ML20147F235

Contract: Review of Retran Computer Code & Plant Specific Info on Steam Generator Overfill for Comanche Peak Steam Electric Station,Units 1 & 2, Awarded to SBA & Intl Technical Svcs,Inc

ML20147F235
Person / Time
Site:	Comanche Peak
Issue date:	01/04/1988
From:	Thompson R, Zilg R NRC OFFICE OF ADMINISTRATION & RESOURCES MANAGEMENT (ARM), SMALL BUSINESS ADMINISTRATION
To:
References
CON-FIN-D-2110, CON-NRC-35-88-342 NUDOCS 8801210299
Download: ML20147F235 (129)

Text

Y 1.

i 52.219-12 SPECIAL 8(a) SUBCONTRACT CONDITIONS. (APR 1984)

(a) The Small Business Administration (SBA) has entered into Contract No. NRC-35-88-342 with the U.S. Nuclear Regulatory Commission to furnish the supplies or services as described therein. A copy of the contract is attached hereto and made a part hereof.

(b) International Technical Services, Inc., hereafter referred to as the subcontractor, agrees and acknowledges as follows:

(1) That it will, for and on behalf of the SBA, fulfill and perform all of the requiremnnts of Contract No. NRC-35-88-342 for the considera+1on stated therein and that it has read and is familiar with each and every part of the contract.

(2) That the SBA has delegated responsibility for the administration of this subcontract to the U.S. Nuclear Regulatory Commission with complete authority to take any action on behalf of the Government under the terms and conditions of this subcontract-(3) That it will not subcontract the performance of any of the requirements of this subcontract to any lower tier subcontractor without the prior written approval of the SBA and the designated Contracting Officer of the U.S. Nuclear Regulatory Commission.

(c) Payments, including any progress payments under this subcontract, will be made directly to the subcontractor by the U.S. Nuclear Regulatory Commission.

(End of Clause)

(AV 1-1.113-3(e)(1))

8801210299 000104 fak-3., -342 N

f 4-AWARD / CONTRACT L TaiS CONTR ACT IS A R ATE D ORDER A UNDE R DPAS 115 CF R 350)

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2. CON I R AC I (Proc. Inst. Iden t.) NO. 3. EFFEC 1IvEim Tt 4. R LQUl511 TON /PU RCH ASE H EQUEbl/PHOJ EC1 NU.

NRC-35-88-342 January 4, 1988 OSP-88-342 6.issUEOev ^ '" " " #" '^"'^"#""#

CODEI CODEk .---

U.S. Nuclear Regulatory Commission Division of Contracts Washington, D.C. 20555

7. N AME AND ADDR ESS OF CON T H AC T O R (N o, street, city, coun ty, Stole and ZlP Code) 8. DE Liv E R Y Prime: U.S. Small Business Administration - Re*gion II 26 Federal Plaza - Room 3100 FOB ORIGIN OTHE R r*c bdowJ New York, New York 10278 9. DISCOUNT F OR PROMP1 PAY MEN T ATTN: Mr. Luke Moore, Assistant District Director Net Subcontractor: International Technical Services, Inc.

420 Lexington Avenue 10. SUBMIT INVOICES jaTEM New York, New York 10170 H e o a a * * *d a' r-wisc specs / icd) TO THE ow Block 12 CODE F ACILITY CODE ADDRESS SHOV/N IN -

a l. SHIP I O/M AH K F OR 12. PAYMENT WILL BE MAOL isY CODE CODE U.S Nuclear Regulatory Commission See Section F of Prime Contract Of f },cq of Administration & R sources 9 Management Division of Accoun ne and Finance Washington, D.C. 535

13. AUTHORIT Y FOR USING OTHE R T H AN F ULL AND OPE N COVPE Ti. 14. ACCOUNTING AND APPROPRI ATION DAT A T'ON:

B&R: 86-19-02 Appro: 31X0200.368 I l FIN: D-2110 OBLIGATE: $110,310.00 C to U S C 2304tcH ] 41 U S C. 253(cH 15A. ITEM NO 158. SUPP LIES /S E R VICE S 15C. QU AN TIT Y 15D. UNIT 15E UNIT PRICE . 15r. AMOUNT The contractor shall perform the services as detailed here in entitled," Review of RETRAN Computer Code and Plant Sp ecific Informat ion on Steam Genera tor Overfill for Comanche Peak Steam Ele ctric Station, Units 1 and 2" in accordance with the Statement of Work review, c s technical anc cost p roposal date d December 7, 1987 and as revised December 17, 1987. See Clause No. 52. 219.11,Section I, for special 8(a) contract conditions.

15G. TOTAL AMOUNT OF CONTR ACT > $ i MsdiU.U7

16. TABLE OF CONTENTS VI lSEC. l DESCRIPTION l P AG E (S) li) lSEC l DESCRIPTION lPAGE(S)

PA R T i - THE SCHEDULE PART ti - CONT R ACT CLAUSES X A l SOLICITATION / CONTRACT FORM Xl t l CONTR ACT CL AUSES l 2

• 8 SUPPLIES OR SE RVICES AND PRICES / COSTS PART lli - LIST OF OOCUMENTS E xHiBITS AND OTHE R ATT ACH.

X C DESCRIPTION / SPECS NiOR K ST ATEME NT XlJ l LIST OF ATTACHMENTS l X D PACK AGING AND MARKING PART IV - REPRESENTATION $ ANO INSTRUCTIONS X E INSPECTION AND ACCEPTANCE K REPRESENT ATIONS. CERTIFICATIONS AND X F DELIVERIES OR PERFORMANCE OTHER ST ATEMENT9 OF OFFERORS X G CONTR ACT ADMINISTR ATION DAT A L INSTRS . CONDS . AND NOTICE S TO OF F t RORS X y spECI AL CONTRACT REQUIREMENTS M EVALUATION F ACTORS FOR AWARD CONTRACTING OfflCER wilL COAfPL ETEITEAf 110R 18 AS APPLICABL E

17. CONT R ACTOR'S NEGOt tATCO AGR E EMENT (Contreefor u re- 18. AWARD (Contreefor u not requrred to sagn th.s doeurnent ) Your envies to assunnt offoce o of f er on Sotecstateon Number __ . _- .

kutred to srtn ontractor thns strees document to f urnism and end denverreturn an items of perf oe m ait the ser vices set *ncluding the addebons or chances maoe by you wn.ch adoitoons of chan9es

'oetn or otherwise edentifiec at>ove ano on any continuation sneets foe the a e set forth en full aeove, .s mereby acceptec as in the items irsted above ano consideration stated mereen. Tne resnts and obagations of the cartees to this on any continuation sheets This saaea consummates the contract which con-contract snau be sucrect to and governed by the tonowing documents: (a) t his s s's of the tonowing cocuments- ea) the Governnien"s soncitabon and you r awaeo/ contract. (c) the soncitation, if any, and (c) suce provis>ons. routesenta- ober, and Ib) thes award / contract. em f urtner contractual document is neces-teens, certifications, and soetsticat.ons. as are attached os encorporateo bs sary.

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. TABLE OF CONTENTS PAGE SOLICITATION, OFFER AND AWARD. . . . . . . . . . . . . . . . . . . . 1 TABLE OF CONTENTS. . . . . . . . . . . . . . . . . . . . . . . . . . 3 SECTION B - SUPPLIES OR SERVICES AND PRICE / COSTS . . . . . . . . . . 6 B.1 BRIEF DESCRIPTION OF WORK (MAR 1987). . . . . . . . . . . . 6 8.2 CONSIDERATION AND OBLIGATION--COST PLUS FIXED FEE . . . . . 6 (MAR 1987)

SECTION C - DESCRIPTION / SPECIFICATION. . . . . . . . . . . . . . . . 7

/ WORK STATEMENT C.1 STATEMENT OF WORK (MAR 1987). . . . . . . . . . . . . . . . 7 SECTION D - PACKAGING AND MARKING. . . . . . . . . . . . . . . . . . 9 0.1 PACKAGING AND MARKING (MAR 1987). . . . . . . . . . . . . . 9 SECTION E - INSPECTION AND ACCEPTANCE. . . . . . . . . . . . . . . . 10 E.1 CLAUSES INCORPORATED BY REFERENCE . . . . . . . . . . . . . 10 (FAR 52.252-2) (APR 1984)

SECTION F - DELIVERIES OR PERFORMANCE. . . . . . . . . . . . . . . . 11 F.1 CLAUSES INCORPORATED BY REFERENCE . . . . . . . . . . . . . 11 (FAR 52.252-2) (APR 1984)

F.2 PREPARATION OF TECHNICAL REPORTS (MAR 1987) . . . . . . . . 11 F.3 TECHNICAL PROGRESS REPORT (MAR 1987). . . . . . . . . . . . 11 F. 4 FINANCIAL STATUS REPORT (MAR 1987). . . . . . . . . . . . . 12 F.5 PLACE OF DELIVERY--REPORTS (MAR 1987) . . . . . . . . . . . 12 F.6 DURATION OF CONTRACT PERIOD (MAR 1987). . . . . . . . . . . 13 F.7 LEVEL OF EFFORT AND PERFORMANCE . . . . . . . . . . . . . . 13 F.8 REPORTING REQUIREMENTS. . . . . . . . . . . . . . . . . . . 13 t F.9 NRC FURNISHED MATERIALS . . . . . . . . . . . . . . . . . . 14 SECTION G - CONTRACT ADMINISTRATION DATA . . . . . . . . . . . . . . 15 G.1 INDIRECT RATES (MAR 1987) . . . . . . . . . . . . . . . . . 15 G.2 PROJECT OFFICER AUTHORITY (MAR 1987). . . . . . . . . . . . 15 G.3 METHOD OF PAYMENT (MAR 1987). . . . . . . . . . . . . . . . 17 G.4 PAYMENT DUE DATE (MAR 1987) . . . . . . . . . . . . . . . . 18 G.5 INTEREST ON OVERDUE PAYMENTS (MAR 1987) . . . . . . . . . . 19 SECTION H - SPECIAL CONTRACT REQUIREMENTS. . . . . . . . . . . . . . 20 -

H.1 KEY PERSONNEL (MAR 1987). . . . . . . . . . . . . . . . . . 20 H.2 SAFETY, HEALTH, AND FIRE PROTECTION (MAR 1987). . . . . . . 21 H.3 DISSEMINATION OF CONTRACT INFORMATION (MAR 1987). . . . . . 21 H.4 PRIVATE USE OF CONTRACT INFORMATION AND DATA (MAR 1987) . . 21 H.5 CONTRACTOR ORGANIZATIONAL CONFLICTS OF JNTEREST . . . . . . 21 (OM8 CLEARANCE NUMBER 3150-0112) (MAR 1987)

H.6 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED . . 23 q (MAR 1987)

PART II - CONTRACT CLAUSES . . . . . . . . . . . . . . . . . . . . 24 SECTION I -

CONTRACT CLAUSES . . . . . . . . . . . . . . . . . . . 24 j I.1 CLAUSES INCORPORATED BY REFERENCE . . . . . . . . . . . . 24 l (FAR 52.252-2) (APR 1984) l

e 4

TABLE OF CONTENTS PAGE

, I.2 . ANTI-KICKBACK PROCEDURES (FAR 52.203-7) . . . . . . . . . . 25 1.3 SPECIAL 8(A) CONTRACT CONDITIONS. . . . . . . . . . . . . . 27 (FAR 52.219-11) (APR 1984)

I.4 PAYMENT FOR OVERTIME PREMIUMS . . . . . . . . . . . . . . . 28 (FAR 52.222-2) (APR 1984)

PART III - LIST OF DOCUMENTS, EXHIBITS . . . . . . . . . . . . . . . 29 AND OTHER ATTACHMENTS SECTION J - LIST OF ATTACHMENTS. . . . . . . . . . . . . . . . . . . 29 J.1 ATTACHMENTS (MAR 1987) . . . . . . . . . . . . . . . . . . . 29 d

[ NRC-35-88-342 PAGE 6 Section B C

4 f- SECTION B - SUPPLIES OR SERVICES AND PRICE / COSTS B.1 BRIEF DESCRIPTION OF WORK (MAR 1987) .

Engineering services to assist NRC in the review of the RETRAN computer code for use by TV Electric in the analysis of non-LOCA events and accidents, and to review TV Electric's response to the plant specific requirements delineated.

(End of Clause) o~ B.2 CONSIDERATION AND OBLIGATION--COST PLUS FIXE 0 FEE (MAR 1987)

a. It is estimated that the total cost to the Government for full performance of this contract will be $110,310.00, of which the sum of $100,648.00 represents the estimated reimbursable costs, and of which $9,662.00 represents the fixed fee.

b. There shall be no adjustment in the amount of the Contractor's fixed fee by reason of differences between any estimate of cost for performance of the work under this contract and the actual cost performance of that work.

I

c. The amount presently obligated by the Government with respect to this contract is $110,310.00.

(End of Clause)

l PAGE 7 NRC-35-88-342 Section C t

SECTION C - DESCRIPTION / SPECIFICATION

/ WORK STATEMENT C.1 STATEMENT OF WORK (MAR 1987)

BACKGROUND By letter dated March 30, 1987, from C. Rossi, NRC, to A.

• Ladier, Westinghouse Owners Group (WOG), the staff found WCAP-10698 SGTR Analysis Methodology to Determine the Margin to Steam SCTR Analysis Methodology to Determine the Margin to Steam Generator Overfill, .:cceptable for referencing in licensing applications to the extent specified and under the limitations delineated in the report and the associated NRC evaluation. Due to differences in plant design, emergency operating procedures, operator training and dispersion factors, the staff has required each member of the SGTR subgroup to submit plant specific information for the staff to evaluate. Texas Utilities Electric Company (TV Electric) has committed to the WOG methodology provided in WCAP-10698 and vill be providing a plant specific analysis. The plant specific analysis will be performed in-house by TV Electric utilizing the WOG methodology and RETRAN-02/M00004.

OBJECTIVE The purpose of this project is to assist the Office of Special Projects in the review of the RETRAN computer code for use by TV Electric in the analysis of non-LOCA events and accidents for Comanche Peak Steam Electric Station (CPSES) Units 1 and 2 and to review TV Electric's. response to the plant specific requirements delineated in WCAP-10698.

WORK REQUIREMENTS Task I - Review of RETRAN for use at Comanche Peak Estimated Level of Effort: Total 6.0 Staff Months Estimated Completion Date: April 30, 1988 Conduct a review of RETRAN computer code as utilized by TV Electric for Comanche Peak Steam Electric Station Units 1 and 2 future licensing analyses of non-LOCA events. Determine if there existsreasonableassurancethatthecodewillprov} dea conservative system response. The review includes plant models and plant transient comparisons with results from other codes and tests,

' PAGE 8 NRC-35-88-342 Section C s

Task II - Review of Comanche Peak-specific information on steam generator overfill due to SGTR accident Estimated Level of Effort: Total 1.5 staff months Estimated Completion Date: May 31, 1988 Conduct a review of the TV Electric response regarding Comanche Peak-specific information on steam generator overfill due to a SGTR accident as required in the staff's evaluation of WCAP-10698. The information will include early operator actions to identify and isolate the ruptured steam generator, subsequent corrective actions to equalize RCS and secondary pressures, design differences between Comanche Peak and the reference plant, differences in emergency operating procedures (E0Ps) and operator training and differences in atmospheric dispersion factors. This review will not repeat the staff's review of the matters described in WCAP-10698 and found acceptable, except to assure that the material presented is applicable to Comanche Peak. Additionally, the review will determine the acceptability of utilizing the WOG methodology with the RETRAN computer code replacing the LOFTTR1 computer code.

C.3 MEETINGS AND TRAVEL The contractor will attend a maximum of two meetings with the staff and licensees over the period of performance in Bethesda, Washington, D.C. These meetings will usually be of one to two days deration.

(End of Clause) x (End of Clause) l l

l 1

1

. l

. PAGE 9 NRC-35-88-342 Section D SECTION D - PACKAGING AND MARKING 0.1 PACKAGING AND MARKING (KAR 1987)

The Contractor shall package material for shipment to the NRC in such a manner that will insure 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) n

. PAGE 10 NRC-35-88-342 Section E 4

SECTION E - INSPECTION AND ACCEPTANCE E.1 CLAUSES INCORPORATED BY REFERENCE (FAR 52.252-2) (APR 1984)

This contract incorporates the following clauses by reference.

These clauses have 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 CLAUSE NUMBER DATE TITLE 52.246-5 APR 1984 INSPECTION OF SERVICES--

COST-REIMBURSEMENT

. PAGE 11 NRC-3S-88 34g Section F

+

c SECTION F - DELIVERIES OR PERFORMANCE F.1 CLAUSES INCORPORATED BY REFERENCE (FAR 52.252-2) (APR 1984) .

This contract incorporates the following clauses by reference.

These clauses have 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) CLAVSES CLAUSE NUMBER DATE TITLE 52.212-13 APR 1984 STOP-WORK ORDER ALTERNATE I (APR 1984)

F.2 PREPARATION OF TECHNICAL REPORTS (MAR 1987)

All technical reports required by Section C and all Technical Progress Reports required by Section F are to be prepared in accordance with the attached NRC Manual Chapter 3202. NRC Manual g Chapter 3202 is not applicable to the Spending Plan and the Financial Status Report (See Section J for List of Attachments).

(End of Clause)

F.3 TECHNICAL PROGRESS REPORT (MAR 1987)

The Contractor shall provide a monthly Technical Progress Report to the Project Officer and the Contracting Officer. The report is due within 15 calendar days after the end of the report period and shall identify the title of the project, the contract number, project manager and/or principal investigator, the contract period of performance, and the period covered by the report. Each report shall include the following:

a. A listing of the efforts completed during the period; milestones reached or, if missed, an explanation provided;

b. Any problems or delays encountered or anticipated and recommendations for resolution; (if the recommended resolution involves a contract modification, e.g., change in work requirements, level of effort (cost) or schedule delay, the Contractor shall submit a separate letter to the Contracting Officer indentifying the required change and estimated cost impact).

. PAGE 12 NRC-35-88-34g Section F I

A summary of progress to date; and c.

d. Plans for the next reporting period.

(End of Clause)

F.4 FINANCIAL STATUS REPORT (MAR 1987)

The Contractor shall provide a monthly Financial Status Report to the Project Officer and the Contracting Officer. The report is due within 15 calendar days after the end of the report period and shall identify the title of the project, the contract number, project manager and/or principal investigator, the contract period of performance, and the period covered by the report. Each report shall include the following for each discrete task:

a. Provide total estimated cost (value) of the project as

) reflected in the contract, the amount of funds available in the contract to date, and the balance of funds required to complete the work as follows:

1) Total Estimated Contract Amount.

2) Total Funds Obligated To Date.

3) Total Costs Incurred This Reporting Period.

4) Total Costs Incurred To Date.

5) Balance of Obligations Remaining.

6) Balance of Funds Required To Complete Contract.

b. Detail of all direct and indirect costs incurred during the reporting period fer each task.

c. Update the approved Spending Plan.

(End of Clause)

F.5 PLACE OF DELIVERY--REPORTS (MAR 1987)

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

a. Project Officer (2 copies)

U.S. Nuclear Regulatory Commission Contract Number: NRC-35-88-342 Office of Office of Special Projects Division of Comanche Peak Project Division Mail Stop: EW-W302 Washington, D.C. 20555

b. Contracting Officer (1 copy)

U.S. Nuclear Regulatory Commission Contract Number: NRC-35-88-342 Division of Contracts Contract Administration Branch

r PAGE 13 NRC-35-88-342- Section F Mail Stop: AR-2223 Washington, D.C. 20555 (End of Clause)

F. 6 DURATION OF CONTRACT PERIOD (MAR 1987)

This contract shall commence on 1/04/88 and will expire on 5/31/88.

(End of Clause)

F.7 LEVEL OF EFFORT AND PERFORMANCE The level of effort is estimated at 7.5 staff months.

(End of Clause)

F.8 REPORTING REQUIREMENTS

1. As soon as possible after the initiation of work, the contractor will forward to the Project Officer any recommended requests for additional information. These requests will be forwarded to the licensee, as appropriate.

2. The contractor wil1~ provide the Prcject Officer with a technical evaluation report (TER) which includes, as appropriate, safety evaluation report input and supplemental safety evaluation report input.

3. A monthly business letter report is to be submitted by the 15th of the month to the Project Officer with a copy to D.

Corley. The report will contain:

(a) A listing of any efforts completed during the period, milestones reached, or if missed, an explanation provided; (b) The amount of funds expended for manpower and computer services during the period and cumulative to date for each task; (c) Any problems or delays encountered or anticipated; (d) A summary of the progress to date; (e) Plans for the next reporting period.

Note: Cost information for each plant must be gathered by the NRC as a legal requirement to properly assess licensing fees to utilities.

(End of Clause)

.' PAGE 14 NRC-35-88-342 Section F I

F.9 NRC F1)RNISHED MATERIALS The NRC will provide copies of topical reports and other documents required for accomplishment of the tasks listed herein.

(End of Clause) l i

l l

. PAGE 15 NRC-35-88-342 Section G SECTION G - CONTRACT ADMINISTRATION DATA G.1 INDIRECT RATES (MAR 1987)

a. Pending the establishment of final indirect rates which shall be negotiated based on audit of actual costs, the Contractor shall be reimbursed for allowable indirect costs as follows:

CATEGORY RATE (%) COST BASE APPLICABLE PERIOD Overhead 48.6% Direct Labor 1/04/88- 5/31/88 Fringe Benefits N/A N/A N/A G&A 17.6% Total Costs :1/04/88-5/31/88

b. The Contracting Officer may adjust the above rates as 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 52.232 Limitation of Cost or 52.232 Limitation of Funds ,

as applicable, if such change (s) affect (s) performance of work

.l* within the established cost or funding limitations.

(End of Clause)

G.2 PROJECT OFFICER AUTHORITY (MAR 1987)

a. The Contracting Officer's authorized representative hereinafter referred to as the Project Officer for this contract is:

Name: James Lyons Address: U.S. Nuclear Regulatory Commission Office of Special Projects EWW302 Telephone Number: (301) 492-9823

b. Performance of the work under this contract shall be subject to the technical direction of the NRC Project Officer. The term "Technical Direction" is defined to include the following:

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

• PAGE 16 NRC-35-88-342 Section G

2) Providing advice and guidance to the Contractor in the preparation of drawings, specifications or technical portions of the work description.

3) Review and, where required by the contract, approval of technical reports, drawings, specifications and technical 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 additional work outside the general scope of the contract.

