ML20148S774

Contract: Keying of Occupational Radiation Exposure Info, Awarded to OCR Svcs,Inc

ML20148S774
Person / Time
Issue date:	04/08/1988
From:	Boveja R, Thompson R NRC OFFICE OF ADMINISTRATION & RESOURCES MANAGEMENT (ARM), OCR SERVICES, INC.
To:
Shared Package
ML20148S773	List: ML20148S774
References
CON-FIN-D-2065, CON-NRC-04-88-078, CON-NRC-04-88-78, CON-NRC-4-88-78 NUDOCS 8804190348
Download: ML20148S774 (162)

Text

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TH's CONTRACT IS A EATED ORDER RAT A O MEs AWARD / CONTRACT

.,._ uNDER OPAS (15 CFR 350)

2. CONT R AC T (Proc. Ja.t. Jde f.) NO.- {

3. EF FECTIVE DATE .. REQUISITION /PVRCHASE REQUEST / PROJECT NO.

NRC-04-88-078 4 /11/88 RES-88-078 S. tSSUED eY El .. A MINISTEREO SY (Jr other dA.n Jtem 4) l U.S. Nuclear Regulatory Commission s Division of Contracts -

Washington, DC 20555

7. NAME AND ADORE 55 OF CON T R ACTOR (ho.. .treet, city, county, St.te .md Z/f Codef 4. OEL4 VE RY OCR Services, Inc.

11820 Parklawn Drive O ros oaici" o'"ea<>< *' >

Rockville, MD 20852 ' "" """ ""'"^*"

Net lo. SUBMIT INVOICES TEM CODE

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ari.e .peettled) TO THE l'See Item 12 FACILITY CODE ADDRESS SHOWN IN:

11. 5 HIP TO/M ARK FOR 12. PAYMENT WILL tlE MADE BY U.S. Nuclear Regulatory Commission See Section F.5 of contract. Office of Administration and Resources Mgmt.

Division of Acctg., Washington, DC 20555 13.gT ORITY FOR USING OTHER THAN FULL AND OPEN COMPE'T67 14. ACCOUNTING AND AP9ROPRI ATION D AY A B&R No. 60193005 01o u.s.c. 23ouen i 0 41 u S c 253(cH I FIN No. 02065 OBLIGATE 0: 555,350.00 ISA. ITEM NO. 158. SUPPLIES / SERVICES - I SC. QU ANTITY 150. UNIT 15E. UNIT PRICE 15F, AMOUNT The contractor shall perform the se rvices as deta- led her ein entitlec: "Keying of Occupational Radiation Exposure Information" in accordanc e with the Sta tement of Work herein, as implemented by CCR Services, Inc. 's pr oposal datecl December 18, 1987 as revised February 17, 1988.

LABOR HOUR REQUIREMENTS TYPE CONTR/ CT.

15G. TOTAL AMOUNT OF CONTRACT > S 55.350.00

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

PART I- THE 5CHEDULE PARY li - CONTR ACT CLAUSES A SOLICITATION / CONTRACT FORM B

Xl 1 l CONTR ACT CLAUSES l 25 X SUPPLIES OR SERVICES ANOf' AICES/ COSTS 2 PAR T til - LIST OF OOCUMENTS, EXHIBITS AND OTHE R ATT ACH.

C X

y OESCRIPTION/ SPECS / WORK STATEMENT 4 Xl J l LIST OF ATTACHMENTS l 30 O PACKAGING AND MARKING 6 PART IV - REPR ESENTATIONS ANO INST RUCTIONS y E INSPECTION AND ACCEPTANCE 7 K R E P R ESE N T ATIONS. C E RTIF IC AT IONS AN D y F DELIVERIES OR PERFORMANCE g OTHER STATEMENT 9 OF OFFERORS y G CONTRACT ADMINISTRATION DATA L

)) INSTRS .CONOS.. AND NOTICE S TO OF F E RORS y H SPECI AL CONTRACT REQUIREMENTS M 14 EVALUATION FACTORS FOR AWARD CONTRACTING OFFICER Wili COMPL ETE ITEM 17 0R 18 AS APPLICABL E

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. NRC-04-88-078  : Section B SECTION 8 - SUPPLIES OR SERVICES AND PRICE / COSTS B.1- BRIEF DESCRIPTION OF WORK (MAR 1987)

ALTERNATE I (MAR 1987)

a. Brief description of work:

The contractor will key code information onto computer tape by Lot Number so that the data can be compiled into REIRS by ORNL. The information that the contractor is to key is not on formatted ADP transcription sheets but is designated on the source document by hand-written alpha-numeric codes. The contractor will develop and utilize a computer program that will prompt the keyentry operators to enter the coded information in the proper fields,

b. Orders will be issued for work required by the NRC in accordance with 52.216 Ordering. (he NRC reserves the right to withdraw a proposed order at any time prior to its formal award.

Only Contracting Officers of the NRC or other individuals specifically authorized under this contract may authorize the initiation of work under this contract. The provisions of this contract shall govern all task orders issued hveunder.

