __ .- tience.
Recessmendesten 4-6.3-2: A struct.nal integrity test . is
- --n ' ' but if the resuk of the required additional analysis in r-- .
-- *"-- 4-6.3-14, verifies that the ALS t- ,J.. can i withstand pressures equel to desipn, these analysis can be used to justify the lack of structural integrity tests at desige' pressure of the ALS
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No. ImpL Rec. Title Major Recomusendetlims INPP Positten Prior. Prior 2 P2 ALS Leak Itate Tests leak rate tests are perfonned at a pressure of oaly = 0.02 bar which is too Agreed 28.
low to permit accue atrapolation to leak wes at design pressure or i
enemirnen accidesu ,sessures It is difUcult to evaluate the impact of
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l increased pressure on the gap geonietry. The aquivalent leakage area can very wkh pressure in both directions ,and may be oifficult to determine. '
According to IAEA Safety Series No. 50-SGD12 this would be a non-compliance.
Recommendatlan 44.3-3: Due to a rather large leakage areas in the ALS lenktight 0: , _ :...;.7ts, the recirculating veratilation system, that is used as a pressurising device, is not capably to increase the pressee up to sufficient pressure levels. Pressurising devices with a higher capability j should be used to allow the leak rate test to be performed at sufficient pressure levels. If possible, the leaktightness of the ALS leaktight should be increased.
P2 Single Failure of Single talksre of control cabinet IHZl9Z51 resuks in loss of power suppl) INPP still examining this 29- I ControlCabinet to control caldnets IHZl9 and, therefon, resuits in unavailability of ;,,,,,
IHZl9ZSI automatic control of intermediate cooling circuita. Failure of the circuits ;
results in unavailability of ECCS and AFWS gmmps because of the failure i
of latennediate Cooling Circuit. Because this failure can result in substantial degradation of the safety systems, the safety impact of the single i failure is high.
PI Single Fa.ime of Single failure (spurious closure signal) of control cabinet HZI9 resuhs also INPP still examining this 30* i ControlCrbinet HZ 19 la spurious closure of valves VF10S(01-04) lendmg to the loss of service issue.
water. De service water flow can be restored only afler manual opening of the valves. Dis failure is identified as Pl non-compliance in the single "
failure analysis ofSWS.
P2 Single Failure of HZ 10 Single failure of control cabinet HZlo resuhs in unavailability of automatic INPP still examining this !
' 31~ 1 and remste control of the safety components. Thorough analysis is issue.
necessary to evaluate consequences of this failure and ability of the safety l systems to withstand the failure of the control cabinet. Such analysis can be i
done only on plant level, because it affects several systems, and it is outside the scope of the present analysis. Taking lato account possibility to afTect operation of the safety systems, this failure has intennediate safety impact. ]
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Title Major Recommendaelens "
No. 14 Rec. INPP Peattlen Prior. Prior ;
32- 2 P2 Lack of R "-- '- - y The redundant valves IRM2MI and IRM2M2 are R 4 from the INPP is stillexamining this same safety busbar ILX10Z and also controlled from the same control '
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cabinet IHZ14Z03.1he situation is similar for the valves IRG02S03 and IRG02S10. A single failure may affect the both redundant valves I Reenanmendatlan The power supply to the redundant valves must be ;
arranged in accordance to Western standards. {
P2 Valve Requirements It was found out that valves used within the system were made for NPP Agreed 33' 3 e application but do not meet the. requirements of currently applicable l Russian regulatory document " General Specifications to Valves OTT-87" [
(PNAE G-7-008-89,6.4.1). It is recommended to use valves developed to !
meet OTT-87 requirements as soon as required to replace worn out valves.
- 34. 3 P2 Hafnium Burnup Inaccursee Hafnium burnup characteristics that necessitate frequent radial Agreed Characteristics flux sensor calibration, e labour intensive process that results in undue ,
occupational dosage. INPP should undertake (with RDIPE/Kurchatov .
assistance) en analysis program to: ;
- i. Evalente the burnup characteristics of the Hafnium detectors. I
- 2. - Survey available data from other sources on Hafnium burnup ,
- 3. Refine calibration procedures to include affect of axially variant sensor i burnup. !
- 4. Advise TG 2 of the incidence of high occupational dose in recalibrating !
Hafnium detectors.
3 P2 Failure Of Distribution All isolating valves used to distribute water coming from ALS pumps to INPP advises that this has :
35" Valve Control ALS Pools and sprinklers are controlled using the same control cabinet been done.
IHZIS. Single failure of the cabinet results in loss of automatic and remote 7 control of the valves.
t PI Redundant ECCS Installation of a redundam si for the _vr:f of cooling water to the Agreed
- 36. 2 !
Cooling Supply pumps in the ECCS in case ofloss of availability ofICC-2.
I PI Building Structural The current prwisions do not protect the bulkling structures b Agreed 37.
Changes -
-" " fhilures which could cause damage to equipment used for accident mitigation. The plant should be modified to provide increased the relief capacity of pipeline shaR between Blocks D and G, ;
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No. Impt. Rec. Title Major Reconneendations INPP Peettien Prior. Prior 3g. I P2 Pipe Restraints The current provisions do not protect the bettding structures Ihnu Agreed
, ^" ' gallures which could cause damage to equipment used for accident mitigation. The plant should be modified to provide providing pipe restraints in this sher to preclude -f-:--:M pipe failure, or reinforcing this sheA to withstand discharges firem two pipelines;
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Analyses and Assessments 39~ 1 Pl WaterhammerAnalyses A review sliould be andertaken m hine the eNect of h h INPP do not agru wide this
! the GDH and in the lines between the ECCS accumulators and injection recommendation since it will l velves. Analysis or testing should be undestoken as ' necessary to .
be a costly programme and is i demonstrate -- ,- " ::i . . This study should also address the specific
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- not being done for other j recomtnendellon 6.4 MSREA 4 raised by Task Group 4. , RBMK reactors in onter to resolve this design deficiency, it is recognised that a progrunme generic to all RBMK ' reactors is required, along with some INPP specific calculations.
GDH Ar.d Downcomer Lithuanian /Ruseum standards for reinforcement of pressure boundary INPP stillexamining this
- 40. I PI Nozzle Strength, openings appears to be substentially different from ASME recquirements issue.
