ML20148L185

Contract: Comprehensive Aging Assessment of Circuit Breakers/Relays Phase II, Awarded to Wyle Labs

ML20148L185
Person / Time
Issue date:	03/22/1988
From:	Smith E, Thompson R NRC OFFICE OF ADMINISTRATION & RESOURCES MANAGEMENT (ARM), WYLE LABORATORIES
To:
Shared Package
ML20148L175	List: ML20148L185
References
CON-FIN-D-2004, CON-NRC-04-88-083, CON-NRC-4-88-83 NUDOCS 8804010195
Download: ML20148L185 (119)

Text

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% AoMiNisitat o Sv ist oraec :=ea sum o i { COCf I COCf I U.S. hCit8 r Mgul a tory CCrE10 sion Liv 1S icr. c f :c r.t rac t s j-Washington, CC 2C555 4 ,1. N AM E AN O AOOk t5$ C8' CON T R AC T O R Wo. o rme r. cary. cown es. S rc re and /s/' Code; e Ottevtev Wyle tat: oratories Attn: Charles Poplin OFoeoa'c'" Bo'Nea<st~>~> 7800 Governor Drive West .. OisCOUNT F O R P.OMPi PAv uc NT .I P.O. Box 1008 Net Huntsville, Alabama 35807-5101 i l ITEM lo. SU8MIT INVOICES It copsre snieu ocur-ieur specirted) TO THE COOE F ACit.lTY COOE ADDRESS SHCMH IN: l2

11. 5 Hip T ojv A R K F O R

12. PAY MLe ' wlLL SE MAOL SY U.S. Nuclear Regula tory 'iOhissiUn U.S.NuclearRegulatoryComNSion,Div.of c

Attn: Dr. Satish Aggarwal, MS/f;L-007 AcCtg. & Finance, GOV /COMM Washington, DC 20555 Washington, D.C. 20555 [3. AU T HORIT Y F O R U$ LNG OT HE R THAN F ULL AN D OPEN C OMPC'T's7 14. ACCOUN TING AND APPROPRI ATION OAT A B&R No.: 60-19-10-02 Fill tio.. 02004 i O to u S C rocen i 4 uSC m en APPN No.: 31 X200.608 A.Tount $150,000. : : f 15A. ITE M NO l ISO SUPPLIES / SERVICES 15C OUANTITY 150 UNIT 15E UNIT PRICE 1SF AMOUNT a The Contractor will provide comprehe nsive aging a$sessmen; of circuit breakers / rela s for Phase II Study in accordance wit;h Contractor'sl proposals dated 7/: 5/87, 9/16/87, 10/2/87. 11/20/87, 2/11/88, and 3/16/88. J s Incrementally Funded - Cost Reimburs ement Type Contract ESTIMAT.ED

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15G. TOTAL AMOUNT OF CONTR ACT > $ 628,323.00 i

16. TABLE OF CONTENTS V) l$EC l OESCRIPTION lPAGE ($) V) lSEC l OESCRIPTION lPAGE(S) -

PA R ? e - T HE SCHEDULE PAR T If - CONT R ACT C L AUSES A SOLICITATION /CONTR ACT FORM Xl 1 l CONTRACT CL AUSES l 3 i X 8 SUPPLIES OA SE RVICE3 ANO9 AlCES/ COSTS 2 PA R T t h - LIST OF OOC UM EN T S. E x H184 T S AND OT HE R AT T AC H. } C DESCRIPTION /SFECS /WCRK STATEMENT lJ l LIST OF ATTACHMENTS l 1 O PACKAGING AND MA AKING PART tv - REPR ESENTATIONS ANO INST RUCTIONS E INSPECTION AND ACCEPTANCE K REPAESENT ATIONS.CE RTIFICATIONS ANO X F DELIVE AIES CR PL AFOAMANCE 2 OTHER STATEMENT % OF 0FFE AOAS X G CONTR ACT ACMINISTR ATION CAT A 23 L INST AS.CONOS. ANO NOTICE S TO OF F E RORS Y H SPECIAL CONT AACT REQUIREMENTS 3 M EV ALUATION F ACTORS FOR AWA AD i CONTRACTING OfflCER HIL L COMPL ETE ITEM 17 OR 18 AS APPLICABL E AWA' O (Coahoefor is not rvewired to situ this duciement J You* 17. CONT R ACTOR'S NEGOTIATED AGR E EMENT (Con tmetor u n-14. R s esand to awn thu document end ntum top.es to Luusas offtee.) of for on soucstat6on Nwen6ee ~ C* nte3< toe e9<e+s to twenish and eenne ais items oe perf oe m asi tne servic es set eacewoirg the socia.ons or caantes enece ey you wn.ch odeinoes ce cua,es f or ta se otherwise +dentined abon and on a continuation sMets foe tne an est toetn in futa seca..s nemoy eccooted as to tM ttems usted abe== and cantnoetstion stated Mesim. The resnts aad o uoas of the parties to thes on any coauavation sheets. Tels swees coasummatn the contesct =nica coa. contract onets be suotect to sad tonenee ey the newane documents: tel thes psis of tne sonowing oocuments: ia) tne Government's soucitanon ano yowe ew er/ contract. (0) the soucitation if any. end (c) such provisions, receenante-oreer one (D) tn6s awave/ contract, nw feether contextwas document is necev teens, coettfic.an.ons, a.no sowificalionscA rf asmen u en unrehmen.>attacneo oe incoeporated by ti as see sar y. nierenee see 19A. N A M E AN D T I T LK Q F $4G N E R (T'ype or ptsa t/ 20A. NAME OF CONT R ACTING OF FICER t Edward h. Mit Director, Contracts and Purchasing Ro D. Thompson s D / 198. NAME Df,conyA ACTAse / 19C. OATI ssG N LO 208. UNiiE O ST AT ES OF,AME Ptc f0C. DAT E SsGNED ee04o10195 se0322 3/18/88 [ /h. 4 g d fy/ry W m @_oNR-Oe3 PDR

1. N"* '"" */ C N SN 7 3 4 04 ).15 2-4 04 9 26107 ST'ANOA RD FORM 25 (REY. 445) 2n k.ic.uiLn1TinhURUtAA1f P m u daa11r N D

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.,L., x.,., 3 ';.o ci,f ( atgx.c. :2[.wL:.2m.nMi..~ia:Q:JartMM:;Miu.tr ;uaMLwi%%.a.%whcW, hs.Lu.cq.. Gw Gik., l 4 ~ 1. Paragraphs a. ana c. o' Sectio'5 B.2 entitled "Ccnsideration and Cbligation" are cc:npietec as follows: a. It is estimated that tne total cost to tne Govern. Tent for full j. performance of this contract will be 5628,323.00 of which the sum j of $576.443.00 represents the estimated reimbursable costs, and of which 551,880.00 represents the fixed fee. 1 0 c. The amount presently obligated by the Government with respect to j this contract is $150,000.00. Ij 2. Paragraphs a. and b, of Section F.7 entitled "Place of Delivery" is hereby completed as follows: 1j a. Project Officer (20 copies) ?] V.S. Nuclear Regulatory Commission .i. Contract Number: NRC-04-88-083 ] Division of Nuclear Regulatory Research a Mail Stop: NL 007 1 Washington, DC 20555 1 b. Contracting Of ficer (1 copy) .-i U.S. Nuclear Regulatory Commission 'I Contract Number: NRC-04-88-083 Division of Contracts l Mali Stop: AR 2223 { Washington, DC 20555 e S 3. Section F.8 entitled "Ouration of Contract Period" is hereby completed as follows: .I This contract shall commence on March 22, 1988 and will expire on March 3 21, 1991. aj 4. Paragraph a of Section G.1 entitled "Indirect Rates" is hereby i completed as follows: i cj a. Pending the establishment of final indirect rates which shall be q negotiated based on audit of actual costs, the Contractor shall be i; reimbursed for allowable indirect costs as follows: 'l Category Rate Cost Base Applicable Period t .i Overhead 130% Direct Labor 2/1/88-1/31/89 'i Overhead 145% Direct Labor 2/1/88-1/31/89 + l G&A 21.7% Total Direct Cost 2/1/88-1/31/89

• An overhead rate of 145% will be used for work performed under Task C which will be performed at the Huntsville Test Operation.

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.j Name:

Satish Aggarwal Address: U.S. Nuclear Regulatory Commission Ii Division of Engineering Safety d Mail Stop NL-007 1-Washington, DC 20555 3 Telephone No.: 301/492-3829 m-6. Paragraph a. of Section G.3 entitled "Travel Reimbursement" is hereby completed as follows: b j a. Total expenditure for domestic travel shall not exceed $23,050 without prior approval of the Contracting Officer. j 7. Paragraph a. of Section H.1 entitled "Key Personnel" is hereby completed as follows: i a. The following individuals are considered to be essential to the successful performance of the work hereunder. ,3 3 James F. Gleason Steven M. McMicken Melvin D. Blank John P. King J. Ed Dillard 1 The contractor agrees that such personnel shall not be removed a from the contract work or replaced without compliance with paragraphs b. and c. hereof. u] 8. Section H.7 entitled "Contractor Acquired Government Property" is

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deleted in its entirety. 7; i 9. Clause 52.222-2 entitled "Payment for Overtime Premiur," is deleted in its entirety. 10. 52.252-2 Clauses Incorporated By Reference under Section I on page 23 e

l are updated as follows:

d 52.215-30 FACILITIES CAPITAL COST OF MONEY. (SEP 1987)

l 52.215-31 WAIVER OF FACILITIES CAPITAL COST OF MONEY.

(SEP 1987) 52.230-3 COST ACCOUNTING STANDARDS. (SEP 1987) I d 52.230-4 ACMINISTRATION OF COST ACCOUNTING STANDARDS. (SEP 1987) 11 52.230-5 DISCLOSURE AND CONSISTENCY OF COST ACCOUNTING PRACTICES.

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(SEP 1987) 52.243-2 CHANGES--COST-REIMBURSEMENT. (AUG 1987) l

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2. GONT AaGT NO.

3. SOLICIT A TION NO.

4. T v f E OF SObiG87A T 4GN 5. OA T E iSWEO

o. AEGui5 TiGNiPU ACm*5E

] ADVERTISEO (IFO) RS-RES-87-085 T NEGOTIATED (RFP) June 4, 1987 RES-87-085

7. iS5uEO ts v coeg j j e. ACO A ESS OFF E A TO #1/ o rner (n n frem la o

- All proposals should be addressed as indicatcd U.S. Nuclear Regulatory CCmissien in Item 7. However, handCarried proposals-- 1 Division of Contracts including EXP8ESS MAIL and oth delivery, services--must be deler commercial Washington, DC 20555 ivered to the j j DFD % OS occ-p7-OpC address in item 9 below. 1 NOT8!: In adwrtised schcitations "off er" and of feror" mean "b.d" and "bicder" l SOLICITATION

9. Scaled offers in original ano civ ecoses for furnishing the sucches or services in the Seneduie will te receivec at tne cLace soecified in item 8. or if h nocarned.in tne deocsaory nsted in 4550 Montgomery Avenue, Bethesda, MD unt,i.1 :00 % t,me Julv 6.1987 Room 2223 (Second Floor) 20814

' d a " CAUTICN - LATE Sutencons, Modifications. and Withdrawais: See Section 1. Provision No. 52.21 A.7 cr 52.21s.10. All offers are subtect to all terms and conditions contained in this soliccation.

10. FOR INFORM ATION l^'"#"

j CA U.: Sharon D. Mearse (301) 492-1282 l

11. TABLE OF CONTENTS

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U)lSEC.l CESCRIPTICN lPAGE(S) W l $EC. l C ESCRIPTICN lPAGE(S) { pAa7 i - TwE SCHEDULE PART 11 - CONT A ACT CLAUSES 1 XlA l SOLICITATION /CCNTR ACT FO AM l 1 Xl 1 l CONTR ACT CLAUSES l 91

l Xl 8 l SUP9 LIES C A SERVICES ANO PRICES /CCSTS I

p PART ll1 - UST OF OOCUMENTS, ExH181TS AND OTHE R /4TTACH.

l X

C l CESCRIPTICN/SPECSfWC AK STATEVENT p Xl J l LIST OF ATTACHMENTS lN l X 0 l PACKAGING AND MARKING p DART tv - AEP AESENTATICNS ANO INST AUCTIONS Xl E INSPECTICN AND ACCEPTANCE l 9 REPRESENTATICNS. CERTIFICATICNS ANO j X F OELIVERIES C A PERFO AMANCE i p X OTHER STATEVENTS CF CFFERCPS 25 4 X G CCNTR ACT ACMINIST A ATICN DATA il X L l INSTAS., CCNOS., AND NOTICES TO CFSER l 17 i Xl H SPECIAL CCNTR ACT RECUI AEMENTS 16 y' M l EVALUATION F ACTCAS FC A AWARO l 37 O F F E R (Must to fully completed by ottrror) ., NOTE: Item 12 ooes not noody if tne solicitation includes me provisions et 52.214-16, Enemum Bid Accootance Peried.

12. In comohance wem the aoove, the uncerstgrwd agrees. if tnis offer is accected within calencar cays (60 celander dere i.nL404 e diffenn t pened 14 inweed by the offerors from the cate for receiot of ot'ers specified acow, to furnish any or all items voon wnica orices are of'ered at the orNe set ocoosite each item.defiwred at the cesignated ooint(s). wanen :no time scecified in tne scoeavle, j

13. CISCCUNT FC A P ACMPT DAYMENT to ENOA A OAv5 2o CAL 60A A OAv 5 Jo CALENCAR CAv5 CALENOAR OA v 5 tsas Section I C:,me No. 52 232 8) of Het of I

14. ACKNCWLEDGMENT CF AMENCMENTS AMENCMEMT NO.

I OATE AMENCMENT NO. I OATE <Txa artero,.eenews,see. ~eemeet - e.ed. One i 6/25/87 t mente to the SOL lCITA TION for offerore sad relettd documente num6ered and deted: l l g34,s,uc CODE 1 04-102-4415J FACIUTy l 16, pp Ag,0;,T, E,g *E d 50 N AU T HO R R E O T O SiG N i ^" Wyle Laboratories Charles G. Poplin j P. O. Box 1008 Senior Contracts Administrator ^ " * *

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.i Cr*EaCa Huntsville, AL 35807 17 j) ** 7 V. J b .i i /. 15a. T Ei ENONE NO. flaciuot arve 15C. CHECK IF AEVITTANCE ACORESS E / / 4 4. 0F FE A CAT L /f i (205) 837-4411 C Q@LFQRE 5,ACye g ENTER g [( ]/g Jy]y }$, }gg7 cn N AWARD (To be comotored by Gonmment) /

19. ACCEPT ED AS To ITEMS NvueEREO 2o. AMovNT

21. ACCOUNTING ANO A&9AOPRf ATiCN 1

i f 22. $UBMIT INVOICES TO ACC AESS SHCWN IN N [ 41 U.S.C. 252(c) ( H coenes utese otsierwud odeittedi 10 U.S.C. 2304f a6 t ) ) { 24. AOMiNiST E REO av t/f oraer raen trem 7s Coog l 20 GAvMENT WIL6 SE MAGE av CODE [ l s

24. N AM E O s CON T R AC fiNG OF 5 tC E A (Type or pr'att

27. UNITED STATES GF AMERICA 2 6. A w A A O O AT E

~ rStesture of Conerscrins Ortteen IWORTANT - Awaro will to made on enes For*'n. or on Stsecerd Sorm 26. or tu otner euthorded of f setaJ weitten notice. inaas 1840.c i.18 2-40e4 35132 STANDARO FCRM 33 (atv.10-4Ji PS EVIOUS E DITION NOT USA 8LE

..,1 + s. x ,.o a-3. Q.h. ::._:.;w u::L : J m. w w 1.u 2 L a Q.: a w..L M L.u D..G.Lsc.C.h.sh RES-87-085 PAGE 2 y Section B - Supplies or Services and Prices / Costs l B.1 Brief Description of Work i' l Comprehensive aging assessment of circuit breakers / relays for Phase { II study. The objective of this study is to identify aging and defect characterization and to develop recomendations for 1 inspection, surveillance and maintenance methods for safety-related { circuit breakers and relays used in nuclear power plants. B.2 Consideration and Obligation, l a. It is estimated that the total cost to the Government for full i performance of this contract will be $ , of which the sum represents the estimated reimbursable costs, and of i of $ j which $ represents the fixed fee. d 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 *. hat work. ~i c. The amount presently obligated by the Government with respect to this contract is $ d. It is estimatad that the amount currently obligated will cover performance of work / phases / tasks through the corresponding month reflected in the Contractor's current flRC approved Spending Plan. .)

• To be incorporated into any resultant contract.

.] Section C - Description / Specifications / Work Statement 1 C.1 Statement of Work l i C.1.1

Background

1 '] The U.S. Nuclear Regulatory Commission (NRC) sponsored Nuclear Plant Aging Research (NPAR) Program

• is intended to identify and resolve technical safety issues related to the aging and service wear of y

equipment and systems at comercial reactor facilities and to assess l their possible impact on plant safety. Specifically, the goals of i the program are as follows: 1 { (1) To identify and characterize aging and service wear effects which, if unchecked, could cause degradation of structures, components, and systems and, thereby impair plant safety; (2) To identify and develop methods of inspection, surveillance, and monitoring, and of evaluating residual life of structures, components, and systems, which will assure timely detection of significant aging effects prior to loss of safety function, and

• Nuclear Plant Aging Research (NPAR) Program Plan, NUREG-1144, July 1985, t

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Ln :N $ $ u: S n w u $.:; 0 5.h i D A $I bE'.. $ $ lG. 4 l 2=: j RES-87-085 PAGE 3 t (3) To evaluate the effectiveness of storage, maintenance, repair 3 and replacement practices in mitigating the rate and extent l of degradation caused by aging and service wear. 1 1 These goals are being, or will be, applied to a large number of plant components, and in general, will be achieved through a two phase program. The first phase of the NPAR program involving specific components includes evaluations of design specifications, 3 operatina experience, experts opinions and systems interactions. j The ;;roduct of a phase I study is a preliminary identification of the significant modes of age-related degradation, and an evaluation j .i of current inspection, surveillance, and monitoring methods to j detect defects preferably in the incipient stage prior to failures. } Phase II component assessments will generally involve some combination of: (a) tests of naturally a equipment with simulated degradation; (b)ged equipment or of i laboratory or in-plant 3 ] verification of methods for inspection, monitoring, and 1 surveillance; (c) development of recommendations for inspections or monitoring techniques in lieu of tests which cause excessive wear; (d) verification of methods for evaluation of residual service ] life; (e) identification of effective maintenance practices; (f) in-situ examination and data gathering for operating equipment; and (g) cost / benefit analyses. Component aging assessment will include the examination and testing ) of naturally aged equipment removed from service at operating LWRs 1 )I and decomissioned reactors. This equipment will be used to identify failure modes related to aging and service wear, and indicators of such potential failure modes which may be monitored to detect the approach of failure in an incipient stage, and to oetermine the operational readiness of aged equipment to perfom its l intended safety function, i l Tests of aged equipment will simulate, where appropriate, stresses l typical of the dynamic, seismic, electrical, mechanical, thermal, steam, and radiation transients anticipated during operating service and representative of design basis events. Selection of equipment, for which examinations and tests will be performed, will be based on jl considerations of risk-aging / systems evaluations and evaluation of previous experience. l i In-situ monitoring of operating equipment at LWRs will also be l performed to gain an understanding of the interaction between aging i and service wear defect characterization and inspection, 1 surveillance and maintenance. 1 I Of specific interest at this time is the implementation of Phase II j of the NPAR program for circuit breakers and relays. The individual subtasks within Phase II are described herein. Results of the Phase I study are provided in a NUREG-CR-4715 entitled, "Operating Experience and Aging Assessment of Circuit Breakers and Relays" and will be available at no cost to the contractor. Because of the 4

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.w.: ;.; ;. L..:. y&....,Lhw; :..-..2.:..muauuhmim;;&,.;aw xuau: M:ua + RES-87-085 PAGE 4 specialized nature of each task, it is requested that the contractor's proposal address each task separately, including cost estimates, major milestones and schedule. j C.1.2 Scope of Work A number of specific tasks are required to satisfactorily fulfill j Phase II of the NPAR program for circuit breakers and relays. The ]ol completed work must address the relays and circuit breakers described in the Phase I report which have safety related nuclear applications. l; The relay categories to be addressed in the Phase II report are: I o Protective relays - protect plant power distribution system t from the effect of electrical overloads, faults and transients. .i o Auxiliary relays - actuated by protective relays for high ] current applications. 1 o Control relays - on-off device that uses an electromagnetic circuit to change the position of the output contacts used in j nuclear pi stective system logic switching. o Time delay or timing relays - delays the operating function j until the initiating condition has existed for a selected time l period. o Electronic relay - solid state device used in protective or control relay applications. la The circuit breaker types to be addressed in the Phase II report 1 are: 'l o 480 volt (and below) molded case circuit breakers - this group is the largest in number and is used to supply individual j circuits and feeders for low voltage ac and de distribution, o 480 volt circuit breaker (metal clad) - these breakers are used I in the power supply to 480 volt distribution buses as well as to feed individual circuits for major safety equipment (i.e., .l medium sized motors). '4 o 4 kV circuit breakers (metal clad) - this class of circuit breakers is housed in large metal cabinets and includes the main circuit breakers for large safety equipment and the j emergency power busses. } A contractor (s) with extensive nuclear power plant circuit breaker and relay design, testing, and applications experience is required to perfom the following tasks. A

.~ t v' .c a L. :.. h = = w a : L.a, u n,... - =:uma..- u w...;a:a. a :.a..n w.h a....w. u u n a h gu i.u \\~. sc i RES-87-085 PAGE 5 A. Review and verification of improved inspection, surveillance and monitoring methods: 1 Existing methods for inspection, surveillance, and monitoring l. have been described in the Phase I report. The Phase II J segment of the research in this area involves the review and t evaluation of. advanced techniques and technologies, either j under development or in use, which could be effective in detecting aging degradation in the incipient stage prior to d loss of safety function. Sources outside of the nuclear 1 industry are to be contacted. The practical feasibility of 1 applying these technologies to nuclear plant components will be 3

explored,

l

^j A comprehensive technical report for this subtask should include the following information: o Detailed technical evaluation of the existing methods for a j inspection, surveillance, and monitoring of circuit ] breakers and relays. 'l

j o

Detailed technical evaluation of advanced techniques and technologies which could be applied to nuclear safety l related applications. .. i o Detailed description of how inspection, surveillance, and jl monitoring methods should be applied to nuclear power plant circuit breakers and relays to detect aging degradation in an incipient stage prior to loss of safety function. It is expected that the description would j include circuit diagrams, installation instructions and test equipment requirements as applicable, ll B. In-situ examination and data gathering for operating equipment: i d Field tests carried out at cooperating nuclear utility j locations will be conducted to confirm analysis and laboratory results, provide information about the frequency and method of 1 data collection and analysis, and estimate the cost j effectiveness and practicability of application. ] The achievements expected from this subtask include: i l o establish contact and obtain cooperation of at least one .j nuclear utility, o j o obtain maintenance records, experience data, and complete j specifications and history of the ci:*cuit breakers and q relays to be monitored, q 'i o monitor performance parameters, and evaluate advanced ? monitoring techniques and/or inspection activities reconsnended,