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

3) In any way causes an ircrease or decrease in the total estimated contruct 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) Ter"ira +es the contract or settles any claim or dispute arising u.1oer the contract, or issue any unilateral directive whatever.

d. All technical directions shall be issued in writing by the project Officer or shall be confirmed by such person in writing within ten (10) working days after verbal issuance. A copy of said written direction shall be submitted to the Contracting Officer,

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 such person'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 c above, the Contractor shall not proceed but shall notify the Contracting Officer in writing within five (5) working days after the receipt of any such instruction or direction and shall request the Contracting Officer to modify the contract accordingly. Upon receiving such notification from the Contractor, the Contracting Officer shall issue an appropriate contract modification or advise the Contractor in writing that, in the Contracting Officer's opinion, the technical direction is within the scope of this article and does not constitute a change under the Changes Clause.

g, Any unauthorized commitment or direction issued by the

PAGE 17 NRC-35-88-342 Section G 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 thereto shall be subject to 52.233 Disputes.

i. In addition to providing technical direction as defined above, the Project Officer is responsible for:

1) Monitoring the Contractor's technical progress, including surveillance and assessment of performance, and recommending to the Contracting Officer changes in requirements.

2) Assisting the Contractor in the resolution of technical problems encountered during performance.

3) Reviewing all costs requested for reimbursement by Contractor and submitting to the Contracting Officer recommendations for approval, disapproval, or suspension of payment for supplies and services required under this contract.

(End of Clause)

G.3 METHOD OF PAYMENT (MAR 1987)

a. Payment under this contract will be made by wire transfer through the Treasury Financial Communications System for each individual payment in excess of $25,000 and by Treasury check for each individual payment of $25,000 or less.

b. In the event that the Contractor's financial institution has access to the Federal Reserve Communications System, the Contractor shall forward the following information in writing to the Contracting Officer within seven days after the effective date of the contract.

1) Name and address of organization.

2) Contact person and telephone number.

3) Name and address of financial institution.

4) Contractor's financial institution's 9-digit ABA identifying number for routing transfer of funds.

5) Telegraphic abbreviation of Contractor's financial institution.

6) Account number at Contractor's financial institution.

7) Signature and title of person supplying this information.

• l PAGE 18 '

NRC-35-88-342 Section G l

c. In the event the Contractor's financial institution does i not have access to the Federal Reserve Communication System, the I Contractor shall forward the following information with regard to a l correspondent or alternate financial institution. The information 1 shall be in writing and submitted to the Contracting Officer within seven days after the effective date of the contract.

1) Name and address of organization. -

2) Contact person and telephone number.

3) Name and address of financial institution.

4) Telegraphic abbreviation of Contractor's financial institution.

5) Account number at Contractor's financial institution.

6) Name and address of the correspondent financial institution that has access to the Federal Reserve Communications System.

7) Correspondent financial institution 9-digit ABA identifying number for routing transfer of funds.

8) Telegraphic abbrevtation of correspondent financial institution.

9) Signature and title of person supplying this information,

d. Any changes to the informattor, furnished under this clause shall be furnished to the Contracting Officer in writing. It is the Contractor's responsibility to furnish these changes promptly to avoid payments to erroneous bank accounts.

(End of Clause)

G.4 PAYMENT DUE DATE (MAR 1987)

a. Progress payments, if authorized under this contract, will be due thirty (30) calendar days after receipt of a proper invoice in accordance with the attached "Billing Instructions" (See Section J for List of Attachments). Such payments are solely for financing purposes and shall not accrue interest under the Prompt Payment Act.

b. Payments subject to the Prompt Payment Act under this contract will be due 30 calendar days after the later of:

1. The date of actual receipt of a proper invoice in accordance with the attached "Billing Instructions", or

2. The date the final deliverable products / services are accepted by the Government, or

PAGE 19 l NRC-35-88-342 Section G  !

• \

. 1

3. Thedatethec$ntractexpires.

c. For the purpose of determining the due date for payment and for no other purpose, acceptance will be deemed to occur 30 calendar days after receipt of the final deliverable product or completion of performance of all services in accordance with the terms of the contract,

d. If the final product / service is rejected for failure to conform to the technical requirements of the contract, the provisions in paragraph c of this clause will apply to the new delivery of the final product / service.

(End of Clause)

G.5 INTEREST ON OVERDUE PAYMENTS (MAR 1987)

a. The Prompt Payment Act, Public 1.aw 97-177 (96 STAT. 85, 31 USC 1801) is applicable to payment of the expiration invoice under this contract and requires the payment of interest to Contractors on overdue payments of the expiration invoice or improperly taken discounts.

b. Determinations of interest due will be made in accordance with the provisions of the Prompt Payment Act and Office of Management and Budget Circular A-125, Vol. 47 Federal Register 37521, August 25, 1982. Among other considerations, OMB Circular A-125 provides that:

1) Interest penalties are not required when payment is delayed because of a disagreement over the amount of payment or other issues concerning compliance with the terms of the contract. ,,

2) Whenever a proper invoice is paid after the due date plus 15 days, interest will be included with the payment at the interest rate applicable on the payment date. Interest will be computed from the day after the due date through the payment date.

c. For purposes of this clause, an expiration invoice is defined as a claim submitted for costs incurred for performance through the expiration date of a Cost Type contract.

(End of Clause)

l PAGE 20 l NRC-35-88-342 Section H .

l r i i

SECTION H - SPECIAL CONTRACT REQUIREMENTS H.1 KEY PERSONNEL (HAR 1987)

a. The following individuals are considered to be essential to the successful performance of the work hereunder.

Dr. Hideko Komoriya, Project Manager Dr. Paul B. Abramson The Contractor agrees that such personnel shall not be removed from the contract work or replaced without compliance with paragraphs b and c hereof.

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 such personnel with personnel of at least substantially equal ability and qualifications.

c. All requests for approval of substitutions hereunder must be in writing and provide a detailed explanation of the circumstances necessitating the proposed substitutions. They contain a complete resume for the proposed substitute, and other information requested by the Contracting Officer to approve or disapprove the proposed substitution. The Contracting Officer will evaluate such requests and promptly notify the Contractor of his/her approval or disapproval thereof in writing,

d. If the Contracting Officer determines that:

1) Suitable and timely replacement of key personnel who have been reassigned, terminated or have otherwise become unavailable for the contract work is not reasonably forthcoming; or

2) That the resultant reduction of effort would be so substantial as to impair the successful completion of the contract or the service order, the contract may be terminated by the Contracting Officer for default or for the convenience of the Government, as appropriate. If the Contracting Officer finds the Contractor at fault for the condition, the contract price or fixed fee may be equitably adjusted downward to compensate the Government for any resultant delay, loss or damage.

. PAGE 21 NRC-3S-ss.34g Section y (End of Clause)

H.2 SAFETY, HEALTH, AND FIRE PROTECTION (MAR 1987)

The Contractor shall take a'l reasonable precautions in the performance of the work under this contract to protect the health and safety of employees and of members of the public and to minimize danger from all hazards to life and property and shall comply with all applicable health, safety, and fire protection regulations and requirements (including reporting requirements) of the Comission I and the Department of Labor. In the event that the Contractor fails to comply with said regulations or requirements, the Contracting Officer, may, without prejudice to any other legal or contractual  ;

rights of the 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 such work stoppage.

(End of Clause)

H.3 DISSEMINATION OF CONTRACT INFORMATION (MAR 1987)

The Contractor shall comply with the attached requirement of NRC Manual Chapter 3202 and 3206 (See Section J for List of Attachments) regarding publications or any information, oral or written, concerning the work performed under this contract. Failure to comply with this clause shall be grounds for termination of this contract.

2 (End of Clause)

H.4 PRIVATE USE OF CONTRACT INFORMATION AND DATA (MAR 1987)

Except as specifically authorized by this contract, or as otherwise approved by the Contracting Officer, information and other data developed or acquired by or furnished the Contractor in the

performance of this contract, shall be us2d only in connection with

! the work under this contract.

(End of Clause)

H.5 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST l

(OMB CLEARANCE NUMbdR 3150-0112) (MAR 1987) t

a. Purpose. The primary purpose of this clause is to aid in ensuring that the Contractor:

1) Is not placed on a conflicting role because of current or planned interest (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and

2) Does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract.

.' PAGE 22 NRC-35-88-342 Section H

b. Scope. The restrictions described herein shall apply to performance or participation by the Contractor as defined in 41 CFR 20-1.5402(f) in the activities covered by this clause.

c. Work for Others. Notwithstanding any other provision of this contract, during the term of this contract, the Contractor agrees to forgo entering into consulting or other contractual arrangements with any firm or crganization, the result of which mcy give rise to conflict of interest with respect to the work being performed under this contract. The Contractor shall ensure that all employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause. If the Contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the Contractor shall obtain the written approval of the Contracting Officer prior to execution of such contractual arrangement.

d. Disclosure after award.

1) The Contractor warrants 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 41 CFR 20-1.5402(a).

2) The Contractor agrees that if after award it discovers organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the Contracting Officer. This statement shall include a description of c

the action which the Contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, terminate the contract for convenience if it deems such termination to be in the best interest of the Government.

e. Access to and use of information.

1) If the Contractor in the performance of this contract obtains access to ir. formation, such as NRC plans, policies, reports, stud. 3, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L.93-579), or data which has not been released to the pub 1' . the Contractor agrees not to:

(i) Use such information for any private purpose until the information has been released to the public; (ii) Compete for work for the Commission based on such information for a period of six (6) months after either the completion of this contract or the release of such information to the public, whichever is first; (iii) Submit an unsolicited proposal to the Government based on such information until one year af ter the release of such information to the public, or

PAGE P3 NRC-35-88-342. Section H ,

, l (iv) Release the information without prior written i approval by the Contracting Officer unless such information has l previously been released to the public by the NRC. l

2) In addition, the Contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L.93-579), or other confidential or privileged technical, business, or financial information under this contract, the Contractor shall treat such information in accordance with restrictions placed on use of the information.

3) The Contractor shall have, subject to patent and security provisions of this contract, the right to use technical data it produces under this contract for private purposes provided that all requirements of this contract have been met,

f. Subcontracts. Except as provided in 41 CFR 20-1.5402(h),

the Contractor shall include this clau:,e, including this paragraph, in subcontracts of any tier. The terms "contract," "Contractor,"

and "Contracting Officer," shall be appropriately modified to pr2 serve the Government's rights,

g. Remedies. For breach of any of the above prescriptions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations as necessarily imply bad faith, the Government may terminate the contract for default, disqualify the Contractor fron subsequent centractual efforts, and pursue other remedies as may be permitted by law or this contract.

h. Waiver. A request for waiver under this clause shall be directea in writing through the Contracting Officer to tne Executive Director for Operations (EDO) in accordance with the procedures outlined in 20-1.5411.

(End of Clause)

H.6 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE pROVIDED (MAR 1987)

The Government will not provide any equipment / property, notwithstanding any provisions of the specificatinn(s) to the untra ry.

(End of Clause)

PAGE 24 l Section I NRC-35-88-342

l l

PART II - CONTRACT CLAUSES SECTION I -

CONTRACT CLAUSES I.1 CLAUSES INCORPORATED BY REFERENCE (FAR 5?.252-2) (APR 1984)

This contract incorporates the following clauses by reference.

i These clauses have the same force and effect as if they were given in full text. Upon request, the Contracting Officer will rake their full text available.

I. FEDERAL ACQUISITION REGVLATION (48 CFR CHAPTER 1) CLAUSES CLAUSE NUMBER DATE TITLE 52.202-1 APR 1984 DEFINITIONS 52.203-1 APR 1984 0FFICIALS NOT TO BENEFIT 52.203-3 APR 1984 GRATUITIES 52.203-5 APR 1984 COVENANT AGAINST CONTINGENT FEES 52.203-6 JUL 1985 RESTRICTIONS ON SUBCONTRACTOR SALES TO THE GOVERNMENT 52.215-1 APR 1984 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL 52.215-2 APR 1984 AUDIT -- NEGOTIATION 52.215-22 APR 1984 PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA 52.215-24 APR 1985 SUBCONTRACTOR COST OR FRICING DATA 52.215-31 APR 1984 WAIVER OF FACILITIES CAPITAL COST OF MONE) 52.215-33 JAN 1986 ORDER OF PRECEDENCE 52.216-7 APR 1984 ALLOWABLE COST AND PAYMENT 52.216-8 APR 1984 FIXED FEE 52.219-8 JUN 1985 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL DISADVANTAGED BUSINESS CONCERNS 52.219-13 AVG 1986 UTILIZATION OF WOMEN-OWNED SHALL BUSINESSES 52.220-3 APR 1984 VTILIZATION OF LABOR SURPLUS AREA CONCERNS 52.220-4 APR 1984 LABOR SURPLUS AREA SUBCONTRACTING PROGRAM 52.219-14 0CT 1987 LIMITATIONS ON SUBCONTRACTING

.' PAGE 25 NRC-35-88-342 Section I 52.222-1 APR 1984 NOTICE TO THE GOVERNMENT OF LABOR DISPUTES 52.222-3 APR 1984 CONVICT LABOR 52.222-26 APR 1984 EQUAL OPPORTUNITY 52.222-35 APR 1984 AFFIRMATIVE ACTION FOR SPECIAL DISABLED AND VIETNAM ERA VETERANS 52.222-36 APR 1984 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS 52.223-2 APR 1984 CLEAN AIR AND WATER 52.227-1 APR 1984 AUTHORIZATION AND CONSENT 52.227-2 APR 1984 NOTICE AND ASSISTANCE REGARDING PATENT AND COPYRIGHT INFRINGEMENT 52.228-7 APR 1984 INSURANCE -- LTABILITY TO THIRD PERSONS 52.230-3 AUG 1986 COST ACCOUNTING STANDARDS 52.230-4 APR 1984 ADMINISTRATION OF COST ACCOUNTING STANDARDS 52.232-17 APR 1984 INTEREST 52.232-20 APR 1984 LIMITATION OF COST 52.232-23 JAN 3986 ASSIGNMENT OF CLAIMS ALTERNATE I (APR 1984) 52.233-1 APR 1984 OISPUTES ALTERNATE I (APR 1984) 52.233-3 JUN 1985 PP0 TEST AFTER AWARD ALTERNATE I (JU" 1985) 52.242-1 APR 1984 NOTICE OF INTENT TO DISALLOW COSTS 52.243-2 APR 1984 CHANGES -- COST-REIMBURSEMENT ALTERNATE I (APR 1984) 52.244-2 JUL 1985 $UBCONTRACTS UNDER COST-REIMBURSEMENT AND LETTER CONTRACTS ALTERNATE I (APR 1984) 52.244-5 APR 1984 COMPETITION IN SUBCONTRACTING 52.249-6 MAY 1986 TERMINATION (COST-REIMBURSEMENT) 52.249-14 APR 1984 EXCUSABLE DELAYS I.2 ANTI-KICKBACK PROCEDURES (FAR 52.203-7) 1 (a) Definitions. "Kickback," as used in this clause, means any money, fee, commission, credit, gift, gratuity, thing of value, or compensation of any kind which is provided, directly or indirectly, to any prime Contractor, prime Contractor employee, subcontti tor, or subcontractor employee for the purpose of improperly obtaining or rewarding favorable treatment in connection with a prime contract or in connection with a subcontract relating to a prime contract.

"Person," as used in this clause, means a corporation, partners' 1p, business association of any kind, trust, joint-stoch company, or individual.

"Prime contract," as used in this clause, means a contract or contractual action entered into by the United States for t.he purposes of obtaining supplies, materials, equ?pment, or services of any kind.

, PAGE 26 NRC-35-88-342 Section I "Prime Contractor employee," as used in this clause, means any officer,' partner, employee, or agent of a prime Contractor.

"Subcontract," as used in this clause, means a contract or contractual action entered into by a prime Contractor or subcontractor for the purpose of obtaininn supplies, materials, equipment, or services of any kind under a prime contract.

"Subcontractor," as used in this clause, (1) means any person, other than the prime Contractor, who offers to furnish or furnishes any supplies, materials, equipment, or services of any kind under a prime contract or subcontract entered into in connection with any such prime contract, and (2) includes any person who offers to furnish or furnishes supplies to the prime Contractor or a higher tier subcontractor.

"Subcontractor employee," as used in this clause, means any officer, partner, employee, or agent of a subcontractor.

(b) The Anti-kickback Act of 1986 (41 U.S.C. 51-58) (the Act),

prohibits any person from--

(1) Providing or attempting to provide or offering to provide any kickback; or (2) Soliciting, accepting, or attempting to accept any kickback; or (3) Including, directly or indirectly the amount of any kickback in the contract price charged by the prime Contractor to

the United States or in the contract price charged by a subcontractor to a prime Contractor or a higher tier subcontractor.

(c)(1) The Contractor shall have in place and follow reasonable procedures designed to prevent and detect possible violations described in paragraph (b) of this c?ause in its own operations and direct business relationships.

(2) When the Contractor has reasonable grounds to believe that a viciation described in paragraph (b) of this clause may have occurred, the Contractor shall promptly report in writing the possible violation. Such reports shall be made to the inspector general of the contracting agency, the head of the contracting

agency if the agency does not have an inspector general, or the Department of Justice.

(3) The Contractor shall cooperate fully with any Federal agency investigating a possible violation aescribed in paragraph (b) of this clause.

(4) Regardless of the contract tier at which a kickback was provided, accepted or charged under the contract in violation of paragraph (b) of this clause, the Contracting Officer may--

(i) Offset the amount of the kickback againist any monies owed

. PAGE 27 NRC-35-88-342 Section I by the Unite'd States under this contract and/or (ii) direct that the Contractor withhold from sums owed the subcontractor, the amount of kickback. The Contracting Officer may order that monies withheld under subdivision (c)(4)(ii) of this clause be paid over to the Government unless the Government has already offset those monies under subdivision (c)(4)(i) of this clause. In the latter case, the contractor shall notify the Contracting Officer when monies are witheld.

(5) The Contractor agrees to incorporate the substance of this clause, including this subparagraph (c)(5), in all subcontracts under this contract.

(End of Clause) 1.3 SPECIAL 8(A) CONTRACT CONDITIONS (FAR52.219-11)(APR1984)

The Small Business Administration (SBA) agrees to the following: ,

(a) To furnish the supplies or services set forth in this contract according to the specifications and the terms and conditions hereof by subcontracting with an eligible concern pursuant to the provisions of section 8(a) of the Small Business Act, as amended (15 U.S.C. 637(a)).

(b) That in the event SBA does not award a subcontract for all or a part of the work hereunder, this contract may be terminated either in whcle or in part without cost to either party.

(c) Delegates to the Nuclear RegulatoryCommission the responsibility for administering the subcontract to be awarded hereunder with complete authority to take any action on behalf of the Government under the terms and conditions of the subcontract; provided, however, that the Nuclear RegulatoryCommission shall give advance notice to the SBA before it issues a final notice terminating the right of a subcontractor to proceed with further performance, either in whole or in part, under the subcontract for default or for the convenience of the Government.

(d) That payments to be made under any subcontract awarded under this contract will be made directly to the subcontractor by the Nuclear RegulatoryConmission.

(e) That the subcontractor awarded a subcontract hereunder shall have the right of appeal from decisions of the Contracting Officer cognizable under the "Disputes" clause of said subcontract.

(End of Clause) .

PAGE 28 NRC-35-88-342 Section I I.4 PAYMENT FOR OVERTIME PREMIUMS (FAR 52.222-2) (APR 1984)

(a) The use of overtime is authorized under this contract if the overtime premium cost does not exceed $0. In addition to this dollar ceiling, overtime is permitted only for work--

(1) Necessary to cope with emergencies such as those resulting from accidents, natural disasters, breakdowns of production -

equipment, or occasional production bottlenecks of a sporadic nature; (2) By indirect-labor employees such as those performing duties in connection with administration, protection, transportation, maintenance, standby plant protection, operation of utilities, or l 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; er (4) That will result in lower overall costs to the Government.

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

(1) Identify the work unit; e.g., department or section in 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 heve l 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) 4

• ' PAGE 29

• NRC-35-88-342 Section J l PART III - LIST OF DOCUMENTS, EXHIBITS  !

AND OTHER ATTACHMENTS SECTION J - LIST OF ATTACHMENTS e

J,1 ATTACHMENTS (MAR 1987)

Attachment Number Title m

1 NRC Contractor Organizational Conflicts of Interest (41 CFR Part 20) 2 Billing Instructions

, 3 NRC Manual Chapter 3202 4 Standard Form 1411 with Instructions

ATTACHMENT 1 PART 20-1 -- GENERAL Subpart 20-1.54--Contractor Organizational. Conflicts of Interest Sec.

20-1.5401 Scope and policy.

20-1.5402 De.fini tions.

20-1.5403 Criteria for recognizing contractor organizational conflicts of interest.

20-1.5404 Representation.

20-1.5405 Contract clauses.

20-1.5405-1 General contract clause.

20-1.5405-2 Special contract provisions.

20-1.5406 Evaluation, findings, and contract award..

20-1.5407 Conflicts identified after award.

20-1.5408 (Reserved) 20-1.5409 (Reserved) 20-l'.5410 Subcontractors.

20-1.5411 Waiver.

20-1.5412 Remedies.

AUTHORITY: Sec. 8, Pub. L.95-601, adding Sec.170A to Pub. L.83-703, 68 Stat. 919, as amended (42 U.S.C. ch. 14) 120-1.5401 Scope and Policy (a) It is the policy of the U.S. Nuclear Regulatory Comission (NRC) to avoid, eliminate or neutralize contractor organizational cunflicts of interest. The NRC achieves this objective by requiring all prospective contractors to submit information describing relationships, if any, with organizations or persons (including those regulated by NRC) which may give rise to actual or potential conflicts of interest in the event of contract award.

(b) Contractor conflict of interest determinations cannot be made automatically or routinely; the application of sound judgment on virtually a case-by-case basis is necessary if the policy is to be applied so as to satisfy the overall public interest. It is not possible to prescribe in advance a specific method or set of criteria which would serve to identify and resolve all of the contractor conflict of interest situations which might arise; however, examples are provided in these regulations to guide application of the policy. NRC contracting and program officials must be alert to other situations which may warrant application of this policy guidance. The ultimate test is: Hight the contractor, if awarded the contract, be placed in a position where its judgment may be biased, or where it may have an unfair competitive advantage?

(c) The conflict of interest rule contained in this subpart applies to contractors and offerors only. Individuals or firms who have other relationships with NRC (e.g., parties to a licensing proceeding) are,not covered by this regulation. This rule does not apply to the acquisit' ion of consulting services through the personnel appointment process, NRC 1

7590-01 agreements with other government agencies, international organizations, or state, local or foreign governments; separate procedures for avoiding i conflicts of interest will be employed in such agreements, as appropriate. I 120-1.5402 Definitions (a) "Organizational conflicts of interest" means that a relationship exists whereby a contractor or prospective contractor has present or planned interests related to the work to be perfomed under an NRC i 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.  ;

(b) "Research" means any scientific or technical work involving theoretical analysis, exploration, or experimentation.

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

(d) "Technical consulting and management support services" metns internal assistance to a component of the NRC in the fomulation or administration of its programs, projects, or policies which normally require the contractor to be given access to information which has not been made available to the public or proprietary infomation. Such services typically include assistance in the preparation of program plans; artd preparation of preliminary designs, specifications, or statements of work.