Therefore INPP should provide time designer's strength calculations for the downcomer and feedwater inlet nozzles on the l'?, and the GDH nozzles.
"alling that, finite element analyses should be undertaken to demonstrate that the reinforcement of the pressure boundary (9ening neets fitness for service requiresnents using both Lithuanien/Russion and Western codes.
INPP should assess any potential adverse effects on the electrical function A, ggt,
- 41. 2 PI ElectricalCable Costings of power cables resulting from the fire retardant costi gs that have been .
' applied to them.
Flooding Review Room Based on the potential for flooding (,ta.ml in this review, a detailed Agreed
- 42. 3 P2 A 074 flooding assessment should be made for Room A-074 in the reactor '
building.
General Flooding A detailed floodmg assessment should be performed for areas identified as Agreed '
43" 3 P2 Review having a potential concern (designated with a "P") as listed in Exhibits 5 and 6 of the final EQ report j t
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Title Major Recemniendetlans INPP Positten t Me. Impt. Rec.
- L Prier. Pflaf
? '. Safety Managessent and FreesduralIssues:
INPP should perform a technical audit of the training program provisions, Agreed f
- 44. I Pl Audit of EOF Training by Waktinough. to compensate h the lack of a repGce simulater. l E
Replica Simulator. Obtain access to a full-scope replica simulator for INPP as soon as rc, :Y==. Agreed
- 45. I Pl and establish a program for validation of normal and emergency operating e Procedures t Procedwe Validation By Pending receipt of a replica simulator, INPP should establish an alternate Agreed
- 46. I PI ;
Walkthrough program for validation ofi ,iwd e4 su :h as by "Walkthrougl s". t
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lhe policies for wJ_ usage should be revised to define the .yy.+-se Agweg i i
- 47. I Pi Policies Of Ptocedure Usage (Memorisatior.). usage for various types ofplant operations, for example: ,
i e available at work location for reference, i
e available at work location and frequently checked, t i
e or step-by. step with signoffs. ;
j 1he policy should describe the criteria for selecting the method for specific operations, for example complexity of ope ation, importancc to safety, etc. L (Operseers Aestmently rely on enemorisation of procedures in performing $
normal and almormal operations, and the Wed policy is to rely on memory for response to both nonnat operational and emergency situations).
Revise Ptocedure O-56, p.4 to provide specific information on the flow Agreed 43, 1 PI LOCA Flow ;
Requirements. requirements fer various accident scenarios, or reference to other .
documents containing such information, to aid in properly controlling ,
injection flow. Also, include reference to specific video displays of flow sheets that are used to assist the operator in this action.
Training for Move 2 M @ training to all operating personnel involved in changing INPP still examining this ,
49- I PI operations Rom snain connel roen m emergency caiuol remn. Training issue. !
Emergemey Control should employ the specific procedures applicable and include walk l Room. !
throughs, step by step. i 23 :
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.t h Title Mabr Recommendations IMyy pegggge, P! Revias O-56 lbr All I W to d opersoor hb Agreed - !
50~ 1 Actions 8dentified by Revise Procedure O-56 to incorporate ' , .vements '.i- e_* ; all the._
i Task 8. concerns W in these analyses of operator actions. l.
P2 New Operational 1,imits The Technological Regulations should be amended to limk the number of Agreed SI. I .
On Fission Ptoducts la claddag failures which can be within the system under norma? operation to 1 Reactor Circuit. values which do not resuk in the regulatory limits being exceeded ,
t PI Mininnna NumberOf The current Technical Regulations need to be changed M ensure that a Agreed i
requirements of the accident analysis.
I PI Harsh Environment in light of the critical * , _--we of the separation of harsh and mild Agreed 53.
Boundary environments, INPP should strengthen its administrative procedures by j i
issuing a general order highlighting the importance of procedures that asses that the pressure boundary between the harsh and mild environments . !
is maintained to the maxirnum extent practicable, including the requirement l that doors be latched at all times with administrative controls in effect when !
they are in use.
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t Impt. Itse. Title Major Reconsnendations INPP Peeleton No. !
Prier. Prior 2 PI Priority For Quality ' INPP should enswe the complete development and :.T./_. 1-- of the Agreed
- 54. - f Assurance Program Quality Assurance Program as soon as possible. Specifically the following areas need to be e&lressed !
a e' Quality Assmance for Maintenance ,
e Design And Supplier Quality Asswance e Implementation OfQuality Assurance Program f
e Work Task Documents i e Independent Design Verification :
. Design Quality Assurance Interface j e External Quality Assurance Programs e Quality Asswance Program Audit Schedule t e interim Audit Scope And Priority 1996 , j Detailed e+_ _ M^ ions for each area can be found in the appropnete !
Task Report end.in Appendix 2 of the Summary and Demonstration of i Acceptability.
)
Preparea detail F-._; for a - ;4 standardised review process for Agreed j 55' 2 Pl Safety Review Of Changes. all changes to the plant including plant physical modifications, gde; [
changes, and special tests and experiments, and provide formal training to i all plant personnel who will be involved in prepenng, reviewing, or approving such safety evaluations. 'Ihe procedure should provide a graded
- approach, so that the rigour and detail of the review is consistent with the poesntialimpact on safety. . l r
" "'- Off % INPPM undertake an organisational restructwing of the' technical INPP does not agree to change I 56~ 2 PI' R this document structure.
TM-icalRegulations Regulatione to make them anote user friendly to both the. Cr :^'- ' and i
Safety Support stoft' at the plant. Any change to the technical content J' should be neede only siipon review by the design organisations involved and >
- s. byesos .JP tbrtheaccidentanalyses. '
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L No. imp. l Rec. Title MsM Recommendatlans INPP Position Prier. Prior
- 57. 3 PI :.4 ^ Safety Policy Take actions to implement the safety policy at all levels in the organisation Agreed At All Levels and to improve safety cuhure:
e '4PP management should establish a nuclear safety performance ernprovement program, with specific, measurable targets, based on the policy, communicated to the organisation and with monitoring of progress against targets.
e implementation must start at the Management level, but proceed with involvement of the entire Operations, Maintenance, and Technical Support organisation.
Sg. Pl Reporting Safety INPP management should pmMicise sheir expectations for personnel to Agreed 3
Concerns, Errors, And report errors and saftry comwrns, through training and discussions in Near Misses. safety meetings, and to thus inaove safety cuhure:
o by publicly commendmg individuals who report errors and safety concems, and
- by advertising successful lessons lemmed from mistakes.
