ML20141H385

Original Directive 3.8, Unclassified Contractor & Grantee Publications in NUREG Series

ML20141H385
Person / Time
Issue date:	04/23/1991
From:	NRC
To:
Shared Package
ML20141H375	List: ML20141H369 ML20141H385 ML20141H391
References
CON-GENERAL 3.8-02, 3.8-2, NUDOCS 9707230073
Download: ML20141H385 (8)

Text

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Unclassified C:ntract:r and Grantee Publicati:ns in the NUREG S: ries Directive 3.8 Contents 1

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1 Policy.................................................................

1 l O bj ect ives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . l Organizational Responsibilities and Delegations of Authority . . . . . . . . . . . 2

- Executive Director for Operations (EDO) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Deputy Executive Director for Nuclear Reactor Regulation, Regional Operations and Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Deputy Executive Director for Nuclear Materials Safety, Safeguards, and Operations Support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 l Dire ctors of O ffices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3  :

1 Director, Office of Administration (ADM) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Director, Division of Freedom of Information and Publications S e rvi ce s, ADM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Director, Division of Contracts and Property Management, ADM . . . . . . . . . . . . 5 l i l Appli cabili ty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5  ;

1 1

E m p l oye e s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 O th e r P u bli ca ti ons . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 H a n d b ook . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Re feren ces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 l

Approved: April 23,1991' i

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'g U. S. Nuclear Regulatory Commission I Volume: 3 Disclosure, Distribution, and Management ofInformation ADM

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i Unclassified Contractor and Grantee  ;

Publications in the NUREG Series Directive 3.8 Policy (3.8-01)

This directive and handbook govern the publishing of (1) unclassified NRC contractor, consultant or grantee formal reports, books, and international agreement reports, in the NUREG/CR, NUREG/GR, and NUREG/IA 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) e To ensure the production and dissemination of inforniation and publications as required by the Energy Reorganization Act of 1974 and the Freedom of Information Act. (a)

. To ensure the technical and management reviews of formal reports and books prior to publication. (b) e To ensure that national security, patent rights, copyrights, proprietary rights, and rights in other sensitive unclassified information, including those specified in interagency and international agreements and memoranda of understanding, are not compromised by the release or publication of information by NRC. (c)

. To ensure that all unclassified NRC contractor or grantee i publications in the NUREG series carry the registered Govern-l .-

ment identification NUREG/CR-0000, NUREU/GR-0000, or l NUREG/lA-0000, with the exception of some publications 1

Approved: April 23,1991

Unclassified Ccntracttr and Grantee l

Publicati:ns in the NUREG Series  ;

Directive 3.8 l

Objectives  ;

(3.8-02)(continued) prepared by grantees, and indicate the availability of source material used in these publications. (d) e To ensure that NRC-sponsored book manuscripts receive proper l

peer review from experts within and outside NRC. (e) ,

l e To provide uniform procedures for publishing formal reports and l books prepared by NRC contractors or grantees. (f) )

Organizational Responsibilities and Delegations of Authority j (3.8-03) i Executive Director for Operations (EDO)

(031)

Delegates to the Deputy Executive Directors for Operation decisionmaking authority for the resolution of differences between NRC and contractors about the contents of publications, about granting contractors permission to publish NRC-sponsored information in the open literature, and about permitting contractors to issue press or other media releases concerning NRC-sponsored information.

Deputy Executive Director for Nuclear Reactor Regulation, Regional Operations and Research (032)

As delegated from the EDO, makes final decisions in the following areas for the Office of Nuclear Reactor Regulation, Office of Nuclear Regulatory Research, and Regional Offices:

e When an Office Director refuses to publish an NRC-sponsored document because of irreconcilable differences between themselves and the author (s) about the contents of the document. (a) e When an Office Director refuses to permit a contractor's principal investigator to publish NRC-sponsored information in the open -

literature. (b)

Approved: April 23,1991 2

Unclassified Ccntract:r cnd Grantee Publicati:ns in the NUREG Seri;s' Directive 3.8 Deputy Executive Director for Nuclear Reactor Regulation, Regional Operations and Research (032)(continued) e When an Office Director refuses to permit a contractor to issue a press or other media release about an NRC-sponsored publication. (c)

Deputy Executive Director for Nuclear Materials Safety, Safeguards, and Operations Support (033)

As delegated from the EDO, makes final decisions in the following areas for the offices reporting to this official:

e When an Office Director refuses to publish an NRC-sponsored document because of irreconcilable differences between themselves and the author (s) about the contents of the document.