(e) "Contract" means any contract, agreement, or other arrangement with the NRC except as provided in Section 20-1.5401(c).

(f) "Contractor" means any person, fim, unincorporatec association, joint venture, co-spentor, partnership, corporation, affiliates thereof, or their successors in interest, including their chief executives, directors, key personnel (identified in the contract), proposed consultants or subcontractors, which is a party to a contract with the NRC.

(g) "Affiliates" means business concerns which are affiliates of each other when either directly or indirectly one concern or individual controls or has the power to control another, or when a third party controls or has the power to control both (41 CFR Il-1,606-1(e)).

(h) "Subcontractor" means any subcontractor of any tier which performs work under a contract with the NRC except subcontracts for supplies and subcontracts in amounts of $10,000 or less.

(i) "prospective contractor" or "offe or" means any person, firm, unincorporated association, joint venture, partnership, corporation, or affiliates thereof, including its chief executive, directors, key personnel (identified in the proposal), proposed consultants, or subcontractors,

, submitting a bid or proposal, solicited or unsolicited, to the NRC to

. obtain a contract.

7590-01 agreements with other government agencies, international organizations, or state, local or foreign governments; separate procedures for avoiding conflicts of interest will be employed in such agreements as appropriate.

520-1.5402 Definttions (a) "Organizational conflicts of interest" means that a relationship exists whereby a contractor or prospective contractor has present or planr.ed interests related to the work to be perfomed under an NRC contract which: (1)Maydiminishitscapacitytogiveimpartial, technically sound, objective assistance and advice or may othemise result in a biased work product, or (2) may result in its being given an unfair competitive advantage.

(b) "Research" means any scientific or technical work involving theoretical analysis, exploration, or experimentation.

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

(d) "Technical consulting and management support services" metns internal assistance to a component of the NRC in the formulation or administration of its programs, projects, or policies which normally require the contractor to be given access to information which has not been made available to the public or proprietary information. Such services typically include assistance in the preparation of program plans; and preparation of preliminary designs, specifications, or statements of work.

(e) "Contract" means any contract, agreement, or other arrangement with the NRC except as provided in Section 20-1.5401(c).

I i (f) "Contractor" means any person, fim, unincorporated association, joint venture, co-spons,or, partnership, corporation, affiliates thereof, or their successors in interest, including their chief executives.

I directors, key personnel (identified in the contract), proposed consultants or subcontractors, which is a party to a contract with the NRC.

(g) "Affiliates" means business concerns which are affiliates of each other when either directly or indirectly one concern or individual controls or has the power to control another, or when a third party controls or has the power to control both (41 CFR 51-1.606-1(e)).

(h) "Subcontractor" means any subcontractor of any tier which performs work under a contract with the NRC except subcontracts for supplies and subcontracts in amounts of $10,000 or less.

(i) "prospective contractor" or "offeror" means any person, firm, unincorporated association, joint venture, partnership, corporation, or affiliates thereof, including its chief executive, directors, key personnel (identified in the proposal), proposed consultants, or subcontractors,

, submitting a bid or proposal, solicited or unsolicited, to the NRC to

. obtain a contract.

7590-01 (j) "Potential conflict of interest" means that a factual situation exists that suggests (indicates) that an actual conflict of interest may arise from award of a proposed contract. The tem "potential conflict

~

of interest" is used to signify those situations whicn merit investigation prior to contract award in order to ascertain whether award would give rise to an actual conflict or which must be reported to the contracting officer for investigation if they arise during contract performance.

5 20-1.5403 Criteria for recognizing contractor organizational conflicts of interest (a) General. Two questions will be asked in determining whether actual or potential organizational conflicts of interest exist: (1) Are there conflicting roles which might bias a contractor's judgment in relation to its work for the NRC7 (2) May the contractor be given an unfair competitive advantage based on the performance of the contract?

The ultimate determination by NRC as to whether organizational conflicts of interest exist will be made in light of comon sense and good business judgment based upon the relevant facts disclosed and the work to be perfonned. While it is difficult to identify and to prescribe in advance a specific method for avoiding all of the various situations or relationships which might involve potential organizational conflicts of interest, NRC personnel will pay particular attention to proposed contractuar requirements which call' for the rendering of advice, consultation or evaluation activities, or similar activities tha; lay direct groundwork for the NRC's decisions on regulatory activities, future procurements, and research programs.

(b) Situations or relationships which my give rise to organizational conflicts of interest. (1) The offeror or contractor shall disclose inform tion concerning relationships which may give rise to organizational conflicts of interest under the following circumstances:

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

(ii) Where the offeror or contractor provides advice to the NRC on I the same or similar matter in 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 the products or services of another entity where the offeror or contractor has been substantially involved in their development or.

tra rke ting.

(iv) Where the award of a contract would otherwise result in placing the offeror or contractor in a conflicting role in which its judgment may be Diased in relation to its work for the NPC or may otherwise result in an unfair competitive advantage for the offeror or contractor 7590-01 (2) The contracting officer may request specific infomation from an offeror or contractor or may require special contract provisions such as provided in 120-1.5405-2 in the following circumstances:

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

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

(iii) Where the offeror or contractor is granted access to information not available to the public concerning NRC plans, policies, or programs which could fom the basis for a later procurement action.

l (iv) Where the offeror or contractor is granted access to proprietary information of its competitors.

(v) Where the award of a contract might othemise result in placing I the offeror or contractor in a conflicting role in whi:h its judgment may be biased in relation to its work for the NRC or may otherwise result in an unfair competitive advantage for the offeror or contractor.

(c) Policy application guidance. The following examples are illustrative only and are not intended to identify and resolve all contractor organizational conflict of interest situations. (1) Example.

The XYZ Corp., in response to a request for proposal (RFP), proposes to undertake certain analyses of a reactor component as called for in the RFP. The XYZ Corp. is'one of several companies considered to be technically well qualified. In response to the inquiry in the RFP, the XYZ Corp.

advises that it is currently perfoming similar analyses for the reacter manufacturer.

Guidance. An NRC contract for that particular work nomally would not be awarded to the XYZ Corp. because it wou'd be placed in a position in which its judgment could be biased in relationship to its work for NRC. Since there are other well-qualified companies available, there would be no reason for considering a waiver of the policy.

(2) Example. The ABC Corp., in response to a RFP, proposes to perfom certain analyses of a reactor component which are unique to one type of advanced reactor. As is the case with other technically qualified companies responding to the RFP, the ABC Corp. is perfoming various projects for several different utility clients. None of the ABC Corp.

projects have any relationship to the work called for in the RFP Based on the NRC evaluation, the ABC Corp, is considered to be the best qualified company to perfom the work outlined in the RFP.

4 t

7590-01 Guidance. An NRC contract normally could be awarded to the ABC Corp. because no conflict of interest exists which would motivate bias with respect to the work. An appropriate clause would be included in the contract to preclude the ABC Corp. from subseque.w'1y contracting for work during the performance of the NRC contract with de privste sector which could create a conflict. For example, ABC Co'- would be precluded from the perfomance of similar work for the compan3 ceveloping the advanced reactor mentioned in the example.

(3) Example. As a result of operating problems in a certain type of commercial nuclear facility, it is imperative that NRC secure specific data on various operational aspects of that type of plant so as to assure adequate safety protection of the public. Only one manufacturer has extensive etperience with that type of plant. Consequently, that company is the orily one with whom NRC can contract which can develop and conduct the testirg programs required to obtain the data in reasonable time. That compan/ has a definite interest in any NRC decisions that might result from the data produced because those decisions affect the reactor's design and thus the company's costs.

Guidance. This situation would place the manufacturer in a role in which its judgment could be biased in relationship to its work for NRC.

Since the nature of the work required is vitally important in tems of NRC's responsibilities and no reasonable alternative exists, a waiver of

+

the policy may be warranted. Any such waiver shall be fully documented and coordinated in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms to guard against bias.

(4) Example. The ABC Co. submits a proposal for a new system for evaluating a specific reactor component'a perfomance for the purpose of developiag standards that are important to the NRC program. The ABC Co.

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

Guidance. A contract could be awarded to the ABC Co. provided that the contract stipulates that no information produced under the contract will be used in the contractor's private activities unless such information has been reported to NRC. Information which is reported to NRC by contractors will normally be disseminated by NRC to others so as to preclude an unfair competitive ad.u tage that might otherwise accrue. When NRC furnishes information to the contractor for the parformance of contract work, it shall not be used in the contractor's private activities unless such infomation is generally available to others. Further, the contract will stipulate that the contractor will inform the NRC contracting officer of all situations in which the infomation developed under the contract is proposed to be used.

5-l

7590-01 (5) Example. The ABC Corp., in response to a RFP proposes to assemble a map showing certain seismological features of the Appalachian fold belt. In accordance with the representation in the RFP and 5 20-1.5403(b)(1)(1), ABC Corp. informs the NRC that it is presently

. doing seismological studies for several utilities in the Eastern United States but none of the sites are within the geographic area contemplated by the NRC study.

Guidance. The ccatracting officer would nonnally conclude that award of a contract would not place ABC Corp in a conflicting role where its judgment might be biased. The work for others clause of 5 20-1.5405-1(c) would preclude ABC Corp. from accepting work during the tem

( of the NRC contract which could create a conflict of interest.

(d) Other considerations. (1) The fact that the NRC can identify and later avoid, eliminate, or neutralize any potential organizational l conflicts arising from the performance of a contract is not relevant to l a detennination of the existence of such conflicts prtec to the award of j a contract.

l l (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.

520-1.5404 Representation

(-) The following procedures are designed to assist the NRL contracting officer in determining whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a particular offeror or contractor.

(b) Representation procedure. The following organizational conflicts of interest representation orovision shall be included in all solicitations and unsolicited ;.- wsals for: (1) Evaluation services or activities; (2) technical consulting and management support services; (3) research; and (4) otha* contractual situations where special organizational conflicts of interest provisions are noted in the solicitation and would I be included in tae resulting contract. This representation requirement shall also apply to all modifications for additional effort under the contract except those issued under the "changes" clause. Where, however, a statement of the type required by the organizational conflicts of interest representation provision has previously been submitted with regard to the contract being modified, only an updating of such statement shall be required.

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7590-01 l

ORGANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION I represent to the best of my knowledge and belief that:

The award to of a contract or the modification of an existing contract does ( ) or does not ( ) involve situations or relationships of the type set forth in 41 CFR 520-1.5403(b)(1).

(c) Instructions to offerors. The following shall be included in all NRC solicitations: (1) If the representation as completed indicates that situations or relationships of the type set forth in 41 CFR 520-1.5403(b)(1) are involved, or the contracting officer otherwise determines that potential organizational conflicts exist, the offeror shall provide a statement in writing which describes in a concise manner all relevant facts bearing on his representation to the contracting officer. If the contracting officer determines that organizational conflicts exist, the following actions may be taken: (i)Imposeappropriate conditions which avoid such conflicts, (ii) disqualify the offeror, or (iii) detennine that it is otherwise in the best interes1; of the United States to seek award of the contract under the waiver provisions of 520-1.5411.

(2) The refusal to provide the representation required by 5 20-1.5404(b) or upon request of the contracting officer the facts required by '520-1.5404(c), shall result in disqualification of the offeror for award. The nondisclosure or misrepresentation of any relevant interest may also result in the disqualification of the offeror for award; or if such nondisclosure or misrepresentation is discovered after award, the resulting contract may be terminated. The offeror may also be disqualified from subsequent related NRC contracts and be subject to such other remedial actions provided by law or the resulting contract.

(d) The offeror may, because of actual or potential organizational conflicts of interest, propose to exclude specific kinds of work from the statemtnts of work contained in a RFP unless the RFP specifically prohibits 'uch 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 work to the detriment of the competitive posture of the other offerors, the proposal must be rejected as unacceptable.

(e) The offeror's failure to execute the representation required by subsection (b) above with respect to invitation for bids will be considered to be a minor informality, and the offeror will be perditted to correct the omission, i 20-1.5405 Contract clauses 5 20-1.5405-1 General contract clause 7

7590-01 All contracts of the types set forth in i 20-1.5404(b) shall include the following clauses:

(a) Purpose. The primary purpose of this clause is to aid in ensuring that the contractor: (1) Is not placed in a conflicting role because of current or planned interest (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and (2) does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract.

(b) Scope. The restrictions described herein shall apply to performance or participation by the contractor as defined in 41 CFR I 20-1.5402(f) in the actitities covered by this clause.

(c) Work for others. Notwithstanding any other provision of this contract, during the term of this contract, the contractor agrees to forego entering into consulting or other contractual arrangements with any firm or organization, the result of which may give-rise to a conflict of interest with respect to the work being performecf't! hee this contract.

The contractor shall ensure that all employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause. If the contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting officer prior to execution of such contractual arrangement.

(d) Disclosure after award. (1) The contractor warrants that to i the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest, as defined in 41 CFR 520-1.5402(a).

(2) The contractor agrees that if after award it discovers organizational conflicts of interest with respect to this contract, it shall make an imediate and full disclosure in writing to the contracting officer.

This statement shall include a description of the action which the contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, teminate the contract for convenience if it deems such temination to be in the best interests of the government.

(e) Access to and use of information. (1) If the contractor in the perfortnance of this contract obtains access to information, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L.93-579), or data which has not been released to the public, the contractor agrees not to: (i) Use such information  % ny(private purpose until for the the information has been released to the pubhc; ii) compete for work Comission based

. -8 S

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- i 7590-01 on such information for a period of six (6) months after either the completion of this contract or the release of such information to the public, whichever is first, (iii) submit an unsolicited proposal to the government based on such information until one year after the release of such information to the public, or (iv) release the information without prior written approval by the contracting officer unless such information has previously been released to the public by the NRC.

(2) In addition, the contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L.93-579), 'or other confidential or privileged technical, business, or financial information under this contract, the contractor shall treat such information in accordance with restrictions placed on use of the information. .

(3) The contractor shall have, subject to patent and security provisions of this contract, the right to use technical data it produces under this contract for private purposes provided that all requirements of this contract have been met.

(f) Subcontracts. Except as provioed in 41 CFR 520-1.5402(h), the

! contractor shall include this clause, including this paragraph, in subcontracts of any tier. The terms "contract," "contractor," and "contracting officer," shall be appropriately modified to preserve the government's rights.

(g) Remedies. For breach of any of the above proscriptions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations as necessarily imply bad faith, the government may terminate the contract for default, disqualify the contractor from subsequent contractual efforts, and pursue other remedies as ray be permitted by law or this contract.

(h) Waiver. A request for waiver under this clause shall be directed in writing through the contracting officer to the Executive Director for Operations (EDO) in accordance with the procedures outlined in i20-1.5411.

I20-1.5405-2 Special contract provisions.

l (a) If it is determined from the nature of the proposed contract that organizational conflicts of interest exist, the contracting officer l

may determine that such conflict can be avoided or af ter obtaining a i

waiver in accordance with 120-1.5411, neutralized through the use of an '

i appropriate special contract provision. If appropriate, the of feror may negotiate the terms and conditions of these clauses, including the extent and time period of any such restriction. These provisions include but are net limited to:

1 l

(1) Hardware exclusion clauses which prohibit the acceptance of production contracts folluwing a related nonproduction contract previously perforced by the contractor; (2) Software exclusion clauses; (3) Clauses which require the contractor (and certain of his key personnel) to avoid certain organizational conflicts of interest; and (4) Clauses which provide for protection of confidential data and guard against its unauthorized use.

(b) The following additional contract clause may be included as section (i) in the clause set forth in 20-1.5405-1 when it is determined that award of a follow-on contract would constitute an organizational conflict of interest. '

(i) Follow-on effort. (1) The contractor shall be ineligible to '

participate in NRC contracts, subcontracts, or proposals therefor (solicited or unsolicited) which stem directly from the contractor's performance of work under this contract. Furthermore, unless so strected in writing by ,

the contracting officer, the contractor shall not perform any technical consulting or management support services work or evaluation activities under this contract on any of its products or services or the products or services of another firm if the contractor has been substantially ,

involved in the development or rarketing of such products or services. ,

I (2) If the contractor under this contract prepares a complete or essentially complete statement of work or specifications, the contractor shall be ineligible to perform or participate in the initial contractual effort which is based on such statement of work or specifications. The contractor shall not incorporate its products or services in such statement of work or specifications unless so directed in writing by the contracting officer, in which case the restriction in this subparagrapn shall not apply.

(3) Nothing in this paragraph shall creclude the contractor from offering or selling its standard commercial items to the gevernment.

I 20-1.5406 Evaluation, findings, and centract award The contracting officer will evaluate all relevant facts submitted by an offeror pursuant to the representation recuirements cf .t20-1.500t(b)

{ anc other relevant information. After evaluating this information against tne criteria of i 201.5a03, a fincing will be nace ey the contracting officer whether organizational conflicts of interest exist with respect

to a particular offeror. lf it has been cetermined tnat cenflicts of interest exist, then tne contracting officer shall eitner

, ,

(a) Disqualify the offeror fecm award, e

7590-01 (b) Avoid or eliminate such conflicts by appropriate measures; or ,

a  ;

(c) Award the contract under the waiver provision of f 20-1.5411.

j 120-1.5407 Conflicts identified after award.

If potential organizational conflicts of interest are identified after award with respect to a particular contractor, the contracting officer determines that such conflicts do, in fact, exist and that it would not be in the best interests of the government to terminate the contract as provided in the clauses required by 120-1.5405, the contracting ,

officer will take every reasonable action to avoid, eliminate, or, af ter obtaining a waiver in accordance with 520-1.5411, neutralize the effects of the identified conflict. '

$20-1.5408 (Reserved) <

$ 20-1.5409 (Reserved) 320-1.5410 Subcontracts The contracting officer shall require offerors and contractors to submit a representation statement in accordance with 520-1.54041b)from subcontractors and consultants. The contracting officer shall require the contractor to include contract clauses in accordance with 520-1.5405 in consultant agreements or subcontracts involving performance of work under a prime contract covered by this subsection, i i20-1.5411 Waiver In the first instance, determination with respect to the need to seek a waiver for specific contract awards shall be made by the contracting officer with the advice and concurrence of the program office director and the Office of Executive Legal Directer. Upon the recommendation of the contracting officer, and af ter consultation with the Office of the General Counsel, the EDO may waive the policy in specific cases if he i determines that it is in the best interest of the United States to do 50.

Such action shall be strictly limited to those situations in which:

(1) The work to be performed under contract is vital to the NRC program; (2) the work cannot be satisfactorily performed except by a contractor whose interests give rise to a question of conflict of interest; and (3) contractual and/or technical review and supervision methods can be employed by NRC to neutralize the conflict. For any such waivers, the justification and approval cocuments shall be placed in the Public Document Room.

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7590-Oi 520-1. 5412 Remedies in addition to such other remedies as may be 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.

Dated at Washincton. D.C this 27th day of March 1919, For the Nuclear Regulatory Comission Cdtuudh bbk e Samuel;1- Ik Secretar) o'f { hFComission 1

G 12 4

ATTACHMEtJT 2 !

(REVISED 4/87)

BILLING INSTRUCTIONS FOR NRC COST-TYPE CONTRACTS General. The contractor shall submit vouchers for cost-reimbursenent in the manner and format described herein and as illustrated in the sample voucher.

Number of Copies.. An original and two copies should be railed to the NRC office identified below.

Frequency. The contractor shall submit claims for reimbursement once each month unless otherwise authorized by the Contracting Officer.

Form. Claims shall be submitted on the Form DC-3 "Voucher for Purchases and Services Other Than Personal." These forws are available from the Contracting Officer. (The instructions for preparation and itemization -

of the voucher are shown on the form.)

Billing os Costs Afte'r Expiration of Contract. If costs are incurred during the contract period and claimed after the contract has expired, the period du*ing which these costs were incurred must be cited.

l Currency. Billings may be expressed in the currency norwally used by the contractor in maintaining his accounting records; payments will be made in that currency. However, the U. S. dollar equivalent for all

, invoices paid under the contract may not exceed the total V. S. dollars i

authorized in the contract.

Supersession. These instructions supersede all previous billing instructions.

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INSTRUCTIONS FOR PREPARING COST INFORMATION FOR NRC CONTRACTS Preparation and Itemiration of the Voucher. The contractor shall furnish the information set forth in the explanatnry notes L,elow. These notes are keyed

to the entries on the sample voucher. ,

Payorf s Name and Address. (1) Address the original voucher (with 2 copies) to: U.S. Nuclear Regulatory Comission. Division of Accounting and Finance, ATIN: Cm/CD4 Acccunts Section, Washington, DC 20555 Any questions regarding vouchers yet to be paid by the NRC should be addressed to Division of Accounting (301-492-Rn30). Any questions regarding vouchers for which payment has been received (either in full or partially with suspensions or disallowances) should be ad-dressed to the Contracting Officer.

Payee's Name and Address. Show the name of the contractor as it appears

in the contract and its correct address; except when an approved assign-ment has been made by the contractor, or a different payee or addressee has been designated, then insert the name and address of the payee.

Indicate the individual responsible for answering any questions NRC may have regarding the invoice (name and phone number).

(a) Contract Nuwber - Insert the NRC contract number.

(b) Title of Project - List the full title of the project being performed ,

under this contract,

]

l (c) Voucher Number - Insert the appropriate serial number of the voucher  ;

beginning with 001 for this contract. Contractors may also include <

individual internal accounting numbers in addition to the three digit t number, i (d) Date of Voucher - Insert the date the voucher is prepared. ,

(e) Contract Amount - Insert the total estimated cost of the contract, exclusive of fixed-fee.

(f) Fixed Fee - Insert total fixed-fee (where applicable).

(g) Billing Period - Insert the beginning and ending dates (day, month, and year) of the period in which costs were incurred and for which

reimbursement is claimed.

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(h) Direct Costs - Insert the major cost elements.

(1) Direct Labor - This consists of salaries and wages paid (or accrued) for direct performance of the contract itemized as follows:

Cumulative Labor Labor Hours Category Negotiated Hours Billed Rate Total Hours Billed (2) Fringe Benefits - This represents fringe benefits applicable to direct labor and billed as a direct cost. Where a rate is used, indicate the rate. Fringe benefits included in direct labor should not be identified here.

(3) Direct Equioment __ - For educational institu-tions list each stem costing 5500 or more, and having a life expect-acey of more than one year. For contractors other than educational institutions list each item costing $200 or more, and having a life e expectancy of more than one year. List only those items of equipment for which reimbursement is re A reference shall be made to the following (as applicable)  : quested.(1) the item number for the specific piece of equipment listed in the property schedule of the contract; (2) the Contracting Officer's approval letter if the equipment is not covered by the property schedule; or (3) be preceded by an ast-erisk (*) if the equipment is below the approval level. Further itemization of vouchers stall only be required for items having specific limitations set forth in the contract.

(4) Materials, Supplies, and Other Expendable items _ + These are consumable materials and supplies and equipment other than that described in (3) above.

(5) premium Pay - This is remuneration in excess of the basic hourly rate. (Requires written approval of Contracting Officer.)