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m L.L:u:Q w.nn..C.h...c;.d.w. ar:..a:lGibn,annw: uldLww.x,k:.M j ~ RES-87-085 PAGE 6 o analyze data, o write a final detailed comprehensive report describing the l activities performed, the results obtained, and the conclusions reached. I C. Test naturally aged components: In order to quantify aging and determine that adequate safety ]. margins exist to assure operability of naturally aged circuit y breakers and relays, testing will be performed. This testing 1 will evaluate the performance of the aged equipment before and 1 after it is subjected to stressors and environment expected 1 under nonnal operating and test conditions, cycling and trips, j and accident and post-accident conditions. Expected q accomplishments included in the task are: 1 1 (a) Develop a test plan to be approved by the NRC Project j Officer which identifies the specific approach to be i taken, the parameters to be monitored, and the results 1 expected. 1 ] (b) Obtain naturally aged circuit breakers and relays along with maintenance and operation records. Note: Equipment obtained from the Shippingport Atomic Power Station may be available at no cost to the contractor. )l (c) Perform tests and collect data on monitored parameters which could detect degradation in the incipient stage. l1 (d) Analyze the data and write a comprehensive test report l i] describing the testing performed, the data obtained, and ~) the conclusions reached. 0. Evaluation of the role of maintenance in mitigating aged 7, effects: J. Preventive and corrective maintenance activities may be .] valuable tools for detecting and/or mitigating circuit breaker j and relay aging effects. Specific requirements to successfully accomplish this task a include the following: ] o Review current practices and procedures to maintain .j equipment. j o Review nuclear equipment vendors' recomendations for maintenance of components or subcomponents selected for .l aging assessments. i o Perform an evaluation, including a comparative analysis,

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of the relative merits of: (a) performing maintenance

^c s .f o. s ,,3... e,. d$_.,;._.sh.b.e.A,.'.XMen.a.d A.kMIaidia.ulhaJ.didid. L.a/JA2 ' RES-87-085 PAGE 7 when a componen5 has been discovered to be malfunctioning (corrective maintenance); and (b) performing maintenance when an observation has been made through surveillance. inspection, or monitoring, that a component may not .i function when required during a design basis or "trigger" l event (preventive maintenance). Emphasis will be on the relation between failures (causes or modes)placed J j expected to be experienced during operation and those which would potentially occur under the stresses g associated with design basis or trigger events, o Identify, where possible, those component failure 1 mechanisms likely to be induced through preventive or 1 corrective maintenance. Specifically, look for those

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which might be detectable through short-term, } post-maintenance surveillance, inspection, or monitoring. }1 o Develop recomendations, for acceptable or preferred g maintenance practices, based on the foregoing activities. li A comprehensive detailed report describing the above subtasks, I with particular emphasis on the technical justification vs cost / benefit for recommenced maintenance practices, is required. j E. Evaluation of service life prediction methods: In order to assure the operational readiness of safety related circuit breakers and relays, it is important that they not be j operated 'beyond a time limit that precludes safe operation. j d It is, therefore, necessary to develop and/or apply a 1 methodology which will provide a service-life prediction. This methodology or model must consider the combination of stresses and the variety of failure modes identified in the Phase I study of circuit breakers and relays. i A comprehensive technical report evaluating existing methodologies for describing a developed method is required. f] The application of the method for selecting surveillance and 1 inspection intervals to predict remaining service life for a various circuit breakers and relays must be included. F. Input to regulatory requirements and industry standards: The satisfactory completion of this task requires a detailed { listing of the regulatory recomendations for specific circuit i breakers and relays in a nuclear power plant. i l

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b z.wN. .h c SQL d Mb2-b:_ F4. : u RES-87-085 PAGE 8 C.2 Travel a. Travel to NRC headquarters, to other NRC contractors, and to industry is contemplated and authorized to the extent required for the performance of the tasks. J 1 b. All domestic travel requires the prior approval of the Project j Officer. a4 c. All foreign travel must be approved in advance by the NRC on

]

NRC Form 445 and shall be in compliance with 52.247-63 g Preference For U.S. Flag Air Carriers (APR 1984). 1 Section 0 - Packaging and Marking D.1 Packaging and Marking When Delivering a Product The Contractor shall package material for shipment to the NRC in such a manner that will insure acceptance by comon carrier and safe delivery o at destination. Containers and closures shall comply with the Interstate Comerce Ccmission Regulations, Unifonn Freight j Classification Rules, or regulations of other carriers as applicable to j the mode of transportation. On the front of the package, the i Contractor shall clearly identify the contract number under which the i{ product is being provided. j Section E - Inspection and Acceptance E.1 Place of Inspection and Acceptance Inspection and acceptance of the deliverable items to be furnished hereunder shall be made by the Project Officer at the destination. ~ Section F - Deliveries and Performance F.1 Reports, Documentation and Other Deliverable End Items 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 Chapter 3202 is not i applicable to the Spending Plan and the Financial Status 'teport. F.2 Technical Progress Report The Contractor shall provide a monthly Technical Progress Report to the Project Officer and the Contracting Officer. The report is due within 1 15 calendar days after the end of the report period and shall identify 11 the title of the project, the contract number, project manager and/or principal investigator, the contract period of performance, and the 'l period covered by the report. Each report shall include the following: 1 i a. A listing of the efforts completed during the period; milestones reached or, if missed, an explanation provided; I

q er $b^il..Ou:aw.;:.:..:mdaa:N aDi$a. . lw.. uLL,'YdLNE$YY'bY, = RES-87-085 PAGE 9 b. Any problems or delays encountered or anticipated and recomendations for resolution; (if the recommended resolution involves a contract modification, e. requirements, level of effort (cost)g., change in work or schedule delay, the Contractor shall submit a separate letter to the Contracting i Officer identifying the required change and estimated cost j impact). j c. A summary of progress to date; and h d. Plans for the next reporting period, including notice of forthcoming meetings with industry and/or professional organizations. i e. List contacts with industry during the period. q j} The first monthly report should define the schedule and planned monthly expenditures for each task. F.3 Major Milestone Reports ] The contractor will submit major milestone report (s) as discussed in F.2 above. 3 Ij F.4 Presentation and Publication of Technical Results ij The NRC Project Officer encourages the dissemination of research l results but will review all technical papers and journal articles prior to presentation and submission for publication. See paragraph H.3 below. F.5.1 Draft Final Technical Report ] The contractor will submit to the NRC Project Officer twenty copies of the draft final report for review at least 3 months in advance of 4 the project completion date. The final technical reports must contain a discussion of (1) safety significance of the research 4 findings; and (2) the utilization of research results in regulatory process. NRC will provide coments on the draft final report within 15 days after receipt of the report. I F.5.2 Final Technical Report 3 The final technical report shall incorporate NRC coments and is due .j by expiration date of the contract. The contractor will submit to 1 the NRC twenty printed copies of the final report and one i reproducible master. The final report will be supplied in j accordance with the procedures outlined in Manual Chapter 3202. -i i 5 t

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t RES-87-085 4 PAGE 10 ] F.6 Financial Status Report .The Contractor shall provide a monthly Financial Status Report to the j Project Officer and the Contracting Officer. The report is due within 15 calendar days after the end of the report period and shall identify -l the title of the project, the contract number, project manager and/or

j principal investigator, the contract period of performance, and the i

period covered by the report. Each report shall include the following j for each discrete task: a. Provide the total estimated cost (value) of the project as ?. reflected in the contract,.the amount of funds available in the M contract to date, and the balance of funds required to complete i the work as follows: ~8 } 1) Total Estimated Contract Amount. 2) Total Funds Obligated To Date. .j 3) Total Costs Incurred This Reporting Period. 4) Total Costs Incurred To date. l 5) Balance of Obligations Remaining. .] 6) Balance of Funds Required To Complete Contract. i .j b. Detail of all direct and indirect costs incurred during the reporting period for each task. .i c. Update of the approved Spending Plan. -1 Ml F.7 Place of Delivery. The items to be furnished hereunder shall be delivered, with all charges paid by the Contractor, to: .]l a. Project Officer (20 copies) 01 U.S. Nuclear Regulatory Commission ] Contract Number: Division of

• Mail Stop:

.fj Washington, D.C. 20555 L; b. Contracting Officer (1 copy) 4 1j U.S. Nuclear Regulatory Commission Contract Number: Division of Contracts Contract Administration Branch Mail Stop: AR-2223 Washington, D.C. 20555 j i e

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p q. w.. mc mas.1..ca.u.a.u ugmect.cs.2..:wm..;.u m:mswdhnAc, d m W/py fj.j % 74,., .m a l xw:.n RES-87-085 PAGE 11 F.8 Duration of Contract Period This contract shall commence on the effective date reflected in block 3 of the SF-26 and will expire months thereafter. l

• To be incorporated into any resultant contract.
• ]

/ F.9 FAR Citations 52.212-13 STOP-WORK ORDER.-- Alternate 1 (APR 1984) ? Section G - Contract Administration Data G.1 Indirect Rates a. Pending the establishment of final indirect rates which shall be j t negotiated based on audit of actual costs, the Contractor shall be d reimbursed for allowable indirect costs as follows: .I d Category Rate (%) Cost Base Applicable Period l Overhead j Fringe Benefits j G&A j Other: 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 ((APR 1984) or 52.232 Limitation of Funds (APR 1984), as applicable, if such change (s) affect (s) perfonnance of work within the established cost or funding limitations. G.2 Project Officer Authority. 4 a. The Contracting Officer's authorized representative hereinafter referred to as the Project Officer for this contract is: Name: q Address: ) _{ Telephone Number: a 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 4 otherwise serves to accomplish the contractual state:nent of L'j w6rk. t i j ..v.

l3 D: N ];. g Ml... w w azu n.2.cu_i.s.u m :a.w.~.e:as = =e q.s 2 w. m.A h & miaau . s RES-87-085 PAGE 12 I 2). Providing advice and gaidance to the Contractor in the j preparation of drawings, specifications er technical portions 1 of the work description. t i 3). Review and, where requireo by the contract, approval of technical reports, drawings, specifications and technical a information to be delivered by the Contractor to the j Government under the contract. 1 1 c. Technical direction must be within the general statement of work f stated in the contract. The Project Officer does not have the authority to and may not issue any technical direction which: j 1). Constitutes an assignment of additional work outside the - i, general scope of the contract. 1 2). Constitutes a change as defined in the "Changes" clause of this contract. 1 .t 3). In any way causes an increase or decrease in the total j estimated contract cost, the fixed fee, if any, or the time 1 required for contract performance. l 4). Changes any of the expressed tems, conditions or i specifications of the contract. i 5). Terminates the contract or settles any claim or dispute arising under the contract, or issue any unilateral directive

whatever, j

d. All technical directions shall be issued in writing by the Project } Officer or ' hall be confirmed by such person in writing within ten 1 (10) workint days after verbal issuance. A copy of said written oirection shall be submitted to the Contracting Officer, j 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 'i authority under the provisions of this clause. q 1 f. If, in the opinion of the Contractor, any instruction or direction issued by the Project Officer is within one of the categories as a defined in c above, the Contractor shall not proceed but shall notify the Contracting Officer in writing within five '5) working i days after the receipt of any such instruction or direction and d shall request the Contracting Officer to modify the contract J 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 te:hnical direction is within the scope of this article and does not constitute a change under the Changes Clause.

~ p 3 ] j gj3{, gg y .g.;( g.,p{g g g.:g y 1 g g. $4 3,. 1.....,. 9 t RES-87-085 PAGE 13 g. Any unauthorized commitment or direction issued by the Project j Officer may result in an unnecessary delay in the Contractor's -j performance, and may even result in the Contractor expending funds for unallowable costs under the contract. j 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 (APR 1984). -1 1. In addition to providing technical direction as defined above, the Project Officer is responsible for: 4 1 1). Monitoring the Contractor's technical progress, including l 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. a 1 l 3). Reviewing all costs requested for reimbursement by Contractor and submitting to the Contracting Officer recomendations for approval, disapproval, or suspension for supplies and services required under this contract. l To be incorporated into any resultant contract. '( ] G.3 Travel Reimbursement. j a. Total expenditure for domestic travel shall not exceed $ without the prior approval of the Contracting Officer. b. The Contractor will be reimbursed for reasonable domestic travel costs incurred directly and specifically in the performance of this contract. The cost limitations for travel costs are 1 determined by the Federal Travel Regulations that are in effect on the date of the trip These Regulations specify the daily maximum i ] per diem rates for specific localities within the Conterminous 't United States (CONUS), the standard CONUS rate, the allowance for 'i meals and incidental expenses (M&IE), the cost of travel by j privately owned automobile, and the items which require receipts.

1 The Contractor can obtain the Regulations from the Superintendent 1

of Documents, Government Printing Office, Washington, DC 20402. c. When the Government changes the Federal Travel Regulations, it is l the responsibility of the Contractor to notify the Contracting 1 Officer in accordance with the Limitation of Cost clause of this l l contract if the Contractor will be unable to make all of the 1 approved trips and remain within the cost and fee limitations of this contract. 4 d. The rates for any NRC approved foreign travel under this contract are established by the U. S. Department of State and are listed in .] a publication entitled "Maximum Travel Per Diem Allowances For

0.aL h.w.l.ulkh'a k.SiL u w ~O.OE $ 1LN U O 2 %g L . :/ J.e - q-m,s ~,; s $CL:h,=a'-.....2.al$[.0.ik.A.: d$ ) i. RES-87-085 PAGE 14 1 Foreign Areas". Copies of this publication may be obtained from U. S. Government Printing Office, Washington, D.C. 20402 To be incorporated into any resultant contract. I G.4 Method of Payment j ] a. Payment under this cont'ract will be made by wire transfer through I the Treasury Financial Comunications System for each individual j payment in excess of $25,000 and by Treasury check for each individual payment of $25,000 or less. j b. In the event that the Contractor's financial institution has j j access to the Federal Reserve Corr 5runications System, the l 1 Contractor shall forward the following information in writing to the Contracting Officer within seven days after the effective date 1 cf the contract. I ] 1). Name and address of organization. ) 2). Contact person and telephone number. l 3). Name and address of financial institution. 4). Contractor's Financial institution's 9-digit ABA identifying 4 number for routing transfer of' funds. 5). Telegraphic abbreviation of Contractor's financial institution. 6). Account num'er at Contractor's financial institution. o ) 7). Signature and title of person supplying this information. 1i c. In the event the Contractor's financial institution does not have access to the Federal Reserve Communications System, the Contractor shall forward the following infonnation with regard to i a correspondent or alternate financial institution. The ) information 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, d 3). Name and address of financial institution. 1 4). Telegraphic abbreviation of Contractor's financial institution. 5). Account number at Contractor's financial institution. i 4

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.&uMQ~w dbc. haii.w.bl:dL.2.~w exw.alk :w~.,M:. azw~.:i;:a.+..M.uh M 8 e RES-87-085 PAGE 15 i 6). Name and address of the correspondent financial institution q that has access to the Federal Reserve Comniunications System. 1 7). Correspondent financial institution 9-digit ABA identifying number for routing transfer of funds. 8). Telegraphic abbreviation of correspondent financial fj institution. tl 9). Signature and title of person supplying this infcrmation. 4 d. Any changes to the information furnished under this clause shall ] be furnished to the Contracting Officer in writing. It is the a Contractor's responsibility to furnish these changes promptly to ] avoid payments to erroneous bank accounts. J G.5 Payment Due Date. j a. Payments under this contract wiil be due 30 calendar days after the later of: 1i 1) The date of actual receipt of a proper invoice in accordance j with tne attached "Billing Instructions", or a 2) The date the final deliverable product / service is accepted by the Government. 1 j b. For the purpose of determining the due date for payment and for no other purpose, acceptance will be deemed to occur 30 calendar days after the date of delivery of the final deliverable product / service performed in accordance with the terms of the contract. c. If the final product / service is rejected for failure to confom to j the technical requirements of the contract, the provisiens in paragraph b of this clause will apply to the new delivery of the final product / service. 5 k d. The date of payment by wire transfer through the Treasury !j Financial Communications System shall be considered the date Li payment is made for individual payments exceeding $25,000. The j date a check is issued shall be considered the date payment is made for individual payments of $25,000 or less. G.6 Interest on Overdue Payments. l I 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 l this contract and requires the payment of interest to Contractors on overdue payments of the expiration invoice or improperly taken discounts, i b. Deteminations of interest due will be made in accordance with the provisions of the Prompt Payment Act and Office of Management and 4

_ ' :7. u s, s u,..,L AhWu.a.:.d. x a n 0 d h k u d d,=.L =.a, h.wi3.dh.;uAL,..u u,.ua.lfUMEDO $e 7 7, .s-a. RES-87-085 PAGE 16 Budget Circular A-125, Vol. 47 Federal Register 37321, August 25, 1982. Among other considerations, OMB Circular A-125 provides that: ] 1) Interest penalties are not required when payment is delayed 3 because of a disagreement over the amount of payment or other '.j issues concerning compliance with the tems of the contract. 2) Whenever a proper invoice is paid after the due date plus 15 ] days, interest will be included with the papent at the 1 interest rate applicable on the payment date. Interest will j 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 1. claim submitted for costs incurred for performance through the 1 expiration date of a Cost Type contract. G.7 Remittance Address If item 15c. of the Standard Form 33 has been checked, enter the i remittance address below. d Name: 1 l Address: i Section H - Special Contract Requirements e 1' H.1 Key Personnel a. The following individuals are considered to be essential to the successful performance of the work hereunder. g 1 The Contractor agrees that such personnel shall not be removed 1 from the contract work or replaced without compliance with 'j paragraphs b and c hereof. y .j b. If one or more of the key personnel for whatever reason becomes, or is expected to become, unavailable for work under this contract i i for a continuous period exceeding 30 work days, or is expected to devote substantially less effort to the work than indicated in the j 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 i i

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i 't~d' YYU iG,N.i 5.Y. $Y ad b5 521 EbY'bChOiA RES-87-085 PAGE 17 3 1 g personnel with personnel of at least substantially equal ability ) ] and qualifications. j c. All requests for. approval of substitutiens hereunder must be in writing and provide a detailed explanation of the circumstances necessitating the proposed substitutions. They must contain a complete resume for the proposed substitute, and other information requested by the Contracting Officer to approve or ]1 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. 4 d. If the Contracting Officer determines that suitable and timely replacement of key personnel who have been reassigned, terminated a or have otherwise become unavailable for the contract work is not reasonably forthcoming or that the resultant reduction of productive effort would be so substantial as to impair the successful completion of the contract or the service order, the 4 contract may be terminated by the Contracting Officer for default a or for the convenience of the Government, as appropriate, or, at j the discretion of the Contracting Officer if he/she finds the Contractor at fault for the condition, the contract price or fixed 1] fee may be equitably adjusted downward to ccmpensate the 9 Government for any resultant delay, loss or damage.

• To be incorporated into any resultant contract H.2 Safety, Health, and Fire Protection.

) The Contractor shall take all reasonable precautions in the perfomance 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 d.l hazards to life and property and shall comply with all applicable health, safety, and fire protection regulations and requirements j (including reporting requirements) of the Comission and the Department d of Labor. In the event that the Contractor fails to comply with said regulations or requirements, the Contracting Officer may, without j) (. prejudice to any other legal or contractual rights of the Comission, i issue an order stopping all or any part of the work; thereafter, a 13 start order for resumption of work may be issued at the discretion of i the Contracting Officer. The Contractor shall make no claim for an

1 extension of time or for compensation or damages by reason of or in j

connection with such work stoppage. y ] H.3 Dissemination of Contract Infomation. The Contractor shall comply with the requirement of NRC Manual Chapters 3202 and 3206 regarding publication or dissemination to the public of

]

any information, oral or written, concerning the work perforred under -{ this contract. Failure to comply with this clause shall be grounds for termination of this contract. -l a

i a,- L g-y$ ~ JGaE iAb. 4:. s l:.o :i:i.Y.biX0.D, l. .hbE1LNir% l%k.l? s%2$ $$$E a RES-87-085 t s PAGE 18 H.4 Private Use of Contract Information and Data. Except as specifically authorized by this contract, or as otherwise j approved by the Contracting Officer, information and other data j developed or acquired by or furnished the Contractor in the performance of this contract, shall be used only in connection with the work under this contract. H.5 Drawings, Designs, and Specifications. All drawings, sketches, designs, design data, specifications, notebooks, technical and scientific data, and all photographs, j' negatives, reports, finaings, recomendations, data and memoranda of every description relating thereto, as well as all copies of the foregoing relating to the work or any part thereto, shall be subject to inspection by the Comissicn at all reasonable times (for which J inspection the proper facilities shall be afforded the Commission by the Contractor and its subcontractort), shall be the property of the { Government and may be used by the Government for any purpose whatsoever j without any claim on the part of the Contractor and its subcontracters and vendors for additional compensation and shall, subject to the right i ] of the Contractor to retain a copy of said material for its own use, be delivered to the Government, or otherwise disposed of by the Contractor either as the Contracting Officer may frem time to time direct during the progress of the work or in any event as the Contracting Officer j shall direct upon completion or termination of this contract. The J Contractor's right of retention and use shall be subject to the security, patent, and use of information provisions, if any, of this contract. H.6 Contractor Organizational Conflicts of Interest (CAB Clearance 1 Number 3150-0112) a. Purpose. The primary purpose of this clause is to aid in ensuring that the Contractor: a i 1). Is not placed on a conflicting role because of current or i 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 4 1 parties by virtue of its performance of this contract. 1' b. Scope. The restrictions described herein shall apply to performance or participation by the Contractor as defined in 41 1 j CFR 620-1.5402(f) in the activities covered by this clause. 1 j c. Work for Others. Notwithstanding any other provision of this contract, during the term of this contract, the Contractor agrees 1 to forgo entering into consulting or other contractual 1 arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work 1 f being performed under this contract. The Contractor shall ensure ) f that all employees who are employed full time under this centract 3