(a) 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)

Directors of Offices (034) e Ensure that publications will be reviewed in draft prior to final printing and distribution for acceptability 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 include statements requiring contractor

• compliance with this directive and handbook and Government Printing and Binding Regulations. (b) i l t

• • Cont:3ct*inthiscontextencompamesthe*standardOrderforDoEWork"(NRCForm173),interagencyandinternat ona agreemen s

.no sruts.

3 App oved: April 23,1991

Unclassified Ccntract:r cnd Grantee Publications in the NU' REG S:ria Directive 3.8 Directors of Offices (034)(continued) e Sign, or delegate signature authority for, the NRC Form 426A,

" Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports," and for memoranda requesting reprints of contractor publications. (c)

Director, Office of Administration (ADM)

(035)

As delegated from the Deputy Executive Director for Nuclear Materi-als Safety, Safeguards, and Operations Support, administers NRC's l programs and policies for publishing unclassi5ed contractor and grantee reports and books in the NUREG series.

Director, Division of Freedom of Information and Publications Services, ADM (036) e Develops and administers, as delegated from the Director, ADM, NRC's program and policiesfor publishing unclassified contractor, l

consultant, and grantee formal reports, books, and international agreement reports in the NUREG/CR, NUREG/GR, and NUREG/IA series. (a) e Applies the palicy, procedures, standards, and guides for the docu-mentation, formatting, composition, printing, and dirsemination of NRC-sponsored publications in the NUREG series consistent with the mission of the agency and in accordance with the require-ments of the Government Printing and Binding Regulationsissued by the Joint Committee on Printing, U.S. Congress. (b) e Develops and administers the central agency publication numbering system for identifying, producing, and retrieving unclassified NRC-sporsored publications in the NUREG series. (c)

Director, Division of Contracts and Property Management, ADM (037)

Ensures that those requests for proposals, invitations for bids, and grant proposals, and the ensuring contracts and grants that require Approved: April 23,1991 4

1 Unclassified Centrccter end Grantee Publicati:ns in the NUREG Series Directive 3.8 Director, Division of Contracts and Property Management, ADM (037)(continued) publications as deliverables, include provisions requiring contractor compliance with this directive and handbook and Government Printing and Binding Regulations.

Applicability (3.8-04)

Employees (041)

This directive and handbook apply to and must be followed by all NRC employees.

Other Publications (042)

The provisions of this directive and handbook do not apply to NRC staff publications in the NUREG series, NRC docket material, or j documents created by NRC boards, panels, advisory committees, and l

offices that report to the Commission.

Handbook 1 (3.8-05)  ;

Detailed guidelines for the preparation of publications are contained in Handbook 3.8.

1 References (3.8-06)

1. Executive Order 12291 -Federal Regulation, February 17,1981.

2. Title 17, U.S. Code, Copyrights.

3. Government Printing and Binding Regulations, S. Pub.101-9, February 1990.

~ I Approved: April 23,1991 5

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Unclassified Contractor cnd Grantee  ;

Publications in the NUREG Series  ;

Directive 3.8 -

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References  !

(3.8-M)(continued)  !

4. DOE NRC Memorandum of Understanding, February 24,1978.

f 5. Title 44, U.S. Code, "Public Printing and Documents," Chapter 3, l l Government Printing Office. l

6. U.S. Government Printing Office Style Manual,1984.

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7. Energy Reorganization Act of 1974 (42 U.S.C. 5801, et seq.). i

8. The Freedom of Information Act (5 U.S.C. 522).

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9. Public Law 95-224, The Federal Grant and Cooperative '

l Agreement Act, February 3,1978.

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10. Grants and Agreements with Institutions of Higher Education, Hospitals, and Other Nonprofit Organizations, OMB Circular A-110, July 1976.

11. Cost Principles for State and Imcal Governments, OMB Circular A-87, January 1981.

! 12. NUREG-0650, Revision 1, " Publishing Documents in the NUREG Series," November 1990.