(6) Consultants' Fee - The supporting information must include the 3 name, hourly or daily rate of the consultant and reference the NRC approval (if not specifically approved in the original contract).

< (7) Travel - Domestic travel is travel within the United States, its territories, possessions, and Canada; it should be billed separately from foreign travel . Travel costs billed will provide for individual Per Diem, and all supporting information for each trip taken.

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All costs associated with each trip must be shown in the following format : (Unless the organization's travel policy has been negotiated and approved by NRC)

Date Traveler Destina tion Purpose Cost From 3 Free h

1. Airfare

- 2. Rental Car

3. Local Travel 4 Per Diem Days 9 =

5. Meals:

• Date Breakfast Lunch Dinner

• If not included in Per Diem.

6. Tips Misc.

(Itemize if more than 510,00)

(8) Subcontracts - Include all costs paid to approved subcontractors during billing period. This includes the details of the subcontract terms (i.e.,

cost-plus-fixed-fee, direct labor, indirect costs, travel, profit, etc.)

(9) Other - List all other direct costs by cost elements and dollar amount

sepa ra tely.

(i) Indirect Costs--Overhead - Cite the formula (rate and base) in effect during the time the cost was incurred and for which reimburs. ment is claimed.

(j) Fixed-Fee - If the contract provides for a fixed-fee, it must be claimed as provided for by the contract. Cite the formula or method of computation.

Contractor may bill for fixed fee only up to 85% of total fee.

(k) Amount Billed for Current Period - Insert the amount billed for the major cost elements, adjustment, and adjusted amounts for the period, r

I 4

(1) Cumulative _ Amount from Inception to Date of this Billing - Insert the cumulative amounts billed for the major cost elements and adjusted amounts claimed during this contract.

(m) Total Amounts Claimed - Insert the total amounts claimed for the current and cumulative periods.

(n) Adjustments - This includes amounts conceded by the contractor, outstand-ing suspensions, and disapprovals subject to appeal.

(o) Grand Totals

.4.

9 6

WVCHERS FOR PURCilASLS AND $lRVICL3 OlHER lilAN PLRSONAL SAMPLE VOUCHER Payor's Name and Address (a) Contract Nud er NRC-10-81-624 The U.S. Nuclear Regulatory Commission Division of Accounting and Finance of P ct

• Study of Auclear Waste '

Concepts, Attention: GOV /CrH Acets Section Washincton, tc 20555 -

Payee's Name a_nd Address (c) Voucher Number 003 ABC GURFORATION The National Bank (d) Date Voucher Prepared 10/18/82 1

100 Main Street or Anphere U.S. A. ,

Anphere, U.S.A. Assignee for ABC CORP. (e) Total Estimated Cost of Contract Anp here. U.S.A. 5350.000.00 (WhenPaymentsAssigned)

Indiividual to Contract (f) Total Fixed Fee 517,500.00 Regarding This Voucher:

.Name: Harry Murphy '

'Tel. No.: 215-321-8654 i l(g) This voucher represents reimburseable costs from 3/1/82 thru 3/30/8?

Amount Billed (L) Current Period (1) Inception to Date l(h) Direct Costs $2,400 $6.800 (1) Direct Labor * -

! (2) Fringe Benefits 016.5 l (if computed as percentace) 600 1.200 _

(3) Direct 5.000 8.000 Equipment

• __

(4) itaterials. Supplies and i Other Expendable items

• 2.000 4.000 - -

(5) Frem um Pay 100 150

! (6) Consultants

• 100 100 (7) Travel - Domestic

• 200 203 i Foreien * ~

200 200

! (8) Subcontract *

! (9) Dther Costs

• 3.000 9.000 l (i) If1 DIRECT COSTS 1

A) Overheac700 5 of Total Direct Costs 513.600 529.650 (Indicate Base)

! Subtotal $27.200 $50.300 D) General A Administrative Expense 3,?64 6.4t>0 12 '., of Cost Elements Nos.1 9. A

$30.464 565.7!,o Total Costs (j) FIXED FEE EARNED (Formula) 1,523 3.400

$31.087 569.150 (m) Total Anounts Claimed J

(n) Adjustrents 1.700 Outstanding Suspensions

• 1.700

$3n.7t? $ b 7 ,4 !,o (o) rirand intale.

• (Rt tM1Rt5 5UI'r0R1ING INf 0PJ1A110N. )

(SLE A1TACil[0.) . . _

'/ 8.'

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l SAMPLE SUPPORTING INFORMATION

1) Direct Labor - $2400 Labor Labor Hours Hours Cumulative Category Negotiated Billed Rate Total Hours Billed Senior Engineer I 2400 100 $14.00 $1400 975 Engineer 1500 50 $10.00 $500 465 Computer Analyst 700 100 $5.00 g 320

3) Direct Equipment Spectrometer - General Electric (as approved in Property Schedule) $5,000

4) Materials. Supplies & Other Excendable items

= $1100.00 10 Ra h n Tubes 9 $110.00 6 Pairs Electmstatic Gk ves 9 $150.00 = $900.00 32000.00

5) Premium Pay Walter Murphy - 10 hours1.157407e-4 days <br />0.00278 hours <br />1.653439e-5 weeks <br />3.805e-6 months <br />.9 $10.00 Per Hour = $100 (This was approved by NRC in letter dated 3/6/82.)

,6 ) Consultants' Fee Dr. Carney - 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br /> 9 $100 = $1CK'

7) Travel Date Traveler Destination Purpose Costs From To o From h 3/1/82 3/6/82 William King Chicago, Wash., Meeting with 1) Airfare $80.00 IL DC Project 2) Rental Car $15.00 Officer 4) Per Diem - 2' Days 9 $50.00 = $100.00

~

6) Tips, Misc. $5,00 TOTAL: $200

i . .

8) Subcontracts XYZ CORP. (CPFF)

Direct Labor: - 80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br /> 9 $20.00 per hour = $1600.00 9 50% = $800.00 0/H Travel - 2 Trips - Wash. , DC 9 $200 = $400.00 to Boston, MA Profit 9 7% = $200.00 TOTAL: 53000.00 *

(j) Fixed-Fee (Formula)

(5%)

$350,000 X 5% = $17,500 Total Fixed Fee for this Contract

$27,200 X 5% = $1360 Fee Billed for this Period t

(n) Adjustments

$1700 - Indicates amount withheld from voucher #001, now approved by Contracting Officer letter 3/10/82, i

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ATTACHMENT 3

i. 50L C T Ai.oN, CONI s AC wooiF Canon swA6vuO N -

CONTRACT PRICING PROPOSAL COVER SHEET 3090-0116 NOTE: This f orm is used in contrece actions if submission of co* or pr cing ctets is reavired (See FAR 75 8044(bl/

). N AM E AND ADDR E S$ OF OF F L RO R (larf wdc //F Code, ~~ 3A. N AME AND 111 LE OF OF F E h0R 5 POIN1 38.1 E LE PMONE NO.

OF CONT ACT

4. T"*E OF CONTR ACT ACTION (Chec kl A NEW CONTR ACT O. L E TTE R CONT R ACT B. CHANGE ORDER E t.JNPRICE O ORDE R C. PRICE REVISION /

S E DE T E R Ml 7 ATION

5. T YPC OF CONT R ACT (Chec41 6 PROPOSE O COST (A + B*Ci

]FFP  !]CPFF O cair O ca^r A.CO5T PaoF'TFce c 'o'a'

] FPI ] OTHE R (specifyJ f$ $ $

7 PLACEt5) ANO PE RIOD(5) OF PERF OR M ANCE B. List er.d reference the sdentification, ova 9tsty and total P:a proposed for each contract line item. A bne item cost breakdow'J supporting this recap it re-Quired unless otherms, specified by the Contracting Of f ecer. (Continue on reverse, and them on plein riener. If necessary. L'.e some headinas ;

A. LINF. ITEM NO. I B IDENTIFICATION C. QU ANTITY O' TOTAL PRICE E.REF.

9 PROVIDE N AVE ADDRESS. AND TELEPHONE NUMBER FOR THE FOLLOWING fitsvealable)

• CONT ot A4T ADMINIST R AT aON OF r ics B. AvDiT OF FICE

10. WIL L YOU R E QUIR E T HE USE OF AN Y GOV E R NM E NT PR OPE R T Y 11 A. DO Y OU R EQusR E GOVE RN. 118. T YPE OF fen ANCING tv onef IN T H E PE R F O R M AN C E O F T HIS WO R K P (1/ "Yes." den tity) MENT CONT R ACT FIN ANCING TO PE R FOR M TMi$ PROPOSE D ADVANCE PROGRESS C N ACT f tlf "Yes." compsete PAYMENTS PAYMENTS YES NO _ [YES NO ] GU AR ANTE ED LOANS a2. HAVE YOU BE EN AW ARDED AN Y CONT R ACTS OR SUSCONT R ACTS 13.15 TH15 PROPOSAL CONSIST E NT Wi1 H vovR EST ABLiSME D F STi.

FOR THE SAME OR 5:evilLAR ITEMS WITMiN THE PAST 3 YE ARS' M ATING AND ACCOUNTING PR ACTICES AP:0 PROCEDURES AND

(// "Yes."iden(afy item (s), eustomer(s) and con trac t num ber(s)) F A R PA RT 31 COST PR'NCIPLES P (Jf "No," esp &sinJ

[YES ]NO ]YES NO

14. COST ACCOUNT ING STANDAROS BOARO ICASB) DATA (Public Lau 9J.3 79 as amended and FAR PART J A. WiLL THIS CONT R ACT ACTION BE SUBJECT TO C ASB REGULA- B. H AVE YOU Sv8MIT TED A C ASB OiSCLOSURE ST AT EMENT T EON 5' tif "ho." esplein in proposelJ (CASB DS I or tit (if "Yes "sPettfy sn proposet the offset to luksen submatted end af determsned to be adequatel YES NO YES NO C. MAVE YOU BEEN NOTIFIE D T HAT YOU A R E OR M AY M IN NON- O, is AN v A ff4 CT OF T HIS PROPOS AL INCONSIST E NT w T M vovA COMPLI ANCE WITM YOUR DISCLOSURE ST ATEMENT JF' COST DISCLOSCO PR ACTICES OR APPLICABLE COST ACCOUNTING ACCOUNTtkG ST ANDARDht (if " Yes." esplann an proposeir ST AN D A R D$ t tif "Yes " e splein in proponell

]YES ONO ves O No This proposal is submitted in resoonse to the RF P contract, modif atetion, etc in item 1 and rehects our best estimates end/or actus: costs as of this date ll. .. AM E AN D T IT LE (TypeJ 16. N A ME OF F 4 R M

! ?. 5sGN AT UR E le OATE OF SUBMISSION NSN T5eMt.142-9645 1431 30)

ST.ANDARD Pr wietao,G5A FORM 1411 (10

• g.g. owgsetMDrf PRDITD8G OFTICE e 1 M4 0 - 421 526 (37) F Am les CF R) S3.t15 tic)

i, , ,

l-ATTACHMENT STANDARD FORM 1411 WITH INSTRUCTIONS

1. SF 1411 provides a vehicle for the offeror to submit to the Government a pricing proposal of estimated and/or incurred costs by contract line item with supporting information, adequately cross-referenced, suitable for detailed analysis. A cost-element breakdown, using the applicable fomat prescribed in 7A; B, or C below, shall be attached for each proposed line item and must reflect any specific requirements established t,y the Contracting Officer. Supporting breakdowns must be furnished for each cost element, consistent with offeror's cost accounting system.

When more than one contract line item is proposed, sumary total amounts covering all line items must be furnished for each cost element. If agreement has been reached with Government representatives on use of forward pricing rates / factors, identify the agreement, include a copy, and describe its nature. Depending on offeror's system, breakdowns shall be provided for the following basic elements of cost, as applicable:

Materials - Provide a consolidated priced sumary of individual material quantities included in the various tasks, orders, or contract line items being proposed and the basis for pricing (vendor quotes, invoice prices, etc.).

Subcontracted item: - Include parts, components, assemblies, and services that are to be produced or performed by others in accordance with offeror's design, specifications, or direction and that are applicable only to the prime contract. For each subcontract over $500,000, the support should provide a listing by source, item quantity, price, type of subcontract, degree of competition, and basis for establishing sou;ce and reasonableness of price, as well as the results of review and evaluation of subcontract proposals when required by FAR 15.806.

I Standard Commercial Items -

Consists of items that offeror normally fabricates, in whole or in part, and that are generally stocked in inventory. Provide an appropriate explanation of the basis for pricing. If price is based on cost, provide a cost breakdown; if priced at other than cost, provide justification for exempticn from submission of cost or pricing data, as required by FAR 15.804-3(e).

Interorganizational Transfer (at other tnan cost) - Explain pricing method used. (See FAR 31.205-26).

Raw Material - Consists of material in a form or state that requires further processing. Provide priced quantities of items required for the proposal.

Purchased Parts - Includes material items not covered above. Provide priced quantities of items required for the proposal.

Interorganizational Transfer (at cost) - Include separate breakdown of cost by element.

Direct Labor - Provide a time-phased (e.g., monthly, qua rterly, etc.)

breakdown of labor hours, rates, and cost by appropriate category, and

_ furnish bases for esti nates.

Indirect Costs - Indicate how offeror has computed and applied offeror's indirect costs, including cost breakdowns, and showing trends and budgetary data, to provide a basis for evaluating the reasonableness of proposed rates. Indicate the rates used and provide an appropriate explanation.

Other Costs - List all other costs not otherwise included in the categories described above (e.g., special tooling, travel, computer and consultant services, preservation, packaging and packing, spoilage and reworx, and Federal excise tax on finished articles) and provide bases for pricing.

Royalties - If more than 5250, provide the following information on separate page for each separate royalty or license fee: name and address of licensor; date of license agreement; patent numbe rs , patent application serial numbers, or other basis on which the royalty is payable; brief description (including any part or model numbers of each contract itam or component on which the royalty is payable); percentage or dollar rate of royalty per unit; unit price of contract item; number of units; and total dollar amount of royalties. In addition, if. specifically requested by the Contracting Officer, provide a copy of the currc t license agreement and identification of applicable claims of specific patents. (See FAR 27.204 and 31.205-37).

Facilities Capital Cost of Money - When the offeror elects to claim facilit,ies capital cost of money as an allowable cost, the offeror cust submit Form CASB-CMF and show the calculation of the proposed amount (see FAR 31.205-10).

2. As part of the specific information required, the offeror must submit with offeror's proposal, and clearly identify as such, cost or pricing data (that is, data that are verifiable and factual and otherwise as defined at FAR 15.801). In addition, submit with of fero r's proposal any information reasonably required to explain offeror's estimating process, including;

a. The judgmental factors applied and the mathematical or other methods used in the estimate, including those used in projecting from known data; and l

l b. The nature and amount of any contingencies included in the proposed l price.

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3. There is a clear distinction between submitting cost or pricing data and merely making available books, records, and other documents without identification. The requirement for submission of cost or pricing data is met when all accurate cost or pricing data reasonably available to the l offeror have been submitted, either actually or by specific identification, l to the Centracting Officer or an authorized representative. As later informa tion comes into the of feror's possession, it should be promptly submitted to the Contracting Officer. The requirement for submission of cost or pricing data continues to the time of final agreement on price.

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4.- In submitting of fero r's proposal, offeror must include an i nde;:,

appropriately referenced, of all the cost or pricing data and information accompanying or identified in the proposal. In addition, any future adoitions and/or revisions, up to the date of agreement on price, must be annotated on a supplemental index.

5. By submitting offeror's proposal, the offeror, if selected for negotiation, grants, the Contracting Officer or an authorized representative the right to examine those books, records, documents, and other supporting data that will permit adequate evaluation of the proposed price. This right may be exercised at any time before award.

6. As soon as practicable after final agreement on price, but before the award resulting from the proposal, the offeror shall, under the conditions Stated in FAR 15.804-4, submit a Certificate of Current Cost or Pricing Data.

7. Headings for Submission of Line-Item Summaries:

A. New Contracts (including Letter contracts).

Proposed Contract Proposed Contract Cost Elements Estimate-Total Cast Estimate-Unit Cost Reference (1) (2) (3) (4)

Under Column (1) - Enter appropriate cost elements.

' Under Column (2) - Enter those necessary and reasonable costs that in offeror's jua9 ment will properly be incurred in efficient contract performance. When any of the costs in this column have alread' been incurred (e.g., under a letter contract or unpriced order), describe them on an attached supporting schedule. When preproduction or startup costs are significant, or when specifically requested to do 50 by the Contracting Officer, provide a full identification and explanation of them.

Under Column (3) - Optional, unless required by the Contracting Officer.

Under Column (4) - Identi fy the attachment in which the information supporting the specific cost element may be found. Attach separate l

pages as necessary.

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8. Change Orders (codifications).

Cost Of Estimated Deleted Cost of All Work Cost Work Already Net Cost To Cost Of Net Cost Of Elements Deleted Performed Be Deleted Work Added Change Reference (1) (2) (3) (4) (5) (6) (7)

Under Column (1) - Enter appropriate cost elements.

Under Column (2) - Include (i) current estimates of what the cost would have been to complete deleted work not yet performed, and (ii) the cost of deleted work already performed.

Under Column (3) - Include the incurred cost of deleted work already pe rfo r.ned , actually computed if possible, or estimated in the Contractor's accounting records. Attach a detailed inventory of vork, materials, parts, components, and hardware al ready purchased, manufactured, or performed and deleted by the change, indicating the cost and proposed disposition of each line item. Also, if offeror desires to retain these items or any portion of them, indicate the amount offered for them.

Under Column (4) -

Enter the net cost to be deleted which is the estimated cost of all deleted work less the cost of deleted work already performed. Column (2) less Column (3) = Column (4).

Under Column (5) - Enter the offeror's estimate for cost of work added by the change. When nonrecurring costs a re significant, or when specifically requested to do to by the Contracting Officer, provide full identification and explanation of them.

Under Column (6) - Enter the net cost of change which is the cost of work added, less the net cost to be deleted. When this result is negative, place the amount in parentheses. Column (4) less Column (5) =

Column (6).

Under Column (7) - Identify the attachment in which the information supporting the specific cost element may be found. Attach sepa ra te pages as necessary.

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O e C. Price Revisiori/ Redetermination Number of Number of Redetermina-Units Units To Be Contract tion Proposal Cutoff Date Completed Completed Amount Amount Difference (1) (2) (3) (4) (5) (6)

Incurred Incurred Incurred Cost- Cost- Cost- Total Estimated Cost Preproduc- Completed Work In incurred Cost To Estimated Elements tion Units Process Cost Complete Total Cost Reference (7) (8) (9) (10) (11) (12) (13) (14)

Under Column (1) - Enter the cutoff 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.

Under Column (6) - Enter the difference between the contract amount and the redetermination proposal amount. When this result is negative, place the amount in parenthesis. Column (4) less Column (5) = Column (6).

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 feir market value of such inventory. In support of subcontract costs, submit a listing of all subcontracts subject to repricing action, annotated as to their status.

Under Column (8) -

Enter all costs incurred under the contract before starting production and other nonrecurring costs (usually referred to as startup costs) from offferor's books and records as of the cutoff date.

These include such costs as preproduction engineering, special plant rea rrangemen t , training program, and any identifiable nonrecurring costs such as initial rework, spoilage, pilot runs, etc. In the ever1t the amour \ts are not segregated in or otherwise available from offeror's records, enter in this column offeror's best estimates. Explain the basis for each estimate and how the costs are charged on offeror's accounting records

(e.g., included in production costs as direct engineering labor, charged to manufacturing overhead, etc. ). Also how the costs would be allocated to the units at their various states of contract completion.

Under Columns (9) and (10) - Enter in Column (9) the production costs from offeror's books and records (exclusive of preproduction costs reported in Column (8) of the units completed as of the cutoff date. Enter in Column (10) the costs of work in process as determined from offeror's records or inventories at the cutoff date. When the ancunts for work in process are

,not available in Contractor's records but reliable estimates for them can be made, enter the estimated amounts in Column (10) ar.d enter in Column (9) the differences between the total incurred costs (exclusive of preproduction costs) as of the cutoff date and these estimates. Explain the basis for the estimates, including identification of any provision for experienced or anticipated allowances, such as shrinkage, rework, design changes, etc.

Furnsih experienced unit or lot costs (or labor hours) from inception of contract to the cutoff date, improvement curves, and any other available production cost history pertaining to the item (s) to which offeror's proposal relates.

Under Column (11) - Enter total incurred costs (Total of Columns (8), (9),

and (10)).

Under Column (12) -

Enter those necessary and reasonable costs that in Contractor's judgment will properly be incurred in completing the remaining work to be performed under the contract with respect to the item (s) to which Contractor's proposal relates.

Ifn e r em1 - (n) 6, t&; y , , ,,rio w a cost tiotal of Columns (11) and (12)).

Under Column (14) -

Identify the attachment in which the information suppt % g the specific cost element may be found. Attach separate pages as necesso. .

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. .n e (e.g., included in production costs as direct engineering labor, charged to manufacturingoverhead,etc.). Also how the costs would be allocated to the units at their various states of contract completion.

Under Columns (9) and (10) - Enter in Column (9) the production costs from offeror's books and records (exclusive of preproduction costs reported in Column (8) of the units completed as of the cutoff date. Enter in Column (10) the costs of work in process as determined from offeror's records or inventories at the cutoff date. When the amounts for work in process are not available in Contractor's records but reliable estimates for them can be made, enter the estimated amounts in Column (10) and enter in Column (9) the differences between the total incurred costs (exclusive of preproduction costs) as of the cutoff date and these estimates. Explain the basis for the estimates, including identification of any provision for experienced or anticipated allowances, such as shrinkage, rework, design changes, etc.

Furnsih experienced unit or lot costs (or labor hours) from inception of contract to the cutoff date, improvement curves, and any other available production cost history pertaining to the item (s) to which offeror's proposal relates.

Under Column (11) - Enter total incurred costs (Total of Columns (8), (9),

and (10)).

Under Column (12) - Enter those necessary and reasonable costs that in Contractor's judgment will properly be incurred in completing the remaining work to be performed under the contract with respect to the item (s) to which Contractor's proposal relates.

Under Column (13) - Enter total estimated cost (Total of Columns (11) and (12)).

Under Column (14) - Identify the attachment in which the informa tion supporting the specific cost element may be found. Attach separate pages as necessa ry.