Candid and honest review and evaluation of operating events, with defimtion of corrective measures is one of the most effective ways to improve safiety performance.
Quality Assurance %e ongoing development of the QA program should include an established Agreed
- 59. 3 PI Program Management program for inspection, testing, and monitoring of activkles in program scope, for verification of conformance to requirements. Inspection plans
- shall include " hold points" where appropriate for the res iective activky Quahty Assurance of De plant quality assurance group should establish specific written policies. Agreed 60' 4 PI -
Operating t)ocumenty procedures, and plans for independent review and at.diting of operating docernees=sian, as well as monitormg of procedure usage by the plant stafT.
INPP should institute a process and 81. . for ensuring stored parts and Agreed
- 61. 4 PJ Procedere For Maserial seorage materials do not exceed their specified shelflife.
Consolidated 6 of M Wb of a cimsolidated Mhb Agreed 62- 4 Pl Modification Procedure procedure is an essential Nuclear Safety activity and should be completed as quickly as possible.
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.-.---.- - -._.- - . .~ .-._- - ~~ -.- -. - - -._..._..--- ..,-..- _
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Impt. Itec. Title Major Recomsnendations INPP m No.
- Prior. Prior ,
- 63. 4 Pg tw aie== OfQuality INPP should generate a detail list of all Quality Assurance Pmgram Agreed Assarance Documents Documentation, similar in scope to the list in IAEA 50-SG-QA1, Table Vll.
4 PI Design Document identify and include in all future design docenents, such as those used in Agreed 64.
Content Standards modification projects, all required quality standards and requirements PI Extraneous Materials In' INPP should genersee procedures that identify all materials that can affect Agreed
- 65. 4 Systems the safety function of systerns if they are introduced into the systems, and procedures to control the use of such met rials and substances. This should include materials such as heavy metals or nalogen chemicals in contact with austenkic stainless steel, and solvents t: at can degrade the capability of radioactive iodene charcoal filters.
4 Pt Urgent Update Of Complete the planned program to review and .p.m the most important Agreed
- 66. !
O,erational drawings to support safe operation and maintenance, including schedules.
Documentation This is a major effort so it is necessary to prioritise it to do the most .
important documents in order. Prioritise the program based on seletive safety importance of drawings. Identify a sub-group of the drawings that are required in the main control room for use by the control room operators these should have high priority for present and future updating. Adopt a standard time inserval that should not be exceeded for actual incorporation of changes into these " control room drawings"(time interval between i
_ f "- ofplant modification and revision to drawing).
PI Procedures For Plant Develop rd. anWor checklists for perfamance of walkdowns for Agreed 67' 5 j Wautdownstfours monitoring safety seisted systems and esquipment. The procedmes should identify the key m_ Je and their expected values as well as limits, -
obtained Aom the plant Limits and Conditions, and have provisions for i recording all important data as well as identifying responsibiliti for analysis of the data includeg trending t
include in the QA manual a reference to: Agreed
- 63. 5 P1 Databases Of Equipment, Services, (a) a specific single consolidated list of safety related equipment and Activities. A) SRCL, systems;and (b) a specific list of services and work processes that are within the scope of j B) Services And Work the QA program j p, f 1
a e
27 j
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Thei+1 r -%+; are classified as follows:
Pl. Rwhion is mandatory to meet the agreed Safety Objectives ,
P2. Recommendation is required if issue raised would destroy redundant components in a safety or safety support system but would not s .pletely negate safety or safety related system capability.
e P3. Recommendation would generally raise the level of safety at INPP. ,
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. - . - .-., - - - - . ~ . - . _ _-_. - - _ - - - - _-. . - - - .- - .~. - . - - - - - .-.
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Table 2: Sesamisry of RSR Recosmaneedstions Categorised on the Basis of Lines of Defence l f
I Rec.mseenassean I cat' I co== e ;
f e All reconu=*marions for modifications imply a need for W. justification annsyses and r. aion of a modificahcu safety case.
Perfonnance of a single failure analysts (SFA) of the CPS, including l pot NT Needed tomyart claim that CPS is a strong line of defence.
~
l i provision of all the necessary inglepth supporting documentation to j l allow VATESI to review this issue.This should include Ametional block desgr====. circuit erh-=*1e= and wiring diagrams.
detailed pot NT Category determined by need to establish incredibility of drum separator
' Prepare a structural ensegrity safety ene that Lr,.
consideration of the ISI requirements, in accordance with the plan rupture. Some other components are judged also potential NT in '
combination with other issues.
suggested by the RSR. Potential for common cause failure, DetsHed essessament of the impact of the EPPS reset a ...;,y circuits. TS installation cf buttons / circuses to permit resetting of the ii.,, T3 Current system design cannot be tested or reset without removing and reinstalling circuit boards.
channelsin the CPS electronically.
TS TherJAc. (lack of diversity) is TS, but this solution cannot be Engineering .***** ment, design and testing towards a diverse shut.
implemented r a short enough time - hence next recommendation.
i down system. This includes demonstrating that the diverse system will .
~
address identified probleans with the existing CPS. !
TS Needed tojustify si,u.iion until diverse system can be installed.
Compensatory measures are required to increase the reliability of the scram flsection in the short tenn.
T3 Must demonstrate that there are no common causer 4,lems which would !
Preparation of a Safety Case justifying lineited continued operation of prevent increased reliability being claimed for the CPS.
the existing CPS /EPPS.
J need to be J.;,.;,,,, 4 and T3 Needed urgently for pump cooling, manual scram, and ECCS flow control.
Adequate emergency operating r, Any necessary additional instrumentation to be identified and provided.
% %-- ' for g!fic accident - - = =
TL Identification of all post accident ,,,, .;,,, actions is required. Complete by Adequese emergency operating procedures need to be J.e,/,,,, 4 and soon aAer licensing.
.
- go,,gg .ceLa.mt _- _ , _= that can be identified.