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1 Approved: April 23,1991 6

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Unclassined Ucntr:cwr anu unamcc Publicati:ns in the NUREG Seri:s H:ndbook 3,8 Pcrts I- V Contents 1

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Part I Preparing Publication Requirements for Statements of 2 Work for Contracts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2 Specifying Publication Requirements (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2 Publishing Formal Reports (B) ~ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

l Publishing Unclassified Information in Open Literature and 4 Presenting Papers (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Reports Containing Sensitive Unclassified and Classified 6 Information (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7 )

Conference and Workshop Proceedings (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7 Distribution of Reports to Contractors (F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Coordinating Contractor Press or Other Media Releases of 7 I nform ation (G) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Part II 8

Draft and Final NUREG Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

8 Identification Information (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

8 NUREG Number (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

8 Auth or N ames (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

9 Organizational Identification (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

9 Previous Reports in Series (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

9 Report Dates (5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

i Approved: April 23,1991

Unclassified Cantractor enu memcc - .

Publicati:ns in the NUREG Series Handbook 3.8 Pc.rts I - V Contents (continued)

Part II(continued) 9 Report Organization and Components (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

10 Pre-Publication Reviews (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

10 Pa t e nt Revi ew (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . .

10 Security Review (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

10 Copyright Review (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

11 Color P rinting (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

12 Micro fiche (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

13 D isclaimer (F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

13 Availability Information (G) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

13 Reference Availability (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

14 Report Availability (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

14 Fo r m s (H ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

14 Bibliographic Data Sheet (NRC Form 335) (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Release to Publish Unclassified NRC Contractor, Consultant, or 14 Conference Proceedings Reports (NRC Form 426A) (2) . . . . . . . . . . . . . . . . . . . .

15 Printing and Reprinting (I) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

15 Dis tribution (J) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Part III 16 International Agreement Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . .

16 Background and Rationale (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

16 Identification Information (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Approved: April 23,1991 ii

Unclassified Centract:r end Orcntee Publicati:ns in ths NUREG S: ries

Handbook 3.8 Parts I- V a

Contents (continued)

Part III (continued) i 16 Cover and Title Pa ge (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

16 NRC Report Number (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

17 Previous Reports in Series (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

17 Report Organization and Components (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

17 Availability Information (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

17 References and Bibliographies (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

18 Report Availability (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

18 D i sclaim er (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

18 Fo r m s (F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

18 Bibliographic Data Sheet (NRC Form 335) (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Release to Publish Unclassified NRC Contractor, Consultant, or 19 Conference Proceedings Reports (NRC Form 426A) (2) . . . . . . . . . . . . . . . . . . . .

19 Classified or Sensitive Unclassified Information (G) . . . . . . . . . . . . . . . . . . . .

Part IV 20 B o o ks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

20 Definition ( A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

20 l F o r m a t (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

21 NRC Document Number (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

21 Availability of Reference Materials (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ,

l 22 Review s (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

22 P e e r ( 1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

23 Copyright (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

iii Approved: April 23,1991

[ Unclassified 0:ntrcct:r en2 brantee * -

)

Publicati:ns in the NUREG S: ries Handbook 3.8 Parts I - V i

Contents (continued) )

\

Part IV (continued) 23 Se curity (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

! 23 l P ate nt (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

23 l

Publishing Authorization Form (F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

23 Dis claime rs (G) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . '

24 Printing (H) ..........................................................

24 J Distribution and Sales (I) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Part V 25 G ra n t P ublications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . l 25 Background and Rationale (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . i 25 P ublication of Results (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .  !

25 l P ublication by NRC (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

25 l P ublication by a G rantee (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 25 l Open Literature Publication by Grantee (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

27 Reprints of Open Literature Publications (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

27 Identification of Grant Publications (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

27 Pre-Publication Reviews (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

28 G l o s s a ry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Exhibits

1. Form 426A, " Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports" . . . . . . . . . . . . . . . . . . . . . . . . . . 32 2A. Form 335," Bibliographic Data Sheet" ..................................33 2B. Form 33 5, " Instructions" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3. Microfiche Sheet Sample . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Approved: April 23.1991 iv