'.**% /f +]ac A m en+ 3 4

i Form NRC 489 (1 76)

U. S. NUCLE AR REGULATOP.Y COMMISSION

{( NRC MANUAL TRANSMITTAL NOTICE CHA.5.h 150-3202 PLF_ICATION OF 7tfriNICAL REPORPS PEPARED BY NR0 CO:CRA~ TORS, INCLUDIN3 EPORTS PEPAED UNDER OR PURSUAF 70 I?CEFXEC' AGREEG7PS SUPERSEDED:

TRANSMITTED:

Date Number Date Number TN 3200-21 h/29/82 Chapter 180-3202 F29/64 Chapter NRO-32C2 Page Page U/29/02 Appendix NR:-3202 6/29/64 Appendix UEO-3202 REMARK 5:

This revisien of Chapter 3202 expands the chapter fmm coverace of unclassified repcrts to include the rarkirs and handling of sensitive unciassified irtemation (Official Use Cr.ly and Lir.ited Official Use Infomation, Safeguards Irfomation, Pmprietary Infomation) and classified irlemation (Tcp Secret, Secret, and Confidential). A se:tien has alsc been added to set forth procedures for the handlinf cf unclassified rep:rts en h?: cooparative programs with foreign g:ver=.ents Er.d emanizaticns and with U.S. industry.

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U.S. NUCLEAR REGULATORY COMMISSION NRC MANUAL Volume: 3000 Information and Foreign Activities 3200 Technical Information and Document Control ADM Part :

CHAPTER 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 3202 01- COVERAGE This chapter and its appendix handbook establish responsibilities , basic requiremen ts , standards and procedures for the documentation, production and dissemination of technical reports prepared by NRC consultants and grantees and by NRC contractors and their subcontractors, including reports prepared under or pursuant to interagency agreements or memorandums of understanding. These reports are hereafter referred to as contractor re-ports . This chapter does not cover NRC staff-generated documents. NRC docket material, or the documents generated by NRC boards, panels ,

advisory committees and Offices that report to the Commission.

3203-02 OBJECTIVES 02] to assure production and dissemination of technical reports as required by the Energy Reorganization Act of 1974 and the Freedom of Infor-mation Act .

022 to assure that dissemination of technical reports is consistent with requirements for public availability of information.

023 to assure that national security, patent rights, copyrights, proprie-tary rights and rights in other sensitive unclassified information are not compromised by the release, distribution, or dissemination of technical reports from NRC.

l I 024 to assure that formal NRC contractor reports will carry the regis-tered NRC designation NUREG/CR or NUREG/CP as the prime identification.

025 to provide for coordination of press or other media releases.

3202-03 RESPONSIBIL! TIES AND AUTHORITIES

! 0 31 The Director, Office of Administration:

l .- a. develops and maintains, in consultation with Directors of Offices and Divisions and Regional Administrators, NRC standards, proce-

{ dures and guides for the production and dissemination of technical contractor reports.

Approved; August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-032 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

b. periodically surveys report activities throughout NRC to ascertain that the provisions of this chapter are adequate and are being implemented; mckes any changes needed.

032 The Director. Division of Technical Information and Document Control:

a. develops and administers a central report control system for identi-fying, printing and distributing contractor reports and responding to requests for unclassified reports.

b. develops and maintains guides and standards for the documentation, formatting, printing, dissemination, and public sale of unclassified contractor reports.

c. assures that a system exists for review of unclassified contractor reports for adherence to patent, copyright and disclosure policies prior to dissemination.

d. establishes and administers interagency agreements necessary for the dissemination and public sale of unclassified contractor reports and controls duplication and printing of contractw reports to assure adherence to the Government Printing and Binding Regulations issued by the Joint Committee on Printing (JCP), Congress of the United States,

e. in response to requests of Directors of Offices and Regional Administrators, establishes distribution data banks, maintains official standard distribution lists for automatic distribution of unclassified contractor reports. and controls distribution to assure adherence to the Government Printing and Binding Regulations, the Privacy Act.

and the Freedom of Information Act.

033 Directors of Offices and Regional Administrators:

a. establish the contract or Standard Order for Work

• provisions, including those required by this chapter and its appendix; Chapter

. NRC-3203, Distribution of Unclassified NRC Staff- and Contractor-Generated Documents and its appendix; Chapter NRC-0260, Print-in g , Copying, Graphics and Photography and its appendix; and Chapter NRC-1102, Procedures for Placement of Work with the Department of Energy. In the Statement of Work:

(1) specify what reports will be geviewed for policy, management.

and legal issues by NRC staff in draft prior to printing and distribution. If the report is to be reviewed by NRC staff, give the conditions under which the contractor may publish documents in the event of unresolvable differences relative to the draf t, including the type of disclaimer to be used in addi-tion to the star.dard government disc: aimer (see Exhibit 6).

in the case of DOE work, this is NRC Form 173, Standard Order for DOE Work. See Chapter NRC-1102.

Approved: August 29, 1984

r PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS NRC-3202-034 (2) provide for the reviews necessary to insure that the national secu rity , patent rights , copyrights , proprietary rights and rights in other sensitive unclassified information are not compromised by the release or dissemination of the reports.

If DOE contractors are to be authorized to make the reviews, designate the contractor officials who are authorized to sign NRC Form 426A prior to NRC distribution of reports (see Appendix , Part IV). Assure that sensitive unclassified and classified reports are marked and handled properly (see Appendix, Part V).

(3) specify that all formal reports carry NUREG/CR or NUREG/CP numbers as the prime identification , as illustrated in the appendix.

(4) specify whether formal reports shall be printed by NRC cir 'ne contractor if the contractor has a JCP-authorized federal print-ing plant (see Appendix Parts 11 and IV).

(5) specify that all formal reports required by NRC shall be distributed by NRC.

(6) establish the number of copies the contractor may retain or request for internal and external distribution anc charge

( against NRC. Written justification must be provided, and approval obtained of the NRC JCP representative (the Director.

Division of Technical Information and Document Control) when the number exceeds the 50 copies authorized by JCP for unclassified reports.

(7) assure the protection of classified and sensitive unclassified information . if any, in contractor reports (see Appendix .

Part V).

b. assure adherence to instructions and authorizations regarding the reproduction and distribution of reports.

c. recommend standard distribution category (ies) for contractor reports to the Division of Technical Information and Document Control .

d. provide changes to the official standard distribution lists to the Division of Technical Information and Document Control.

e. establish procedures for review of contractor's proposed press and other media releases, Office of the Executive IAgal Director provides legal t

034 The review and advice to NRC staff on questions regarding inventions, patents, c

proprietary information, use of copyrighted material, national security, and other sensitive unclassified and classified information.

035 The Director. Office of Public Affairs, upon request of the project l

' manager, reviews proposed contractor's press or other media releases for appropriatenes s .

Approved: August 29, 1984 .

PUBLICATION OF TECHNICAL REPORTS PREPARED BY -

NRC CONTRACTORS INCLUDING REPORTS PREPARED -

- NRC-3202-036 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 036 The Director. Division of Security:

a. administers the overall information security program which includes management of the security classification program and other programs for the protection of sensitive unclassified information.

'b. advises staff of NRC Offices and Regions on the preparation and handling of reports containing classified, proprietary and other sen-sitive unclassified information.

037 The Director, Division of Contracts:

a.. coordinates the flow of all reports to and from contractors (other than DOE contractors) where such reports may result in alterations in the terms and conditions of applicable contracts as they pertain to report production and distribution.

b. advises the contractor as to the source and method for obtaining reports required from the government for performance of the contract.

c. provides contractor with copies of NRC Chapters 0260, 3202, 3203, 3207, and 3210, when appropriate.

d. determines when requests for proposals and invitations for bids, as well as subsequent contracts, should include statements requiring contractor compliance with Chapters NRC-3202, 3207, and 3210 and the Government Printing and Binding Regulations.

e. ensures that appropriate clauses are included in contracts regarding the private use and protection of classified, proprietary and other sensitive unclassified information.

3202-04 DEFINITIONS

• 041 camera-ready copy - pages ready for printing by the offset printing process. This is a coUoquial term used even though the printing process may not involve the so-called copy camera (see also reproducible masters).

042 central report control system - means for developing and maintaining the policies, procedures and guides needed to identify and produce regulatory and technical reports and to assure adherence to requirements and standards for documentation, formatting. printing and dis,tribution.

043 contractor report -

record of work done (a report) prepared in accordance with the provisions of a contract or under or pursuant to an interagency agreement.

Words underscored in definitions are also defined in list.

Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS NRC-3202-044 044 copyright - a form of protection provided by the laws of the United States (Title 17, U.S. Code) to the authors of "original works of authorship" including literary, dramatic, musical, artistic, and certain other intellectual works. This protection is available to both published and unpublished works.

Copyrighted material may not be reproduced without the permission of the author or publisher.

045 disseminate - to announce the publication of reports and make them available for free distribution, sale or copying.

046 distribute - to dispense reports to specific organizations and indi-viduals to assure their participatio in the regulatory process and support of research and technological investigations. Such distribution may be accom-plished by the use of standard distribution data banks established and main-tained by the Division of Technical Information and Document Control based on the requests of the originating Office or Region.

047 documentation - classification and associated markings required for classified or sensitive unclassified documents, the NRC report number unique to the report, title (and subtitle, if any), author or correspondent (if any). organization identification and contract number (or FIN number), date and availability.

048 draft or final material for inclusion in "Safety Evaluation Reports" or "Environmental Statements" (ES) - written material requested for input to

[(- SERs or ESs to be issued as NUREGs. Such material may be edited or modi-fied at the discretion of the NRC staff.

049 formal technical reports - the final product of research, an original investigation . or a significant compilation of information. This product is a formal technical report for publication in the NUREG/CR series. For extensive long-term projects, formal monthly, quarterly or semiannual and annual peri-odic technical reports may be required. A draft of the final or periodic report 3

may be requested for comment prior to preparation of the camera-ready copy 0410 NRC project manager - the NRC staff member responsible for the work performed by consultants or contractors and their subcontractors, or i

for work performed under or pursuant to an interagency agreement.

l 0411 patent review - examination by legal staff to assure protection l

rights in inventions.

0412 proprietary information - trade secrets; privileged or confidential l

research, development, commercial or financial information, exempt from manda-l tory disclosure under 10 CFR Part 2 (Sections 2.740 and 2.790) and under 10 CFR Part 9 (Section 9.5); and other information submitted in confidence to the NRC by a foreign source and determined to be unclassified by the NRC.

0413 publicly available documents - information (reports and references) which is available in the NRC Pubhc Document Room (PDR) for public inspec-

{ ' tion and copying or available in the public domain.

l Approved: August 29, 1984 l

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED '

NRC-3202-0414 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 0414 reproducible masters ' camera-ready copy which includes (1) origi-nals of line drawings (or prints that can be copied), (2) glossy prmts of black and white photographs (colored photographs cannot be reproduced).

(3) original typed or printed text, tables, cover, title page, contents and abstract, or (4) other forms of the materials listed in (1), (2) and (3) that a printer can reproduce.

0415 technical reports - information on the technical aspects of contract work. These may be interim or final technical letter reports, draft or final formal technical reports for pubUcation m the NUREG/CR or NUREG/CP series, or draf t or final material for inclusion in SERs or ESs.

0416 technical letter reports (also caued technical evaluation reports)

- interim. or final letters that provide information on the technical aspects of contract work. Interim technical letter reports may be required at various stages of a project. These reports usuaUy are foDowed by a final technical letter report or a formal technical report. Final technical letter reports are usuaUy specified in situations where the technical work is review and eval-uation of work of others or work to be used by the staff in the licensing and regulation process. Interim letter reports may include, but are not limited to, infomal (interim) progress report s , quick-look reports , data report s ,

status summary reports, project descriptions, pre-tested predictions, model verifications , experiment safety analyses , experiment operating procedures.

facility certification reports, and test result reports.

0417 unique identification - NRC identification ~ used on a report and its attachments , revisions , and supplements that is not used on any other report.

3202-05 BASIC REQUIREMENTS 0 51 Applicability . The provisions of this chapter and its appendix apply to NRC consultants, grantees, contractors and subcontractors, including those working under interagency agreements, whose contracts require the prepara-tion of technical reports. Because of the unique requirements of NRC boards, panels , advisory committees and Offices which report directly to the Commission, the handling of reports prepared by consultants and contractors to them are governed by the board or Panel Chairman and, in the case of advisory committees, by the Advisory Committee Management Officer, or the Commission. These exceptions do not preclude the use of the NUREG/CR series designation on reports prepared for these entities that are to be given wide public dissemination.

052 Foms. NRC Form 426A, "Publication Release for Unclassified NRC Contractor and Consultant Reports" (Exhibit 5), NRC Form 335, "Biblio-graphic Data Sheet" (Exhibit 7), and NRC Form 190, "Cover Sheet for Reports Containing Proprietary Information" (Exhibit 19), shall be used as provided in the appendix.

053 Appendix 3202. This appendix contains standards and procedures for the preparation of reporting requirement portions of Statements of Work, ;I and for the documentation, production, and dissemination of technical reports

, prepared by ,:ontractors and other government agencies in accordance with contract requirements or interagency agreements.

', Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED

. UNDER OR PURSl' ANT TO INTERAGENCY AGREEMENTS NRC-3202-054 054 Preparation Requirements

a. Reports to be Printed by NRC. All contractor reports to be printed by NRC shall be prepared according to Appendix 3202. The repro-ducible masters for the requisite distribution shall be transmitted to the Division of Technical Information and Document Control accom-panied by completed NRC Form 426A and NRC Form 335.

b. Reports Printed by Authorized Federal Printing Plants. All contrac-tor reports to be printed by the contractor (as specified by the contract, agreement, or standard order for work) shall be prepared according to Appendix 3202, and a reproducible master and suffi-cient copies for standard and incidental distribution shall be sup-plied to the Division of Technical Information and Document Control.

accompanied by completed NRC Form 426A, signed by the authorized contractor official. Each such report shall include, as the last page, a completed NRC Form 335.

055 References. The NRC chapters referenced and NUREG-0794 (ref. j) and NL' REG-0650 (ref. i) are available from the Division of Technical Informa-tion and Document Con trol . The other publications are available from the Government Printing Office.

- a. Chapter NRC-0260, "Printing. Copying Graphics and Photography "

\ b. Chapter and Appendix NRC-2101, "NRC Security Program."

c. Chapter NRC-3203. "Distribution of Unclassified NRC Staff- and Contractor-Generated Documents."

d. Chapter N R C- 110'.' . "Procedures for Placement of Work with the Department of Energy."

e. Chapter NRC-3206. "NRC Contractor Speeches, Papers and Journal Articles on Regulatory and Technical Subjects."

f. Chapter NRC-3207, "Conferences and Conference Proceedings . "

g. Title 44. U.S. Code, "Public Printing and Documents." Government Printing Office.

h. Government Printing and Binding Regulations of the Joint Committee on Printing Congress of the United States. No. 24, April 1977 (JCP Regulations), Government Printing Office.

i. Title 5. U.S. Code. "Government Organization and Employees ,"

Government Printing Office.

! (

Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS. INCLUDING REPORTS PREPARED NRC-3202-055 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS n

j. "Technical Writing Style Guide." A. W. Savolainen et al. , compilers.

U.S. NRC Report NUREG-0650, November 1979, and Supplement 1.

February 1982.

k. "Protection of Unclassified Safeguards Information," D. J. Kasun.

USNRC Report NUREG-0794, October 1981.

1. Chapter NRC-0255, "Mail Management." and Appendix 02'55, Part V.

Annex A.

l a

Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY

. NRC CONTRACTORS. INCLUDING REPORTS PREPARED

,- L'NDER OR PURSU ANT TO INTER AGENCY AGREEMENTS NRC Appendix 3202 I

(

CONTENTS PAGE PART 1 PREPARATION OF REPORTING-REQUIREMENTS PORTIONS OF STATEMENTS OF WORK FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR 00E WORK A. LIST OF TECHNICAL REPORT REQUIREMENTS......................... 1 2

B. REQUIREMENTS FOR FORMAL REPORTS....... .......................

2 C. REQUIREMENTS FOR ORAFT REPORT 5................................

D. PUBLISHING UNCLASSIFIED, NON-SENSITIVE INFORMATION 3

IN OPEN LITERATURE AND PRESENTING PAPER 5. . . . . . . . . . . . . . . . . . . . .

4 E. TYPOGRAPHY............... ............................. ......

F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND 4

CLASSIFIED INFORMAT10N........................................

G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES

....... 4 AND WORKSHOP 5.........................................

5 H. WRIT ING AND PUBLISHING UNCLASSIF IED B00KS. . . . . . . . . . . . . . . . . . . . .

5

1. Ol5TRIBUT10N OF REPORTS TO CONTRACTOR 5........................

J. COORD] NATION OF PRESS OR OTHER MEDIA RELEASES 5

OF UNC L ASSI F I ED INFORMAT 10N. . . . . . . . . . . . . . . . . . . . . . . . . .

7 PART ll UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC...

..... ................. ..... .. 7 A. DOCUMENTATION.. . ...........

7

1. Applicability......... .. ...............................

7

2. Front Cover and Title Page............................... 9

3. Availability Information.................................

9

4. Disclaimee.............. ......................... ......

9

5. Previous Reports in 5eries...............................

9

6. Abstract.................................................

9

7. References and Bibliographies............................

10

8. Bibliographic Data Sheet........ .................... ...

10 B. PATENT AND SECURITY REVIEW 5...................................

10

1. Patent Review............................................

• 10

2. Security Review..........................................

lL i Approved: August 29, 1984

- - . . . .....w PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS CONTENTS (Continued)

PAGE C. PROCEDURES FOR PRINTING AND DISTRIBUTING...................... 11

1. Printing................................................. 11

2. Reprinting................................................ 11

3. Distribution of Reports.................................. 11 EXHIBITS

1. Sample Cover for Unclassified Formal Contractor-Prepared Reports, Excluding Those Printed by DOE Labaratories with JCP Authorized Federal Printing Plants..... .................................... 13 2 Sample Title Page for Unclassified Formal Contractor-Prepared Reports, Excluding Those Printed by DOE Laboratories with JCP Authorized Federal Printing Plants.............................. . 14

3. Sample Cover for Unclassified Formal Reports Printed by DOE Laboratories with JCP Authorized Federal Printing Plants........ . 15

4. Sample Title Page for Unclassified Formal Reports Printed by 00E Laboratories with JCP Authorized Federal Printing Plants....................................................... .... 16

5. NRC Form 426A, Publications Release.. ........................ 17

6. Disclaimer and Availability Statements.................... .. ... 18

7. NRC Form 335, Bibliographic Data Sheet.. ......................... 19 PART 111 UNCLASSIFIED TECHNICAL LETTER REP 0RTS........................ 21 A. FORHAT., ....... ......................................... 21

1. Applicability..................................... ..... 21

2. Requirements............................................ 21

( B. PATENT AND SECURITY REVIEWS................... ............. 21

1. Patent Review.................................. .. .. 21

2. Security Review......................................... 22 PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE OFFICE OF NUCLEAR REGULATORY RESEARCH BY 00E LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS....... ............. 23 A. DOCUMENTATION..... . ................................... . 23 J

1. Applicability..................................... .... 23

2. Front Cover and Title Page................. ........... 23 Approved : August 29, 1984 ii

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 CONTENTS (Continued)

PAGE

3. Availability and Price Information..................... 25

4. Disclaimer............................................. 25

5. Previous Reports in 5eries............................. 25

6. Abstract............................................... 25

7. References and Bibliographies.......................... 26

8. Bibliographic Data 5heet............................... 26 B. PATENT AND SECURITY REVIEW 5................................. 26

1. Patent Review........................................ . 26

2. Security Review........................................ 26 C. PROCEDURES FOR PRINTING AND DISTRIBUTING.................... 27

1. Printing .. ........................................... 27

2. Reprinting............................................. 27

3. Distribution of Reports......... ..................... 27 PART V REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMAT10N...................................... 29 A. APPLICABILITY...... ...... ........... ..................... 29 B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION...... 29 30 C. PROPRIETARY INFORMAT10N.....................................

SAFEGUARDS INFORMATION,. ................................... 31 D.

31 E. CLASSIFIED INFORMAT10N......................................

EXHIBITS

8. Sample Cover for a Contractor Report Containing Official Use 33 Only Information..................................................

9. Sample Title Page for a Contractor Report Containing Official 34 U s e O n l y I n f o rm a t i o n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

10. Sample Back Cover for a Contractor Report Containing Official 35 Use Only Information..............................................

11. Sample Cover for a Contractor Report Containing Limited 36 O f f i c i a l U s e I n f o rm a t i o n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

12. Sample Title Page for a Contractor Report Containing Limited

............ 37 Official Use Information.............................

iii Approved: August 29, 1984

'~~

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 l'NDER OR PURSUANT TO INTERAGENCY AGREEMENTS CONTENTS (Continued)

PAGE

13. Sample Back Cover for a Contractor Report Containin Limited Official Use Information...........................g ............... 38

14. Sample Cover for a Contractor Report Containing Proprietary information Obtained from a U.S. Organization..................... 39

15. Sample Cover Page for a Contractor Report Containing Proprietary Information Obtained f rom a Foreign Source. . . . . . . . . . . . 40

16. Sample Title Page for a Contractor Report Containing Proprietary Information Obtained from a U.S. Organization......... 41

17. Sample Title Page for a Contractor Report Containing Proprietary Information Obtained from a Foreign Source............ 42

18. Sample Back Cover for a Contractor Report Containing Proprietary Information.... ...................... ......... ..... 43

19. Cover Sheet for Reports Containing Proprietary Information. . . . . . . . 44

20. Sample Cover for a Contractor Report Containing Unclassified Safeguards Information....... ....... ............... 45

21. Sample Title Page for a Contractor Report Containing Unclassified Safeguards Information................... ...... ... 46

22. Sample Back Cover for a Contractor Report Containing Unclassified Safeguarcs Information.. ... ..................... . 47

23. Cover Sheet for a Contractor Report Containin0 Unclassified j Safeguards Information............................................ 48 PART VI. HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH l INDU5TRY..................................................... 49 A.

PREPARATION OF ORAFT PRELIMINARY REPORTS FOR COMMENT......... 49 B. D15TRIBUT10N BY NRC PROJECT MANAGER 5......................... 50 C.

COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT. . . . . . . . . . . . . . 50 l

l

0. REPORT 10ENTIFIERS........................................... '

50 l

l E. MAILING TO PROGRAM PARTICIPANTS.............................. 51 F. SECURITY...... .............................. ............... 51 Approved: August 29, 1984 l iv i

\ , _

.' Pl*BLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 l'NDER OR PURSU ANT TO INTER AGENCY AGREEMENTS CONTENTS (Continued)

PAGE EXHIBITS 24 Sample Cover for a Draft Preliminary Report (Code) for Comment... 52

25. Transmittal Letter f rom Contractor to NRC Project Manager for Draft Preliminary Report (Code)................................... 53

26. Transmittal Sheet f or Requesting Mailing to Cooperative Program Participants...................................................... 54 s

v A',' prove d : August 29, 1984 ;

.i

' * ^ = ~ - - ' --- - _ _ _ _ _ _

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS I

L.