- pekorm an evaluation of the impact of the electrical r,,;.,;; ion T3 Urgent assessment required since uncontrollable plant behaviour may occur iflow voltages are tolerated without switch to emergency supplies.
seapoints (50% Nominal Vokage / <46 Hz) on the electrical power -
system to assure equipment "
operability and protection under persistent
- ,,,7 ' ' vo' _
- / .:.,i' _ , y conditions.
l t
4 tegories are NT (not tolerable), pot NT (potentially NT), TS (toler.sle mh term only), TL (tolerable long term). TL recommendations listed are iwhile carrying out on the basis that implementation is reasonably practicable (easy and , expensive in relation to the safety benefit). Recommen
, sis may also be categorised as "TS - complete before licensing" or "TL - complete soon aRer licensing", to differentiate in priority from urgent i fications and less urgent TL recommendations.
27 e
t b
. j l Reessahtten l Cat' l Comment I L
Stop opersion when first contact between Pressure Tubes and graphite Plant operation with closed pressure tube gaps is not consistent with occurs. Perform a safety evaluation and stress analysis of operation accident analysis. Time of first closure is difficult to predict.
[
with graphite - pressure tube gaps exhausted (gripped pressure tubes) ;
and transient induced thermal stresses.
Analysis of potential stresses on adjacent mbes in a single pressure tube 13 Need to demonstrate that propagation is strongly defended against.
rupture.
Finite element stress analysis for reactor cooling systern ,~-.;. TL RSR agrees with SAR, but considers general structural integrity safety case I which do not meet ASME III regsirements (certain nozzles on DS and for the primary circuit, especially the drum separator, of much greater
- GDH). 8mPortance.
ECCS - automatic actuation for low flow in multiple channels TS These two issues sre NT if taken together since they leave no strong . !
connected to one GDH. defence against partial GDH rupture. He category of each is given on the !
assumption that the other issue is ECCS - ISI of the ECCS inlet into the GDH.
TL resolved.
ECCS - assessment of waterhanuper on ECCS/GDH check valve: and TS ne com o is issue and lack of structural integrity safety case for ECCS - improve diversity in ECCS and EFWP-cooling. TS A!temative solution to the problem of re-establishing lost heat sink i (cooling of essential pumps). De category is TL if the EOPs are wri' ten "
and in fcce(reu,mmendation 8).
ECCS - improve s ' ^-- y and reliability of accumulator pressure TL Dis recommen lation is good practice, but not required to establish redundancy of trains. ,
, control.
' TL Reduction of fuel 4- .+ in a DBA with direct release to environment. r ECCS - automatic actuation for steam line breaks.
l - ECCS - develop strategy for local flow degradation in intermediate and TL Could be a necessity in i ertain LOCA sequences. i i long term (ECCSinjection _ -- ' or 4J---4). TL '
Verification of state.of4he-art codes (e.g. RELAPS and ATHLET) for Continuation of existing work. Not required to be completed by licensing.
i kBMK conditions.
TS RSR consider this to be of hi@ priority than did the SAR (no case that l Carry out a fire hazard analysis to ensure that all parts of the Of
- fires are strongly protected against at present).
l systems vulnerable to fire have been adequately protected.
Demonstrate that ventismeiam can maintain survivable temperature TS Complete demonstration before licensing. Important part of the
( demonstration the safety systems are qualified in accident conditions.
j conditions in key insinunentation rooses in post-LOCA conditions.
ALS - demonstration of capability of the ALS structures to withstand TS The category is based on concem for -:-- q utial damage to ECCS (eg i I
- i l
i i
se will become NT st the time of first closure i
i
! s 28 i
- t
- _ - . - . _ _ _ _ . ~ . . -- ___ _ _ , _ _ _ _ _ -- ~ - ...-.- - - - . _ . .
-- _. _ _ __.._. ~> .
. i
.' i
. t a ,
Cat' Conement I Receanyeen:saggan 4 leakage from supply tank in ALS).
expected peak pwssures durmg complete range of design Sasis t
- ' ~ ^
ALS - enhance ALS leaktightness of Unit-1. TL Should not be donc unless it can be shown that ALS can withstand LOCA ,
em-a; with leak-tightness improved, since consequences of damage ,
may be more serious (category M).
TL ALS is assumed to be IWLOD in BDBA. This analysis would establ~sh ALS - Analysis of hydrogen concentration in ALS com r i.v.ents for actual value of AI.S. Not a first order priority for improving safety. OPS- f beyond DBA following OPB-88 requirements. 88 requirement not achievable.
TS Related secom;=c 4ations. Ruy;-.e4 pipe may flood ECCS pump room SWS - A condition assessment should be carried out of the SWS pipes and thei .:by disable .
in the ECCS pump room.
13 One pos trip cooling system.
ECCS - Flooding assessment of ECCS p==a room.
TS Complew by licensing.
Justification of omission of an assessment of accidents at shut-down ;
should be made to VATESI by INPP.
TL These recommendations are good r.ciice and are longer term solutions.
SWS - remove single failure vulnerability in flow control sj=- ; (HZ). EOPs should be developed more urgently TL (see recommendation 8). ,
SWS -imptove a - : ion in pump station and two train piping.
TL SWS r--- eion against external events. TS RSR agrees with SAR, but considers that the issue may be resolved by In-depth seismic assessment of refuelling machine and se,y,~.;ing demonstrating low seismicity, without detailed structural analysis.
building structures. t i
TS " Low seismicity'* = best estimate of < 0.lg PG A at a return period of ;
installation of clamps in order to enhance the stability of the refuelling l 10,000 years.
i g g,,, l'ressure tube rupture has been caused by this in the past.
- f by TS Demonstrate that strong radial or axial flux tiks are r e.-
t
. , ion.
,.- _ : ; andaut. mad.-= TS Category is basef on concern about potential for serious l increase reliefcapacity of the pipeline shaft between blocks D and G. building damage, with possible consequential failures (CFs) {
i i
TS of essential systems. Only TL if no CFs. -
l
- Introduce pipeline restraints in the shaft between blocks D and G to !
---^ int failures by pipe whip.
l TL Modified rod design already under test. If successful it should be preclude Reduce reactiv-:---- :$y effect of voiding CPS channels by changmg rod muoduced as soon as possible (subiect to supporting safety analysis).
_ % or separating cooling e)--- --
TS Multiple citor required. Recovery likely. Case should be presented befo.e Demonstrate that MCP holation is strongly prevented and also !
I'C'"5'*8-recoverable. EOPs required. Change should be made before licensing.