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],' RES-87-085 PAGE 19 4 l 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 j proposed consultant or other contractual arrangement with any finn 4 or organization may involve a potential conflict of interest, the i Contracter shall obtain the written approval of the Contracting ,l Officer prior to execution of such contractual arrangement. i -j d. Disclosure after award. l q i 1). Thc Contractor warrants that to the best of its knowledge and ? belief and except as otherwise set forth in this contract, it 4 does not have any organizational conflicts of interest, as d defined in 41 CFR 20-1.5402(a). ) 4 1 2). The Contractor agrees that if after award it discovers organizational conflicts of interest with respect to this l contract, it shall nake an immediate and full disclosure in I 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 j conflicts. The NRC may, hcwever, terminate the contract for j convenience if it oeems such termination to be in the best interests of the Government. 4 l e. Access to and use of information. 1). If the Contractor in the performance of this contract obtains access to information, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L. 93-579), or data which has not been released to the public, the Contractor agrees not to: 1 (1) Use such information for any private purpose until 'I the information has been released to the public; ) 1 (ii) Compete for work for the Comission based on such 1 information for a period of six (6) months after either j the completion of this contract or the release of such information to the public, whichever is first; t j (iii) Submit an unsolicited proposal to the Government based ) j on such infonnation 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 infortnation has ij 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 3 other confidential or privileged technical, business, or j financial information under this contract, the Centractor

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.. ; L.:w. -.: x a. w a b t a a a ;: -. w.. ; x. m i,m : h &.. x G d.M :: d 2 L RES-87-085 PAGE 20 shall treat such information in accordance with restrictions 3 j placed on use of the information. I1 3. The Contractor shall have, subject to patent and security i provisions of this contract, the right to use technical data 1 it produces under this contract for private purposes provided j that all requirements of this contract have been met. ] f. Subcontracts. Except as provided in 41 CFR 20-1.5402(h), the f 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. 3 g. Remedies. For breach of any of the above prescriptions or for intentional nondisclosure or misrepresentation of any relevant 1 interest required to be disclosed concerning this contract or for such erroneous representations as necessarily imply bad faith, the j N Government may terminate the contract for default, disqualify the Contractor from subsequent contractual efforts, and pursue other 1 remedies as may be permitted by law or this contract. 1 h. Waiver. A reouest for waiver under this clause shall be directed i in writing through the Contracting Officer to the Executive Director for Operations (E00) in accordance with the procedures 1 outlined in 120-1.5411. H.7 Contractor Acquired Government Property 1 J The Contractor is authorized to acquire and/or fabricate the equipment j listed below for use in the performance of this contract. The 1 1 equipment is subject to the provisions of the Government Property 'l clause. Item No. Description Quantity Estimated Cost i I H.8 Disposal of Property .I Upon completion or tennination of a project, a reconciled report ,j will be developed to record available material purchased with NRC funds. This report should be ceveloped as soon as possible after program completion or termination decision has been made, but not later than 60 day after work termination date. The report should be i submitted to the Property and Supply Branch and the applicable ] program office of the NRC. H.9 NRC Furnished Material See Paragraph L.8 for NRC material that will be furnished upon

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w a a RES-87-085 PAGE 21 PART II - CONTRACT CLAUSES Section I - Contract Clauses 52.222-2 PAYMENT FOR CVERTIME PREMIUMS. (APR 1984) 3 (a) The use of overtime is authorized under this contract if the overtime premium cost does not exceed. In addition to this-dollar ceiling, overtime is i permitted only for work-- i (1) Necessary to cope with emergencies such as those resulting frc'n 1 accidents, natural disasters, breakdowns of production equipmer,t, or occasional production bottlenacks of a sporadic nature; (2) By indirect-labor employees such as those performing duties in connection with administration, protection, transportation, maintenance, standby 4 plant protection, operation of utilities, or accounting; j (3) To perform tests, industrial processes, laboratory procedures. I loading or unloading of transportation conveyances, and operations in flight or afloat that are continuous in nature and cannot reasonably be interrupted or completed otherwise; or ] (4) That will result in lower overall costs to the Government. (b) Any request for estimated overtime premiums that exceeds the amount j specified above shall include all estimated overtime for contract ccmpletion and f shall-- l (1) Identify the work unit; e.g., department or section in which the l requested overtime will be used, together with present workload, staffing, and '] other data of the affe:ted unit sufficient to permit the Centracting Officer to j evaluate the necessity for the overtime; 4 (2) Demonstrate the effect that denial of the request will have on the ] contract delivery or perfonnance schedule; (3) Identify the extent to which approval of overtime would affect the a performance or payments in connection with other Government contracts, together with identification of each affected contract; and j (4) Provide reasons why the required work cannot be performed by using multishift operations or by employing additional personnel. (End of clause) (R 7-203.27 1967 JUN) 9 52.233-3 PROTESTAFTERAWARD(JUN1985) (a) Upon receipt of a notice of protest (as defined in 33.101 of the FAR) a the Contracting Officer may, by written order to the Contractor, direct the Contractor to stop perfonnance of the work called for by this contract. The 1 order shall be specifically identified as a stop-work order issued under this clause. Upon receipt of the order, the Centractor shall imeciately comply with j its terms and take all reascnable steps to minimize the incurrence of costs allocable to the work covered by the order during the period of work stoppage. Upon receipt of the final decision in the protest, the Contracting Officer shall either-- .i (1) Cancel the stop-work order; or f (2) Terwinate the work covered by the order as provided in the Default, i or the Termination for Convenience of the Government, clause of this 4 contract. 1 (b) If a stop-work order issued under this clause is canceled either before i or after a final decision in the protest, the Contractor shall resume work. The i o!

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h-n RES-87-085 PAGE 22 Contracting Officer shall make an equitable adjustment in the delivery schedule or contract price, or both, and the contract shall be modified, in writing, accordingly, if-- (1) The stop-work order results in an increase in the time required for, or in the Contractor's cost properly allocable to, the performance of any part of this contract; and j (2) The Contractor requests an adjustment within 30 days after the end q of the period of work stoppage; provided, that if the Contracting Officer i, decides the facts justify the action, the Contracting Officer may receive i and act upon the request at any time before final payment under this contract. (c) If a stop-work order is not canceled and the work covered by the order is terminated for the convenience of the Government, the Contracting Officer 1 shall allow reasonable ecsts resulting from the stop-work order in arriving at j the termination settlement. (d) If a stop-work order is not canceled and the work covered by the order is terminated for default, the Contracting Officer shall allow, by equitable adjustment or otherwise, reasonable costs resulting from the stop-work order. (e) The Government's rights to terminate this contract at any time are not i affected by action taken under this clause. i (EndofClause) ^l ] 52.252-2 CLAUSES INCORPORATED BY REFERENCE. (APR1984) l This contract incorporates the following clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available, j I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES i Section E 52.246-5 INSPECTION OF SERVICES--COST-REIMBURSEMENT. (APR 1984) n .ii Section F 52.212-13 STOP-WORK ORDER.-- Alternate 1 (APR 1984) ) 52.247-34 F.0.B. DESTINATION. (APR1984) Section I a 1 52.202-1 DEFINITIONS. (APR 1984) j 52.203-1 0FFICIALS NOT TO BENEFIT. (APR 1984) 52.203-3 GRATUITIES. (APR1984) 52.203-5 COVENANT AGAINST CONTINGENT FEES. (APR 1984) 52.203-6 RESTRICTIONS ON SUBCONTRACTOR SALES TO THE GOVERNMENT a (JUL 1985) 52.203-7 ANTI-KICKBACK PROCEDURES. (FEB 1987) 52.208-3 CONFLICTS. (APR 1984) 52.215-1 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL. (APR 1984) l 52.215-2 AUDIT--NEGOTIATION. (APR 1984) 52.215-23 PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA-- l MODIFICATIONS. (APR 1985) i

n.;q w ': ;... ~. [d M L..u k:h a.uth..am L W..u.w.GlG:&i:.w.x:a=:w.~M Es.r:.w & uni M-q' ) RES-87-085 PAGE 23 52.215-24 SUBCONTRACTOR COST OR W I.NG DATf.. (APR 1985) 52.215-25 SUBCONTRACTOR COST OR PxtCING DATA--MODIFICATIONS. (APR 1985) 52.215-30 FACILITIES CAPITAL COST OF MONEY. (APR 1984) 52.215-31 WAIVER OF FACILITIES CAPITAL COST OF MONEY. (APR 1984) 52.215-33 ORDER OF PRECEDENCE. (JAN 1986) 52.216-7 ALLOWABLE COST AND PAYMENT. (APR1984) 1 52.216-8 FIXED FEE. (APR 1984) l 52.219-8 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL DISADVANTAGED BUSINESS CONCERNS. (JUN 1985) 52.219-9 SMALL BUSINESS AND SMALL DISADVANTAGED BUSINESS SUBCONTRACTING PLAN. (APR 1984) 52.219-13 UTILIZATION OF WOMEN-0WNED SMALL BUSINESSES. (AUG 1986) 62.220-3 UTILIZATION OF LABOR SURPLUS AREA CONCERNS. (APR 1984) 32.222-3 CONVICT LABOR. (APR 1984) 1 52.222-26 EQUAL OPPORTUNITY. (APR 1984) } 52.222-35 AFFIRMATIVE ACTION FOR SPECIAL DISABLED AND VIETNAM FRA l VETERANS (APR 1984) j 52.222-36 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS (APR 1984) 52.223-2 CLEAN AIR AND WATER. (APR 1984) 52.227-1 AUTHORIZATION AND CONSENT. (APR 1984) 52.227-2 NOTICE AND ASSISTANCE, REGARDING PATENT AND COPYRIGHT INFRINGEMENT. (APR 1984) 52.227-11 PATENT RIGHTS--RETENTION BY THE CONTRACTOR (SHORT FORM).. l (APR 1984) (AUG 1986) (APR 1984) 1 52.228-7 INSURANCE LIABILITY TO THIRD PERSONS. 52.230-3 COSY ACCOUNTING STANDARDS. i 52.230-4 ADMINISTRATION OF COST ACCOUNTING STANDARDS. (APR 1984) 1 52.230-5 DISCLOSURE AND CONSISTENCY OF COST ACCOUNTING PRACTICES. (AUG 1986) 52.232-17 INTEREST. (APR 1984) 52.232-20 LIMITATION OF COST. (APR 1984) 52.232-22 LIMITATION OF FUNDS. (APR 1984) 52.232-23 ASSIGNMENT OF CLAIMS. (JAN 1986) 52.233-1 DISPUTES. (APR 1984) 52.242-1 NOTICE OF INTENT TO DISALLOW COSTS. (APR 1984) 52.243-2 CHANGES--COST-REIMBURSEMENT. (APR 1984)--Alternate I. (APR 1984) j) 52.244-2 SUBCONTRACTS (C0ST-REIMBURSEMENTnNDLETTERCONTh.. CTS) (JUL 1985) 1 52.244-5 COMPETITION IN SUBCONTRACTING. (APR 1984) 52.245-5 GOVERNMENT PROPERTY (C0ST-REIMBURSEMENT, i TIME-AND-MATERIAL, OR LABOR-HOUR CONTRACTS), (JAN 1986) l 52.246-25 LIMITATION OF LIABILITY--SERVICES. (APR 1984) i 52.247-63 PREFERENCE FOR U.S.-FLAG AIR CARRIERS. (APR1984) 1 52.249-6 TERMINATION (C0ST-REIMBURSEMENT). (MAY 1986) i 52.249-14 EXCUSABLE DELAYS. (APR 1984) i i -l l

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Qg:.;., ~. ~. ~. ,..V. ~' a ~ PART 20-1 -- GENERAL Subpart 20-1.54--Contractor Organizational Conflicts of Interest 2 Sec. 20-1.5401 Scope and policy. j 20-1.5402 Definitions. 1 .i 20-1.5403 Criteria for recognizing contractor organizational j sonflicts of interest, i 20-1.5404 Representation. l. 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. A 20-1.5408 (Reserved) 20-1.5409 (Resarved) 20-1.5410 Subcontractors. 20-1.5411

Waiver, ijj 20-1.5412 Remedies.

>l AUTHORITY: Sec. 8, Pub. L. 95-601, adding Sec.170A to Pub. L. i 83-703, 68 Stat. 919, as amended (42 U.S.C. ch.14) I 120-1.5401 Scope and Policy (NRO)(a) It is the policy of the U.S. Nuclear Regulatory Comissionto avoid, eli

)

1 of interest. The NRC achieves this objective by requiring all prospective l contractors to submit information describing relationships, if any, with E;l organizations or persons (including those regulated by NRC) which may give rise to actual or potential conflicts of interest in the event of

I 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 1 to satisfy the overall public interest. It is not possible to prescribe Li in advance a specific method or set of criteria which would serve to 1 identify and resolve all of the contractor conflict of interest situations l which might arise; however, exartples are provided in these regulations I to guide applicatien of the policy. NRC contracting anci program officials must be alert to other situations which may warrant application of this policy guidance. The ultimate test is: Might the contractor, if awarded the con.ract, 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 ,i 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 accuisition of consulting services through the personnel appointment crocess, NRC ] t. _ - -,. -

s-- u.. : :w-.=_........ a m.._&:a..=:: e,= : .......:a =L :.n c:a a...a 7590-01, agreements with other government agencies, internatienal organizations. or state, local or foreign governments; separata procedures for avoiding conflicts of interest will be employed in such agreements, as appropriate. 120-1.5402 Definitions (a) "Organizational conflicts of interest" means that a relationship 1 exists whereby a contractor or prospective contractor has present or planned interests related to the work to be performed under an NRC contract which: (1) May diminish its capacity to give impartial, technically sound, objective assistance and advice or may otherwise result in a biased work product, or (2) may result in its being given an unfair competitive advantage. (b) "Research" means any scientific or technical work involving theoretical analysis, exploration, or experimentation. .j (c)

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

I (d) "Technical consulting and management support services" means 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 information. Such services typically include assistance in the preparation of program ) plans; arid preparation of preliminary designs, specifications, or statements of work. 4 (e) "Contract" means any contract, agreement, or other arrangement j with the NRC except as provided in Section 20-1. 5401 ( c ). 'i ( f.\\ "Contractor" means any person, fim, unincorporated association, joint venture, co-sponsor, 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 wnen a third party controls or has the power to control both (41 CFR I1-1.606-1(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, fim, unincorporated association, joint venture, partnership, corporation, or e affiliates thereof, including its chief executive, directors, key personnel i (identified in the proposal), prooosed consultants, or subcontractors, i submitting a bid or proposal, solicited or unsolicited, to the NRC to obtain a contract. 1 ^ 2 { i /.

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~ 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 which merit investigation prior to contract award in order to ascertain whether award would give rise to an actual conflict or which must be reported to the contracting officer for investigation if they arise during contract perfomance. 3 120-1.5403 Criteria for recognizing contractor organizational I conflicts of interest d 1 (a) General. Two questions will be asked in detemining 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 j unfair competitive advantage based on the performance of the contract?

t The ultimate detemination by NRC as to whether organizational conflicts

~j 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 i perfomed. While it is tifficult 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 contractual requirements which call for the rendering of advice, consult,ation or evaluation activities, or similar activities that lay direct groundwork for the NRC's decisions on regulatory activities, future procurements, and j research programs. (b) Situations or relationships which may give rise to organizational 1 conflicts of interest. (1) The offeror or contractor shall disclose j infomation concerning relationships which may give rise to organizational conflicts of interest under the following circumstances: (1) Where the offeror or contractor provides advice and recomendations to the NRC in a technical area in which it is also providing consulting assistance in the same area to any organization regulated by the NRC. 1 (ii) Where the offeror or contractor provides advice to the NRC on .1 the same or similar matter in which it is also providing assistance to j any organization regulated by the NRC. 1 1 ll (iii) Where the offeror or contractor evaluates its own products or 1 services, or the products or services of another entity where the offeror i or contractor has been substantially involved in their development or j ma rke ting. 1 il (iv) Where the award of a contract would otherwise result in placing the offerer or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC or may otherwise result in an unfair competitive advantage for the offerer or contractor. ;

l' 7590-01 T (2) The contracting officer may request specific information from an offeror or contractor or may require special contract provisions such i as provided in i 20-1.5405-2 in the following circumstances: i (i) Where the offeror or contractor prepares specifications which ure 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 i which could fem the basis for a later procurement action. (iv) Where the offeror er contractor is granted access to proprietary infomation of its competitors. i (v) Where the award of a contract might otherwise result. in placing the offerer or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC or may otherwise result in an unfair competitive advantage for the offeror or contractor. (c) Policy application guidance. The following examples are L: illustrative only and are not intended to identify and resolve all ii contractor organizational conflict of interest situations. (1) Example. The XYZ Corp., in response to a request for proposal (RFP), proposes to i; undertake certain analyses of a reactor component as called for in the t' RFP. The XYZ Corp. is one of several companies consitared to be technically [l well cualified. In response to the inquiry in the RFP, the XYZ Corp. advises that it is currently perfoming similar analyses for the reactor i f manufacturer. Guidance. An NRC contract for that particular work normally would r not be awarded to the XYZ Corp, because it would be placed in a position j in whien 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 b perfore certain analyses of a reactor component which are unique to one type ~of advanced reactor. As is the case with other technically qualified companies responding to the RFP, the ABC Corp. is performing various [' projects for several different utility clients. None of the ABC Corp. projects have any relationship to the work called for in the RFP, Based on the NRC evaluation, the ABC Corp. is considered to be the best qualified company to perform the work outlined in the RFP, . t.. .{ _. _. _,F g

., Y,Y L.:.dk0. .u.l..Y.h O $:a4W Gak: $$$i.L ha.,f. l v 7590-01 Guidance. An NRC contract nomally could be awarded to the ABC Corp. because no conflict of interest exists which would motivate bias l with respect to the work. An appropriate clause would be included in i j the contract to preclude the ABC Corp. from subsequently contracting for work during the perfomance of the NRC contract with the private sector j which could create a conflict. For example, ABC Corp, would be precluded 1 from the performance of similar work for the company developing the advanced reactor mentioned in the example, 1 1 (3) Example. As a result of operating problems in a certain type I of connercial nuclear facility, it is imperative that NRC secure specific A data on various. operational aspects of that type of plant so as to 'i assure adequate safety pr%tection of the public. Orfly one manufacturer j has extensive experience with that type of plant. Consequently, that i] company is the only one with whom NRC can contract which can develop and conduct the testing programs required to obtain the data in reasonable i tie. That company has a definite interest in any NRC decisions that i might result from the data produced because those decisions affect the j reactor's design and thus the company's costs. Ij Guidance. This situation would place the manufacturer in a role in J which its judgment could be biased in relationship to its work for NRC. Since the nature of the work required is vitally important in tems of 1 NRC's responsibilities and no reasonable alternative exists, a waiver of the policy may be warranted. Any such waiver shall be fully documented 4 and coordinated in accordance with the waiver provisions of this policy j with particular attention to the establishment of protective mechanisms ] to guard against bias. (4) Exampl e. The ABC Co. submits a proposal for a new system for evaluating a specific reactor component's perfomance for the purpose of developing standards that are important to the NRC program. The ABC Co. has advised NRC that it intends to sell the new system to industry once its practicability has been demonstrated. Other companies in tSis ) J] 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' infonnation produced under the contract j; will be used in the contractor's private activities unless such information 'I has been reported to NRC. Infonnation which is reported to NRC by centractors d will normally be disseminated by NRC to others so as to preclude an j unfair competitive advantage that might otherwise accrue. When NRC "1 furnishes information to the contractor for the performance of contract work, it shall not be used in the contractor's private activities unless such information is generally available to others. Further the contract h will stipulate that the contractor will infom the NRC contracting ) officer of all situations in which the information developed under the contract is proposed to be used.

F 1 7590-01 I (5) Example. The ABC Corp., in response to a RFP proposes to i assemble a map showing certain seismological features of the Appalachian j fold belt. In accordance with the representation in the RFP and 120-1.5403(b)(1)(i), ABC Corp. informs the NRC that it is presently doing seismolog'ical studies for several utilities in the Eastern United { States but none of the sites are within the geographic area contemplated l by the NRC study. Guidance. The contracting officer would nonna11y conclude that award of a contract would not place ABC Con, in a conflicting role [ where its judgment might be biased. The work for others clause of 120-1.5405-1(c) would preclude ABC Corp. from accepting work during the tone of the NRC contract which could create a conflict of interest. (d) Other considerations. (1) The fact that the NRC can identify and later avoid, eliminate, or neutralize any potential organizational conflicts arising from the perfonnance of a contract is not relevant to a cetennination of the existence of such conflicts prior to the award of a contract. (2) It is not relevant that the contractor has the professional reputation of being able to resist temptations which arise from organizational conflicts of interest, or that a follow-on procurement is not involved, or that a contract is awarded on a competitive or a sole source basis. 120-1.5434 Representation j I (a) The following procedures are designed to assist the NRC contracting { officer in detennining whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a particular offeror or contractor, e (b) Representation procedure. The following organizational [' conflicts of incerest representation provision shall be included in all solicitations and unsolicited proposals for: (1)Evaluationservicesor activities; (2) technical consulting and management support services; (3) research; and (4) other contractual situations where special organizational conflicts of interest provisions are noted in the solicitation and would be included in toe resulting contract. This representation reovirement shall also apply to all modifications for additional effort under the contract except those issued under the "changes" clause. Where, however, I: a statement of the type required by the organizaticMl conflicts of i' interest representation provision has previously been submitted with regard to the contract being modified, only an updating of such statement shall be required. ll . t f T, L . _..~..,,.y--._. - r-~ 8

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~ .. :. ;.9y.w:a..w..mx,,,aa_.s..x.._a.::~.p.a. i :,..z...a.~:a.nl a w )l. 7590-01 ORGAN!IAT10NAL CONFLICTS OF INTEREST REPRESENTATION i 1 represent to the best of my knowledge and belief that: j a I The award to of a contract or the modification of an l existing contract coes ( ) or does not ( ) involve situations or relationships ] of the type set forth in 41 CFR I20-1.5403(b)(1). I (c) Instructions to offerors. The following shall be included in f l] all NRC solicitations: (1) If the representation as completed indicates that situations or relationships of the type set forth in 41 CFR 120-1.5403(b)(1) are involved, or the contracting officer otherwise j 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 detemines that organizational conflicts exist, the following actions may be taken: (i) Impose appropriate i conditions which avoid such conflicts, (ii) disqualify the offeror, or j (iii) detemine that it is otherwise in the best interest of the United States to seek award of the contract under the waiver provisions of I20-1.5411. (2) The refusal to provide the representation required by 120. 1.5404(b) or upon request of the contracting officer the facts required i by '120-1.5404(c), shall result in disqualification of the offerer for ,( award. The nondisclosure or misrepresentation of any relevant interest may also result in the disqualification of the offeror for award; or if ii such nondisclosure or misrepresentation is discovered after award, the j resulting contract may be terminated. The offerer 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 statements of work contained in a RFP unless the RFP specifically prohibits such exclusion. Any such proposed exclusion by an offeror ] will be considered by the NRC in the evaluation of proposals. If the NRC considers the proposed excluded work to be an essential or integral i part of the required work and its exclusion would work to the detriment 't l of the competitive posture of the other offerers, the proposal must be j rejected as unacceptable. (e) The offeror's failure to execute the representation required i by subsection (b) above with respect to invitation for bids will be considered to be a minor informality, and the offeror will be pemitted to correct the omission. I 20-1.5405 Contract clauses i 20-1.5405-1 General contract clause j _ _ _ _ _ _

l1 7590-01 All contracts of the types set forth in i 20-1.5404(b) shall include ( the following clauses. !i (a) Purpose. The primary purpose of this clause is to aid in ensuring that the contractor: (1) is not placed in a conflicting role i' because of current or planned interest (financial, contractual, e.wanizational. l or otherwise) which relate to the work under this contract, and (f) 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 t 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 performed under this contract. The contractor shall ensure that all employees who are saployed 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 fim or i organi:ation 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. l t (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). i (2) The centractor agrees that if after award it discovers organizational i 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 stiich 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. I (e) Access to and use of infonnation. (1) If the contractor in the perfomance of this. contract obtains access to infomation, 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 cohtractor agrees not to: (1) Use such information for any(private ourpose until the infonnation has been released to the public; ii) compete for work for the Comission based [ .s. e P d .r. 7-

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+ ~ }.L:,. Q..n i = 2.:w f;C & :w.x.a. L,e:n:+..w L. w : shim M %. h w.. A.s B n 7590-01 on such information for a period of six (6) months after either the completion of this contract or the release of such infonnation to the g public, whichever is first, (iii) submit an unsolicited proposal to the government based on such infonnation until one year after the release of

• such infonnation to the public, or (iv) release the information without 1

prior written approval by the contracting officer unless such information j has previously been released to the public by the NRC.* a-i (2) In addition, the contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the d Privacy Act of 1974 (Pub. L. 93-579), or other confidential or privileged J technical, business, or financial infonnation under this contract, the contractor shall treat such information in accordance with restrictions j?' placed on use of the information. a 'f (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 i of this contract have been met. .J (f) Subcontracts. Except as provided in 41 CFR 520-1.5402(h), the 'I contractor shall include this clause, including this paragraph, in -l subcontracts of any tier. The terms "contract," "contractor," and 'i "contracting officer," shall be appropriately modified to preserve the goverr. ment's rights. .1 1 (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 nLcessarily imply bad faith, the government may 3 terminate the contract for default, disqualify the contractor from subsequent contractual efforts, and pursue other remedies as may be j permitted by law or this contract. ]l (h) Waiver. A request for waiver under this clause shall be t directed in writing through the contracting officer to the Executive Director for Operations (EDO) in accordance with the procedures outlined i d ini20-1.5411. 'l e i20-1.5405-2 Special contract provisions.