PARTI PREPAR ATION OF REPORTING REQUIREMENT PORTIONS OF STATEMENTS OF WORK FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR DOE WORN A: LIST OF TECHNICAL REPORT REQUIREMENTS List the technical reports required from each project, task or subtask, as applicable. State when and to whom they should be submitted and what they should contain. These reports may be unclassified, sensitive unclassified or classified. Standards for each of these categories are presented in Parts 11 through V The following definitions describe the types of reports that may be specified; technical reports - information on the technical aspects of centract work. These may be interim or final technical letter reports, draf t or final formal technical reports for publication in the NUREG/CR or NUREG/CP series , or draf t or final material for inclusion in SERs or ESs (see definitions below).

technical letter reports (also called technical evaluation reports) -

interim or final letters that provide information on the technical

( aspects of the contract work. Interim technical letter reports may be required at various stages of a project. These interim letters usually are followed by a final technical letter report or a formal technical report. Final technical letter reports are usually specified in situations where the technical work is review and evaluation of work of others or work to be used by the staff in the licensing and regulation process. Interim letter reports may include, but are not limited to, inf ormal (interim) progress reports, quick-look reports, data reports, status summary reports, project descriptions, pre-test predictions , model verifications , experiment safety anal-yses. experiment operating procedures , facility certification reports, and test result reports. These reports must be identified with the financi::1 number (FIN) assigned to the project. They are not to be identified with DOE registered report codes. The num-ber of copies to be prepart.d and the distribution of those copies will be specified by the project manager.

formal technical reports - the final product of research, an original investigation or a significant compilation of information. This pro-duct is a formal technical report for pubifcation in the NUREG/CR or NUREG/CP series. For extensive long-term projects, fonnal monthly, quarterly or semiannual and annual periodic technical reports may be required. A draf t of the final or periodic report may be requested for comment prior to preparation of the camera-ready copy, r

I(.

1 Approved: August 29, 1984 i

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

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 - NRC CONTR ACTORS. INCLUDING REPORTS PREPARED

" . Part 1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS draft or final material for publication or inclusion in SERs. ESs.

letters. or heense amendments - written material requested for use

. in the NRC heensing process. Such material may be (1) abstracted in a NUREG report or attached to a NUREG report. (2) attached to a letter or an amendment to the license, or (3)' abstracted and used as necessary by the NRC staff. NRC requires patent review and full management. review of this material by_ the performing organiza- '

tion. This material is to be submitted to NRC as a technical letter report addressed to the project manager and identified by the FIN '

number.

For purposes - of this Part, contractor means a private contractor, con-sult:nt. grantee. another State or Federal Agency working onder an interagency agreement. or a DOE / facility or National Laboratory (con-tractor) and subcontractors.

B. REQUIREMENTS FOR FORMAL REPORTS If the contractor is to prepare a final formal technical report for publi- '

cation. state that it will be printced and distributed by NRC from camera- '

ready copy submitted by the contractor, unless the work is being done  :

, for the Office of Nuclear Regulatory Research by a DOE facility or Laboratary with a JCP-authorized printing plant. The camera-ready copy is to be prepared in accordance with the provisions of this appen-dix. Parts 11 and V (for contractors other than DOE contractors). or  !

Parts IV and V of this appendix and Chapter 1102 (for DOE contrac- '

, tors). A style guide is also available free, upon request (NUREG-

0650). If the report is to be printed by NRC and it is unclassified. the camera-ready copy is to be submitted by the contractor to the Director, i Division of Technical:r. formation and Document Control, NRC Washington. ,

D.C. 20555, by first class mail. For handling of sensitive unclassified and classified reports see Part V of this appendix and NRC Appendix 2101.

Unclassified reports printed for the Office of Nuclear Regulatory Research

! should be handled in accordance with Parts IV and V of this appendix and/or Chapter 1102.  ;

C. REQUIREMENTS FOR DRAFT REPORTS l-If a draf t is desired prior to completion of a final technical letter report.  !

formal technical report final material for inclusion in an SER or ES, or  !

for comment by participants in cooperative programs with foreign gov- i ernments and organizations and with U.S. industry, state that require- 1 l ment and the time frame for delivering the final camera-ready copy after receiving NRC and/or participant comutents on the draft. State that all

draft material should be submitted to the cognizant project manager.  !

t l

When the contractor is to submit draft material for comment prior to the j preparation of the final report, state that if there are NRC program ,

l and/or participant comments the contractor will be asked to make changes.

l If agreement on the changes is reached, the NRC manager will authoriae  ;

i the contractor to prepare the final copy and submit it to the project i manager, if it is a letter report or input to an SER or ES, or to the l Director. Division of Technical Information and Document control, if it is

. Approved: August 29, 1984 2

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202

, UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS Part 1 l

k (.amera-ready copy for printing and distribution. This is to be done to assure proper publication, handling, and distribution and, among other things. to preclude furt%r changes that might nullify the agreement. If caveats were agreed to and the project manager wishes to check the final document for their presence, he/she should inform TIDC of that desire.

In that case, upon receipt of the camera-ready copy by TIDC, the project manager will be informed and requested to prepare and sign the NRC Form 426A.

Also state that if agreement on changes to a formal technical report to be issued in the NUREG/CR series is not reached, the NRC project manager may request the contractor to prepare the camera-ready copy with, in addition to the standard disclaimer required on all contractor formal reports (see Exhibit 6), any caveats deemed necessary to cover NRC objections. Such caveats may range from the "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.

State that if NRC objections cannot be covered in this manner, NRC can refuse to publish the report. In the case of DOE / National Laboratory reports. the DOE Operations Office Manager responsible for that labora-tory should be informed by the NRC Office Director or Regional Adminis-trator of the decision and the reasons therefor, with a copy to the Laboratory Director. In the case of another Federal agency, a State, or

( a private contractor, the person who executed the contract should simi-larly be informed by the NRC Contracting Officer. The contractor is then free to publish without NRC identification of the report. Project manager or higher level decisions may be appealed to the NRC Executive Director for Operations.

D. PUBLISHING UNCLASSIFIED INFORMATION IN OPEN LITERATURE AND PRESENTING PAPERS If the contractor's principal investigator is to be allowed to publish in the open literature instead of submitting a final report and/cr present papers at public or association meetings during the course of the work, add the following statement to the Statement of Work:

The principal investigator (s) may publish the results of this work in the open literature instead of submitting a final report and/or present papers at public or association meetings at interim stages of i

the work.

If the project manager wants to review the paper or journal article prior to presentation or submission for publication, state this in the Statement of Work, as follows:

Tne principal investigator (s) may publish the results of this work in l g the open literature instead of submitting a final report and/or pre-i sent papers at public or association meetings at interim stages of the l {L work, if the article or paper has been reviewed by the NRC project 3 Approved : August 29, 1984 l

l t

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part i UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS manager in draft form and agreement has been reached on the con-tent. The applicable procedures set forth in Chapters NRC-3206 or NRC-Il02 must be followed.

If agreement is not reached NRC may also ask that the paper include in addition to the standard statement "Work supported by the U.S.

Nuclear Regulatory Commission," any caveats deemed necessary to cover NRC objections. If NRC objections cannot be covered in this manner, NRC can refuse to authorize publication in the'open litera-ture and/or presentation of papers.

In the latter case, NRC will infonn the contractor of the decision, as stated above for formal reports (see Section C, paragraphs 3 and 4).

The contractor is then free to publish without NRC identification of the information . This will not affect payment of the contract work costs.

Project manager or higher level decisions may be appealed to the NRC Executive Director for Operations.

If the contractor proposes to publish in the open literature or present the information at meetings c addition to submitting the required tech-nical reports, approval of the proposed article or presentation should be obtained from the NRC project manager. The NRC project manager shall either approve the material as submitted, approve it subject to NRC-suggested revisions, or disapprove it. In any event, a project manager may disapprove or delay presentation or publication of papers on infor-mation that is subject to Commissioner approval that has not been ruled 1:pon or which has been disapproved.

tSee Chapter 3206 for provisions relating to payment of page charges and travel costs for presentation of papers.)

E. TYPOGRAPHY The text of reports must be single spaced on 84 x 11-in. paper, unless otherwise speci.fically authorized. Occasionally, reports with many sym-bois and mathematical expressions may require one and one-half spacing to provide for superscripts and subscripts . This spacing should be allowed where needed, but should be considered an exception, not the standard.

F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSlFIED l ,

INFORMATION j Details of the marking of reports designated Official Use Only. Limited Official Use, Proprietary information , Safeguards information , and classified (Confidential, Secret, and Top Secret) are provided in Part V l

of this appendix and in NRC Appendix 2101. ,

l G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND l

WORKSHOPS NRC publishes or assists in the publication of compilations of papers l

presented at meetings , conferences, and symposiums in which NRC

. Approved: August 29, 1984 4 .

i I

I PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS Part I (f participates as a sponsor or cosponsor. Chapter NRC-3207, "Conferences and Conference Proceedings," provides general information and guidance for this. More detailed guidance is available from TIDC upon request.

H. WRITING AND PUBLISHING UNCLASSIFIED BOONS NRC may, under certain circumstances , publish books prepared by grantees or contractors. For general information and guidance on book publishing, see Chapter NRC-3210, "Book Writing and Publishing."

1. DISTRIBUTION OF REPORTS TO CONTRACTORS Up to 50 copies of unclassified formal technical reports may be retained by or will be bulk shipped to the contractor by NRC for internal use.

If fewer than 50 copies are needed, indicate the desired quantity on NRC Form 426A. Single copies for specific individuals in organizations other than the contractor's organization who are not included in the distribution requested by the NRC project manager may be requested on a project basis or on a report-by-report basis. The request, with written justifi-cation, should be addressed to the NRC project manager, with a copy to NRC/TIDC. If the additional distribution is approved by the NRC project manager, the contractor shall send these copies (if printing is done by the contractor) and address labels, even if printing is done by NRC. to NRC/TIDC, where the distribution will be made along with the

- standard distribution. Distribution of sensitive unclassified and clessi-fied reports will be made by the project manager on a case-by-case basis.

(

J. COORDINATION OF PRESS OR OTHER MEDI A RELEASES OF UNCLASSI-FIED INFORMATION A contractor may request permission to issue a press or other media release on the work being done. Such request shall be made to the project manager, who will consult with his/her management and with the Office of Public Affairs. The contractor may not issue a press release on nonroutine information without this prior coordination. This coordination may be accomplished by telephone, with the NRC project manager respon-sible for expeditious handling. Decisions not to release information or delays in handling by the project manager may be appealed to the NRC Executive Director for Operations.

l l

l

• g lt 5 Approved: August 29, 1984 l

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS I

s PART 11 UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC A. DOCUMENTATION

1. Applicability

a. The requirements of this part apply to contractor and inter-agency agreement reports that are to be printed by NRC.

Contractors may not print reports prepared for NRC except those DOE laboratories with JCP-authorized printing plants and then only those reports prepared for NRC's Office of Nuebr Regulatory Research.

b. With respect to sensitive unclassified and classified reports.

the requirements set forth in Part V of this appendix shall be used in conjunction with NRC Appendix 2101.

c. The requirements of this part do not apply to consultants and contractors of the NRC boards, panels, and advisory commit-tees which report directly to the Commission.

( 2. Front Cover and Title Page

a. Separate covers and title pages are required (see Exhibits 1 and 2 for contractor reports and Exhibits 3 and 4 for reports prepared under or pursuant to interagency agreements).*

b. The items shown in Exhibits 1 through 4 and discussed below shall appear on the title page and cover, as appropriate.**

(1) NRC Report Number Each report shall be identified by an NRC-controlled f alpha-numeric designation as the prime designation unique to that report. The centralized report control system for unique identification is maintained by the Division of Numbers Technical Information and Document Control.

! may be obtained by call.ing the Division of Technical Infor-l mation and Document Control or by submitting a copy of NRC Form 426A (Exhibit 5) with a request for a number Reproducible copy of the cover of the performing organization mey be sub-l mitted; however, the data elements shown in Exhibit I must be included.

l These requirements meet the specifications of American National Standard

\ st

( ANSI Z39.18 1974, Guidelines for Format and Production of Scientific and Technical Reports, and ANSI Z39.23-1974. Technical Report Numbers.

7 Approved: August 29, 1984 1

l J

.NRC Appendix 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCLUDING REPORTS PREPARED '

Part 11 '

UNDER OR PURSUANT TO INTERAGENQY AGREEMENTS The NRC identification number will have the form:

NUREG/CR-LXXX or NUREG/CP-XXXX where CP indicates conference proceeding. The contrac-tor's report number, if any, may be inserted below the NUREG number on the title page and cover, as shown in Exhibits I through 4, if desired by the contractor.

When a report consists of more than one volume or bind-ing or is issued in more than one edition, an appropriate volume , supphment , part or revision designation shall appear immediately below the report number.

(2) Title and Subtitle (a) Use a brief title that indicates clearly the subject raatter covered in the report.

(b) When a report is prepared b more than one volume.

repeat the primary title on each volume.

(c) If appropriate, show the type of report (e.g.,

annual report, final report, th esis , etc.) and the period covered as part of the subtitle.

(L' Personal Author (s)' Name(s)

Authors' names should be given on the title page and cover unless this is impractical, as in the case of annual reports which have many contributors. If authors' contri-butions are as editors, compilers, etc. , so indicate on the title page following the names. In addition, list affiliation of each author only if affiliated with an organization other than the organization generating the document.

(4) Organization Identification on the title page and cover, provide information of the type illustrated in Exhibits 1 through 4.

(5) Basis for Report Date(s)

(a) The basis for dating may be shown along with the date on the title page. Various bases for dating are possible; e.g., date report completed, date reviews completed , date published, date distributed, etc.

(b) More than one date, with the basis for each, may be shown where this is necessary.

Approved : August 29, 1984 8

. PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 11

3. AvaDability Information All formal reports will be made avaDable for sale by NRC and by i the National Technical Information Service (NTIS). Exhibit 6 will be inserted on the inside of the front cover by the Division of Technical Information and Document Control.

4. Disclaimer The following notice will be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by an agency of the United States Government. Neither the United States Government nor any agency thereof, or any of their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any information, apparatus , product or process disclosed in this report, or repre-sents that its use by such third party would not infringe privately owned rights . " The following additional statement, "The views expressed in this report are not necessarily those of the U.S.

Nuclear Regulatory Commission" will be printed below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed (see Part 1.C. , Requirements for Draft Reports).

5. Previous Reports in Series if the report being prepared is one in an ongoing series, list all previous reports in the series, include report numbers and issu-ance dates. Place this list on the back of. the title page.

6. Abstract An abstract of 200 words or less shall be prepared for each formal report . Within the report, the abstract shall appear on a separate page between the litt of previous documents in the series and the contents page.*

7. References and Bibliographies Reports or other documents referenced in text, reference sections, bibliographies , and appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office, at the National Technical Information Service, or at other reference or sales outlets) or in the NRC Public Document Room . This means that references should not be inade to personal communications and interviews, unpublished e

This preferred positioning of the abstract in the report need not be followed e if the style manual of the originating organization requires a different location .

( ,

9 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. lNCLUDING REPORTS PREPARED Part II UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS information and information with restricted distribution (e.g.,

proprietary , national security , official use only , etc.). If the unretrievable informatien is important and unrestricted, it can be quoted in the text, in footnotes, or in appendixes. If credit is due to individuals, they can be mentioned in the text or in an acknow-ledgement section. Availability may be stated collectively for all entries (see Exhibit 6).

Guidelines for developing and presenting reference,, material are provided in NUREG-0650, "Technical Writing Style Guide . "

published in November 1979 (see Appendix A, pp . 19- 23, for specific guidance) and Supplement I dated February 1982.

8. Bibliographie Data Sheet NRC Form 335 (Exhibit 7) shau be prepared and included in the camera-ready copy as the final right-hand page.

B. PATENT AND SECURITY REVIEWS

1. Patent Review Patent implications shau be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor. If the work being reported is contractually managed through another government agency (e.g. .

DOE laboratories), that government agency should be requested by the contractor to perform the patent review. The result of such review shaU be reported on NRC Fonn 426A in item 11 (Exhibit 5).

If NRC directly administers the contract or the contractor is unable to cbtain a patent clearance from the government agency administer-ing the contract, the responsible NRC contracting officer shaU be consulted, and the responsible NRC project manager shaU consider the patent implications . If there is no need for patent review because of the certainty that the report contains no description of novel technical developments which may be of an inventive nature.

NRC Form 426A may be completed with the statement "Not Appli-cable" or "N/A" in the space for the Patent Counsel's signature. If there is a possibility that there is disclosure of developments of an inventive nature, the contracting officer shaU request assistance from the NRC Patent Counsel, Office of the Executive Legal Director.

2. Security Review ,

l In most cases, contractor reports win be unclassified. Should a i

report of sensitive unclassified or classified work be required, however, the NRC project manager must work with the NRC i Division of Security to establish the appropriate procedures and

, inform the contractor of such procedures through the contracting officer. The standards for marking and handling such reports are l

given in Part V of this appendix and NRC Appendix 2101, 1 .

l Approved: August 29, 1984 10 l

1 _ _

l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Part !!

C. PROCEDURES FOR PRINTING AND DI3TRIBUTING

1. Printing Reproducible masters prepared in accordance with this appendix shall be transmitted to the Division of Technical Information and Document Control, accompanied by completed NRC Form 426A (Exhibit 5). NRC Form 426A must be signed by the NRC project manager or a contractor official authorized by the project manager.

Such authorization shall be reported in writing to TiDC.

The Division of Technical Infomation and Document Control will review the masters for adherence to the standards set forth in this chaptcr and appendix and will arrange for printing and distributing the report. Unsatisfactory me.sters will be reported to the NRC project manager for appropriate centractual action by the contract-ing officer or, in the case of government agency or interagency agreement work, the publications manager of the performing organization.

2. Reprintin g Requests for reprinting any report subsequent to the initial print-ing require approval of the Division of Technical Information and Document Control. Each request shall include a written justification

- and the project manager's approval for reprinting along with ad-dress labels for the recipients.

3. Distribution of Reports All copies of unclassified formal contractor reports will be distrib-uted by the Division of Technical Information and Document Control in accordance with instructions on NRC Form 426A (Exhibit 5). The Division of Technical Information and Document Control will also arrange automatic distribution of these reports to the NRC Docu-ment Cor, trol System, the NRC Public Document Room, the National Technical Information Service (NTIS), the Government Printing Office and the Depository Library Service, if any distribution is to be made other than, or in addition to, the standard distribution established for the report, written justification and the project manager's approval for printing additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control. Address labels for the additional distribution must be supplied.

Distribution of sensitive unclassified and classified reports will be made by the NRC project manager on a case-by-case basis.

l -

(

11 Approved: August 29, 1984

PUBL1 CATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED

'e- :'

UNDER OR PitRSU ANT TO INTER AGENCY AGREEMENTS

( .

EXHIBIT 1 SAMPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NUREG /CR.1676 NRC Report No. NUSAC 566 Contractor Report No. (if any) Vol.1 Vol., Part, Rev., etc. (if any) r - -- T-._ .- :_T L

~__. _- __. _.--

T,ue Using Advanced Process Monitoring to improve Material Control

( Su,retle end Type of Report Final Report

( Annual, Topical, etc.)

Stptember 1979 September 1980 PIec.e es ed5 hee.Es a t tynen3 hSv7 Author (s)

NUSAC incorporated Contractor

""C lu'1l'{.'/,*.'....v I

l l' l

i 13 Approved: August 29, 1984 1

A PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTR ACTORS, INCLUDING REPORTS PREPARED Part 11 _ UNDER OR PURSU ANT TO INTER AGEPCY AGREEMENTS EXHIBIT 2 SAMPLE TITLE PAGE FOR UNCLASSli: LED FORP,iAL CONTRAC'.' OR-PREPARED DOCUMENTS, EXCLUDING THOSE P AEPAREL' UNDE" OR PURSUANT TO INTERAGENCY AGF.EEMENTS NRC REPORT No. NumEG CR 1676 Contractor Report No. (if any) NUS AC 556 Vol.. Par., Rev.,'etc. Of any) V"' ' '

Distribution Category No. (if any)

T,ue Using Advanced Process Monitoring to Improve Material Control Subtstle and Type of Report Fenal Report

( Annual, Topical, etc.) September 1979 September 1910 Report Os*:s and Bases

. < - , ,,y. w w Author (s), Editor (s). . . . . ,

Compile r(s), etc. *'**~"""'""

Contractor Name s.s.: :.r.. .-

and Addres N,*,I'J.'Ed u

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i Approved : August 29, 1984 14 9

1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRI Annandh 3707 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS  ;'a' '. ! !

- EXHIBIT 3 SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No- NUREG'CR 1952 Contractor Report No- S AND810151 Vol., Part R ev., etc.

LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks independent Verification Testing Program

(,

Type of Report Independent Verification Test 1 or Subtitle

=

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Author (s), E ditor(s) h 'a R$b^o "A "si'eNif NI[

contrsetor s....s.....t...........

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k 15 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY .

NRC Appendix 3202 NRC CONTR ACTORS. INCLUDING REPORTS PREPARED Part 11 _

l'NDER OR Pl'RSU ANT TO INTER AGENCY AGREEMENTS EXHlBIT 4 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No.

Contractor's Report No.

Vol., Part Rev., etc. NURIG'CR 1952 1 0151 Distribution k4 Category

w. LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks Subtitle ame,pene,*: ver,ficat on Testing Prog'am imotDemotet Verification Itst i Report Dates . ...., ,:., ..,....... .

.s#v , v.. .w Author (s), E ditor(s) *. . ..

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i l

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Approved . August 29. 1984 16 I

1 - - - .

.' PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED N R (' Appendix 3202 UNDER OR PURS11 ANT TO INTERAGENCY AGREEMENTS Pa-: II EXHIBIT 5 NRC FORM 426A. PUBLICATIONS RELEASE FOR UNCLASSIFIED NRC CONTRACTOR AND CONSULTANT REPORTS

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17 Approved . August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED l'a r t 11 UNDER OR PURSUANT TO INTER AGENCY AGREE &1ENTS EXHIBIT 8 .

DISCLAIMER AND AVAILABILITY STATEMENTS (SACK OF COVER) leDTICE .

This resort ses maarer. m en omsmere of eart sponsorse er en essaev of the 9dued Bume Gomermawat leermer we United Siete Georvesere amt mer assney toureof. er ser of their oogseveen. me n ea, morreaty, espessed er esofed. er emneses any tegel itstMy of so-toere4*l6v ler eaY 94Wd estiT'l iM. er 18e FMf8W of SWIiM. of eat eM N reewt of resete destessi en thee report, er segrements that it og Dr ese thed pyty usedd met er frg posted; ee*eg esphts NOTICE Avewty ef Re+cwee Mevoreti Ceted m NRC Pnmeetmore Mon soewamaa eites in NRC meratere sail be eo6 mete kom are ef Pe tone ==as senareas

t. TN N RC P.tm Doev aent Rsom.1717 M Seest. N w wsamreea. DC 30H4 i 2. TM N R C/GPO lson Preyem. U S. hweisse Regwienery Ceavneen, menervea. OC 70666 3 TN Natie*e' Technai latermsten norvice. terefood. V A 22141 Amhamsem the listM that Ivesi reeressan the moperity of assuments tried m NRC pWestiere it ut het taleased to se eartsustne Rete eased Secumean eve.tetr e e ter erusertea end empeng hr 4 les hem ye NRC Pimac Desw meat Room inc6 wee hR C eeremooreence end .nierrei NRC aemeroses. NRC 0* fee of truserten ead ta'erceawat tm,itet.as crewiers interassen recess russeien eru2 easenaptea nosaan.