TS The Technical Regulations should be modified to require that a [
minimum of 4 ECCS pumps is available during nonnel operation to be j consistent with the accident analysis. i l
l 29 l i
i i !
- - - - _ _ - - - - - - - - - - - - -_ .- --____- - -f
. - . - - - . ~... .- - _.. -... - . - .- - - . - - . - - - - - . . - . - - - _ - . - - . , - . . -
i
?
I l Cat' l Comisment -l ,
l Reconneendesten I
Conect deficiencies in accident analysis identified by RSR TOS. In TL A full safety case should follow typical Western SARs.
addition, a complete accident snelysis should be performed in the long tenn including accidents during reactor shut-down, internal area events t i
, and externel events. Complete by liceising.
y TS Document technical justification for categories of accidents initiated by j
- - - failure omitted froen analysis. t TS Comple:e before licensing.
-Analysis of reactivity initiated c. vents for core with new fuel design :
(2.4% enriched and containing erbeuni burnable posson). Needed to give confidence that multiple ; pa.res will not occur in
' TL !
improve ISI requirements for pressure tubes by addressing: detailed transients or as a resuk ofpropagation.
measurements of s._ "^ , tube gaps, characterisation of all l news, measurement of hydrogen uptake, determination of fracture j toughness data (8C, KIC, KIDHC). To give diversity. Recommendation is goodFEtice. To be ineptementM i TL t introduction of an additional early teactor trip and ECCS initiating aAer heensing.
- for all break locations in RCS and seesm sy-s.
p.,___
TL Desirable to avoid high temg..; ee in unbreached circuit, but fuel Modifications to ensure ECCS is automatically inW to the !
damage is not predicted.
." -_=*= ' reactor half. nis recommen<tatian issw,4 gwiice, but is a longer term solution. EOPs TL ICC- improve ndependence of EFW .*-cooling from SWS. are more urgent (set recommendation 8). l f
i TL Dis evaluation addresses a major omission from the SAR. Start Perform an evaluation of the impact of safety reissed ---- ; _ =^ ageing a = Analysistoidentify immediately anJ complete by licensing or soon aner.
using the Berseline PSA and I
-- ;_- potentially e i ^'; high risk. TL Off-site dose reduction. Implement soon aRer heensmg.
De Technical Regulations should be inodified to lower the maximum [
allowable concentration of r=3a= prrJacts in the WL TL Dynamic effects. Increase of potential release, but within one consequence Analysis of effects filling of Steam Li :s with water. ' category. i TL Complete aRer licensiny Analysis of the radiological conseque es of Feed-Water and Steam i Line breaks. TL Complete mRer licensinr,-
Analysis of break of emergency Feed Water Lines under start-up ,
conditions. TL Good practice, but ECCS reliability is limited by other components.
Diverse pressure sensors in p..,;eeiec compartments should be ,
installed. Partial ATWS considered to be less of a problem now that void coefrecient ;
TL Partial ATWS and steady state flux t..t ana:y;.,. .
4 30 t l
t l
i L
_ _ . _ . _ . _ _ . _ _ _ _ _ _ _ _ _ _ _ . . _ _ . _ _ _ _ _ _ _ _ _ _ _ . _ _ _ ___ _ _ _ _ _ _ . _ __ _ _ _ _ - _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ =
4 e
I Cat' Cosament '-
' is low. Prevention of Gux tik (see above) is snore important then snelysis of consequences, which could be very variable and so should be assumed to be severe). .
^
TL Off-site dose reduction.
" , ..: .__ to draenage in dnun separator 1 Reactor hell over-pressurem :--:w,. TL Off-site dose reductian.
Additional instrumeseanian should be installed in the co ;..: room to TL Thev. eor must be provided with reliable data on circuit inventory if the water level is beyond the range of DS gauges indicate post LOCA ca.dania== in the circok reliably.
Coatinue analysis of reactor cavity ventmg to determine snargins.
TL S-:ei--- for reducing uncertainties by Aarther analysis is lienited.
Assure halutability of main and emergency control roosns in external TL Not of high ' , - :-x if only related to extemal events. If the ventilation systems are linked and both control rooms can be disabled by a single fire events by separation of ventilation.
or activity release the issue would be higher category (TS).
TL Omitted from SAR.
Carry out an engineerms assessment of the MSIV.
- should be investigated TL Good ps.ciice. Complete by licensing or soon after.
High failure rates for safety-related =- , -
and w .- 22 TL Not urgent unless it is possible that analysis is invalidated. Complete soon The significantly non-lineer 41s of the void reactivity on after licensing.
reactor coolant density has to be considered in determininst the total void effect based on measurernents of the void coefficient.
3I
_ ~ . - - . . - - - . _ - - - . _--__
t r
Sensatary of Recosusnendations which Cannot be Categorised by Lines of Defence (Including Safety Caltant and Safety Managesment Reconeinendations) ;
i f
Couement Raeemesendellen INPP must develop a detailed procedure for a structured and standardised review This issue has the potential to cause significant safety problems and f process for all changes that take place on the plant.%is procedure must identify must be resolved quickly. Implementation must be progressing by licensing.
appropriate levels of review as related to plant safety and must fhlly meet QA
' t INPP must seek to isoprove the current level of safety culture through the Cuhure is a lo:.g term issue. However some actions are required in ti e L mey-- of approprince training, management styles and pmcedures and the short term. In order to provide initiative for improvements.
dessemination of a clear policy to staff at all levels of the organisation.
I De implementation of QA has the potential to make improvements to m
INPP must provide gresser evidence ofits comminnent to the deve' r.ent and management processes in a large number of areas. It should be well implementation of a QA programme. De implementation of the programme should progressed befnte hcensmg. ;
give priority to safety crkical areas and ihnctions. A full and detailed plan for -
'_ -ion should be dew m ofimA Tting this recom.t .Wiion
^' approach to training as described in IAEA It is recognised that the p.
INi'P must develop a more .,_ -
throughout the whole plant will take time. It is important however in guidehnes and consiseent with a formal QA approach. De provision of training should also be subject to ' _"_. :- " ^ review. (Note this is essential if the fhil the short term that the use of the new simulator is subject to this !
approach j benefk of the new samloser is to be gained)
Determine testing and meineenance activkies after consideration of expected sy- i -
Good piectice - not at le to be cats- - 1
.:. _ " ^ *-- pathways and'h Not able to be (steguiM Good practice. Problem is indicative of Strong nueesures are needed to reduce the T. 4 Ty of high individual worker '
doses. Does lineias should be reduced and a policy of ALARA * . *-- poor safety cuhure. Sec related reconunendation below.