1 il (a)

If it is determined from the nature of the proposed contract that organizational conflicts of interest exist, the contracting officer may determine that such conflict can be avoided or after obtaining a ,g i waiver in accordance with $ 20-1.5411, neutralized through the use of an ij appropriate special contract provision. If appropriate, the offerer may !4 negotiate the tenns and condition; of these clauses, including the j I extent and time period of any such restriction. These provisuas incluce but are nat limited to:

i r 7590-01 \\l (1) Hardware exclusion clauses which prohibit the acceptance of ll procuction contracts following a related nonproduction contract previously performed by the contractor; (2) Software exclusion clauses; [< +' (3) Clauses which require the coritractor (and certain of his key personnel) to avoic certain organizational conflicts of interest; and i (4) Clauses wnich provide for protection of confidential data and guard against its unauthorized use. tj (b) The following additional contract clause may be included as section (1) in the clause set forth in 120-1.5405-1 when it is detemined i 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 1 work under this contract. Furthermore, unless so directed in writing by the contracting officer, the contractor shall not perfom any technical consulting or management support services work or evaluation activities under this contract on any of its products or services or the products -i or services of another firm if the contractor has been substantially jl involved in the development or marketing of such products or services. 1 (2) If the contractor under this contract prepares a complete or essentially complete statement of work or specifications, the contractor shall be ineligible to perfom or participate in the initial contractual

i effort wnich is based on such statement of work or specifications. The s

contractor shall not incorporate its procucts or services in such statement jl of work or specifications unless so directed in writing by the contracting i officer, in which case the restriction in this subparagraph shall not apply. (3) Nothing in this paragraph shall preclude 1;he contractor from offering or selling its standare conmercial items to the government. L 6 5 20-1.5406 Evaluation, findings, and contract award 'i The contracting officer will evaluate all. relevant facts submitted by an offeror pursuant to tne representation requirements of 120-1.5404(b) and other relevant infomation. After evaluating this information agains't the criteria of. 20-1.5403, a finding will be mace by the contracting officer whether organizational conflicts F interest exist with respect to a particular offeror. If it has oeen detemined that conflicts of interest exist, then tne contracting officer shall eitner: Ij (a) Disqualify tne offeror from award, f. 10 ...l. g ...,v e : z ~-< ~j> v.~. r ~. - y q -~z~ e - = ~ w ~ - ~ - - --.~~v-e-~- s e u.. -, y v 3, ey -, -

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a:..a d & a a..L a. w.:.i.:. i G s 3 7590-01 (b) Avoid or eliminate such conflicts by appropriate measures; or (c) Award the contract under the waiver provision of I20-1.5411.

120-1.5407 Conflicts identified after award. q J If potential organizational conflicts of interest are identified (fter award with respect to a particular contractor, the centracting 1 officer determines that such conflicts do, in fact, exist and that it .I would not be in the best interests of the government to ter1ninate the { contract as provided in the clauses required by 120-1.5405, the contracting officer will take every reasonable action to avoid, eliminate, or, after 4j obtaining a waiver in accordance with 120-1.5411, neutralize the effects of the identified conflict. 1 1 ( 520-1.5408 (Reserved) 4 1 520-1.5409 (Reserved) i l j 120-1.5410 Subcontracts 1 The contrdcting officer shall require offerers and contractors to submit'a representation statement in accordance with ! 20-1.5404(b) from i subcontractor: and consultants. The contracting officer shall require 1 the contrac or to include contract clauses in accordance with 320-1,5405 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 ' j, officer with the advice and concurrence of the program office director and the Office of Executive Legal Director. Upon the recomendation of the contracting officer, and after consultation with the Office of the General Counsel, the EDO may waive the policy in specific cases if he al determines that it is in the best interest of the United States to do I 50. I Such action shall be strictly limited to those situations in which: (1) The work to be performed uncer contract is vital to the NRC program; i (2) the work cannot be satisfactorily performed except by a contractor ] whose interests give rise to a question of conflict of interest; and (3) a contractual and/or technical review and supervision methods can be i employed by NRC to neutralize the conflict. For any such waivers, tne justification and approval cocuments shall be placed in the Public Document Roem. 4 J ) i I

i! 'i 7590-01 !l I $20-1. 5412 Remedies L kl In addition to such other remedies as may be permitted by law or I contract f6r 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 I may debar the contractor from subsequent NRC contracts. Dated at Washineten. D.C thi s 27th day of March

1979, i

For the Nuclear Regulatory Comission I DEuu>d \\ 0:h 4 Samuel p. Cn11x Secretary oft the Commission

1 J

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• .g Form NRC.489 h3 0 76) gj U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL 1

TRANSMITTAL NOTICE CHA?!?R IG.C-3202 FUSLICATICN OF 'ECHNICAL REPORTS FFEPAV.D BY NRC CCtCRACTORS, INCIEDING EPORTS PEPARED U?ER CR PPSt.WC TO IhTERAGENCV AO: EVE?7TS SUPERSEDED: TRANSMITTED: Number Date Number Date 1 TN 3200-21 j. Chapter NRC-3202 4/29/82 Chapter NRC-3202 5/29/84 .i Page Page f !i Appendix NRC-3202 4/29/82 Appendix W.C-3202 $/29/h REMARKS: i j This revisien of Chapter 3202 expands the chapter fmm coverage of unclassified reports to include the markir6 and hand 11r.g of sensitive ,.) unclassified inferation (Official Use Only and Li.ited Official Use .j

• v Inforatien, Safeguards Infor.ation, Pmprietary Infcmatien) and d,

classified infomation (Tcp Secret, Secret, and Ccnfidential). A section has also been added to set forth procedures for the handling of unclassified reports en h~4C cooperative pmgrars with foreign goverr.ments and c.Tani::atiens and with U.S. industrj. U 1 1n'i !i -j o. i 1 1:t 1 i 5 p'e.:?] e

,. bid.dU.b. w ea.,;2.$$$1/63d.dhiu A,_. s ..'. e a m a O, & A W h.j %.l d d d 4 6) i j x.' 1 U.S. NUCLEAR REGULATORY COMMISSION NRC MANUAL Volume: 3000 Information and Foreign Activities Part : 3200 Technical Information and Document Control ACM CHAPTER 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 1. } 3202-01 COVERAGE l l 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 i 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-i ports. This chapter does not cover NRC staff-generated documents, NRC 1 docket material, or the documents generated by NRC boards, panels, advisory committees and Offices that report to the Commission. ll 3203-02 OBJECTIVES l 0 21 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. g o 023 to assure that national security, patent rights, copyrights, proprie-tary rights and rights in other sensitive unclassified information are not i i compromised by the release, distribution, or dissemination of technical reports ^4 from NRC. } 024 to assure that formal NRC contractor reports will carry the regis-tered NRC designation NUREG/CR or NUREG/CP as the prime identification. 'l 025 to provide for coordination of' press or other media releases. 1

{

3202-03 RESPONSIBILITIES AND AUTHORITIES 1 031 The Director, Office of Administration: a. develops and maintains, in consultation with Directors of Offit:es l,'.-} and Divisions and Regional Administrators, NRC standards, proce-W dures and guides for the production and dissemination of technical contractor reports. Approved: August 29, 1984

y j, y - jg gj 43 p.k ww .L5SUUAN.ESm.COSA A M~a=LiSYWUY PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NR C-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; makes any changes needed. 032 The Director, Division of Technical Information and Document Entrol: i develops and administers a central report control system for identi-a. 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. j c. assures that a system exists for review of unclassified contractor j 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 contractor reports to assure adherence to the Government Printing and Binding Regulations issued by the Joint Committee on Printing (JCP), Congress of the United States. [h i %v e. in response to requests of Directors of Offices and Regional Administrators, establishes distribution data banks, maintains official standard distribution lists for aute' atic 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, 5

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-1 in g, Copying, Graphics and Photography and its appendix; and Chapter NRC-Il02, Procedures for Placement of Work with the i Department of Energy. In the Statement of Work: i l (1) specify what reports will be reviewed for policy, management, i and legal 1: sues 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 4 i documents in the event of unresolvable differences relative to the draft, including the type of disclaimer to be used in addi-tion to the standard government disclaimer (see Exhibit 6). f;i

• In the case of DOE work, this is NRC Form 173, Standard Order for DOE Work.

See Chapter NRC-1102. a fl Approved: August 29, 1984

U NaizA.4 AM., cA3!1bb;,.p -...n k h A w a a M L A A X..a n, 7deiMiuh,,A L Mf3! .. v xm om: m ( t PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-034 QZ,/ (2) provide for the reviews necessary to. insure that the national security, 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 authoriz.ed to make the reviews, designate the contractor officials who are authorized -to sign NRC Form 426A prior to NRC distribution of reports (see L; Appendix, Part IV). Assure that sensitive unclassified and I classified reports are marked and handled properly (see Appendix, Part V). i (3) specify that all formal reports carry NUREG/CR or NUREG/CP L numbers as the prime identification, as illustrated in the ) appendix. (4) specify whether formal reports shall be printed by NRC or 'ne contractor if the contractor has a JCP-authorized federal print-ing plant (see Appendix, Parts 11 and IV). 3 (5) specify that all formal reports required by NRC shall be distributed by NRC. a j (6) establish the number of copies the contractor may retain or j q1-request for internal and external distribution and charge i against NRC. Written justification must be provided, and i D, 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 (fes) 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. I e. establish procedures for review of contractor's proposed press and other media releases, i 034 The Office of the Executive Lecal Directer provides legal I review and advice to NRC staff on questions regarding inventions, patents, j proprietary information, use of copyrighted material, national security, and r other sensitive unclassified and classified information. I T. \\ l 035 The Director, Office of Public Affairs, upon request of the project manager, reviews proposed contractor s press or other media releases for appropriateness. Approved: August 29, 1984

{ c,,. i gy 4.g 7 a.:u....a.w =..,.w:.:.. w h.%...:..~ L. A i 'L.s.:...... u w u.a: &gDr.M:.a;u.:!.u + PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPABED N R C-3202-036 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS ..) 036 The ' Director. Division of Security: i 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-1 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. 'l 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 i .I 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

• y 041 camera-ready copy - pages ready for printing by the offset printing

. process. This is a colloquial term used even though the printing process may not involve the so-called copy camera (see also reproducible masters). 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 l for documentation, formatting, printing and distribution. 043 contractor report record of work done (a report) prepared in ij accordance with the provisions of a contract or under or pursuant to an interagency agreement. i s Words underscored in definitions are also defined in list, f.7 <i 'l Approved: August 29, 1984

-e-m x.x ca:6s.M s;w w.. x a. M a n., u :. s.,.. ~... u M s u 1, w a D. G vs.-- <n ;. ; .ua. wa.. J',.. 4 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS N R C-3202-044 W 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 participation in the regulatory process and support of research and technological investigations. Such distribution may be accom-r 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. Ch 048 draft or final material for inclusion 'in "Safety Evaluation Reports" j ,V or "Environmental Statements" (ES) - written material requested for mput 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 infonnation. 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 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 for work performed under or pursuant to an interarency agreement. examination by legal staff to assure protection 0411 patent review I rights in inventions, s 0412 proprietary information - trade secrets; privileged or confidential q research, development, commercial or financial information, exempt from manda-J tory disclosure under 10 CFR Part 2 (Sections 2.740 and 2.790) and under 4 10 CFR Part 9 (Section 9.5); and other information submitted in confidence j to the NRC by a foreign source and determined to be unclassified by the NRC. 0413 publi:ly available documents - infonnation (reports and references) l, 'M which is available m the NRC Public Document Room (PDR) for public inspec-D tion and copying or available in the public domain, q i i Approved: August 29, 1984

st &. A y% " y" ~,1 0 s m ?- C.m.~~. u m L u Jn nW _ ab.; j PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED j N R C-3202-0414 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS j 1 .y 0414 reproducible masters - camera-readv copy which includes (1) origi-nals of line drawings (or prints that can be copied), (2) glossy prints 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 'l formal technical reports for publication in the NUREG/CR or NUREG/CP l senes, or draft or final material for inclusion in SERs or ESs. t l 0416 technical letter reports (also called technical evaluation reports) ? - interim or final letters that provide information on the technical aspects of l contract work. Interim technical letter reports may be required at various i stages of a project. These reports usually are followed by a final technical j letter report or a formal technical report. Final technical letter reports are 1 usually s;acified in situations where the technical work is review and eval-I 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 I; to, informal (interim) progress reports, quick-look reports, data reports, status summary reports, project descriptions, pre-tested predictions, model verifications, experiment safety analyses, experiment op3 rating procedures, facility certification reports, and test result reports. $e l 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 051 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 1 Commission. These exceptions do not preclude the use of the NUREG/CR j series designation on reports prepared for these entities that are to be given j wide public dissemination. 052 Forms. NRC Form 426A, "Publication Release for Unclassified NRC I Contractor and Consultant Reports" (Exhibit 5), NRC Fonn 335 "Biblio-i graphic Data Sheet" (Exhibit 7), and NRC Form 190, "Cover Sheet for Reports i Containing Proprietary Information" (Exhibit 19), shall be used as provided in the appendix. j 053 Appendix 3202. This appendix contains standards and procedures O for the preparation of reporting requirement portions of Statements of Work, e') and for the documentation, production, and dissemination of technical reports D prepared by contractors and other government agencies in accordance with contract requirements or interagency agreements. I Approved: August 29, 1984 i

Ilr%DbSu.: 0 3 a.. O b t!$i$Nh5$$.i$52 $0 E U 2 0 A L d d d i a $ U,$ $ b 5 ~ PUBLICATION 'OF TECHNICAL REPORTS PREPARED BY 4 NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-054 0 054 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 1 the Division of Technical Information and Document Control accom-panied by completed NRC Form 426A and NRC Form 335. 1 j b. Reports Printed by Authori::ed Federal Printing Plants. All contrac-j 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 Mcidental distribution shall be sup-plied to the Division of Technical Information and Document Control, accompanied by completed NRC Form 426A, signed by the authorized 1 contractor official. Each such report shall include, as the last pa;;e. i a completed NRC Form 335. I { 055 References. The NRC chapters referenced and NUREG-0794 (ref. j) and NURE6"'0o30 (ref. i) are available from the Division of Technical informa-0 j tion and Document Control. The other publications are available from the Government Printing Office. 1 1 a. Chapter NRC-0260, "Printing, Copying, Graphics and Photography." ] .(.Mfl-j 'c.;.~ b. Chapter and Appendix NRC-2101, "NRC Security Program." c. Chapter NRC-3203, "Distribution of Unclassified NRC Staff-and Centractor-Generated Documents." d. Chapter NRC-1102. "Procedures for Placement of Work with the Department of Energy." i e. Chapter NRC-3206, "NRC Contractor Speeches, Papers and Journal Articles on Regulatory and Technical Subjects." f. Chapter NRC-3207, "Conferences and Conference Proceedings." q i g. Title 44, U.S. Code, "Public Printing and Documents." Government Printing Office. 1 h. Government Printing and Binding Regulations of the Joint Committee 1 on Printing, Congress of the United States No. 24, April 1977 (JCP Regulations), Government Printing Office. 1 i 1. Title 5. U.S. Code. "Government Organization and Employees," Government Printing Office. ] 4 O .l Approved: August 29, 1984 1

OG ~. m a:w. 14D.:.aui..b.(~.As.,..'.a.ALaSN$u'N5k.Sp? I ..a...-.im. 5.v.:. ,] PUBLICATION OF TECHNICAL REPORTS PREPARED BY l NRC CONTRACTORS, INCLUDING REPORTS PREPARED j NRC-3202-055 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS %.i. j. "Yechnical Writing Style Guide." A. W. Savolainen et al., compilers, i* U.S. NRC Report NUREG-0650, November 1979, and Supplement 1, ] February 1982. k. "Protection of Unclassified Safeguards Information," D. J. Kisun. USNRC Report NUREG-0794, October 1981. 1. Chapter NRC-0255, "Mail Management," and Appendix 0255, Part V. Annex A. ?. 1 1 i I 1 j, i l .c,., l i'.2 $l W i ,1 I } 4 I i i i 4 y i l Approved: August 29, 1984 1

2Elh[.ch.io I : Is ,M S.[ M Njli d Q4M c G b d _L.L.u..a m. h e.a4 ((g M U d & l ./ N i c. i PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED 1 .j UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS NRC Appendix 3202 s 3 ; Y.- m CONTENTS PAGE PART I 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 REP 0RTS............................... 2 C. REQUIREMENTS FOR ORAFT REP 0RTS................................ i D. PUBLISHING UNCLASSIFIED, NON-SENSITIVE INFORMATION IN OPEN LITERATURE AND PRESENTING PAPERS...................... 3 a t 4 i E. TYP0 GRAPHY.................................................... t j F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND 4 CLASSIFIED INFORMATION........................,............... G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES 4 AND WORKSH0PS................................................. I .C',b. H. WRITING AND PUBLISHING UNCLASSIFIE0 B00KS..................... 5 .'C.?; e e I 1. DISTRIBUTION OF REPORTS TO CONTRACTORS........................ 5 J. COORDINATION OF PRESS OR OTHER MEDIA RELEASES 1 0F UNCLASSIFIED INFORMATION................................... 5 PART II UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC... .7 t j 7 A. DOCUMENTATION................................................. 7 1. Applicability............................................ 2. Front Cover and Title Page............................... 7 J 3. Availability Information................................. 9 q 9 4. Disc 1aimerl.............................................. s 9 i 5. Previous Reports in Series............................... 9 l 6. Abstract................................................. 1 7. References and Bibliographies............................ 9 10 1 8. Bibliographic Data Sheet................................. ), f B. PATENT AND SECURITY REVIEWS................................... 10 10 j 1. Patent Review............................................ 10 2. Security Review......................... 4 '. ~. - i sa j i i i Approved: August 29, 1984 i i

c . '. 2... - l. w. ,h i. ..' c S.YS.S.'.L.D j.? w,., . ~.... u. + ; l,.'w ~ ~,.... a 1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS , 4, i CONTENTS (Continued) J \\ 1 PAGE 4 C. h; PROCEDURES FOR PRINTlHG AND DISTRIBUTING.....................- 11

j 1.

Printing...............,,......................., 11 1 2. Reprinting............................................... 11 1 3. Distribution of Reports.................................. 11 1 EXHIBITS

l ll 1.

Sample Cover for Unclassified Formal Contractor-Prepared Reports, Excluding Those Printed by DOE Laboratories with JCP Authorized l} Federal Printing P1 ants........................................... 13 !l 2. il Sample Title Page fer Unclassified Formal Contractor-Prepared l Reports Excluding Those Prir.ted by 00E Laboratories with JCP lj Authorized Federal Printing F1 ants................................ 14 (\\lj 3. Sample Cover for Unclassified Formal Reports Printed by 00E l3 Laboratories with JCP Authorized Federal Printing Plants.......... 15

1 i '.