License ivoat Reso 's ve%cr resort erW terressenerire. Commassen pecore, eM emptasent eM taccuse seewawan are serrepererrwe TN to ne wy socw wan a ia the hun tG inre e,e **ista. ter pare 8use hem tre N ACAPO Setus i

Proyem formai N RC eneM eM esatracter remers NRCeserwares senterwise eresumpgs. eq l N R C beid neu erW broc%,ren Aino avoitem ere Reprietary Gween. NRC sepateters m the Com er

#eerst Aap,aereas. erW 4.,rer Aspdorary CeavsmanswiiMaruss

! Doevaeas ee4eeee from the heteral Teshrusel 6asesw geves penme quaqG erisi f resort e4 teceasesi resorte yescred b, emer leerei spic us pred regers preprog by the Asynac I trergy Comme.oa. krwurver ogsru y to the hwsaser Aepietary Cearnesen Deewasas eensene bem pm.: erW isseet movesel tareras behase es es n weromme insee.  ;

mich as tooks. powmot end parameuel petirte, ord weremetsure Asseruf Asposer normes. teerei erW se = ingsaten. end tengemensi reseru osa innes, to steams hem ous terwiss Demnawas mica es eemus, eurotors. W reemre erw runstseens.end meMemC androus pressawip are eveneesi ter parepass hem 18e crymastee suormereg Wie pednesslam eased.

Sqw tooei e' N 4C ereM reserts are eve 4sede free. to tN entant of moelv, ween ernem reewest to piis D*eca of Tec*nsai Inkrmetoa wid Dema entaCentrol. U S. Deucasar Aegn,isenry Com-

==een. m esmevea. OC 3 cut Csem of menerry seen one sannere uses m o nahmeatre aereur > 9e te4C puestsery presse are weasaes et tw NRC Lererr 7970 feertee Aeonus. teeman, heryterW. one are aussasse ei-e sw re+, vee 6, es aime. . Geen wW senere n imme r emoveviens w , ne sure.se *em me enersa, macea w. w es, n Aaur ==a =cenni es==,.. er we

• Aaeresa hee ei ser ire,ivte. t uo e,eee=,. sea, vwe. My toola coo w east noe

. Approved August 24, 1981 18

l l

. PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Aonendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTER AGTNg* AGREEMENTS Fet II EXHIBIT 7 NRC FORM 336 BIBLIOGRAPHIC DATA SHEET

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19 Approved : August 29, 1984

1 1

NRC Appendix 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY ~

NRC CONTRACTORS, INCLUDING REPORTS PREPARED '

Part 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHl81T 7 (Continued)

BACK OF NRC FORM 335 00 NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT anstmuctens hac 8085W 335. SiOLt00m APMIC CATA BMitt. IS S Alf 0 Oss cy:Of Ligts 904 00mWAT AND Pet 00vCit04 08 SCithfl8st AND ttCMNiCAL mP04t8 ANil 23918 1974 AV AIL ASLt Fm0W AWlalC AN teatt0 s AL 8t ANDAR081%$titytt.1430 cm0 A0nay, Ntn voan. NY 10018 ( ACM ste gmatt kv gov %D Aleomt.80m E R AWeLE,'E ACM VOLUWE IN & WWtiVCLVWE Stt.5m&LL Mavt its uailowt tiOLicoma'MIC OATA SMitt

1. Al*Q at h unesta. toca .ac...e.e4, nova s ee .i saen it sp0ess0 mise 0 omeansitAt:0es L.,het 0.. a.#N. e se*', a w a eve a emen w me*4 see gaetoa ihValG) es.gaec W 8 hvceeet me gvieters Comm.w ea. neen.agtea. OR t0666 m, tae Ome ea e' tecanice tave< met ea ea. Dec aeat C oa t* e > A0W .a arteressee wta Amc cea hei+w Ste*ee*e A%$i. 239 23 1974 tocaade' mese*t hwmas' 11. e TYPEtoca*44'.OFregalp 0mt.. eve've' e'et**, Steie ere',t. fm.'.

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>4',, tae s.Dece leeweeeel et tae resoet sv ve ag ea, swet e e it t% me a ints waea e eecci .e e eoceo .a ao e 13 At8tmact. eacewee e we8 (200 e'en e' '4til 'ettwo s<a tas* e*e ve iw*e. repe41 tae sh*e', l'184. aos we'wme av* asst me's of t=e me61 sga fdeal sa'e**et4* etate aes

• tae e*e s%w0e 6,Dt 1.e 'e' tae meet 64 weiwme use wDee' cas rese* t if tae resort feate.as 0 kgadde*t >Faserse", e' 6 ear cew wties m.iteeterre ee=eser toes me=ee De htest<*e 6ww v ** mv mes meat e d are a eet'so aet ww oc'ea,=a eas a4 e .e*s a t.tes me, ne estee .* .e to as e eme'ee e, s.'tvao*e*e'***w mee,ece measee De'e*ta s a 14 00cvWiest als ALylas 3 Lt Avt ShahR 4 Cati mieCat C0e##L tit 0, tota repeat emeo tr', e este e Elv ve0A0$DitCnipf0ml ne eet fre= the taeg, Date tem S ameet tseie,*ws. Oct ftet 700m a n t=e one cet ag meata eas ves' peo,ett,tena come%<ee 6*ese* evtme+ites seems t* met seeaid, tae me e' te*4ee' et t*w teaserta pas are eJf eent', asecd4 e. erstee to l

A VT M0mit t G.we name:st .* esaveatene. eree' is g . Jena me wees es eeen eatees fee catoeg ag

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ADPa tts 0:ve aeme, etteet, e .t , . state, one Zie seee it. AVAILA4lLf tv ft AttutWT. Deaete D.>< esieenere4a..

Let as more taea ,we lovete e8 en eage%estemet hevetta, 908 eneage 'Waismrtes ', se 6sN44t em t ee reposas evaes Diere, tae meme et tae orgeaiset+a emocii, es eenews toca entwe ite Ome.pa. 0+t e cm.seien e. ce,e- anew,. eae

ese.m to. stCumity CLAasiescateos. ta.c v s new4, C e a

! men eter e.a.e ..t. v s secw. . m.t. ei eai t...

8 P40JtCt/t A4pe0mm Ve.it suuneeta ww ime e,e,ect. wacessateel

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,,. .-l a 0, , A. ~ m e a. , A.spe e, ~ m i e ei= Cm omA=t =visetm en..i1**ein v g,eaia .. se. emeCE. Lee,e u.an iAsen e, %visi . t

. e .ae rese.1 p een l

l l i Approved: August 29, 1984 20 l

- - - ~

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 g

PART Ill UNCLASSIFIED TECHNICAL LETTER REPORTS A. FORMAT

1. Applicability

a. The requirements of this part apply t'o unclassified contractor technical letter reports. (See Part I. A for definition.)

b. The requirements of this part do not apply to consultants and contractors to the NRC boards, panels, and advisory commit-tees which report directly to the Commission.

2. Requirements Technical letter reports are prepared, duplicated and distributed in accordance with the requirements of the Statement of Work in the contract or in the Standard Order for DOE Work. Each such report must be identified with the financial number (FIN) assigned to the project . The number of copies to be prepared and the distribution of those copies will be specified by the project manager. If unclas-( sified and non-sensitive, the NRC project manager is responsible for making such reports available in the NRC Public Document Room (PDR) by sending them to the PDR through the NRC Document Control System.

B. PATENT AND SECURITY REVIEWS

1. Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC. If the work being reported is contractually ,

managed through another government agency (e.g. , DOE labora-tories), that government agency should be requested by the con- '

tractor to perform the patent review.

If NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the government agency administer-ing the contract, the responsible NRC contracting officer shall be consulted, and the responsible NRC project manager shall consider the patent implications.

If there is a possibility that there is disclosute of developments of an inventive nature, the NRC contracting officer 'shall request assistance from the NRC Patent Counsel, Office of the Executive Legal Director.

(

21 Approved: August 29, 1984

PUBLICATION OF TECliNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part 111 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

2. Security Review in most cases, contractor technical letter reports will be unclassi-fied . Should a report of sensitive unclassified or classified work be required , however, the project manager must work with the Division of Security to establish the appropriate security procedures and inform the contractor of such procedures. The standards for rnarking and handling such reports are given in Part V of this appendix and NRC Appendix 2101.

, I Approved: August 29, 1984 22 Y ^

.\ 4 ,

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTOR 3, INCLUDING REPORTS PREPARED NRC Appendix 3202

< UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS I

s.

PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE NRC OFFICE OF NUCLEAR REGULATORY RESEARCH BY DOE LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS A. DOCUMENTATION

1. Applicability

a. The requirements of this part apply to NRC staff who are responsible for agreements with DOE Laboratories and their contractors who print regulatory and technical reports re-quired by NRC. (See also Chapter NRC-1102).

b. With respect to sensitive unclassified and classified reports the requirements set forth in Part V of this appendix shall be used in conjunction with NRC Appendix 2101.

c. The requirements of this part do not apply to consultants and contractors to the NRC boards, panels and advisory committees which report directly to the Commission.

- 2. Front Cover and Title Page

a. Separate covers (of different paper than that of the text) and title page are required.*

b. Items such as those shown in Exhibits 3 and 4 and discussed below shall appear on the front cover and title page, as appro-p riate . ** While layouts and typefaces need not be exactly the same as in Exhibits 3 and 4, the items shall appear in approxi- '

' mately the locations indicated and with the same relative prominence .

(1) NRC Report Number ,

Each report shall be identified by an NRC-controlled alpha-numeric designation as the prime designation unique to that document. The centralised report control system for unique identification is maintained by the Division of Technical Information and Document Control. Numbers may i

e  !

• l The cover stock of the perfonning organization may be used; however it must include the data elements shown in Exhibit 3.

s

==These requirements meet the specifications of American National Stanoard ANSI Z39.18-1974, "Guidelines for Format and Production of Scientific and Technical Reports," and ANSI Z39.23-1974, "Technical Report Numbers . "

! 23 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY .

NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part l\' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS be obtained by calling the Division of Technical Informa-tion and Document Control or by submitting a copy of NRC Form 426A (Exhibit 5) with a request for a number.

The NRC identification number will have the form:

NUREG/CR-XXXX or NUREG/CP XXXX, The contractor's report number, if any, will be inserted below the NUREG number on the title page and cover, as shown in Exhibits 3 and 4, if desired by the contractor.

When a report consists of more than one volume or bind-ing or is issued in more than one edition, an appropriate volume , supplement, part, or revision designation shaU appear immediately below the report number (s). NRC report numbers on covers and title pages shan be shown entirely on one line to facilitate computer processing.

(2) Title and Subtitle (a) Use a brie' title, which indicates clearly the sub.iect matter covered in the report.

(b) When a report is prepared in more than one volume, repeat the primary title on each volume.

(c) If appropriate , show the type of report (e.g.,

annual report, final report, etc.) and the period covered as part of the subtitle.

(3) Personal Author (s)' Name(s)

(a) Authors' names should be given on the title page and cover unless this is impractical, as in the case of annual reports which have many contributors. If authors' contributions are as editors , compilers ,

etc., so indicate on title page and cover foDowtg the names. In addition, list affiliation of each author only if affiliated with an organization other than the organization generating the report.

(b) Authors may be identified on backstrips (spines) of bound volumes.

(4) Organization Identification .

(a) On the cover, provide the name of the contractor responsible for preparing the report, fouowed by "Prepared for the U.S. Nuclear Regulatory

• Commission . " ,

'. Approved: August 29, 1984 24

.' PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV (b) On the title page, provide infomstion of the type illustrated in Exhibit 4.

(5) Basis for Report Dates (s)

(a) The basis for dating may be shown along with the date on the title page. Various bases for dating are possible; e.g., date report completed, date reviews completed, date published, date distributed , etc.

(b) More than one date, with the basis for each, may be shown where thb is necessary.

3. Availability and Price Inforination All formal reports will be made available for sale by NRC and NTis.

The statement shown in Exhibit 6 is required on the inside of the front cover.

4. Disclaimer The following notice shall be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by the United States Government . ,

Neither the United States Government nor any agency thereof, er

( any of their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any information, apparatus, product or process disclosed, or represents that its use by such third party would not infringe privately owned rights." The follow-ing additional statement, "The views expressed in this report are not nan,..rily those of the U.S. Nuclear Regulatory Commission" will be printed below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed (see Part I.C. ,

Requirements for Draf t Reports).

5. Previous Reports in Series 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.

6. Abstract An abstract of 200 words or less shiti be prepared for each formal report. Within the report, the abstract shall appear on a separate page between the list of previous documents in the series and the contents page.* ,

,This preferred positioning of the abstract in the document need not be fol-( lowed if the style manual of the originating organization requires a different location .

25 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED o Part IV UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

7. References and Bibborraphies 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, at the National Technical Information Service, or at other reference or sales outlets) or in the NRC Public Decument Room . 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, official use only, etc.). If the unretrievable information is important and unrestricted, it can be quoted in the text, in footnotes, or in appendixes. If credit is due to individuals, they can be mentioned in the text or in an acknow-ledgement section. Availability may be stated collectively for all f entries (see Exhibit 6). i Guidehnes for developing and presenting reference material are provided in NUREG-0650, "Tecnical Writing Style Guide," pub-lished in November 1979 (see Appendix A, pp.19-23, for specific guidance) and Supplement I dated Febr.lary 1982.

8. Bibliograpic Data Sheet NRC Form 335 (Exhibit 7) shall be prepared and included in the camera-ready copy as the final right-hand page.

B. PATENT AND SECURITY REVIEWS

1. Patent Review Patent implications shall be considered prior to approval of reports )

for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor. The DOE Operations Office responsible for the contractor should perform the patent review .

The results of such review shall be reported by the contractor on NRC Form 426A in item 11 (Exhibit 5).

2. Security Review In most cases, reports will be unclassified. Should a report of sen-sitive unclassified or classified work be required, however, the NRC project manager must work with the Division of Security to establish the appropriate classification procedures and inform the contractor. The standards for marking and handling such reports are given in Part V of this appendix and NRC Appendix 2101 I

Approved: August 29, 1984 26

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part IV UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS k.

C. ?ROCEDURES FOR PRINTING AND DISTRIBUTING

1. Printing Contractor reports may be printed only by a JCP-authorized print-ing plant and then only if prepared for the NRC Office of Nuclear Regulatory Research. Reports printed by the contractor and one reproducible master shall be submitted to the Division of Technical Information and Document Control, with completed NRC Form 426A.

The number of copfes specified by the Statement of Work for stand-ard and incidental distribution shall be provided. The appropriate identifying number (NUREG/CR _) may be obtained as discussed in Section A .2.b.(1).

2. Reprinting Requests for reprinting of any report at NRC expense subsequent to the initial printing requires approval of the Division of Technical Information and Document Control .

The request i. hall include a written justification and the project managers approval for the re-printing, along with address labels for the recipients.

3. Distribution of Reports All copies of unclassified formal contractor reports will be distrib-

- uted by the Division of Technical Information and Document Control in accordance with instructions on NRC Form 426A (Exhibit 5).

NRC Form 426A must be signed by a contractor official authorized by the project manager. Sv;h authorization shall be reported in writing to the Division of Technical Information and Document Con trol .

If any distribution is to be made other than, or in addition to, the standard distribution established for the report, written justification and the project manager's approval for printing additional copies shall accompany the reproducible masters when submittedAddress to the Division of Technical Information and Document Control.

labels for the additional distribution must be supplied.

The Division of Technical Information and Document Control will arrange automatic distribution of these reports to the NRC Docu-ment Control System, the NRC Public Document Room, the National Technical Information Service (NTIS), the Government Printing Office and the Depository Library Service.

Distribution of sensitive (unclassified) and classified reports will be made by the NRC project manager on a case-by-case basis.

r i

' 27 Approved: August 29, 1984

. PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 f

PART V REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION 1

A. APPLICABILITY These procedures and exhibits of this part apply to sensitive unclassi-fied and classified reports prepared by NRC contractors . These reports include those designated:

Official Use Only '

Limited Official Use Proprietary Information Safeguards Information Confidential Secret Top Secret i Only sufficient information is presented here to aid in the preparation of i the properly marked covers, title pages, back covers, and text pages.

Details of the NRC Security Program and specific provisions for deter-mining when to use the markings exhibited are contained in NRC 1

( y Appendix 2101.

The reports covered are defined as sensitive unclassified or classified.

Sensitive unclassified information refers to information designated Official Use Only, Limited Official Use, and Proprietary Information .

Sensitive unclassified information also includes Safeguards Information that must be protected from unauthorized disclosure pursuant to

! 10 CFR 73.21 and Section 147 of the Atomic Energy Act of 1954, as amended, information withheld from public dissemination under the

! Freedom of Information Act or Privacy Act, and infomation not to be  !

l exported to or disclosed to foreign countries.

]

l Classified information as used in this part includes Restricted Data, 1

Formerly Restricted Data or National Security Information that requires protection in one of the three classification categories described in E

Executive Order 12356: Top Secret, Secret or Confidential i The uses of each of the sensitive unclassified and classified categories j and the markings required on reports are discussed and exhibited in the following sections. All sensitive unclassified and classified reports are i to be sent directly to the project manager.

l B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION.

l NRC regulations require an Official Use Only marking to be placed on a i i ( report only when the originator or other holder believes the marking is s

i

29 Approved

August 29, 1984

.. m .

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS essential to ensure proper handling. Reports designated Official Use Only wiD contain only unclassified information originated by or furnished to an NRC contractor which is to be withheld from public disclosure. The report on which the marking appears must be reviewed at the time a request for release is received to determine its releasability. The Official Use Only marking is notice of the originator's determination of the applica-biUty of an exemption under the Freedom of Information Act or Privacy Act or both at the time of origination. .

Official Use Only NRC contractor reports shall be marked as shown in Exhibits 8 through 10.

Limited Official Use information is infomation originated by the U.S.

Department of State. A report originated by an NRC contractor that contains Limited Official Use information shall be marked as shown in Exhibits 11 through 13.

Procedures for reproducing . transmitting, protecting, and handling reports containing Official Use Only and Limited Official Use information and remcVing such reports from those categories are detailed in NRC Appendix 2101.

C. PROPRIETARY INFORMATION Proprietary information is a specific type of Official Use Only informa-tion . Proprietary information includes:

1. trade secrets.

2. privUeged or confidential research, development, commercial or financial information exempt from mandatory disclosure under 10 CFR Part 2. "Rules of Practice for Domestic Licensing Proceed-ing." Sections 2.740 and 2.790 and under 10 CFR Part 9, "Public Records," Section 9.5, "Exemptions."

3. information submitted in confidence to NRC by a foreign source.

which has been determined by NRC to be unclassified.

Unclassified NRC contractor reports containing proprietary information shall be marked as shown in Exhibits 14 through 18. In each instance, the optional wording that describes the material being presented should be selected.

If a report contains both Official Use Only infomation and proprietary information , the front cover shall be niarked as proprietary information and may also be marked as Official Use Only information, if necessary.

Pages in the report that contain proprietary infomation may be marked accordingly , including , marginal or other indicators of the specific wording that is proprietary. Similarily, the pages that contain Official Use Only information without proprietary infomation may be marked Official Use Only Approved: August 29, 1984 30

.: .. 1

. PUBLICATION OF TECHNICAL REPORTS PREPARED BY l

- NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 {

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V l i

/

\- Procedur< , for reproducing, transmitting, protecting and handling pro-prietary information reports and removing them from the proprietary information category are detaued in NRC Appendix 2101. A cover sheet (Exhibit 19) is to be placed on each hard copy of a report containing proprietary information.

D. SAFEGUARDS INFORMATION Safeguards information may be of three types: (1) classified informa-tion, which is marked and handled as indicated in Section E, (2) un-classified information restricted under Section 147 of the Atomic Energy Act, which is marked and hendled as described in this Section, and (3) unclassified information , which is publicly avauable and handled as indicated in Parts I through IV.

The safeguards information that is to be protected as described here is unclassmed information used in a report which specifically identifies certain licensee's or applicant's detailed:

1. security measures for the physical protection of special nuclear material

2. security measures for the physical protection and location of certain plant equipment vital to the safety of production or utihzation f acilities .

Unclassified NRC contractor reports containing safeguards information that is to be protected shall be marked as shown in Exhibits 20 through 22.

Procedures for reproducing. transmitting, protectint , and handling safe-guards information reports and removing them from the safeguards information category are detaued in NRC Appendix 2101. A cover sheet (Exhibit 23) is to be placed on each hard copy of a report containing safeguards information.

E. CLASSIFIED INFORMATION Classified information is limited to Restricted Data, Formerly Restricted Data and National Security Infonnation. The procedures for making i

classification determinations and for marking, reproducing, transmitting, protecting, and handling reports containing classified information and removing such reports from classified categories are detailed in NRC Appendix 2101. These procedures are too complex for summarizing here.

Classification determinations regarding NRC information may be made solely by authorized classifiers designated by NRC or DOE, Authorized classifiers are responsible for insuring that reports they determine to be classified are marked and protected in accordance with the provisions of NRC Appendix 2101.

31 Approved: August 29, 1984

l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED '

Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS It is important to note that information may not be classified in order to prevent or delay the release of infonnation that does not require protection in the interest of national security. Basic scientific research information not clearly related to national security may not be classified.

i i .

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Approved: August 29, 1984 32

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4 FUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part V r

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS I

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EXHIBIT 8 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY NUREG'CR-XXXX ($1 Title Subtitle and Type of Report gg i ...,

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33 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part Y ,_ _

l'NDER OR Pt*RSt' ANT TO INTER AGENCY AGREEMENTS EXHIBIT S SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY NUREG'CR XXXX (Si Title s a w .se i m e m. m 0rJ.'.".""*!.'..

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EXHIBIT 10 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY OFFICIAL USE ONLY ,

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35 Approved ; August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY .

NRC Appendix 3202 NRC CONTR ACTORS, INCLUDING REPORTS PREPARED Part \' UNDFR OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 11 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING

s. LIMITED OFFICIAL USE INFORMATION UMITED OFFICIAL USE NUREG'CR XXxx ($)

Title Subtitle and Type of Report Ast%++ tetoris) i:::,".5e, W 5 Hwtieer Regwletery Comm+osion e --o.e...w ea < esn es .