INPP must improve its management of radiation r .mion 24 a systematic it is recognised that there may be limitations on what can actually be achieved. However, the e are a number of actions which can be carried
- and thorougli review ofexisting procedures and tasks and through the development out within the short tert i to improve the situation.
orne,; ,
- approaches which illustrate a higher degree of awareness of this issue.
d e of senior management towards Not able to be categorised. Closely related to other recommendations Funenmental changes are rar*===ry in the attitu' of RSR TGg and 9.
its . _ m _ Niity for safety. '
i
.-M were made by RSR. SAR and RSR are in close agreement inbout the requirements and '"*"Y wording of these recommendations in the area of operations and --- -
- recommer.dmi,ns were formulated injoint discussions between the SAR and RSR teams for tasks 8 and 9.
32 9.
8 I
t l haemlettes l Comment INPP must improve many aspects ofits attitude towards the regulatory interface in lhe plant must change its attitude as the framework for regulation order to prepare itself for the implementation of a formal licensing system. This becomes more defined i.e. moves towards a licensing approach.
includes taking full responsibility for all safety related issues and for the adequate demonstration of safety to the regulatory body.
INPP should implement the recommendations ofihe ASSET missions and related Not able to be categorised. Safety culture related.
studies and pr***a* evidence ofimplementation to VATESI.
INPP should implement the hnprovements identified from the new programme of Not able to be categorised. Safety culture related.
review of incidents and operating experience and present evidence of impk -- ^ ion to VATESI.
4 33 i
l Explanation of Lines of Defence issue Categories l
l Designation Definition t
MS There is comphance with the modem standard This is i
(Modem Standard) fuh acceptable and no improvement is required.
' i TL There is a non compliance with the standard, but this is (Tolerable Long-term) tolerable. There may be improvements whien can be just!-
fied on the grounds of their low cost and ease of imple-mentaten, and these should be examined on an individual l
basis.
TS There is a non-comphance which must be reduced in safety significance Opersbon with the non compliance is (Tolerable Short-term) justified by the presentabon of a credible programme for improvement (giving bmescale, method, source of funding, availatulity of resources, etc.), and/or the otroducbon of cuiv,4iientory measures (e. g. operahng restnchons).
i NT There is a norsviTW,ce wtuch must be reduced in safety sigmficance Opersbon with the norsampliance (Not Tolerable) cannot be justified. lirvce;.T.GiR must precede further operabon.
I i-I' I
F ., 2 a l
l Abbreviations AFWS Auxilary Feedwater System ALS Accident Localisation System -
ATWS Anticipated Transient without Scram BDBA Beyond Design Basis Accident CPS Control and Protection System DBA Design Basis Acciderit DS Drum Separator 1
l EBRD European Bank for Reconstruction and Development ECCS Emergency Core Cooling System ECR Emergency Control Room l
EDAF Emergency Dearator Feedwater EFWP Emergency Feedwater Pump EOP Emergency Operstmg Procedure EPPS- Emergency Process Protecbon System EQ Equipment Qualification GDH Group Distribution Header ICC Intermediate Cooling Circuit t
..p .. ,.
INPP Ignalina National Power Plant ISl in-Service inspection LOCA Loss of Coolant Accident .
LOD Line of Defence MCP Main Circulating Pumps MCR Main Control Room MSIV Main Steam isolation W tves NIKIET RBMK Design Institut, Moscow i
l QA Quality Assurance j
2
- RBMK Graphite-Moderated Pressure Tube Boiling Water Reactor i1 l RSR Review of the Safety Analysis Report l
SAR Safety Analysis Report l
i l SIP Safety improvement Program -
SWS Service Water System TG Task Group TSO Technical Support Organisation UWDS Unsalted Water Distribution System l VATESI Lithuanian Safety Authority d
4
- s 1
. j s- - _
4 h l l
WLOD Weak Line of Defence 9
5 l
l O
l a
f
(
~ - ,. , . _- .~ - .. .- . - - . - - -- - - - -- . - . - - -- . . - -
J l r RS-OIP-97-302 ATTACHMENT NO. 11 PAGE 1 OF 5 l
l PROPOSED TASK ORDER NO. 1 i STATEMENT OF WORK LITHUANIA SUPPORT l Background
! The breakup of the Soviet Union in 1991 resulted in the government of Lithuania assuming responsibility for the operation l
of the INPP, a two unit RBMK plant of 1500 MWe/ unit. The responsibility for assuring the safety of the INPP lies with the Lithuanian Nuclear Power Safety Inspectorate VATESI, which now has the difficult problem of trying to regulate and inspect against standards established by the former Soviet Union -- not all of which apply to Ignalina. The U.S. Government has had in place in Lithuania a wide ranging assistance program, including nuclear safety assistance.
The NRC, in consultation with a number of western countries, is now embarking on the second year of a bilateral nuclear safety and regulatory assistance program to VATESI. This assistance program is currently being managed out of NRC's Office of
. International Programs (OIP). Recently, the following regulatory documents have been prepared for use by VATESI:
- 1. A set of Lithuania-specific Norms and Standards (equivalent to NRC nuclear safety regulations), and 2 Inspection guides, based primarily on NRC practices (but adapted for use in Lithuania).
- 3. At the present time the incumbent is engaged in drafting a " Regulatory Regime" Policy Statement which defines how VATESI will be regulating Lithuania's l
nuclear facilities consistent with the recently passed Lithuanian National Energy Legislation. This work is expected to be completed shortly.
NOTE: The above documents are available for review at the NRC's Public Document Room. (See Subsection L.13) 1 The INPP is committed to rapidly implement a number of major
- modifications and improvements during the current outage (March 1997 - December 1997). VATESI has limited staff capabilities in areas such as Instrumentation & Control (I&C.) systems, and accident analysis. Without additional technical support, VATESI will be forced to either perform only superficial safety evaluations of the changes, or significantly delay the approval of modifications due to the limited time available to it.