4. Sample Title Page for Unclassified Formal Reports Printed l{ by 00E Laboratories with JCP Authorized Federal Printing l, P1 ants............................. 16 T,3 j 4 5. NRC Form 426A, Publications Release............................... 17 i ll Discla'imer and Availability Statements............................ 6. I 18 7. NRC Form 335. Bibliographic Data Sheet............................ 19 !i!. PART Ill UNCLASSIFIED TECHNICAL LETTER REP 0RTS........................21 1 1 A. F0RMAT....................................................... 21 i } 1. Applicability........................................... 21 2. Requirements............................................ 21 11 ~ B. PATENT AND SECURITY REVIEWS................................. 21 i. 1 4 L Patent Review.......................................... 21 { 2. Security Review........................................ 22 PART IV UNCLAS$1FIED FORMAL REPORTS TO BE PRINTED FOR THE OFFICE l OF NUCLEAR REGULATORY RESEARCH BY 00E LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTINGPLANTS...................... 23 A. 00CUMENTAT10N,............................................., 23 I p 1. Applicability.......................................... 23 U 2. Front cover and Title Pagt............................. 23 } l Approved: August 29, 1984 11 1

s .e w. .-s* ^ *:4 O ' QE.G Mia.. M Ush. L..x,::.u 9.;;.:.w....zM.4;;,, 1:uu % ge.hc, ) 4 PUBLICATION OF TECHN'ICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 f CONTENTS (Continued) f,Q.y PAGE { l 3. Availability and Price Information..................... 25 4. Disclaimer............................................. 25 5. Previous Reports in Series............................. 25 1 6. Abstract............................................... 25 1 7. References and Bibliographies.......................... 26 8. Bibliographic Data Sheet............................... 26 h l B. PATENT AND SECURITY REVIEWS................................. 26 4 i 1. Patent Review........................................ 26 2. Security Review........................................ 26 C. PROCEDURES FOR PRINTING AND DISTRIBUTING..,.................. 27 1. Printing.............................................. 27 .l 2. Reprinting............................................. 27 D 3. Distribution of Reports................................ 27 I J PART V REPORTS CONTAINING SENSITIVE UNCLASSIFIE0 AND i i CLASSIFIE0 INFORMATION...................................... 29 i q A. APPLICABILITY................'............................... 29 B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION...... 29 i. C. PROPRIETARY INFORMATION..................................... 30 I 0. SAFEGUAROS INFORMATION...................................... 31 j E. CLASSIFIE0 INFORMATION....... 31 \\ EXHIBITS 4 4 i 8. Sample Cover for a Contractor Report Containing Official Use f Only Information.............................................. 33 9. Sample Title Page for a Contractor Report Containing Official } Use Only Information............................................... 34 10. Sample Back Cover for a Contractor Report Containing Official l Use Only Information.............................................. 35 i } 11. Sample Cover for a Contractor Report Containing Limited i, Official Use Information.......................................... 36 12. Sample Title Page for a Contractor Report Containing Limited Official Use Information.......................................... 37 i O \\ e, 'C iii Approved: August 29, 1984

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~ ca me, J a PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS ) CONTENTS (Continued) (,., l i PAGE 13. Sample Back Cover for a Contractor Report Containin Of ficial Use Information...........................g Limited 38 l 14 j Sample Cover for. a Contractor Report Containing Proprietary 3 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 )f Sample Title Page for a Contractor Report Containing 16. Proprietary Information Obtained f rom a U.S. Organization......... 41 j. 4 17. Sample Title Page for a Contractor Report Containing ) Proprietary Information Obtained f rom a Foreign Source............ 42 l l 18. Sample Back Cover for a Contractor Report Containing P ro p r i e t a ry I n f o rma t i o n........................................... 43 } 19. Cover Sheet for Reports Containing Proprietary Information........ 44 20. Sample Cover for a Contractor Repor,t Containin Unclassi fied Saf eguards Information........... g 3 45

f?'.h,

%.) v. I 21. Sample Title Page for a Contractor Report Containin Unclassified Safeguards Information................g 46 22. Sample Back Cover for a Contractor Report Containin Unclassified Safeguards Information................g 47 23. Cover Sheet for a Contractor Report Containing Unclassified Safeguards Information............................................ 48 PART VI. HANDLING OF UNCLASSIFIED INFORMATION CN NRC COOPERATIVE 1 PROGRAHS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH INDUSTRY..................................................... 49 A. PREPARATION OF ORAFT PRELIMINARY REPORTS FOR C0m ENT......... 49 .I 8. DISTRIBUTION SY NRC PROJECT MANAGERS......................... 50 4 I C. Co MENT PERIOD AND ISSUANCE OF NUREG/CR REPORT............... 50 'i ( 0. REPORT IDENTIFIERS........................................... 50 t i E. MAILING TO PROGRAM PARTICIPANTS.............................. 51 j F. SECURITY..................................................... 51 g, .s; Approved: August 29, 1984 iv

v. . ~. - I; i..a.L.a Jm....ii.j.dblhi. 2ddLE,usica.na,as.w 2.a. An Aduh.12;cis2 a.0ful 1 PL*BLICATION OF TECHNICAL REPORTS PREPARED BY 1 NRC CONTRACTORS. INCLUDING REPORTS PREPARED l'NDER OR PURSU ANT TO INTER AGENCY AGREEMENTS NRC Appendix 3202 O'3) CONTENTS (Continued) st.: PAGE EXHIBITS ~ J { 24 Sample Cover for a Draft Preliminary Report (Code) for Comment... 52 ) Transmittal Letter from Contractor to NRC Project Manager for 25. .l. Oraft Preliminary Report (Code)................................... 53 e 4 j 26. Transmittal Sheet for Requesting Mailing to Cooperative Program Participants...................................................... 54 I 't i 4 1 f 1 1 o~. v.s n 1 'l 1 l 1 1, i I. 4 4 i i i i t l 1 ? dZ Fv. "d W v Approved: August 29, 1984

,2&q..aQ M k m i M k u. Q.J;a.O,% ri. & M b il;,.:.:.. k aL.a u.a Xa, i G(l U.$ D. &,5 N.z, ,yy. ... w;; 3.. ; :. 3.p3/<, m li 1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY d NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDET OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 g QM PART1 PREPAR ATION ')F REPORTING REQUIREMEi!T PORTIONS t,/ STATEMENTS OF WORK FOR CONTRACTS, GRAN'6 AF' STANDARD ORDERS FOR DOE WORK A t A. LIST OF TECHNICAL REPORT REQUIREMENTS

)

List the technical reports required from each project, task or subtask. P as applicable. State when and to whom they should be submitted and i d what they should contain. These reports may be unclassified. sensitive y unclassified or classified. Standards for each of these categories are 3 presented in Parts !! through V. The following definitions describe the d types of reports that may be specified: 1 d technical reports - inforination on the technical aspects of contract work. These may be interim or final technical letter reports, draft or final formal technical reports for publication in the NURTC/CR or i NUREG/CP series, or draft or final material for inclusion in SERs or ESs (see definitions below). ) technical letter re ports (also called technical evaluation reports) -Q interun or final etters that provide information on the technical 4 p.*7j 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 j technical report. Final technical letter reports are usually specified i a in situations where the technical work is review and evaluation of i D work of others or work to be used by the staff in the licensing

3 and regulation process. Interim letter reports may include, but are

'l not limited to, informal (interim) progress reports, quick-look 4 reports, data reports, status summary reports, project descriptions.

l pre-test. predictions, model verifications, experiment safety anal-

yses, experiment operating procedures, facility certification l

reports. and test result reports. These reports must be identified with the financial number (FIN) assigned to the project. They are not to be identified with DOE registered report codes. The num- ,!l ber of copies to be prepared and the distribution of those copies ] will be specified by the project manager. lb formal technical reports - the final product of research, an original i ?] investigation, or a siridficant compilation of informatio.1 This pro-duct is a formal technied report for publication in the NUREG/CR or ji - NUREG/CP series. For extensive long-term projects, forinal monthly, i ', quarterly or semiannual and annual periodic technical reports may be ]I required. A draft of the final or periodic report may be requested

I for comment prior to preparation of the camera-ready copy.

s: i j i 1 1 Approved: August 29, 1944

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,r, 1 ~ ;., > :v; ~ .a $A } : YS5n5Y$i.t5.baM MuaK$.&lh!a$, ',bl$$$$L5bGL$$$N?hhdbO.$ Ul.4GY5'>:Sl$ $ a. .c l e ); 1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part ! UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 3 J 39. j draft or final material for publication or inclusion in SERs.

Ess, 1

letters, or license amendments - written material requested for use in the NRC licensing 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-4 3 tion. This material is to be submitted to NRC as a technical letter i -l' report addressed to the project manager and identified by the FIN t i number. q 1 For purposes of this Part, contractor means a private contractor, con-a 3] sultant, gran tec. another State or Federal Agency working under an interagency agreement, or a DOE / facility or National Laboratory (con-J q tractor) and subcontractors.

j B.

REQUIREMENTS FOR FORMAL REPORTS 4 r d If the contractor is to prepare a final formal technical report for publi-i q cation, state that it will be printed and distributed by NRC from camera-a ready copy submitted by the contractor, unless the work is being done 1 Laboratory with a JCP-authorized printing plant. The camera-ready i for the Office of Nuclear Regulatory Research by a DOE facility or g copy is to be prepared in accordance with the provisions of this appen-1 dix, Parts !! and V (for contractors other than DOE contractors), or N, N ] Parts IV and V of this appendix and Chapter 1102 (for DOE contrac-y"-) y tors ). A style guide is also available free, upon. request (NUREG-1 0650). If the report is to be printed by NRC and it is unclas,sified, the camera-ready copy is to be submitted by the contractor to the Director. Division of TechnicalInformation and Document Control, NRC, Washington. s D.C. 20555, by first class mail. For handling of sensitive unclassified i and classified reports see Part V of this appendix and NRC Appendix 2101. l Unclassified reports printed for the Office of Nuclear Regulatory Research i y should be handled in accordance with Parts IV and V of this appendix y and/or Chapter 1102. i W i C. REQUIREMENTS FOR DRAFT REPORTS i i If a draft is desired prior to completion of a final technical letter report, O fonnal technical report, final material for inclusion in an SER or ES, or l -i for comment by participants in cooperative programs with foreign gov-l 4 ernments and organizations and with U.S. industry, state that require-ment and the time frame for delivering the final camera-ready copy after ni receiving NRC 'and/or participant comments on the draft. State that all j draft material should be submitted to the cognizant project manager. q When the contractor is to submit draft material for comment prior to the 4 preparation of the final report, state that if there are NRC program 1! and/or participant comments the contractor will be asked to make changes. l .i If agreement on the changes is reached, the NRC manager will authorize the contractor to prepare the final copy and submit it to the project Q l manager, if it is a letter report or input to an SER or ES, or to the y'- !} Director, Division of Technical Information and Document Control. if it is l ) 1;j Approved: August 29, 1984 2 1

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p.un. %., 4,s.i :.z. w L u, ,1 1 3q 9 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS Part I n

n ?}

wV camera-ready copy for printing and distribution. This is to be done to assure proper publication, handling, and distribution and, among other things, to preclude further 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, th'e 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 e[ formal reports (see Exhibit 6), any caveats deemed necessary to cover NRC objections. Such caveats may range from the "The views expressed 4l in this report are not necessarily those of the U.S. Nuclear Regulatory j 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 Jabora-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 q" Laboratory Director. In the case of another Federal agency, a State, or a private contractor, the person who executed the contract should simi-s..W, 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 lit.erature instead of. submitting a final report and/or 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 the work. If the project manager wants to review the paper or journal article prior .l to presentation or submission for publication, state this in the Statement of Work, as fouows: The principal investigator (s) may publish the results of this work in the open literature instead of submitting a final report and/or pre- .fP sent papers at public or association meetings at interim stages of the Q) work, if '.he article or paper has been reviewed by the NRC project 3 Approved: August 29, 1984

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O bdE. m A G h. i GU.

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s $.iu $C d k Ub,' r w ~. - m.s,.. s. Sl f 'J 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-Nh tent. The applicable procedures set forth in Chapters NRC-3206 or NRC-1102 must be foUowed. j 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. y Nuclear Regulatory Commission," any caveats deemed necessary to .a cover NRC objections. If NRC objections cannot be covered in this l

j manner, NRC can refuse to authorize publication in the open litera-ture'and/or presentation of papers.

in the latter case, NRC will inform 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 idtintification of the information. This will not affect payment of the contract work costs. I Project manager or higher level decisions may be appealed to the NRC j Executive Director for Operations, q l If the contractor proposes to publish in the open literature or present the information at meetings in addition to stabmitting' the required tech-j nical reports, approval of the proposed article or presentation should be ) i cbtained from the NRC project manager. The NRC project manager shall either approve the material as submitted, approve it subject to NRC- ,i suggested revisions, or disapprove it. In any event, a project manager 1 may disapprove or delay presentation or publication of papers on infor- ..x N j mation that is subject to Commissioner approval that has not been ruled

f...],

j upon or which has been disapproved. 4 Jj (Sce 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 8\\ x Il-in, paper, unless ) otherwise specifically authorized. Occasionally, reports with many sym-bois and mathematical expressions may require one and one-half spacing .j 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 CLASS!FIED 1 INFORMATION 2 j Details of the marking of reports designated Official Use Only', Limited l Official Use, Proprietary Information, Safeguards Information, and 1 classified (Confidential, Secret, and Top Secret) are provided in Part V of this appendix and in NRC Appendix 2101. G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND j WORKSHOPS ] t.h NRC publishes or assists in the publication of compilations of papers " ; 'l ) j presented at meetings, conferences, and symposiums in which NRC bi ' i i j Approved: August 29, 1984 4 1 ~

wi

..,. g.. 6 .z u.L.a.:. m-.:v.: <.:.,;.. u ;_ n : w M d u. u. m.,. u.,.. L : i. i ;a W ;i,i b :.. M,,.; i 3 1 1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part I @~, participates as a sponsor or cosponsor. Chapter NRC-3207. "Conferences cl:V and Conference Proceedings," provides general information and guidance for this. More detaned guidance is available from TIDC upon request. H. WRITING AND PUBLISHING UNCLASSIFIED BOOKS 1 l NRC may, under certain circumstances, publish books prepared by grantees or contractors. For general information and guidance on book A f publishing, see Chapter NRC-3210, "Book Writing and Publishing." 1. DISTRIBUTION OF REPORTS TO CONTRACTORS 1 ] Up to 50 copies of unclassified formal technical reports may be retained t by or will be bulk shipped to the contractor by NRC for internal use, j If fewer than 50 copies are needed, indicate the desired quantity on NRC J 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. lf 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 classi-

h fied reports will be made by the project manager on a case-by-case basis.

j (.Y 4 q J. COORDINATION OF PRESS OR OTHER MEDIA RELEASES OF UNCLASSI-FIED INFORMATION i 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 contracter 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. I i i i 4 .N.., J) q~ 5 Approved: August 29, 1984

(si L.a h d,...:.:. -.u.a. u m 5 ON Y'b' 'abd $O.O,:.b...z huiL:2Y$S.~0liW I j 1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY 1 l NRC CONTRACTORS, INCLUDING REPORTS PREPARED i UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 O p l... Ql PART !! UNCLASS!FIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC A. DOCUMENTATION [ 1. Applicability 1 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 1 then only those reports prepared for NRC's Office of Nuel:ar ]j Regulatory Research. 1 b. With respect to sensitive unclassified and classified reports. the requirements set forth in Part V of this appendix shall be i used in conjunction with NRC Appendix 2101. The requirements of this part do not apply to consultants and c. l contractors of the NRC boards, panels, and advisory commit-1 l tees which report directly to the Commission. O 2. Front Cover and Title Page (,: l Separate covers and '.itle pages are required (see Exhibits 1 a. j and 2 for contractor reports and Exhibits 3 and 4 for reports j prepared under or pursuant to interagency agreements ).* l j b. The items shown in Exhibits 1 through 4 and discussed below

)

shall appear on the title page and cover, as appropriate.** i (1) NRC Report Number Each report shall be identified by an NRC-controlled alpha-numeric designation as the prime designation unique .8 to that report. The centralized report control system for unique identification is maintained by the Division of Technical Information and Document Control. Numbers may be obtained by calling the Division of Technical Infor-

jj mation and Document Control or by submitting a copy of i

NRC Form 426A (Exhibit 5) with a request for a number. a 1 j , Reproducible copy of the cover of the performing organization may be sub-1 mitted; however, the data elements shown in Exhibit 1 must be included. These requirements meet the specifications of American National Standard sa k ANSI Z39.18-1974, Guidelines for Format and Production of Scientific and qy Technical Reports, and ANSI Z39.23-1974 Technical Report Numbers. i 7 Approved: August 29, 1984

r; -+ m;.. -v $.b:... $N l ,h$$b L uh k;L:.3.1;'.Ta.2.a.h X.2OuEE nh w 2.ie iMbSlNIiu.N'M:e. .$R [ t PUBLICATION OF TECHNICAL REPORTS PREPARED BY . NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part !! UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS i The NRC identification number will have the form: .I. ;,. ? NUREG/CR-XXLX or NUREG/CP-XLXX where CP indicates conference proceeding. The contrac-tor's report number, if any, may be inserted below the [. NUREG number on the ti.tle page and cover, as shown in Exhibits 1 through 4, if desired by the contractor. U When a report consists of more than one volume or bind-1 ing or is issued in more than one edition, an appropriate j volume, supplemen t, part or revision designation shall j appear immediately below the report number. l, (2) Title and Subtitle t (a) Use a brief title that indicates clearly the subject { matter covered in the report. 1, (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, thesis, etc.) and the period covered as part of the subtitle. , o,. ; 3 r; (3) Personal Author (s)' Name(s) sj 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 a of each author only if affiliated with an organization other q than the organization generating the document. 4'g (4) Organization Identification, q' On the title page and cover, provide information of the type illustrated in Exhibits 1 through 4. (5) Basis for Report Date(s) 1 (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. l l j (b) More than one date, with the basis for each, may be

1 shown where this is necessary.

.i .-C n.e j Approved: August 29, 1984 8 .:i

'~L i - +p.. 2.L _ hwa.hn,h ;.;.,w e n 'i,2 a m..u..;...ac..s. a ; M e M.d M A 1.2. r - - I i q i PUBLICATION OF TECHNICAL REPORTS PREPARED BY j NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 11 m f.'. 3. Availability Information \\.:. J All formal reports will be made available for sale by NRC and by 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. 'isclaimer The following notice will be added during the printing step on the 4 inside front cover (Exhibit 6): "This report was prepared as an j

.j account of work sponsored by an agency of the United States

-l Government. Neither the United States Government nor any agency j thereof, or any of their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any 3 third party's use, or the results of such use, of any information, j apparatus, product or process disclosed in this report, or repre- ] sents that its use by such third party would not infringe privately j owned righ ts. " Tne following additional statement, "The views i 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 i added, if needed (see Part I.C., Requirements for Draft Reports). i 5. Previous Reports in Series O i ', 'y. If the report being prepared is one in an ongoing series, list all V previous reports in the series. Include report numbers and issu-N 1 ance dates. Place this list on the back of the title page. .I 6. Abstract An abstract of 200 words or less shall be prepared for each formal j report. Within the report, the abstract shall appear on a separate i page between the list of previous documents in the series and the contents page.* 7. References and Bibliographies ~ 4j Reports'or other documents referenced in text, reference sections, 4 bibliographies, and appendixes of unclassified regulatory and i 3 technical reports in the NUREG series must be available h the l public either in the public domain (as in a public library, at the ] Government Printing Office, at the National Technical Information i 5ervice, or at other reference or sales outlets) or in the' NRC 4 Public Document Room. This means that references should not j be made to personal communications and interviews, unpublished 4 sThis preferred positioning of the abstract in the report need not be followed ,o if the style manual of the originating organization requires a different }

b. a,q}

location. 9 Approved: August 29, 1984

.$$:Zi$i.d.b h..nn A.S. h$.i.. J.;O. bLeid e. 2 I f,Mb z g PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part !! UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS !1 .~ information and information with restricted distribution (e.g., proprietary, national security, official use only, etc.), if the +! a unretrievable information is important and unrestricted. It can be J quoted in the text, in footnotes, or in appendixes. If credit is due

• 1 to individuals, they can be mentioned in the text or in an acknow-ledgement section.

Availabuity may be stated collectively.for all l entries (see Exhibit 6). Guidelines for developing and presenting reference material are j provided in NUREG-0650, "Technical Writing Style Guide." published in November 1979 (see Appendix A, pp. 19-23, for j specific guidance) and Supplement I dated February 1982. 8. Bibliographic Data Sheet NRC Form 335 (Exhibit 7) shall be. prepared and included in the 3 camera-ready copy as the final right-hand page. ia B. PATENT AND SECURITY REVIEWS J 1. Patent Review j 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. If the work being reported -lj is contractually managed through another government agency (e.g., DOE laboratories), that government agency should be requested by '.j g '. the contractor to perform the patent review. The result of such review shall be reported on NRC Form 426A in item 11 (Exhibit 5). If NRC directly administers the contract or the contractor is unable q to obtain a patent clearance from the government agency administer-t/! ing the contract, the responsible NRC contracting officer shall be E consulted, and the responsible NRC project manager shall consider ? the patent implications. If there is no need for patent review because of the certainty that the report contains no description of L:i novel technical developments which may be of an inventive nature, ) 9 NRC Form 426A may be completed with the statement "Not Appil-i cable" or "N/A" in the space for the Patent Counsel's signature, if .i there is a possibility that there is disclosure of developments of an ya inventive nature, the contracting officer shall request assistance from the NRC Patent Counsel, Office of the Executive Legal Director. 2. Security Review In most cases, contractor reports will be unclassified. Should a report of sensitive unclassified or classified work be required, however, the NRC project manager must work with the NRC 4 Division of Security to establish the appropriate procedures and 1 inform the contractor of such procedures through the contracting 1 officer. The standards for marking and handling such reports are /.. j given in Part V of this appendix and NRC Appendix 2101. 'J. y 'j j Approved: August 29, 1984 10 i

g: .?., y~ , ;qj.g., ' uksi.2.ani,/x.1.;I../,h.,gnA& c A.:rg.mN,.m.. n ;;, 3,. ,33 .,.. m u. m m a - " ' ~ > ~ r-1 l l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part II 6. C. PROCEDURES FOR PRINTING AND DISTRIBUTING

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Printing i Reproducible masters prepared in accordance with this appendix J shall be transmitted to the Division of Technical Information and 4 1 Document Control,, accompanied by completed NRC Form 426A l (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. 4 The Division of Technical Information and Document Control will H review the masters for adherence to the standards set forth h1 this i chapter and appendix and will arrange for printing and distributing 3 the report. Unsatisfactory masters will be reported to the NRC [ project manager for appropriate contractual action by the contract- ] ing officer or, in the case of government agency or interagency a agreement work, the publications manager of the performing 1 organization. 2. Reprinting }j Requests for reprinting any report subsequent to the initial print-1 ing require approval of the Division of Technical Information and J Document Control. Each request shall include a written justification i and the project manager's approval for reprinting along with ad- _3 [W ,y, dress labels for the recipients. j 3. Distribution of Reports ] All copies of unclassified formal contractor reports will be distrib-uted by the Division of Technical Information and Document Control 1 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-q ment Control System, the NRC Public Document Room, the National J., 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 a 1 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 en a case-by-case basis, i:j k \\; y, <s 11 Approved: August 29, 1984 1 m ._,_ = -..

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a.n,. ; w.,,)....htp;; .y . w. w.,;L. L.:,:~ a ~. . a w. :.~.w..u,_.b., L __u, az,; :. u .j i ) PUBLICATION OF TECHNICAL REPORTS PREPARED BY 2 .it NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202

• c-UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

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EXHIBIT 1 GAMPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO - INTERAGENCY AGREEMENTS .) i 4 'i I NUREG/CR 1676 NRC Report No. NUSAC 556 Contractor Report No. (if any) Vol. t Vol., Part, Rev., etc. (if any) Using Advanced Process Monitoring l me to Improve Material Control 4 I f'.}.' j Subtitle and Type of Repo ? Final Report j (Annual, Topical, etc.) September 1979 - September 1980 .i Author (s) e,.o.<.oe,a L.x. .a t.t m a.a r.t ro Contractor Nus AC lacorporeted NRC Pr eed for [* W a+e*'av

1 i

1 i 1 i d a b 13 Approved: August 29, 1984 - - ~

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~ ' Lisa..=...u :N...~. 2. a...b,:2. U b.b:.6-,. 1 -...L a,;:~'.,1 bc.e a w. b r, A..1.5.a'.dO]hh8 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTR ACTORS, INCLUDING REPORTS PREPARED .I Part 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

1..