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Approved . August 29, 1984 3C -

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37 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part \' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 13 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE LIMITED OFFICIAL USE Approved : August 29, 1984 38

.' PUBLICATION OF TECHNICAL REPORTS PREPARFD NRC BY Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPANED Part Y UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS

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EXHlBIT 14 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORG PROPRIETARY INFORMATION NUREGICR XXXX (P)

Title Subtitle and Type of Report AuthoHst. Edmonti Cortese.to.Pr. .r o eor U.s Nuc6eer Regulatory Commlulon ELE!!'E"oNii IGlf'LildD'st'"*'

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39 Approved : August 29, 1984

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1 PROPRIETARY INFORM ATION 41 Approved: August 29, 1984 l

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTR ACTORS, INCLUDING REPORTS PREPARED Part \' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS _

EXHIBIT 17 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE PROPRIETARY INFORMATION NUREGtCR XXXX (P)

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS _

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43 Approved: August 29, 1984 o

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3102 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 19 COVER SHEET FOR REPORT CONTAINING PROPRIETARY INFORMATION

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45 Approved: August 29, 1984

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. UNDER OR PURSU ANT TO li'TER AGENCY AGREEMENTS EXHIBIT 22 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEOU ARDS INFORM ATION

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47 Approved : August 29, 1984

PUBLICATION OF TECHN1 CAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS -

EXHIBIT 23 COVER SHEET FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION

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, , p tc THIS DOCUMENT CONTAINS INFORMATION WHICH MUST BE PROTECTED FROM ,I 7

UNAUTHORIZED DISCLOSURE.10 CFR 73.21 AND SECTION 147. ATOMIC ENERGY l ACT OF 1954 APPLY. VIOLATIONS ARE SUBJECT TO civil OR CRIMINAL PENALTIES.

THIS DOCUMENT IS NOT TO BE LEFT UNATTENDEO OR ACCESSIBLE TO UNAUTHORIZED l PERSONS. WHEN NOT IN USE. IT MUST BE STORED IN A LOCKED SECURITY STORAGE r i

CONT AINER.

IT IS YOUR RESPONSIBILITY TO PROTECT THE INFORMATION CONTAINED IN THIS

, DOCUMENT FROM COMPROMISE. THEFT OR UNAUTHORIZED DISCLOSURE.

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l PART VI HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH U.S. INDUSTRY The Nuclear Regulatory Commission has requested that its Program Offices establish, to the extent feasible, cooperative nuclear safety research programs that involve either or both U.S. industry and foreign governments and orga-nizations . Such involvement includes monetary contributions , information exchange, and comments on program plans and results. This is authorized in 42 U.S.C. 5801. To this end, international and U.S. industry agreements have been signed that provide for transmitting unclassified information from NRC to participants. These procedures apply only to NRC-managed work not programatically funded by DOE.

The interests of au NRC cooperative nuclear safety research program partici-pants are served best by early, rapid dissemination for comment This of informa-can be tion on these programs developed for NRC by NRC contractors.

accomplished by distribution of "Draft Preliminary Reports (or Codes)" for comment for a specified period of time, followed by issue as formal NUREG/CR with the concurrence of the participants. Specific procedures for

('

A reports ,

accomplishing these goals and for transmitting infonnation prepared by the NRC and DOE facilities and contractors and their subcontractors working on these programs are presented in the following sections. The procedures de-tailed here have been agreed to by DOE and have been provided to the responsible DOE Operations Officers and NRC Program and Project Managers as guidance.

A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT The first issuance of information by a contractor shall be designated "Draft Preliminary Report (or Code)," and shall include the cover sheet shown in Exhibit 24.

The following notice is to be printed on the bottom of the cover sheet (Exhibit 24):

NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of C.ommission ac tion . It has not have received patent review and may con-Therefore, the con-tain information received in confidence.

tents of this report should neither be disclosed to others nor

(.

reproduced, wholly or partially, unless written permission to do so has been obtained from the appropriate USNRC office.

The recipient is requested to take the necessary action to ensure the protection of this report.

Approved: August 29, 1984 49

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS This notice nas been agreed to by the legal staffs of both NRC and DOE and is not to be added to or changed. Any problem in this regard shall be brought to the attention of the NRC project manager, who will consult with the NRC legal staff.

The "Draft Preliminary Report (or Code)" shall be submitted by first class or express mail by the contractor to the NRC project manager, with the letter shown in Exhibit 25, in the number of copies, specif;ed by the project manager (in most instances this will be fewer than 20 copies).

The contractor (DOE facility, contractor or subcontractor or other con-tractor) may retain copies only for internal use. DOE facilities and contractors and their subcontractors shaU not distribute ' copies of this draft report to DOE /TIDC. Draft reports may be distributed to interested DOE program offices. Subsequent issues of the information shall also be designated "Draft Preliminary Report (or Code)" until the NRC project manager authorizes preparation of a NUREG/CR report.

"Draf t Preliminary Reports (or Codes)" shall not be identified as NUREG/CR reports or carry any contractor report number or NRC dis-tribution codes.

B. DISTRIBUTION BY NRC PROJECT MANAGERS The NRC project manager wiU distribute the copies received only to (1) the participants in the program, (2) the NRC staff with a need-to-know.

and (3) others authorized by the program or project manager. Trans-mittal to participants shall be by first class or express mail, including air mail to foreign participants. If premium cost mail services are to be used, a Division Director or comparable or higher authority must certify to the need on NRC Form 420, "Request for Premium Cost Mail Se rvic e . ' Premium cost mail is:

1 Express Mail, Priority Mail (First Class weighing more than 12 ounces)

2. International Express Mail (Air Mail weighing more than 10 ounces) l (See Chapter NRC-0255-058 and NRC Appendix 0255, Part V, Annex A) l C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT A minimum of six months will be allowed for comments and resolution of comments . At the end of the comment , period, the NRC project manager shau, with the concurrence of the participants, authorize the contractor to issue the information as a NUREG/CR report in accordance with the l provisions of this Chapter.

1 l D. REPORT IDENTIFIERS

~

j The "Draf t Preliminary Reports (or Codes)" wiu be uniquely identified only by the Financial Identification Number (FIN) assigned by NRC and I

Approved: August 29, 1984 50

I l

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 j NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR ?URSUANT TO INTERAGENCY AGREEMENTS Part VI l

(

the appropriate periodic notation , if any , included in the title (Ex-hibit 24). They shall not be given standard report nomenclature until the NRC project mana;er authorizes publication as a NUREG/CR report.

At that time , the contractor may add its own designation below the NUREG/CR number, as shown in Exhibits 3 and 4.

E, MAILING TO PROGRAM PARTICIPANTS The physical transmission of reports from NRC to program participants shall be handled by the Document Management Branch (DMB), Division of Technical Information and Document Control (TIDC), based on address labels of participants supplied by the project manager. The transmittal sheet shown in Exhibit 26 shall be used to transmit the documents and the labels to DMB.

F. SECURITY If information included in the report or code has been determined to be sensitive unclassified or classified information (see statement of work) the procedures of Part V also apply. The report (or code) may not be classified solely for the purpos: of limiting distribution to the partici-pants.

r l

l Approved: August 29, 1984 51

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 24 SAMPLE COVER FOR A DRAFT PRELIMINARY REPORT (CODE)

FOR COMMENT DRAFT PRELIMINARY REPORT (CODE) FOR COMMENT FIN NO. -

Titio of Program Subtitle for This Report, Including Appropriate Periodic Notation, If Any (e.g., First Quarter, Issue No. 1)

Prepared by (Name of DOE Facility, Contractor and/or Subcontractors, if any) for U.S. Nuclear Regulatory Commission NOTICE THIS ORAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PR00%M This report was prepared in contemplation of Comission action. It has not received patent review and may contain information received in confidence.

Therefore, the contents of this report should neither be disclosed to others nor reproduced, wholly or partially, unless written permission to do so has ,

been obtained from the appropriate USNRC office. The recipient is requested to take the necessary action to ensure the protection of this report. -

Approved: August 29, 1984 52 .

e.. . . . ..

l PUBLICATION OF TECHN1 CAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS fk. EXHIBIT 25 TRANSMITTAL LETTER FROM CONTRACTOR TO NRC PROJECT MANAGER FOR DRAFT PRELIMINARY REPORT TO: NRC Project Manager

SUBJECT:

DRAFT PRELIMINARY REPORT (CODE) ON (PROGRAM TITLE) FOR COMENT The enclosed "Draft Preliminary Report (Code)" is being submitted for comment.

It is our understanding that the comment period shall extend six months from the date of mailing of the draft to the participants. Upon resolution of the comments after that period and with concurrence of the cooperative program participants, the NRC Program Manager will authorize publication of this

[ report in the NUREG/CR series under the provisions of NRC Manual Chapter 1102 or 3202.

DOE Facility or Contractor Representative

( Approved: August 29, 1984 53

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED .NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI EXHIBIT 26 TRANSMITTAL SHEET FOR REQUESTING MAILING TO COOPERATIVE PROGR..M PARTICIPANTS Recipients: Addresses on attached labels Method of Mailing:

C/ First Class Postal Service to U. S. addresses C/ Express mau to U. S. addresses

• C/ Air mail to foreign addresses

• C/ Surface mail to foreign addresses (may require up to three (3) months)

THIS MAILING CONTAINS NO PROPRIETARY INFORMATION OR OTHER SENSITIVE UNCLASSlFIED INFORMATION Special Instructions:

Individual Requestir.g Mailing:

Project Manager or High Authority Enclosures :

1. Address labels

2. Documents to be maued

• 1f premium cost mail services are to be used, a Division Director or compar-

, able or higher authority must certify to the need on NRC Form 420, "Request l for Premium Cost Mail Service," Premium cost mail is:

1. Express Mail, Priority Mail (First Class weighirs more than 12 ounces)

2. International Express Mail (Air Mail weighing more than 10 ounces) l (See Chapter NRC 0255-058 and NRC Appendix 0255, Part V, An'nex A) 54 Approved: August 29, 1984

. ATTACHMENTf

• 3, SU L AC 4 Y m l ION /( ON l 64 A C l /MOOi f IC A 1 ION F OR3 AWhUVLQ CONTR ACT PRICING PROPOSAL COVER SHEET "o- **

- 3090 41i., -

NOTE Thes form es used.n contrset actions d outmssion of cost on pescing data es reovered (See FAR f 5 80d4(bli

2. N AME AND ADOR E55 OF OF F E NO R vinesi,dr /if t ogrj ) A, N AML AND T e1 L E Of o f a E W O *d dPuiN1 3 66 1 E L E &nON E NV.

Or CONT ACT 4 TYPE Or CONTR ACT ACTIUN (Check)

A NEW CONTRACT D. EE TT E A CONTR ACT B CHANGE ORDER E UNPRICE O OADE A C PRICE REVISION / ,

AE DE TE AVIN ATION 5 T yPE OF CONT R AC T tcheeni 6 PROPOSE O COST LA.B.cs ~~

]FFP CPFF CPiF CPAF A CO5T B.PROTII/F [L T 10TAL

] FPI { OTHEAtspeceI>> $ $ $

L PLACE (5) ANO PE RICOts) OF PE RF OR MANCE est and reference the scentification. Qwantity and total pr.ce proposed for each contract sine item A line item cost treakdowel supporting thes recap es '

te cuired unless otherwise specified by the Contexting Ouece,. sCon tenue on tewr.,, and shen on pl ,= paper,at necewery, uneemme Acedenper A LINE ITE M NO B IDE NTIFICATION C. OU ANTIT Y O' TOT AL PAICE E REF.

9 PROVIDE N AME. ADDRESS. AND T E L E PHONE NUVBE A FOR THE F OLLOWING (it swile6te s A. CONT R ACT ADMINIST R AllON OF F ICE B. AUOai OF F ICE

30. wlLL vov RE QulRE T ME v5E OF AN Y GO V E k NV E N T PROPE R T v 11 A. DO v ov R E QvlR E GOVE RN- 118. T VPL OF FIN ANCING tv onet (N T Ms PE RF ORM ANCE OF T Ht5 WORK t fif "Yes " nsentaf> J MENT CONT R ACT F IN ANCING To PE R F oRM TMis PROPOSE D ADVANCE PROGR ESS C ON TgA C T ' tit "S ea." compie c' PAYMENTS PAYMENTS ,

YES NO YES UNO [ GUARANTEED LOANS

32. MAvE vov BE E N An AROCO ANY CONT R ACT S OR Sv8 CONY R ACT5 13. e5 T Mis PROPOSAL CONSIST E NT wi1M YOUR E ST ABLISME O EST e.

FOR TML S AME OR SIMILAR ITEMS WITHIN THE PAST 3 YE AR$' M ATING AND ACCOUNTING PR ACTICES AND PROCE OvaES AND tit "Yen."adentsty seemons. es.stomeress end con t oct numsortes F A R *A R T 31 COST PR ENC sPLES' tit "rio." es pie"'I YES NO YES NO

14. COST ACCOUNTING ST ANDA ADS BOARD (CASBl DAT A IPv6fac Law 91 J 7s en amended and FA R PA R f 30s A. wtLL T Mi5 CONT R ACT ACTION BE SUBJECT T O C Ase REGuwA- 8 M ave VOv 5v8VIT TE D A C ASB OISCLO5URE ST AT E MEN 1 18CN5' iff "No,"espiean in proponel) ICASB D$ J or SI* til"Yes 'sprenfy en proposal the offset to ishneh submitted end a determined to se adroetes b YES O~o vES O~O C. MAv E vou eEE N NOT IF sE O T H AT vov A R E O R M A v BE tN NON- D.15 A N v A S PE C 1 O F T Mis PROPOS AL INCON5is1E NT wiTM vova COMPLt ANCE wlTH YOUR 015CLO5VRE ST AT E ME NT OR COST OtSCLCbE D PR ACTICES OR APPLICABLE COST ACCOUNTING ACCOUNTING ST ANDA R Q5? (1/ " Yes."esplein sa proposell ST ANDA R D5 8(ff "Yes, ' esplein in propose /J YES O~o ves O ~o This otoposat es sutmtted in resoonse to the A FP contract. modef ecation. etc in item 1 a^d ref 4pcts out test estimates and/or actua' costs as et thes date

15. N AME AND TIT LE (Typet 16. N AM E OF F I R M l

17. SIGN AT U R E le D AT E Or SveMt55tOS.<

• I ' * ' 'bM lall 808 ST ANDARD FORh41411 (30 Sh

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Prescences DF G5 A

• U.S. OWtsetMDtT PRDFTDeG Orr1C5 a 1M4 0 = 421*S26 (3T) F AR tes CF RI 53 fit itc)

INSTRUCTIONS FOR PREPARING COST INFORMATION FOR NRC CONTRACTS Preparation and Itemization of the Voucher. The contractor shall furnish the information set forth in the explanatnry notes below. These notes are keyed to the entries on the sample voucher.

Payor's Name and Address. (i) Address the original voucher (with 2 copies) to: U.S. Nuclear Regulatory Commission, Division of Accounting anc Finance, ATIN: Gov /COi Accants Section, Washington, DC 20555 Any questions regarding vouchers yet to be paid by the NRC should be addressed to Division of Accounting (301-492-8030). Any questions regarding vouchers for which payment has been received (either in full or partially with suspensions or disallowances) should be ad-dressed to the Contracting Officer.

Payee's Name and Address. Show the name of the contractor as it appears in the contract and its correct address; except when an approved assign-ment has been rede by the contractor, or a different payee or addressee has been designated, then insert the name and address of the payee.

Indicate the individua'l responsible for answering any questions NRC may have reoarding the invoice (name and phone number).

(a) Contract Number - Insert the NRC contract number.

(b) Title of Project - List the full title of the project being perforned under this contract.

(c) Voucher Number - Insert the appropriate Contractors serial number reyofalso the include voucher i beginning with 001 for this contract.

l individual internal accounting numbers in addition to the three digit number.

(d) Date of Voucher - Insert the date the voucher is prepared.

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• (e) Contract Amount - Insert the total estimated cost of the contract,

. exclusive of fixed-fee.

(f) Fixed Fee - Insert total fixed-fee (where applicable).

(g) Billing Period - Insert the beginning and ending dates (day, month, and year) of the period in which costs were incurred and for which reimbursement is claimed.

1

-1

1 o 1 (h) Direct Costs - Insert the major cost elements.

(1) Direct Labor - This consists.of salaries and wages paid (or accrued) for direct performance of the contract itemized as follows:

La bor Labor Hours Cumulative Category Negotiated Hours Billed Ra te Total Hours Billed (2) Fringe Benefits - This represents fringe benefits applicable to direct labor and billed as a direct cost. Where a rate is used, indicate the rate. Fringe benefits included in direct labor should not be identified here.

(3) Direct Equipment - For educational institu-tions list each item costing 5500 or more, and having a life expect-ancy of more than one year. For sentractors other than educational institutions list each item costing $200 or more, and having a life expectancy of more than one year. List only those items of equipment for which reimbursement is re A reference shall be made to the following (as applicable) :quested.(1) the item number for the specific piece of equipment listed in the property schedule of the contract; (2) the Contracting Officer's approval letter if the equipment is not covered by the property schedule; or (3) be preceded by an ast-erisk (*) if the equipment is below the approval level. Further itemization of vouchers shall only be required for items having specific limitations set forth in the contract.

(4) Materials, Supplies, and Other Expendable items - These are consumable materials and supplies and equipment other than that described in (3) above.

(5) Premium Pay - This is remuneration in excess of the basic hourly rate. (Requires written approval of Contracting Officer.)

(6) Consultants' Fee - The supporting information must include the name, hourly or daily rate of thc consultant and reference the NRC approval (if not specifically approved in the original contract).

(7) Travel - Domestic travel is travel within the United States, its territories, possessions, and Canada; it should be billed separately from foreign travel . Travel costs billed will provide

. for individual Per Diem, and all supporting information for each

. trip taken.

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. .. l All costs associated with each trip must be shown in the following format : (Unless the organization's travel policy has been negotiated and approved by NRC)

Date Traveler Destination Purpose Cost From To From To

1. Airfare

2. Rental Car

3. Local Travel

4. Per Diem Days 9 =

5. Meals:

• Date Breakfast Lunch Dinner

• If not included in per Diem,

6. Tips, Misc.

(Itemize if more than 510,00)

(8) Subcontracts - Include all costs paid to approved subcontractors during billing period. This includes the details of the subcontract terms (i.e.,

cost-plus-fixed-fee, direct labor, indirect costs, travel, profit, etc.)

(9) Other - List all other direct costs by cost elements and dollar amount se pa ra tely.

(1) Indirect Costs--Overhead - Cite the formula (rate and base) in effect during the time the cost was incurred and for which reimbursement is claimed.

(j) Fixed-Fee - If the contract provides for a fixed-fee, it must be claimed as provided for by the contract. Cite the formula or method of computation.

Contractor may bill for fixed fee only up to 85% of total fee.

.(k) Amount Billed for Current Period - Insert the amount billed for the major cost elements, adjustment, and adjusted amounts for the period.

4 3-

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i (1) Cumulative Amount from Inception to Date of this Billing - Insert the l cumulative amounts billed for the major cost elments and adjusted amounts claimed during this contract.

1 (m) Total Amounts Claimed - Insert the total amounts claimed for the current and cumulative periods.

(n) Adjustments - This includes amounts conceded by the contractor, outstand.

ing suspensions, and disapprovals subject to appeal.

(o) Grand Totals 4

. 4 J

i  ; .

YOUCHERS FOR 00RCilASLS AND SLRVICES OTHER liiAN PERSONAL S.*.*l.E VOUCHER Payor's Name and Address (a) Contract Hunter NTsC-10-81-624 The U.S. Nuclear Regulatory Comissia Division of Accounting and Finance (b) Title of Prvject "Study of Nuclear Waste Concepts" Attenticini GOV /CDi Acets Sectico ,

Washincton, DC 20555

• (c) Voucher Number 003 Payee's Name and Address ABC CORPORATION The National Bank (d) Date Voucher Prepared 10/18/82 I 100 Main Street or Anywhere U.S.A. ,

'Anywhere, U.S.A. Assignee for ABC CORP. (e) Total Estimated Cost of Contract Anywhere. U.S. A. $350.000.00 (WhenPaymentsAssigned)

(f) Total Fixed-Fee Indiividual to Contract I17.500.00 Regarding This Voucher: _

.Name: Harry Murphy

'Tel. Nc,.: 215-321-8654 3(g) This voucher represents reimburseable costs from 3/1/82 thru 3/30/82 Amount Billed (k) Current Period (1) Inception to Date l(h) Direct Costs .

$2.400 $6.800 (1) Direct I. abor

• _,

! (2) Fringe Benefits '/16.5 L (if computed s'. percentace) 600 1.200 l

! (3) Direct 5.M0 f. 000 Eautpment

• __

(4) itaterials. Supplies and 4.000 i Other Expendable Items

• 2.000 100 150

(5) Frerium Pay 100 100 l (6) Consvitants

• 200 700 i (7) 1 ravel - Domestic * ,

I l Foreton * -

200 200 l  ! (8) Subcontract

• 3.000 9.000

! (9) Otner costs

• l (i) INDIRECT COSTS I

A) Overhead 700 L of Total Direct Costs 513.600 $29.650 (Indicate Base) 527.200 $59,30c l Subtotal B ), General A Administrative Expense 3.264 "'

6.4 t.0 12 L of Cost Elements Nos.1-9. A $65.7!o Total Costs $30.464 _

1.523 3.400 (j) FIXED FEE EARNED (Fonnula) l $31.987 $69.150 (m) Total Ancunts Claimed (n) Adjustnents 1.700 1.700 Outstanding Suspensions

• l 530.Pa7 $67.4!,o l

(o) Grand intale,

• (14100lRLS SUPPOR11NG INr0RftA110N.)

(SEE MTACHED.) ~~"~

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SAMPLE SUPPORTING INFORMATION

1) Direct Labor - $2400 Labor Hours Hours Cumulative Labor Total Category Negotiater! Billed Rate _ Hours Billed 2400 100 $14.00 $1400 975 Senior Engineer 1 1500 50 $10.30 $500 465 Engineer 700 100 $5.00 $500 320 Computer Analyst 3R56

3) Direct Equipment ,

Spectrometer - General Electric (as approved in Pmperty Schedule) $5,000

4) Materials, Supplies & Other Expendable items

= $1100.00 10 Radon Tubes 9 $110.00 6 Pairs Electrostatic Gloves ,9 $150.00 = $900.00 32000.00

/

5) Premium Pay Walter Murphy - 10 hours1.157407e-4 days <br />0.00278 hours <br />1.653439e-5 weeks <br />3.805e-6 months <br />,9 $10.00 Per Hour = $100 (This was approved by NRC in letter dated 3/6/82.)

,6) Consultants' Fee Dr. Carney - 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br /> 9 $100 = $100 l

7) Travel Destination Purpose Costs

. Date Traveler l

From o To, From 3 William King Chicago, Wash., Meeting with 1) Airfare $80.00 3/1/82 3/6/82 IL DC Project 2) Rental Car 515.00 Officer 4) Per Diem - 2 Days I 9 $50.00 = $100.00

6) Tips, Misc. 55.00 TOTAL: $200, l

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_ _ . . _ _ _ _ .