RS-OIP-97-302 ATTACHMENT NO. 11 PAGE 2 OF 5 NRC's proposed assistance to VATESI takes into account the conclusions and nuclear safety deficiency findings contained in the SAR and the RSR, and in the Safety Panel Report, all of which were released in January 1997. That work has been performed by international' teams, and was funded by the EBRD/NSA. A copy of the Safety Panel Report, which contains all the relevant information needed for this solicitation, is provided in Attachment 10.
As agreed among the western SAR/RSR participating countries (UK, France, Sweden, Germany, Canada, US), these countries will now be focusing their respective safety review assistance efforts on the l particular topics on which they had worked in the preparation of l the SAR/RSR.
Accordingly, the US will now help VATESI in the analysis of I topical areas listed below, which are also mentioned in Attachment 10:
(1) The CPS (Control and Protection System) and EPPS (Emergency Process Protection System) ;
1 (2) Electrical power system - protection for undervoltage j and underfrequency operation; (3) Russian " Titan" process control system (in a supporting I role to GRS/ Germany) ;
(4) Non-LOCA transient accident analysis (in a supporting <
I role to GRS/ Germany);
(5) Management of aging of critical components; l
Note: The contractor will also have to assume responsibility for familiarizing VATESI staff with the safety implications of multiple tube gripping by graphite rings - an issue which is currently being investigated by the incumbent contractor under a separate DOE contract.
This task will address the highest priority safety deficiencies identified by the RSR (in Table 2 of' Attachment 10). For each listed deficiency in NRC's area of responsibility, the contractor will: a) Explain to cognizant VATESI staff the nature and bases l of the safety-deficiency, and b. Following that, the Contractor
^
will train VATESI staff in the performance of an NRC-like safety
! evaluation of the plant-proposed modifications (or fixes) in accordance with NRC's Standard Review Plan (SRP) and show VATESI how to document the results in a Safety Evaluation Report (SER),
RS-OIP-97-302
% n
_ - - _ . .. -. - -= - . _ _ - .
, ~
l l
ATTACHMENT NO. 11 PAGE 3 OF 5
, in accordance with NRC practice. The long term task (duration as l yet unspecified) will be devoted to training a limited number of VATESI staff in the performance of NRC-like in-depth safety l evaluations of one or two major plant systems which are i expected to be examined in depth during subsequent plant improvement campaigns.
Because of the urgency of the short term safety deficiency findings, work on them is being started by the incumbent Contractor before the current contract will be in place.
TECHNICAL REQUIg n miTS l The contractor must have a thorough familiarity with the European l
Bank for Reconstruction and Development (EBRD) and the Nuclear Safety Account (NSA) funded international safety review effort underlying the recently published Safety Analysis Report (SAR),
Review of the Safety Analysis Report (RSR), and Safety Panel Report for INPP, beyond that provided in this solicitation. He is expected to be fully familiar with the key published findings
- and recommendations regarding plant safety deficiencies and l upgrade needs, and the analyses and rationale underlying them, i and the distribution of regulatory assistance responsibilities among participating western donor countries.
The contractor must have good familiarity with technical l capabilities and work habits of key staff of the Lithuanian Nuclear Saftey Inspectorate (VATESI), in order to structure effective training programs that would take account of their
! relative strengths and weaknesses and the existing local
! infrastructure. In addition, the contractor must have demonstrated prior experience with similar CEE regulatory safety l assistance and training programs.
To avoid the possibility or appearance of conflict of interest l between the positions / priorities of regulators and those of plant l
operators, the contractor must also not be involved in work at i the INPP related to the implementation of the upgrades recommended in the SAR/RSR, on which he would then be working with the regulators.
l TASK ORDER OBJECTIVE The objective of this task is to provide short term assistance to
- VATESI. To attain this objective, the contractor shall provide, t but not be limited to, the following assistance activities
- (1) Guiding VATESI staff through the contente and findings of the SAR/RSR, and explaining to them the safety significance of the findings; and l
l
1 l
" \
l r 1
RS-OIP-97-302 i
ATTACHMENT NO. 11 1 PAGE 4 OF 5 (2) Training VATESI staff how to perform an NRC-like I regulatory licensing review of the plant upgrades, including the short-term highest priority and longer-term high pricrity issues in accordance with the findings of the international study team.
WORK REQUIREMENTS The contractor shall provide all necessary equipment, materials, supplies, and qualified personnel, except as specified or otherwise provided herein, to successfully perform all task stated herein.
(1) The Contractor shall organize a project team composed of individuals with expert knowledge of the SAR/RSR.
This team shall guide VATESI staff through the contents and findings of the SAR/RSR. The project team shall explain to the staff the bases of the identified deficiencies, their safety significance, and the safety consequences if no action is taken to mitigate the deficiences, and how NRC would handle these deficiencies.
(2) The contractor shall develop a comprehensive training l
program, and conduct platform training sessions which j shall teach VATESI staff how to perform an NRC-like I regulatory licensing review of the plants based on methodology described in NRC's SRP, including the short-term highest priority and longer-term high I priority upgrades proposed by the international study l team. The contractor shall provide all the necessary l
equipment, materials, supplies and qualified personnel except as specified or otherwise provided herein, to successfully perform this task . The contractor shall develop training plans, training modules, and teaching i materials with handouts for approximately 12 attendees.
l The training sessions for VATESI staff shall be I conducted at VATESI Headquarters, in Vilnius, j Lithuania.
MEETINGS AND TRAVEL Meetings to coordinate the on-going international efforts to assist VATESI will likely take place in Lithuania, but may also be shifted to the US or to a third country (most likely Sweden).
Meeting attendees will normally include contractor personnel, donor country representatives, VATESI staff and its TSO, and NRC staff, depending on circumstances.