EXHIBIT 2 1 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL CONTRACTOR. PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR - PURSUANT TO INTERAGENCY AGREEMENTS kj i d NRC REPORT No. NUREGICA 1676 j Contractor Report No. (if any) C 556 1 Vol., Part, Rev., etc. (if any) Distribution Category No. (if any) 31 i Using Advanced Process Monitoring nd,

j to Improve Material Control

'l ' I. Subtitle and Type of Report Feal Reoort i ( Annual, Topical, etc.) Septemeer 1979 September 1980 Report Dates and Bases ggg isso s i i Attthor(s), Editor (s), e, Compiler (s), etc. ^ Contrsetor Narna wsac we. .w and Addre:: w3C.'E

• i NRC Sponsorship Presered fee omenon et safee,veres office of Nuci. metenes safety ead safeguarde 1

a u.s. Nwei.ee neevieterv comm.e46en weeswagion. O c. mass { .,4 NRC Conteset No. Nnc nN e64n 1 j i E 1 1

l l!

l 1 1 9, .:l 4 4I .~ Approved: August 29, 1984 14

t. - n j s.4e. a. L. :.v.a. u a. a u. .auv az.':h'..L.L.a.d. w:. h :n.. ..-:.a.:..A.:.;dp.. a;h 1 ij e a .) '} PUBLICATION OF TECHNICAL REPORTS PREPARED BY ~ l NRC CONTRACTORS, INCLUDING REPORTS PREPARED NBC Annandiv.'1909 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS ya.m. :( f.% 3 4...; EXHIBIT 3 1 SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED i UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS I I l ,1 .) NRC Report No. NUREG/CR 19G2 Contractor Report No. S ANO810151 i { Vol., Part, R ev., e tc. i 3 LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks I (. ? ' /. Type of Report independent Verification Testing Program \\;j or subtitle independent Verification Test 1 b 1 1 1 ( l 4 t t soarea. w w exive. 8 v Thome. J a Lew.n T w camo,e sNL Author (s) Editor (s) * w A Rutword. A 5 Bennen NRC Contractor s,,,,y,,,,,,,g,,,,,,,,,,, Sponsorship EU'j/,7, ny,,, Cornmession s } -{ i a i i t i 1 .I i l 'l l .I 4 i ..a tLJ 15 Approved: August 29, 1984 l 1 1 .1 " * " ',, *_ ' ~ "

m. 4 b$5 a.; :u.aa.'.O : 15.$ :eY.aa %SUULL-~l W Yu0$ ~ .) t I j i \\ PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part Il UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS t EXHIC!T 4 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL REPORTS PREPARED

)

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS E, i NRC Report No, t. Contractor's Report No. Vol., Pas t, R ev., etc. NUREG/CR.1952 Distribution S AND810151 R4 ~ Category LOCA-Simulation Thermal-Shock Tim Test of Sliding-Link Terminal Blocks Subtitle --{ ino oencent venf< anon Testing Program 2 inoependent vent. canon Test 1 .Re,o,t Dates a c._ . ~,,.. ', e....

o. % u..ini Muthor(s), Editor (s)

%+.* o. ,t 6, e . p,g,, y ,. - e * ~ s ~t ~ Contractor's 5=

• t = =.~

3ame and Address NRC $ponsorship h'**d

• o,=..,.',a' a..

in. .io .a om v s ~,..io. ...n .. a. u...,,c -. .n WesNagton. O C..M NRC FIN No. Nac rim saioi 7 i 4 .] t ^f ,1, j Approved: August 29. 1984 16 C l 1 L_

1-1- .. i .[?.6. u... :......,a:-. ..w... a. :. a :.& Laa, w..~.. :. w. ::.. s.:,:. ;,.:.. G:a. MUM.bti, 1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRP Appendix 3202 UMDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Part II o.9 .9 W EXHIBIT 5 NRC FORM 426A, PUBLICATIONS RELEASE FOR UNCLASSIFIED NRC CONTRACTOR AND CONSULTANT REPORTS j -.,. vs ove6s.n asows.,o., co 4a.o.e i..o., %..e s.. .,.c o... sea w. sm PUSLICATIOP.S RELEASE FOR UNCLASSIFIED .........e c., a s o.. -o I' NRC CONTRACTOR AND CONSULTANT REPORTS 7,,,.,,e., IP g ivet et h tl em i ). 'a,,G .a.g 3 w g,i e gg. 4. o 1 '4 4 3 l, t 6

• • o=4
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g .' i I. co..i.e=co.... ....s e e, c o.....c i..... . O.,0 <ti 0. C O.. f.g e.gq o.6.........co........ ........,.......0,....~-.,..,,-_.~<- c ? . s ~ -~ l ,,....,n..e,,,,- . % a' ". '.o. s e o C n '..C ' *. c " C *. 4. *.c.e.... -. ~ t. ..-..e...- ,i i......,n....-.,..... ..c......=;,..=.,,. ........ n.....u....... i......,n.......... ~. i.... i.... ^ .x.. r V< o. h,) ..g 17 Approved: August 29. 1984 ..-.c. .-4. +-- w eW 'T

kM' - " - i..~...J.al.t, Y SA....a...a h&d kksmak.&.ub d 4 '.' SUd y PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING BEPORTS PREPARED l'ai t !! UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS EXHIBIT 6 DISCLAIMER AND AVAILABILITY STATEMENTS (BACK OF COVER) k l NOT6CE 3 i Thre resort wa,e.pusered as en esament of wert senered by en essnry ed we Usisend houe s a co.orrer.r,t. ~,,,me Un.ted seet. - r., - t,.ree. e e .,nen. any rerty, e..,s.ed - ir,s..d,, eme.r m i.e. - e. um,.,,o. q '3 esenseelety 8er any mwd earty's we, w tee ree,tte et m.sh we, ed any A , esswegia, i Weeust et presses dettooed in t'oe resort, or represette that its 4.se by each wurd pety usedd not c*ge arrretory owned raphet. 4

}

,f I 2 NOTICS Amnandtry of Rohrees hestenees Chad in NRC Nedlestione h4ost euevmene cited in N RC puedicatiore will be **letWe hem one of the teeto==ng esuren: 1, The Nhc Putw,c Docunwit Room,1717 N $treet, N.W. Washegton, DC 20644

2. The NRC.CPO Sense Progrom, U1 pouclear Rey,aessry C__.

wouhegeon, DC 20665 3, The Neoonel Techneel IMerwetion Service, Sonngfeld, VA 22101 .. e' Atthough the totag that tonene reeressim tfw mesertty el ammamente ened in NRC put6assgieru. et se not intenced to be entwustrve. Rehreetoed escunwne evolebte for Iresorten and esoving ler e he from the NRC Puteus Desu-ment Room ectues NRC serremoneerwe erW intenol NRC momerence; NRC Offtse of leasestion and inbreprent tMetins. trtv6ers, intermessen noteams, insertion and eneestagsteen nessesa; bcomeo Ivoit Resorts, veteor reseru stel cervueeneenee, Ca

poses; and ese6 sent and heerese escumene and - __

The follonieng dorwmene in the NURf G eries are aveslelde 4r purWtems from Wte NRC,4PO Seus Progrem: Namet NRC nett and eenererter rueeru, NRCeseruered een4rense pneemsenen, wW NRC Destlets and brecreates. Anse enestatte we Regenstory Guedse, N RC repelstiere a the Case el

1. suuret Aspederens, and %cesar Asguderery ^ -

teessust Desunenes emodeste tem the Neuenot Teshamed ladensacon Servue Irwoude IguR80 teries .j reseru and teshnical reeerte presored by sieur heered egenssa erW resere preewed by the Atomas Enegy 6 - r., terwwnrist egency to the %sseur Repenegory C_ i 3 Dessanne eindelse trem suhele are teemini tushnessi leirene isuhees ed egen 16essene lease, each as books, joumel and pensessi nrtissue, and swesseens #estrohteyser noessa, lueured and seu legeneoen, erW congremeros reseru een wimmy to enemmed from these nerensa. Demamenes e,ch as venus, emnerweisru, terapi resore arW weresseere, and newsRC eenderense spessmenge are emedotee ter purehese from the erymmestion soensering the piasiassion eseed, Sangee cooes of NRC drpft reports are evodesde free, to the steit of agedy, woon westtem reesset to the Der, ton et Testuwest Intermet.n and Document Centros U1 %sener Rep,4seery Com-neeson, Wenhmeten, DC 20064, 3 Cee.e et ineuery cw. we aww.e und in.,es. mees n eier in v. NRC re,,tnery, een i J ere mentemed M tre NRC Utrery, 7920 Nor9esk Agereas, Seerusan, heerytyW, and are emedagse e m i remrease w= wy v. euw Cee we se== ore = wueny esenhood w y to t eu,e ed trem t*e encaneig winem.n, er owy we amer =., men us se.emre, nem v. Amortcon Neretel Senneere tretetwee,1430 treeduey, Ptow York. NY 10018. l e 7, v cao a e..or s i.) Approved: Au guR t 29, 1981 18

p.. ua...u.,. .wi: :. .a. a, :......w,.u; a a: &.m..=:a.:a.aw w O.i.. .....,a..:e x -.G D..b,; . t .c. PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Aonendix 3202 UNDER OR PURSUANT TO INTER AGFNCY AGREEMENTS 'r.

I C.. -

ViY EXHIBIT 7 NRC FORM 335 BIBLIOGRAPHIC DATA SHEET L3 4.s 'l, lll".;; sieuconAPHic oATA SHEET j ..c.,,..... ] l J g 2 - i i . ~,. ......, ~. -{ g f ..c4~,. ~.. t 1 I i l 4 t } c.,c. a.... l g%'/ .....u.. t I I l 1 l J l -,..u..... c..... t !. l ~,, u w ~ . i . u= : m. 1 ~ .,..e.-.. a- $:. s... 7 19 Approved: August 29. 1984 ,2

w u s. y $hhNnE.N.:.w..:s 5N u 0..L. hu N.? dS* fisi4 .: k..h.:. PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTO".S, INCLUDING REPORTS PREPARED 'l Part II UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS a. ~ 'i EXHIBIT 7 (Continued) w BACK OF NRC FORM 335 1 4 'J 00 NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREG' REPORT NsTmuCT 0Ns ) Nec 80mW 336, si4Lt0GItAPMIC OATA $Mit?,43 $A380 ON CUl0$LINE$ Pom 70mWAT AND PRODUCTION 08 SCitNTIFIC j AND TECHNICAL mtPomTS, AN8: 239.18-197e AVAILA8LE Sm0W Auf mlCAN N ATION AL 87ANDAmOS INSTITUTE. ta30 j tm0GWA*. Ntw Y0mm, NY 10018. EACM 38 PAR Af tLY $0VNO mtPomT.80m f x AWPLE E ACM VOLVWt IN A WuLTtv0LU+'t SET-SMALL MAvt ITS UNICVE 8:sL10CmAPMIC OATA $ Mitt. t 1. m8P0mf Nueestm. toch.aetvewear towas rooert emesi i t. 980800mised Om0 AN#2Afl0es, L,et Nmc O.v vea. 0'hte. } carry a waieve stonea me.c ses.eaetea (NumEC) em gaes U.S. Nweiee, meew4eter, Comm.es.ea, vissea.agtea. DC 20666 w i Dv the Omsiea of Techa.c e# latermeten one Oetwmeat 1 Centred. AQW, w steereease wate Amerisen Netiensa 11 c6 TYPt OP mEP0mf. Stese ereft. faaes. mehm.aerv, tee.csd. -j Steasere AN$1 239 23 197e, Toc neces megert Nwrator totaa. col, reewletery, evertwty. ete., eae,.f eeedecede, a ,e (57mN), vee weercase ietwes, Aree.c a mweg, supass, one ,ac,www estes. g a eaeas eary, se sa tae feuew.at enemones. NymtG4100, v avvatG/CP4010. NumtG/cm.0100, eae Numtoien.0010

m. Pent 00 Covento.

-( For reports m e series ese ved., $ wee., me.e.ea. ene I Asseadam, waea necesserv, Ace seatretter trewre'reace

12. SUPPtthe4NTAmY Nott$. Eater intermet ea ael.acNeoe issatificatica a meer (if sav) tones. NVm tQ awmese, e s.,

e eewaere 5,t weetw, owca se Preseres a seeeeres ea tn, v a P*f L.x x x x, $ AND E R XX X X. 5Al.X X X X. Pressates et ceas rease of, To me owen. seed Deceet e N. . *r e,see,t.e,eri.ne..ac.cete ae,a,ia. me. .o s

j 2.

74TLI Also SUSTitLt. Tit >e saevio iae,cere eieorov eae reeert tweeresses or swoowmeats tae eaer resort 8-l

• a en, the arerect (co.wooel of the reeert acive.ag ev

'y swetitie to tN me.a trtie Waea e report *e proceres.a mero 11 A88Tm ACT. lacNeo e trol (200 weres er eesi f ectwe* ewm-thea one veName rosest tae crimary tette, see veNme a meer merv of the mest e.ga.8 ceat safermatea teatoase.a tae w eae sacNeo owDttlie for the esecifig veNme Vee wooet ene resort. lf tag resort teate ae e 3,ga.tagwit entsesgregav er ie er case setters, tm,t cooitense comovier coes aemes. De heeretwre owtwv er m atew veNmes, meat.ea it more. A Setteet w act vee screavme one eaetieseeme in titwo, mov to seems in .e to es pregered tv evener er oreiect aenecer eereataept.

14. DOCUMENT ANALYSIS 1 LE AVE SLANE.

e6 KEY veOm0$mtSCmiPT0mt, Se ect from ene lawey e. DAf t, atP0mf C0eePLETIO, toch recort easie carry a este Dete Gese Swerett Treeewr e. 00t/ TIC.7004 A 5. tae w one.ceteag meath ene yeer protect /tesa come.ette preeer owtaeresee torene taet seentify the me.et gencept of the resseren me are owff e att, se.c,fic eaa erec.ee to L AUTH0m(31. Q.w momets) ma convet.eaal eeeer to e. Jeaa to wees se enese entr se f or ceteisgir.

m. Dee J. meeert Oeel. L4: evther s offihetea if it e eiffe.

l cat from tae oorformeag ergeaueten.

h. lOGNTIPl4RS ANO OP686GNOS4 78mee. Vie aosate-l

f. ors for erotect aemet, cose Pomeo, eewemeat sett4ters.

I S. DATI mEP0mT 188U80. Esca revert saeil carry e este ets. Use esea eaese teeywereel twee =r etea.a esecrever l onesenag meatm aae vent owestemes. form steel for those sustects for on.cn ao esecroer esece en tae immewrws. 'j T. PtmPomeeHee 0#4AN12AT10ee NAa#6 ANO ttAILifee i AOO483L G,ve awae, street city. state. ene Zip cose. 4 AVAIL.AseLITY STAtleetNT. Deaete awesic re*esamedete. ] List ne more tasa two nevene of en ergeneetiease heererthy. for eneawe "wahmetee'*, et len.netea for esseeat e t*** 0.ev tae ae,as.f v..,,saiesti.a eescov as f.o secv,.tv. Oeveesa, offee, Ortsa eetsoa er Ge=orameat seerwy, sad j espost E 20CVmftY CLASSiplCAT 0N. ta se U S Securie, Ciew.f. 1 cet,ea sa artereeace w.th U $ Seewr,t, megviet eas ti e. I 4. P#0J4CT/TASO90mK V8817 NUhe00m. Use tae oreiect, wattees.f eel. I esos one more va.t reemeers waeor one ene resort mee prese,eew ,L it, wunestm 0P Paess. Lee.

e. A.ees e,Ntisi s.

Pia De onANT Nueestm. i.esti taeais e,irria mer is. P# ICE. Lee.e re. < A eoe ev Ntisi w eneer ame resort mee erecered t 4 <~

r..

Approved: August 29, 1984 20 4 1 4

ja isimh.:.hak.a w..= a.;&_:,ii;..bn/ih.C,Adg., *. .lLm f. -< .\\.. 2: ~ 7 ' ~. - u M e i j y.). v wq. ssas.iu..b.a.lk.a.3,0i y..' *. *, q ~ PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS - NRC Appendix 3202 Q:. PART III UNCLASSIFIED TECHNICAL LETTER REPORTS 4 A. FORMAT "L j 1. Applicability y The requirements of this part apply t'o unclassified contractor a. technical letter reports. (See Part I. A for definition.) a 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-(A M:1 sified and non-sensitive, the NRC project manager is responsible for making such reports available in the NRC Public Document Room

• a j

(PDR) by sending them to the PDR through the NRC Document

j Control System.

) B. PATENT AND SECURITY REVIEWS 1. Patent Review 4

1 Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the j

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.

3

i d

If NRC directly administers the contract or the contractor is unable d to obtain a patent clearance from the government agency administer-ing the contract, the responsible NRC contractiag officer shall be consulted, and the responsible NRC project manager shall consider 3 l the patent implications. I If there is a possibility that there is disclosure of developments of 4 an inventive nature, the NRC contracting officer shall request j assistance from the NRC Patent Counsel, Office of the Executive Legal Director. b t 21 Approved: August 29, 1984 - -.. +,,

;.._

. ~ *,. *

~2' ,~.,.,,--,:.,,,,,.-.-.-.---,.n.,,l-.n.n..

' c. b,l,jj;;j;!;&.}g

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.l-jf 3;): j$$.Y. i PUI3LICATION OF TECHNICAL REPORTS PREPARED BY NRC Appadix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part 111 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 2. Security Review c In most cases, contractor technical letter reports will be unclassi-fied. Should a report of sensitive unclassified or classified work be required, hcwever, tha project manager must work ' with ~ the a Division of Security to establish the appropriate security procedures and inform the contractor of such procedures. The standards for marking and handling such reports are given in Part V of this j; appendix and NRC Appendix 2101. N b q 4 i 1 i .6 s i e.... 't.9)f ) 1 I' i i i1 ut .); ' 5 1 1 i l Approved: August 29, 1984 22

.Y

k

.%i .a A. i+u...L.. +.i.in.w b.N b Ost$ Mud:.:.:.M a ;;.1i.'A edd ) f..., 11 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 g N:,3,)3 ] PART IV 1S UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE NRC d OFFICE OF NUCLEAR REGULATORY RESEARCH BY DOE LABORATORIES WITH JCP-AUTHORIZED EEDERAL PRINTING PLANTS .i A. DOCUMENTATION ) i 1. Applicability a. The requirements of this part apply to NRC staff who are i responsible for agreements with DOE Laboratories and their contractors who print regulatory and technical reports re-j quired by NRC. (See also Chapter NRC-1102). l 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. i c. The requirements of this part do not apply to consultants and contractors to the NRC boards, panels and advisory committees .j which report directly to the Commission. 2 3.' 2. Front Cover and Title Page .j a. Separate covers (of different paper than that of the text) and l title page are required.* { b. Items such as those shown in Exhibits 3 and 4 and discussed i below shall appear on the front cover and title page, as appro-p ria te.** 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. j (1) NRC Report Number Each report shall be identified by an NRC-controlled i alpha-numeric designation as the prime designation unique to that document. The centralized report control system 4 i for unique identification is maintained by the Division of i Technical Information and Document Control. Numbers may i e The cover stock of the performing organization may be used; however it l must include the data elements shown in Exhibit 3. i

• • These requirements meet the specifications of American National Standard

@@j ANSI 239.18-1974, "Guidelines for Fonnat and Production of Scientific and M Technical Reports," and ANSI Z39.23-1974, "Technical Report Numbers. " i 1 23 Approved: August 29, 1984 eure f 48Sh@- W-* 4 e ma@+- gaa 4 @m em p e esp

n :w, bl.b.b..G:eb_.dN$$;bd.....c.. A.$UE&chternidaw,1;..ib!f S.bU.a. $.$$d s PUBLICATION OF TECHNICAL REPORTS PREPARED BY ,j - -NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part IV UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 3 ^ ?l be obtained by calling the Division of Technical Informa-i tion and Document Control or by submitting a copy of i NRC Form 426A (Exhibit 5) with a request for a number. ] The NRC identification number will have the form: ~ l } NUREG/CR-XXXX or NUREG/CP-XXXX 2) The contractor's report number, if any, will be inserted below the NUREG number on the title page and cover, as a -)l shown in Exhibits 3 and 4, if desired by the contractor. ] When a report c. insists of more than one volume or bind- 't ing or is issued in more than one edition, an appropriate

-j volume, supplement, part, or revision designation shall y

appear immediately below the report number (s). NRC report numbers on covers and title pages shall be snown entirely on one line to facilitate computer processing. (2) Title and Subtitle (a) Use a brief title, which indicates clearly the subject 2 matter covered in the report. 4 17 (b) When a report is prepared in more than one volume, repeat the primary title on each volume. ' S' J l (c) If appropriate, show the type of report (e.g., 1 annual report, final report, etc.) and the period covered as part of the subtitle. 1 (3) Personal Author (s)' Name(s) (a) A'uthors' 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, l etc., so indicate on title page and cover following j the names. In addition, list affiliation of each author only if affiliated with an organhation other than the ij organization generating the report. (b) Authors may be identified on backstrips (spines) of J bound volumes. 4 ) (4) Organization identification i 1 (a) On the cover, provide the name of the contractor ] responsible for preparing the report, followed by 3 "Prepared for the U.S. Nuclear Regulatory Commission. " g 1 Approved: August 29, 1984 24

'xf w a . ; 7.: q,y - .s+ i M.im& x.:..u. umaai.wunaLa.u&: ;.G_:,in :xa. a:k.r. wa m.,..:.za.h H l L PUBLICATION OF TECHNICAL REPORTS PREPARED BY t NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 K UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV M;; E.N (b) On the title page, provide information of the type illustrated in Exhibit 4. (5) Basis for Report Dates (s) ~ l (a) The basis for dating may be shown along with the i 4 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 tha'n one date, with the basis for each, may be j shown where this is necessary. t 1 / 3. Availability and Price Information All formal reports will be made available for sale by NRC and NT15. The statement shown in Exhibit 6 is required on the inside of the front Cover, i ] 4. Disclaimer J j l 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, or Q@J' any of their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third party's j 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 rignts." The follow-ing 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 j qualifying statements may be added, if needed (see Part 1.C., l Requirements for Draft Reports). 5. Previous Reports in Series 3 If the report being prepared is one in an ongoing series, list all previous reports in the series. Include report numbers and issuance o ~f dates. Place this list on the back of the title page. a'j 6. Abstract ij i An abstract of 200 words or less shall be prepared for each formal

• l report. Within the report, the abstract shall appear on a separate page between the list of previous documents in the series and the 1

4 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. i 25 Approved: August 29, 1984 e i ^ - ::- -. n- :- - . =

.v .y s.15:. s.- N L' 'S A" 'A . A c., s, u.