I
^
ef d
RS-OIP-97-302' ATTACHMENT NO. 11 PAGE 5 OF 5 REPORTING REQUIREBENTS A written report, which shall' include a summary of progress for the reporting period, and a list of deliverables given to VATESI under this task, shall be submitted to the NRC project Officer.
each quarter until the task is completed.
t f
,I so wnc pOnM ees,, U.S. NUCLEAR REGULATORY COMMISSION' NICM tsot REQUEST FOR APPROVAL OF OFFICIAL FOREIGN TRAVEL 4 TO: OFFICE DIRECTOR OR REGIONAL ADMINISTRATOR FROM: CHIEF OF BRANCHINames PROGRAM OFFICE 8 RANCH t
F.OOM NUM8ER IBUILDING ROOM NbM8ER IBUILDING 3 EXTENSION 4
A. TRAVEL DATA ITo be compiered by traveder)
I 1. TMAYELER'S NAMEttast, Arstar.dmdNorwnell 2. DATE OF BIRTH 3. PLACE OF BIRTH
, MO l OAY l VEAR CITY l STATE lCOUNTHY f I I I t
- 4. HOME ADDRESS 5. CITIZENSHIP 16. PASSPORT NUMBERttravenlaciel CITY ISTATE I ZIP CQ N lDATE I.~
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j ILfMPLOYER 8. CONTRACT NUM8ERI# mop 4cabdel 1
- 10. OAGANIZATONAL UNIT 11. POSITION TITLEIfncludepto sonett j
- 12. BUSINESS ADDRESS CITY lSTATE l2iP CODE i 11 PROPOSED ITINER ARY . If the mforweenon a CIASSIFIED, be sure to CLASSIF V THIS FORM appropnately.(Account Ibr a# eme W bogentsvig j rrwough endmg caras of raweil
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LO OATiosa INDivtDUALS DATES TO BE SUBJECT OF DISCUSSCN j, CLAS$1- UNCLAS.
thieraaerent, .sy, countrys CONTACTED FIED SIFIED 4
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Attachment 11 9eMCPOftM 441663 Page1
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- 14. PURPOSE OF 77.AVEL. N sus irdarmsten is CLASS
- LED. be owe to CLAS$lFY THIS FORM esprosmetaev W mee geese 4 moeded, eresch a ensemeen sheet /
l In addlelun, specAy conure end caseelficeeen of informenon to bew bcluding tettee of popes to be presensed: nature of hformenon to be otnamed et each of the sdeces to be winned and ---- -- to be l enended end as ewesonio swews work. (TRAVELERS we RESPONS4LE for OSTAINING CLEARANCES for papers or asseches when necessaryJ i
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- 15. LIST PERSONS WITH WHOM PURPOSE OF TRAVEL HAS SEEN COORDINATED [menude intreoffice se wed as other dnmemors and ofRossi AND THOSE TO BE SRIEFEO OR RECEIVE TRIP REPORTS UPON f.ETURN. LIST ALL NRC TRAVELERS AND CONTRACTORS WHO PLAN TO ATTEND SAME FOREIGN MEETING OR LOCATION. f l
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- 14. EMPLOYEE'S SIGNATunt DATE l -
I ' NRC poRad ass Gai Pese2 i
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, I. , D. ENDO.L EMENTS AND REC MMENDATI CNS ITo be completed by tr;veler's program officials)
- 17. TRAVELE#S sui E7NISOR ENDORSEMENT AND 7.EMAMXS ' SiGNATULE TITLE DATE -
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- 18. CONTRACT EMPLOYEE $ tTo be completed br onienet reepone@e for sopervang ecovrtes iru*vdes prw 4pegn trad or other oNicsnt resporwble 16r approveng 06tegn Vevet under the terme of the contrac
ENDORSEMENT AND REMARKS SIGNATURE TITLE DATE
- 19. OFFICE DIRECTOR OR REGIONAL ADMINISTRATOR RECOMMENDATION AND/OR REMARKS SIGNATURE TITLE DATE C. ESTl MATED C0ST OF TRAVEL (To be completed by NRC travel office representative 1
- 20. COST TO NRC 21. COST TO OTHER SOURCE (To be co* SIGNATURE 94ted etpart ofcost a to be or has been y gg requested & source other than NRC)
PE'1 DIEM AND SOURCE TITLE g
MfSCELLt.NEOUS AMOUNT DATE TOTAL g D. CONCURRENCES ANDIOR REMARKS (To be completed st NRC Headquarters)
- 22. OFFICE OF GOVERNMENTAL AND PUSUC AFFAIRS CONCUR ^ENCES AWD/OR REMARKS SIGNATURE TITLE DATE 23 DIVISION OF SECURITY (Commurust controNed counmen or classoned mesongal NOTE: Comphence wth NRCM 2101 CONCURRENCE $ AND/OR REMARKS SIGNATURE TITLE DATE
- 24. OTHER CLEARANCE SIGNATURE TITLE DATE E. FINAL ACTION . OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS OR CHAIRMAN FOREIGN TRAVEL AT NRC EXPENSE AS OUTUNED IN PART A. 6S;("a" one) SIGNATURE O AerRovED 0 APPROvEO. SUa;EcT TO REuARKS O DiSA*eROvED AND LIMITATIONS 5.EMARKS AND/OR UMITATIONS TITLE DATE NRC PORM ad$ (6481 Peae 3
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1 PRNACY ACT STATEMENT Pursuant to 5 U.S.C. 552a(eN3), enacted into law by section 3 of the Pnvacy Act of 1974 (Public Law 93-579), the following statement is fusshed to individuals who supply information to the Nuclear Regulatory Commission on NRC Form 445. T his information is maintained in a system of records designated as NRC 20 and described at 40 Federal Register 45341 (October 1,1975).
- 1. AUTHORITY 31 U.S.C. 21,22,24,49, 54,66a, and 952; 5 U.S.C. 5701; Federal Travel Regulations and Federal Property Management Regulations, Part 101 7.
- 2. PRINCIPALPURPOSE(S) Information entered on this form is used to secure the required NRC approval for official foreign travel.
- 3. ROUTINE USES Information on this form may be used for transmittal to the State Department to secure paspports. The information may also be disclosed to an appropriate Federal, State, or local agency in the event the information indicates a violation or potential violation of law and in the course of an administrative or judicial proceeding. In addition, this information may be transferred to an appropriate Federal, State, and local agency to the extent relevant and necessary for an NRC decision or to an appropriate Federal agency to theextent relevant and necessary for that agency's decision about you.
- 4. WHETHER DISCLOSURE IS MANDATORY OR VOLUNTARY AND EFFECT ON INDMDUAL OF NOT PROVIDING INFORMATION Disclosure is voluntary. If the requested information is not provided, however, approval may be denied.
- 5. SYSTEM MANAGER (S) AND ADDRESS Director, Omsson of Accounting and Fmance Office of Admnustration and Resources Management j U.S. Nuclear Regulatory Commission Washngton, DC 20065
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