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.l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part IV UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS j 7. References and Bibliographies t { Reports or other documents referenced in text, reference sections, 3 bibliographies, and appendixes of unclassified regulatory and i technical reports in the NUREG series must be available to the l public either in the public domain (as in a public library, at the 1 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 made to personal communications and in terviews, unpublished information and information with restricted distribu tion (e.g., j proprietary, national security, official use only, etc.). If the unretrievable information is important and unrestricted, it can be j 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-i ledgement section. Availability may be stated collectively for all j entries (see Exhibit 6). q} Guidelines for developing and presenting reference material are 4 provided in NUREG-0650, "Technical Writing Style Guide, " pub-1 lished in November 1979 (see Appendix A, pp.19-23, for specific .} guidance) and Supplement I dated February 1982. i 1 8. Bibliograpic Data Sheet ,'} NRC Form 335 (Exhibit 7) shall be prepared and included in the y ',. 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 j{ 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. 1 The results of such review shall be reported by.the contractor on j 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 j are given in Part V of this appendix and NRC Appendix 2101. q. i Approved: August 29, 1984 26

' ' :c .t g an; - 'a-1l ' a.m,a.m.'L.:::.u.& -.u.&w : u:.~ :. axa2:.w:s:2.L:1.a..w:a; aaa.%., :x:L&. r l 'i 1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 ,n, UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Part IV Q'." C. PROCEDURES FOR PRINTING AND DISTRIBUTING If ] 1. Printing j Contractor reports may be printed only by a JCP-authorized print-4 j ing plant and then only if prepared for the NRC Office of Nuclear ] Regulatory Research. Reports printed by the contractor and one i reproducible master shall be submitted to the Division of Technical

}

Information and Document Control, with completed NRC Form 426A. The number of copies specified by the Statement of Work for. stand- ? i ard and incidental distribution shall be provided. The appropriate .i identifying number (NUREG/CR _) may be obtained as discussed in 4 Section A. 2. b. (1). 7, 2. Reprinting } Requests for reprinting of any report at NRC expense subsequent to the initial printing requires approval of the Division of Technical j Infonnation and Document Control. The request shall include a written justification and the project managers approval for the re-j printing, along with address labels for the recipients. i 3. Distribution of Reports All copies of unclassified formal contractor reports will be distrib-uted by the Division of Technical Information and Document Control j in accordance with instructions on NRC Form 426A (Exhibit 5). I NRC Form 426A must be signed by a contractor official authorized by the project manager. Such authorization shall be reported in writing to the r)ivision 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 i 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. '{ The Division of Technical Information and Document Control will arrange automatic distribution of these reports to the NRC Docu-J ment Control System, the NRC Public Document Room, the National j Technical Information Service (NTIS), the Government Printing j Office and the Depository Library Service. 4 1 Distribution of sensitive (unclassified) and classified reports will be j made by the NRC project manager on a case-by-case basis, 1 i f } 1 I 1 27 Approved: August 29, 1984

,,L c;m .u..i. A tu;a-.;.aww._.L.,u:..:.w.:w, ....c....Lyi.; u: wm.42;m.=.0 ;w:uu l < f e l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 .y 0 PART V ~i REPORTS CONTA!NING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION } A. APPLICABILITY i l These procedures and exhibits of this part apply to sensitive unclassi-j fied and classified reports prepared by NRC contractors. These { reports include those designated: O'fficial Use Only Limited Official Use Proprietary Information .i Safeguards Information Confidencial i Secret 1 Top Secret ) Only sufficient information is presented here to aid in the preparation of the properly marked covers, title pages, back covers, and text pages. Details of the NRC Security Program and specific provisions for deter- { . D, mining when to use the markings exhibited are contained in NRC i NN Appendix 2101.

1 The reports covered are defined as sensitive unclassified or classified.

7 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 4

amended, information withheld from public dissemination under the Freedom of Information Act or Privacy Act, and information not to be exported to or disclosed to foreign countries.

1 d Classified information as used in this part includes Restricted Data, j Formerly Restricted Data or National Security Information that requires 'j protection in one of the three classification categories described in j Executive Order 12356: Top Secret, Secret or Confidential. 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 .j to be sent directly to the project manager. i i B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION. 4 NRC regulations require an Official Use Only marking to be placed on a l fp '. report only when the originator or other holder believes the marking is e. 4 i 29 Approved: August 29, 1984 4 a.-..

'- M :a.:.c.2. M & RLW..sff[4 c.\\, fs 3 ;:u..m w.xas. h.k;4Ll.A.m:.;i.wL3 ' nY .x. -~ s.. Csb .i 4 i 1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 1 O., essential to ensure proper handling. Reports designated Official Use

j Only will contain only unclassified information originated by or furnished j

.j to an NRC contractor which is to be withheld from public disclosure. The i report on which the marking appears must be reviewed at the time a <j request for release is received to detennine its releasability. The. Official l ij Use Only marking is notice of the originator's determination of the applica-bility of an exemption under the Freedom of Information Act or Privacy Act or both at the time of origination. .j i 1 Official Use Only NRC contractor reports shall be marked as shown in 1 Exhibits 8 through 10. l ,I Limited Official Use information is information originated by the U.S. Department of State. A report originated by an NRC contractor that 1 contains Limited Official Use information shall be marked as shown in 3 Exhibits 11 through 13. t ]: Procedures for reproducing, transmitting, protecting, and handling d reports containing Official Use Only and Limited Official Use information and removing such reports from those categories are detailed in NRC ] Appendix 2101. I C. PROPRIETARY INFORMATION Proprietary information is a specific type of Official Use Only informa-g tion. Proprietary information includes: M

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trade secrets. 2. privileged or confidential research, development, commercial or financial information exempt from mandatory disclosure under i 10 CFR Part 2, "Rules of Practice for Domestic Licensing Proceed-ings," 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. 'j 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 insu;nce, the optional wording that describes the material being presented should be selected. 1 l If a report contains both Official Use Only information and proprietary i information, the front cover shall be marked as proprietary information and may also be marked as Official Use Only infonnation, if necessary, j Pages in the report that contain proprietary information 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 information may be marked Official Use Only Approved: August 29, 1984 30 s

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l PUBLICATION OF TECHNICAL REPORTS PREPARED BY .i NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 ~ j UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V f%"a r,W' Procedures for reproducing, transmitting, protecting and handling pro-prietary information reports and removing them from the proprietary information category are detailed 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 1 Safeguards information may be of three types: (1) classified informa-tion, which is marked and handled as indicated in Section E, (2) un-1 i classified information restricted under Section 147 of the Atomic Energy Act, which is marked and handled as described in this Section, and (3) unclassified information, which is publicly available and handled as i indicated in Parts I through IV. I The safeguards information that is to be protected as described here 9 unclassuied information used in a report which specifically identifies i certain licensee's or applicant's detailed: l I 1 1 4 for the physical protection of special nuclear \\ 1. security measures ~1 material \\ d, 2. security measures for the physical protection and location of certain i plant equipment vital to the safety of production or utilization

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i facilities. 3 Unclassified NRC contractor reports containing safeguards information that is to be protected shall be marked as shown in Exhibits 20 through 1 22.

l Procedures for reproducing, transmitting, protecting, and handling safe-guards information reports and removing them from the safeguards i

information category are detailed in NRC Appendix 2101. A cover sheet (Exhibit 23) is to be placed on each hard copy of a report containing safeguards information. E. CLASS!FIED INFORMATION Classified information is limited to Restricted Data, Formerly Restricted Data and National Security Information. The procedures for making i classification determinations and for marking, reproducing, transmitting, ] protecting, and handling reports containing classified information and 4 removing such reports from classified categories are detailed in NRC .l Appendix 2101. These procedures are too complex for summarizing here. i

i Classification determinations regarding NRC information may be made

.{ solely by authorized classifiers designated by NRC or DOE. Authorized T classifiers are responsible for insuring that reports they detanine to ) be classified are marked and protected in accordance with the provisions .i of NRC Appendix 2101.

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31 Approved: August 29, 1984 .-.n.

$A.' t.: d i b i.5 5 $f'i. 0 2 S N S S.il.:.i S,: ~11 4:a d d d N Ei U ) M $ [.ih [.h S h N d d i s d h.2 d S.,. 30 ,,.:c'.,,~: .c w,.. .... a a l 3 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS ^ -1 ,t " .i It is important to note that information may not be classified in order j to prevent or delay the release of information that does not require protection in the interest of national security. Basic scientific research 3

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LIMITED OFFICIAL USE INFORMATION 1 i 4' ~l i UMITED OFFICIAL USE 1 t i NUAEGICA XXXX (S) I Title l Subtitle and Type of Report Authoris). Eetortsi i contrector pr o ree for u.s. Nucht Reguktm ComNesion g.h 1 ur m oe=ou evnic m etosvai i 1 i i ji 1 6 i l UMITED OFFICIAL USE ,i.". ,v), Approved: August 29, 1984 36

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1 .-a y ) EXHIBIT 12 i SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION 4 .l UMITED OFFICIAL USE -1 NUREG/CR.XXXX (S) i Title Sutmos and Tp of Report w wee: <=.. Osse NemmNe: tmeath. yearl Aweurtss. Wat ) Careester move are eserese Propered for DNeeaen O',t (.}. <':.~/ Office t 1 i U.S. Nweleet Regulatory Commiselon Weehington D.C. M NRC PIN No. l l I i ) 1 1 i i uMrTao oPrectAL usE i 6 y,d.s. i C 37 Approved: August 29, 1984 i 5 e e

. J,,, " 4 l1. ; ' ' ' - 1:1. I',' , 1;;. lr,<. ~ ,.c 4 m L ' L.r.hbas'iE&..:,a...L.2.' aOd.kU.Th' d.':.u'~a?bkndi:.1; 2xiU.w.u u& L.hk:.x.'--.: h) l i l PUBLICATION OF TECHNICAL REPORTS PREPARED BY ~; NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS s lj -, m c ^! ..;.) EXHIBIT 13 1 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION i i ,a ?'! 4 ) UMITED OFFICIAL USE J I i . iew.i contrector i .... w o, U.S. Nucleer Regul. tory Commission 1 i -h 'l' S' inAct SEC#tt CA Pf VittCID CA CON 8totNtuu CowwlmCLA( CA FINANCIAL tNBCAMATCN the escwment cantone swormeten i esemmoe to NAC Dv e 8W 08 hv ame 8 48'T e8 haD8W'e" m mes teen esternwee t.*wn e eew) NESR 9 PY2 e e = w.mr - - WITMMOLO f R004 PVSOC DISCLOSuet we s.o m<e. cas. i "t 1 i 3 ~ PMOPRIETARY INFORMATION iw 39 Approved: August 29, 1984 i

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NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERA'GENCY AGREEMENTS _ i EXHIBIT 23 .m 1 COVER SHEET FOR A CONTRACTOR REPORT CONTAINING r' l UNCLASSIFIED SAFEGUARDS'INFORMATION O i k l 'k N' 4 6 ( 3 7 l Ek.?. h 4' I s SAFEGUARDS INFORMATION 3 j hk 4, s 'k h: h-td, 'l {p I ? bx ~t su r THIS DOCUMENT CONTAINS INFORMATION WHICH MUST BE PROTECTED FROM 1 g i UNAUTHORIZED DISCLOSURE.10 CFR 73.21 AND SECTION 147 ATOMIC ENERGY y ACT OF 1954 APPLY. VIOLATIONS ARE SUBJECT TO CIVIL OR CRIMINAL PENALTIES. i y ? THIS DOCUMENT IS NOT TO BE LEFT UNATTENDED OR ACCESSIBLE TO UNAUTHORIZED I PERSONS. WHEN NOT IN USE. IT MUST BE STORED IN A LOCKED SECURITY STORAGE .c { CONTAINER. <j IT IS YOUR RESPONSIBILITY TO PROTECT THE INFORMATION CONTAINED IN THIS j DOCUMENT FROM COMPROMISE. THEFT OR UNAUTHORIZED DISCLOSURE. i j t 6 I 1 i e 4 SAFEGUARDS INFORMATION .i ne. naa - m um m

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m pwwau.a:--- w. u a :.a .a-w.u,.u u.x.a_ :. a m.w. ca,..x x n.v.u.v.a.w.mus l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED a UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 j u.., j (;h 1 1 .i j PART VI 1:i HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE d PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH U.S. INDUSTRY i The Nuclear Regulatory Commission has requested that its Program Offices establish, to the extent feasible, cooperative nuclear safety research programs j 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 infonnation from NRC to participants. These procedures apply only to NRC-managed work not y programatically funded by DOE. The interests of all NRC cooperative nuclear safety research program partici-pants are served best by early, rapid dissemination for comment of informa-jj tion on these programs developed for NRC 'by NRC contractors. This can be accomplished by distribution of "Draft Preliminary Reports (or Codes)" for ,g comment for a specified period of time, followed by issue as formal NUREG/CR kr.O reports, with the concurrence of the participants. Specific procedures for l.* accomplishing these goals and for transmitting infonnation prepared by the

y NRC and DOE facilities and contractors and their subcontractors working on i;

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 <i as guidance. 1! j A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT j The first issuance of information by a contractor shall be designated ~g "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

l (Exhibit 24):

NOTICE l THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO .i PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM ll 1 ], This report was prepared in contemplation of Commission action. It has not have received patent review and may con-

i tain information received in confidence.

Therefore, the con-

{

f?!h tents of this report should neither be disclosed to others nor '# d reproduced, wholly or partially, unless written permission to i D do so has been obtained from the appropriate USNRC office.. i ,i

s The recipient is requested to take the necessary action to ensure the protection of this report.

i j 49 Approved: August 29, 1984 j t

y,.

n .o 4

m 4

3 D 2c h k ud.w.. G 2:i$\\,h M b. w u.; w ;d hEO$ $ sh h w i L h, G.h 5 W,G;L.: L I.,,6lh ' l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS l. This notice has been agreed to by the legal staffs of both NRC and DOE t, 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. H The "Draf t Preliminary Report (or Code)" shall be submitted by first J class or express mail by the contractor to the NRC project manager. with the letter shown in Exhibit 25, in the number of copies specified 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 shall not distribute copies of this draft report to DOE /TIDC. Draft reports may be distributed to interested l; DOE program offices. Subsequent issues of the information shall also be l i designated "Draf t Preliminary Report (or Code)" until the NRC project lj manager authorizes preparation of a NUREG/CR report. l} l4 "Draft Preliminary Reports (or Codes)" shall not be identified as ll NUREG/CR reports or carry any contractor report number or NRC dis-l tribution codes, j; B. DISTRIBUTION BY NRC PROJECT MANAGERS l, The NRC project manager will distribute the copies received only to (1) the participants in the program, (2) the NRC staff with a need-to-know, O: q and (3) others authorized by the program or project manager. Trans- ,( ' l l mittal to participants shall be by first class or express mail, including air mail to foreign participants. if premium cost mail services are to j l be used, a Division Director or comparable or higher authority must l. certify to the need on NRC Form 420, "Request for Premium Cost Mail Lj Service. " Premium cost mail is: i !j 1. Express Mail, Priority Mail (First Class weighing more than 12 ounces) O iJ 2. International Express Mail (Air Mail weighing more than h 10 ounces) j i b (See Chapter NRC-0255-058 and NRC Appendix 0255, Part V Annex A) ii i C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT j A minimum of six. months will be allowed for comments and resolution of lI comments. At the end of the comment period, the NRC project manager d shall, with the concurrence of the participants, authorize the contractor i; to iss,ue the information as a NUREG/CR report in accordance with the ll provisions of this Chapter. D. REPORT IDENTIFIERS The "Draf t Preliminary Reports (or Codes)" will be uniquely identified D only by the Financial Identification Number (FIN) ssigned by NRC and g), l-l Approved: August 29, 1984 50 L

. %Qln...jf. kl, ; L ~ '< ~ u,,&::.:.:&. ; = c..~.s. x. :- , w M 1. n 6.:..-. a r:. L a.:,'. a..~ .i 4 .i PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORSv INCLUDING REPORTS PREPARED NRC Appendix 3202 I UNDER OP. PURSUANT TO INTERAGENCY AGREEMENTS Part VI j t,";.y } ~. a the appropriate periodic notation, if any, included in the title (Ex-i hibit 24). They shall not be given standard report nomenclature until .{ the NRC project manager authorizes publication as a NUREG/CR report. 1 At that time, the contractor may add its own designa' ion below the t j NUREG/CR number, as shown in Exhibits 3 and 4. o 1, E. MAILING TO PROGRAM PARTICIPANTS The physical transmission of reports from NRC to program participants j 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 j If infonnation included in the report or code has been determined to be y sensitive unclassified or classified information (see statement of work) the procedures of Part V also apply. The report (or code) may ng be -j classified solely for the purpose of limiting distribution to the partici-pants.

s

)

i M

j M7 i

l J .Ia 1

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i .I d v i 51 Approved: August. 29, 1984 i

n --'s 4 4 e. l.6.L..L L...... w m u.nic a: a r. a i c a.,;;;.u c M.c ; s,,;._; n d y m :. a.;. s a.,e c a..;, 6 _. 1 ) j ) j 4 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS i @) i EXHIBIT 24 SAMPLE COVER FOR A DRAFT PRELIMINARY REPORT (CODE) FOR COMMENT i DRAFT PRELIMINARY REPORT (CODE) FOR COMMENT FIN No. 1 t I i Title of Program I i Subtitle for This Report, Including Appropriate Periodic Notation, If Any (e.g., First Quarter, Issue No. 1) I ~S} } l Prepared by (Name of 00E Facility, Contractor and/or Subcontractors, if any) l } for i U.S. Nuclear Regulatory Commission ] \\ h NOTICE ) THIS ORAFT PRELIMINARY REPORT !$ ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM ) This report was prepared in contemplation of Consnission 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

f. ].

to take the necessary action to ensure the protection of this report. q"j i Approved: August 29, 1984 52

. ;[_,,,,,[,t :,m,'g,4 54a- $ e d b.. i.; T -.- n,_ 4 j ] i ',I PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI i N 1 k'.:

• )

1 l i?'W EXHIBIT 25 i TRANSMITTAL LETTER FROM CONTRACTOR TO NRC PROJECT ,i MANAGER FOR DRAFT PRELIMINARY REPORT E t i j TO: NRC Project Manager

SUBJECT:

ORAFT PRELIMINARY REPORT (CODE) ON (PROGRAM TITLE) FOR COMENT 1 i t ] The enclosed "Oraf t Preliminary Report (Code)" is being submitted for comment. l It is our understanding that the comment period shall extend six months from the date of mailing of the draf t 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 1 4 3

4. i..

report in the NUREG/CR series under the provisions of NRC Manual Chapter 1102 1 43 or 3202. t l l ] i DOE facility or Contractor Representative -i ~. q

i b

'W 53 Approved: Auguit 29, 1984

fil.b b uhh:Jan lw J N.2 b5 abbla.$'bwaLitwd.a dit.- R PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED j UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 Part \\*l 1 s v EXHIBIT 26 } TRANSMITTAL SHEET FOR REQUESTING j MAILING TO COOPERATIVE PROGRAM 1 PARTICIPANTS Recipients: Addresses on attached labels Method of Malling: i'l C/ First Class Postal Service to U. S. addresses 3/j C/ Express mail to U. S. addresses

• t

{ C/ Air mail to foreign addresses

• l C/ Surface mail to foreign addresses (may require up to three (3) months) i THIS MAILING CONTAINS NO PROPRIETARY INFORMATION OR OTHER

.,b i SENSITIVE UNCLASSIFIED INFORMATION T.) 4 Special Instructions: a' t ] Individual Requesting Mailing: 1 Project Manager or High Authonty 1

Enclosures:

1 1. Address labels 2. Documents to be maHed

• 1f premium cost mail services are to be used, a Division Director or compar-i}3 able or higher authority must certify to the need on NRC Fonn 420. "Request for Premium Cost Mail Service," Premium cost mail is:

q 1. Express Mail, Priority Mail (First Class weighing more than 12 ounces) j 2. International Express Mail (Air Mail weighing more than 10 ounces) { (See Chapter NRC 0255-058 and NRC Appendix 0255, Part V, Annex A) I .Oy a t. 4 54 Approved: August 29, 1984

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x - J. ..,Ljun'.L:s u.::2.l1. L..ACal.n. ui s am.:.- a..Ja.i.e... La.:. 41-2. W q..;;...~i ur - ae.iais-ae ^* l }.'. 4 1 i (REVISED 4/87) 1 1 .1 BILLING INSTRUCTIONS FOR NRC COST-TYPE CONTRACTS t l General. The contractor shall submit vouchers for cost-reimburserent

j in the manner and format described herein and as illustrated in the a

sample voucher. g .i j Number of Copies.. An original and two copies should be mailed to

j the NRC office identified below, a

1 id Frequency. The contractor shall submit claims for reimbursement once j each month unless otherwise authorized by the Contracting Officer, i ?' 1 i i Fo rm. Claims shall be submitted on the Form DC-3 "Voucher for Purchases ) 1 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.) ) -i

.t Billino of Costs Afte'r Expiration of Contract.

If costs are incurred during the contract period and claimed after the contract has expired, the period during which these costs were incurred must be cited. q a i Currency. Billings may be expressed in the currency norwally used by .i the contractor in maintaining his accounting records; payments will be i d made in that currency. However, the U. S. dollar equivalent for all i Ji invoices paid under the contract may not exceed the total U. S. dollars 1 authorized in the contract. v i Supersession. These instructions supersede all previous billing instructions. 1i)

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i $ E5bbs k $ $ $ b ! D N Y $ $Ndl a.d.2. 2. n E :. l a. W N e. i.E 2 o j i. i j s s Q !NSTRUCTIONS FOR PREPARING COST INFORMATION FOR NRC CONTRACTS i j 9j Preparation and itemization of the Voucher. The contractor shell furnish the information set forth in the explanatory notes below. These notes are keyed to the entries on the sample voucher. tj Payor's Name and Address. (1) Addrest the original voucher (with 2 ) copies) to: U.S. Nuclear Regulatory Connission, Division of Accounting and Finance ATIN: CCV/CCM Acccunts Section, Washincten, DC 20b55 j lIt j Any questions regarding vouchers yet to be paid by the NRC should be y addressed to Division of Accounting (301-492-M10). Any questions a 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. ]a 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-j 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. y;j. Indicate the individua'l responsible for answering any questions NRC may have regarding the invoice (name and phone number). (a) Contract Number - Insert the NRC contract number. y I (b) Title of Pro.iect - List the full title of the project being performed J under this contract. U (c) Voucher Number - Insert the appropriate serial number of the voucher o beginning with 001 for this contract. Contractors may also include j individual internal accounting numoers in addition to the three digit i number. ) (d) Date of Voucher - Insert the date the voucher is p*epared. i (e) Contract Amount - Insert the total estimated cost of the contract, ] exclusive of fixed-fee. i; (f) Fixed Fee - Insert total fixed-fee (where applicable), d (g) Billing Period - Insert the beginning and ending dates (day, month, a and year) of the period in which costs were incurred and for which j reimbursement is claimed. 'I 'l 1 0;. 1 7

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,_m 0MWELDL2.Qs d4%.i i e.,' i I (h) Direct Costs - Insert the major cost elements. (1) Direct Labor - This consists of salaries and wages paid (or j accrued) for direct performance of the contract itemized as follows: I.a bor Labor Hours t Cumula tiye Ca tegory Negotiated Hours Billed Ra te Total Hourt Billed k g (2) Fringe Benefits - This represents fringe benefits applicable to direct labor and billed as a direct cost. Where a rate is used, 3 f indicate the rate. Frin not be identified here. ge benefits included in direct labor should (3) Direct Equi xnent .j tions list each ' tem costin - For educational institu-ancy of more than one year.g 3500 or more, and having a life expect- .i institutions list each item costinFor contractors other than education expectancy of more than one year. g $200 or more, and having a life for which reimbursement is re List only those items of equipment .]; the following (as applicable) quested. A reference shall be made to (1) the item number for the specific j } piece of equipment listed in the property schedule of the contract; i (2) the Contracting Officer's approval letter if the equipment is not covered by the property schedule; or (3) be preceded by an ast-I i 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 (4) Materials. Supplies, and Other Expendable !tems y Thtse are consumable materials and supplies and equipment other than that described in (3) above. d (5) Premium Pay - This is remuneration in excess of the basic j hourly rate. (Requires written approval of Contracting Officer.) 4 1; (6) j Consultants' Fee - The supporting infomation must include the name, hourly or daily rate of the consultant and reference the NRC approval (if not specifically approved in the original contract). i. 2e 'I (7) Travel - Domestic travel is travel within the United States, d its territories, possessions, and Canada; it should be billed separately from foreign travel. Travel costs billed will provide d for individual Per Diem, and all supporting infomation for each

j trip taken.

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, Luc:a.i w_,.:w..a;;u.1:a:W M_sw wL=.: ;;.w.. -.a.a.::... a.u.... , w~ u. a c a.L. x.. ~. .J 1, 4 All costs associated with each trip must be shown in the following i format: (Unless the organization's travel policy has been negotiated j and approved by NRC) I Da te Traveler Destination Purpos e Cost e From To From To 1-3 1. Airfare 2. Rental Car 3. Local Travel ~4 4 Per Ofem Days 9 i I = 5. Meals: i } Date Breakfast lunch Dinner l I f I 1 i 1 If not included in Per Diem. 6. Tips, Misc. i (Itemize if more than 510,00) i, ]. (8) Subcontracts - Include all costs paid to approved subcontractors during billing period. This includes the details of the subcontract terms (i.e.. i cost-plus-fixed-fee, direct labor, indirect costs, travel, profit, etc.) (9) Other - List all other direct costs by cost elements and dollar amount '{ separa tely. i d (i) Indirect Costs--Overhead - Cite the formula (rate and base) in effect during I 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, j Contractor may bill for fixed fee only up to 85% of total fee. 1; (k) Amount Billed for Current Period - Insert the amount billed for the major cost elements, adjustment, and adjusted amounts for the period. .i 1 i A

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2d_Ol.a.C.42.adu;.;. u .,p, ~ y-n u i,7 7 7 g..'_A Cis ~ ' 2 - - - - -.a.a: ul.; m.:, _a a sh_;. A..a ) s C i l I l (1) Cumulative Amount from Inception to Date of this Billing - Insert the l cumulative amounts billed for the major cost elements and adjusted j amounts claimed during this contract. t (m) Total knounts Claimed - Insert the total amounts claimed for the current ] and cumulative periods. i (n) Adjustments - This includes amounts conceded by the contractor, outstand. ing suspensions, and disapprovals subject to appeal. ) (c) Grand Totals 1 ) e l, 'j i i I. i .i 9 'i it i dq { l-

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a WUCHERS f0R PURCilASLS AND SLRVICES OTHER 11 TAN PERSONAL SAMPLE VOUCHER Payor's Name and Address (a) Contract Nurter NRC-10-81-624 The U.S. Nuclear Regulatory Comission Division of Accounting and Finance MP t "Study of Nuclear Waste I Attention: C;OV/Crti Accts Set. tion Concepts. ( washincten, DC 20555 1 Payee's Name and Address (c) Voucher Nuw6er 003 A5G LORFORATION The National Bank (d) Date Voucher Prepared 10/18/82 100 Main Street or Anywhere U.S. A., 4 (e) Total Estimated Cost of Contract Anywhere. U.S.A. Assignee for ABC CORP. i Anywhere, U.S. A. $350.000.00 (When Payments Assigned) (f) Total Fixed-Fee Indiividual to Contract Regarding This Voucher: $17.500.00 ,Name: Harry Murphy 'Tel. No.: 215-321-8654 l(9) This voucher represents reimburseable costs from 3/1/82 thru 3/30/82 Amount Billed 3 l(h) Direct Costs (1) Direct Labor * $2.400 $6.800 (2) Fringe Benefits @ 16.5 ' l l (if comouted as percentage) 600 1.200 (3) Direct l Ecuipment

• 5.000 ft.000 (4) itaterials. Supplies and Other Expendable items
• 2.000 4.000 (5) Premium Pay 100 150 t

(6) Consultants

• 100 100 (7) Travel - Ocmestic
• 200 200 l

Foreien * .j (S) Suecontract

• 200 200 (9) Otner Costs
• 3.000 9.000 O

m.W l (i) INDIRECT COSTS a ect s i i A) Overnead 100 t of Total Direct Co:ts (Indicate Base) $13.600 $29.650 l 5ubtotal $27.200 559.300 B) General A Administrative Expense 3.264 6.450 12 0 of Cost Elements Nos.1-9. A Total Costs $30.4G4 $(is. 750 (j) FIXED-FEE EARNED (Fomula) 1.523 3.400 j (m) Total Ainounts Claimed $31.987 $69,no I j (n) Adjustments Outstanding Suspensions

• 1.700 1.700 (o) (; rand intals

$3n.?H7 $ri7.4 50 i

• (Rr wines surr0R11NC INf 0rJtAT10N.)

(SEC ATTACitCD.) ~ of 3 .m..._ j

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q i

SAMPLE ] SUPPORTING INFORMATION 4'l

1) Direct Labor - $2400

'i Labor Labor Hours Hours Cumulative ,{ Category Negotiated, Billed Rate Total Hours Billed j Senior Engineer ! 2400 100 $14.00 $1400 975 Engineer 1500 50 $10.00 $500 465 Computer Analyst 700 100 $5.00 $500 320 5BTRI

3) Direct Equipment Spectrometer - General Electric (as ?pproved in Pmperty Schedule) $5,000 i

4) Haterials, Supolies & Other Expendable Items

$1100.00 10 Radon Tubes 9 $110.00 = 6 Pairs Electrostatic Gloves,9 $150.00 $900.00 = 52000.00

5) Premium Pay

j Walter Murphy - 10 hours.9 $10.00 Per Hour = $100 (This was approved by NRC in letter dated 3/6/82.)

)d ,6) Consultants' Fee Dr. Carney - 1 hour 9 $100 = $100 1

7) Travel

.i .j Date Traveler Destination Purpose Costs .1 y: From _To From _To 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 d:'

9 $50.00 = $100.00 j

6) Tips, Mi sc. $5.00 l

TOTAL: $200 y

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8) Subcontracts

-t j XYZ CORP, (CPFF) 1, Direct Labor: - 80 hours 9 $20,00 per hour = $1600.00 1 0/H 9 50% $800.00 = 3 Travel - 2 Trips - Wash., DC 9 $200 $400.00 = to Boston, MA Profit 9 7% $200.00 = l TOTAL: 53000.00 l (j) Fixed-Fee (Formula) i (5%) $350,000 X 5% = $17,500 Total Fixed Fee for this Contract-327,200 X 5% = $1360 Fee Billed for this Period (n) Adjustments $1700 - Indicates amount withheld from voucher #001, now approved by Contracting Officer letter 3/10/82. 1 E 1 4 4 ii 'I i i ) i ~ 1 4 -i 2 1 4 .}. b

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1. 50LIC4 T A T10N/ CON T R AC T/MO Ol F IC A T ION FOR M APPROVED 1

CONTR ACT PRICING PROPOSAL COVER SHEET "8" L. L 3090-0116 ) NOTEt This form is used in contract actions if submission of cost or orleing dets is required. (See FA A f 5.8044fblJ 4

2. N AME AND AOOR E55 OF OFFE ROR ginedude 4tP Code) 3A. NAME AND TITLE OF OFFERQR'S POINT J8. T ELEPHON E NO.

OF CONTACT i

4. TYPE OF CONTRACT ACTION (Chee4) 8 A. NEW CONTR ACT O. LETTER CONTRACT

{ B. CHANGE OROER E. UNPRICE O ONDER 'I C. PRICE REVISION / i REDETERMINATION 5.,,T,v PE OF CONT R ACT IChech)

6. PROPOSEO COST (A +s=C)

} FFP 'CPFF CPlF CPAF A.COsi

8. PROFIT / FEE C. TOT AL n=

FPI OTHE R (Specify) 4

7. PLACE (5) ANO PERICOt$) OF PERFORMANCE i

8. List and reference the identification. avantity and total orice proposed for <sech contract line item. A line item cost breakdow) supporting this recap is re.

ouired unless otherwise soecified by the Contracting Of ficer. (Continue on reeerse. end then on plein reper, if neeeeeery. Une some heedings.) '? A. LINE ITEM NO. B. lOENTIFICATION C. QU ANTITY O' TOTAL PRICE E.REF.

1 J

l .t l {

9. PROVIDE NAME. ADORESS. ANO TELEPHONE NUMBER FOR THE FOLLOWING (if eyedeble)

A. CONT R ACT AOMINi$* R ATION OFFICE

8. AVOIT OFFICE h

} .l j lo.WILL YOU REQUIRE THE USE OF ANY GOVERNMENT PROPERTY 11 A. 00 YOU R EQua R E GOV ER N. 118. TYPE OF FINANCING y one) ) IN THE PERFORMANCE OF THl$ WORK F t/f "Yes." adentify) MENT CONTRACT FINANCING 7: TO PE RFORM THIS PROPOSEO ADVANCE PROGR ESS C N CT r iff "Yes." compia te PAYMENTS PAYMENTS hYES ,j YES NO NO GUARANTEED LOANS }

62. HAVE YOU SEEN AWAROED ANY CONTRACTS OR sV8 CONTRACTS

10. as THIS PROPOSAL CONSISTENT WITH YOUR ESTABLISHEO ESTb FOR THE SAME OR SIMILAR ITEMS WITHIN THE PAST 3 YEAR $7 MATING ANO ACCOUNTING PR ACTICES AND PROCEOURES AND

? (if "Yes."identtfy tanmts). euntomerts) and con treet number (s)) F AR PART 31 COST PRINCIPt.ES1(if "No,"esplein) ]NO ]YES l YES NO 1 'I

14. COST ACCOUNTING STANDARDS BOAR D (CASB) OATA (Pu6fle Lane 98.J 79 as amended and FAR PART' 30)

A. WILL THIS CONTR ACT AC'e.ON SE SUBJECT TO CAS8 REGULA.

8. H AVE YOU SV8M6TTED A CAS8 DISCLOSURE STATEMENT TIONS1 (if "No." esplein in propooet)

(CASB DS.I or 2)F tif "Yes." specify sn propoeed the offlee to sehteh

.l subwietted and it deaermined to be adequate)

] ONO ONO YES vES 4 C.HAV E YOU SEEN NOT4FIED THAT YOU A RE OR M AY BE 4N NON. O.15 ANY A$PECT OF THl$ PROPOSAL INCON565 TENT W6TH YOUR COMPLI ANCE WITH VOUR OISCLOSURE STATEMENT OR COST OISCLOSEO PR ACTICES OR APPLICA8LE COST ACCOUNTING ACCOUNTING STANDAROS P(if " Yes," espiesa in proposes) STAN DA R O$ f (If "Yes," esplets in proposel) [YES ONO O veS NO

j This proco*si is sutmetted in resoor se to the A FP contract, modifiestion, etc. In item 1 and reflects our best estimates and/or acti at costs as of this date.

15. NAME ANO TsTLE (Type)

16. NAME OF FIRM

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)' 5 7. 54GN A T U R E

18. OATE OF SU8MI5510N i

t 3 MSN 7540-01 142 0846 1411101 STANDARD FORM 1411 (10 83) Prescrieee ey GSA

• U.s. govg8psyr PRIFr!NG OFFICI s 1984 0 - 421-526 (37)

FAR (48 CFR) 53.215 2(c)

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.a..OhALG $!b &$N.0;5A: 5.,. a i: .,. 6 w. w. :A  :.' S :. .a.5L. c-1 / STANDARD FORM 1411 WITH INSTRUCTIONS t l 1. SF 1411 provides a vehicle for the offeror to submit to the Government a i pricing proposal of estimated and/or incurred costs by contract line item j with supporting in forna tion, adequately cross-referenced, sui table for detailed analysis. A cost-element breakdown, using the applicable fonnat prescribed in 7A, B, or C below, shall be attached for each proposed line item and must reflect any specific requirements established by the Contracting Officer. Supporting breakdowns must be furnished for each cost element, consistent with offeror's cost accounting system. When more than one contract line item is proposed, sunnary total amounts i 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, anu describe its nature. Cepending on offeror's system, breakdowns shall be provided for the following basic elements of cost, as applicable: f Materials - Provide a consolidated priced cinnary of individual material quantities included in the various tasks, urders, or contract line items being proposed and the basis for pricing (vendor quotes, invoice prices. l etc.). Subcontracted items - Include parts, components, assemblies, and services that are to be produced or perfor:ned by others in accordance with offeror's design, specifications, or direction and that are applicable only to the prime contract. For each subcontract over 5500,000, the support should provide a listing by source, item quantity, price, type of subcontract, degree of competition, and basis for establishing source and reasonableness i ] of price, as well as the results of review and evaluation of subcontract proposals when required by FAR 15.806. Standard Connercial Items Consists of items that offeror nonnally f abri cates, in whole or in part, and tha t are generally stocked in inventory. Providt an appropriate explanation of the basis for pricing. If j price is based on cost, provide a cost breakdown; if priced at other than cost, provide justification for exemption from submission of cost or pricing data, as required by FAR 15.804-3(e). Interorganizational Transfer (at other than cost) - Explain pricing method used. (See FAR 31.205-26). 1 j Raw Material - Consists of material in a form or state that requires further processing. Provide priced quantities of items required for the proposal, j 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, j i i i 4 a 4 Y e, s 6 w .( +

Provide a Sime-phased (tog., mon %hly, qua rterly, e%c.) Direc% Labor breakdown of labor hours, rates, and cos8 by appropriate caBegory, and i furnish bases for estimates. F l' Indirect Costs - Indicate how offeror has computed and applied offeror's [ indirect costs, including cost breakdowns, and showing trends and budgetary L data, to provide a basis for evaluating the reasonableness of proposed i rates. Indicate the rates used and provide an appropriate explanation. Ir 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 spoilage and rework, and P Federal excise tax on finished articles) packing, and provide bases for pricing. Royalties - If more than $250, provide the following information on separate pa ge for each separate royalty or license fee: name and address of licensor; date of license agreement; patent numbers, patent application serial numbers, or other basis on which the royalty is payable; brief P-description (including any part or model numbers of each contract item or component on which the royalty is payable); percentage or dollar rate of royalty per unit; unit price of contract itee; number of unitt; and total collar amount of royalties. In addition, if specifically requested by the Contracting Officer, provide a copy of the current license agreement and identification of applicable claims of ' specific patents. (See FAR 27.204 and 31.205-37). }, Facilities Capital Cost of Money When the offeror elects to claim jl facilities capital cost of money as an allowable cost, the offeror must , o, submit Forn CASB-CMF and show the calculation of the proposed amount (see h FAR31.205-10). 2. As part of the specific information required, the offeror must submit with I offeror's proposal, and clearly identify as such, cost or pricing data (that is, data that are verifiable and factual and otherwise as defined at FAR D 15.801). In addition, submit with offertr'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 ln data; and b. The nature and amount of any contingencies included in the proposed f! price. 3. There is a clear distinction between submitting cost or pricing data and p 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 1 offeror have been submitted, either actually or by specific identification. to the Contracting Officer or an authorized representa tive. As later infonna tion comes into the offeror's possession, it should be promptly ,l submitted to the Contracting Officer. The requirement for submission of cost or pricing data continues to the time of final agreement on price. L L t-( 9 I p d i p ) '* 13 7"'T. 9 C F NN**V e'9 TU*Nf

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1.m&.. am.L.Ga...K.M, L;aa LdL' li.SL4t.d tj ~w :. w.~... z y w t. ,s 8. Change Orders (modifications). ~ l Cost Of I Estimated Deleted I Cost of All Work Cost Work Already Net Cost To Cost Of Net Cost Of l Elements Deleted Performed Be Deleted Work Added Change Reference (1) (2) (3) (4) (5) (6) (7) i' Under Colum (1) - Enter appropriate cost elements. i Under Colum (2) - Include (i) current estimates of what the cost would have been to complete deleted work not yet performeds and (ii) the cost of deleted work already performed. Under Column (3) - Include the incurred cost of deleted work already perfonned, actually computed if

possible, or estimated in the Contractor's accounting records.

Attach a detailed inventory of work, materials,

parts, components, and hardware al ready purchased, manufactured, or performed and deleted by the change, indicating the l

i cost and proposed disposition of each line item. Also, if offeror .j desires to retain these items or any portion of them, indicate the amount offered for them. Under Colum (4) Enter the net cost to be deleted which is the estimated cost of all deleted work less the cost of deleted work already i performed. Column (2) less Column (3) = Column (4). Under Column (5) - Enter the offeror's estimate for cost of work added i by the change. When nonrecurring costs are significant, or when specifically requested to do so by the Contracting Officer, provide full 1 identification and explanation of them, 1 i j Under Column (6) - Enter the net cost of change which is the cost of j work added, less the net cost to be deleted. When this result is negative, place the amount in parentheses. Column (4) less Column (5) = i Colum (6). Under Colum (7) - Identify the attachmerit in ' which the information supporting the specific cost element may be found. Attach separate ,j pages as necessary. i j i e

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4. In submitting of feror's proposal, offeror mst include an

index, I

appropriately referenced, of all the cost or pricing data and information accompanying or identified in the proposal. In additior., any future additions and/or revisions, up to the date of agreement on price, mst be i annotated on a suppleme.atal index. [ 5. By submitting offeror's proposal, the offeror, if selected for negotiation. Il grants, the Contracting Officer or an authorized representative the right to examine those books, records, documents, and other supporting data that will iI permit adequate evaluation of the proposed price. This right inay be '. l exercised at any time before award, l 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. 'l 7. Headings for Submission of Line-Item Susunaries: l A. New Contracts (including Letter contracts). t Proposed Centract Proposed Contract ll Cost Elements Esticate-Tot.' Cost Estimate-Unit Cost Reference (1) (2) (3) (4)

l

~ -~ Under Coluim (1) - Enter a.npropriate cost elements. Under Column (2) - Enter those necessary and reasonable costs that in of feror's judgment will properly be incurred in efficient contract performance. When any of the costs in this column have already been incurred (e.g., under a letter, contract or unpriced order). describe

l them on an attached supporting schedule. When preproduction or startup O

costs are significant, or when specifically requested to do so by the 1 Contracting Officer, provide a full identification and explanation of them. \\; Under Column (3) - Optional, unless required by the Contracting Officer. Under Column (4) - Identify the attachment in which the information H supporting the specific cost element may be found. Attach separate pages as necessary. b i l' l' W O s. g

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" ~ 2 ~ " O L * ' d B ' .l^ r ] ., y..,o 2 ] C. Price Revision / Redetermination Numer of Humcer of Receterm1na-Units Units To Be Contract tion Proposal { Cute Tf Oate Ccmpleted Completed Amount Anount Difference (1) (2) (3) (4) (5) (6) \\ l q1 Incurreo Incurrto Incurrec Cost-Cost-Cost-Total Estimated Cost Preproduc-Completed Work in Incurred Cost To Estimated j Elements tion Units Process Cost Complete Total Cost Reference I (7) (8) (9) (10) (11) (12) (13) (14) b i Under Column (1) - Enter the cutoff date requi red by the contract, if applicable. I i Under Colum (2) - Enter the number of units completed during the period for { which experienced costs of production are being submitted. Under Colum (3) - Enter the numeer of units remaining to be completed under i the contract. { Under Column (4) - Enter the cumulative contract amount. Under Colum (5) - Enter the offeror's redetermination proposal amount. fi Under Colum (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). j Under Column (7) - Enter appropriate cost elements. When residual inventory I

exists, the final costs established under fixed-price-incentive and

j fixed-price-redeterminable arrangements should be net of the fair market c}

value of tach inventory. In support of subcontract costs, subrsit a listing j of all subcontracts subject to repricing action, annotated as to their j sta tus, i j Under Colum (8) Enter all costs incurred under the contract before j starting production and other nonrecurring costs (usually referred to as 3 startup costs) from offferor's books and records as of the cutoff date. These include such costs as preproduction engineering, special plant rearrangement, training program, and any identifiable nonrecurring costs such as initial rework, spoilage, pilot runs, etc. In the event the amounts are not segregated in or otherwise av'a11able from offeror's records, enter 3 in this colum offeror's best estimates. Explain the basis for each estinate and how the costs are charged on offeror's accounting reco rds q i I .e + 9 W' T T

1 1 (e.g., included in production costs as direct engineering labor, charged to j manufacturing overhead, etc.). Also how the costs would be allocated to the units at their various states of contrac; completion. Under Coluens (9) and (10) - Enter in Column (9) the production costs free

l offeror's books and records (exclusive of preproduction costs reported in il Column (8) of the units completed as of the cutoff,date.

Enter in Column i; (10) the costs of work in process as determined from offeror's records or i 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 {l 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 to contract to the cutoff date, improvement curves, and any other available (f production cost history pertaining to the item (s) to which offeror's proposal relates, F Under Column (11) - Enter total incurred costs (Total of Columns (8), (9), [ and(10)). 6 Enter those necessary cnd reasonable costs that in [: Under Column (12) 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. (1 i Under Colusm (13) - Enter total estimated cost (Total of Columns (11) and I (12)). >i under Column (14) Identify the atta chment in which the inf or.naWn l supporting the specific cost element may be found. Attach separate pages as r necessa ry. 1. ) k o o t: I --.= e 4' ,,3,, ,. -. w e ~-r t e m ** m e r +, is e.- ~ - " -* " - M \\ *

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