(End of Clause) 8.2 CONSIDERATION AND OBLIGATION--DELIVERY ORDERS (MAR 1987)

a. The total estimated amount of this contract (ceiling) for the products / services ordered, delivered, and accepted under this contract is $55,350.00. The Contracting Officer or other individual specifically authorized under this contract may unilaterally increase this amount as necessary for completion of oroers placed with the contractor during the contract period provided such orders are within any maximum ordering limitation prescribed under this contract.

b. The amount presently obligated with respect to this contract is S55,350.00. The Contracting Officer may issue orders for work up to amount presently obilgated. This obligated amount i

may be unilaterally increased from time to time by the Contracting Officer by written modification to this contract. The obligated amount shall, at no time, exceed the contract ceiling as specified in paragraph A above. When and if the amount (s) paid and payable to the Contractor hereunder shall equal the obligated amount, the Contractor shall not be obligated to continue performance of the work unless and until the Contracting Officer shall increase the amount obligated with respect to this contract. Any work undertaken

NRC'-04-88-076 Section B by the Contractor.in excess of the obligated amount specified above is done so at the Contractor's sole risk.

(End of Clause)

- B.3 SUPPLIES OR SERVICES AND PRICES / COSTS UNIT TOTAL QUANTITY UNIT PRICE AMOUNT

1. Keying of information onto magnetic tape by Lot Number.

a. Year 1 3000 HRS $9.00/HR $27,000

b. Year 2 3000 HRS $9.45/HR $28,350

2. Development of computer program in accordance with Section C.2. $ (SF 1411 must be com-pleted for this work.)

SUBTOTAL FOR BASE PERIOD $55,350

3. Keying of information onto magnetic tape by Lot Number for option periods.

a. Option Year 1 3000 HRS $9.92/HR $29,760

b. Option Year 2 3000 HRS $10.41/HR $31,230

c. Option Year 3 3000 HRS $10.93/HR $32,790 TOTAL AMOUNT (BASE AND OPTION PERIODS) $149,130 (End of Clause) l i

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. NRC-04-88-078 Section C o

i SECTION C - DESCRIPTION / SPECIFICATION

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

C.1 Background Part 20 (Standards for Protection Against Radiation) of Title 10 of the Code of Federal Regulations requires the reporting of identification and radiation exposure information to the NRC by four major categories (nuclear power plants, nuclear fuel fabricators, industrial radiographers and manufacturers and distributors) of NRC licensees when monitored individuals terminate their employment of work assignment at the licensee's facility. This information must be entered into the NRC's computer system, Radiation Exposure Information & Reporting System (REIRS) so that it can.be maintained and analyzed. The results of various analyses of this information are presented in the annual report NUREG-0713, "Occupational Radiation Exposure at Commercial Nuclear Power Reactors and Other Facilities." The data that licensees submit is not reported in a standard format, and it is coded by personnel under contract at Oak Ridge National Laboratory (ORNL) where the REIRS system has been maintained for the past 18 years. The purpose of this S0W is to have another contractor quickly key the coded information onto computer tape so that the data can be compiled into REIRS by ORNL.

Previcusly, ORNL personnel did the keying themselves or through a subcontract. However, for a short time last year, the NRC executed a small purchase contract with Appalachian Computer Services for the keying of exposure data. The NRC now needs a long term arrangement for the performance of this work.

C.2 Work to be Performed During the year, the contractor will pick up from ORNL a total of about 40 boxes, each containing about 5,000 coded reports (each will have a lot Number). Each record consists of about 80 keystrokes.

The contractor will key the information onto magnetic tape by Lot Number. The information that the contractor is to key is not on formatted ADP transcription sheets but is designated on the source document by hand-written alpha-numeric codes. The contractor will develop and utilize a computer program that will prompt the keyentry operators to enter the coded information (there are some 40 different codes) in the proper fields. The development of this computer program may necessitate consultations with computer personnel at ORNL. The expense of these consultations should be included in the costs of this contract. The contractor will format the output tapes so that the personnel at ORNL can compile the dcta

NRC-04-88-078 Section C on the tapes into REIRS without further manipulation.

A small fraction of the reports may be submitted to ORNL by NR licensees in a standard format similar to that shown on the at sched NRC Form 439. In these instances, it may be more efficient fo the contractor to use optical scanners to enter the data. The contractor should investigate this possibility and, if true, s auld use scanners to enter the data.

C.3 Ordering The contractor shall accept oral orders under this contract pl :ed by the Contracting Officer or the Contracting Officer's Author zed Representative who will specify the number of boxes to be pick i up from ORNL. Orders may be placed under this contract from the effective date of the contract through its expiration.

All orders issued hereunder are subject to the terms and condi Ions of this contract. The contract shall control in the event of conflict with any order.

C.4 Quality Assurance The contractor shall establish and perform a systematic method )f verifying that the information has been correctly keyed. If i is determined that more than 2% of the records on each output tap contain errors that were made by the contractor, the output ta !

will be unacceptable, and the entire Lot will have to be re-ke, 3d at the contractor's expense.

The contractor shall also describe his/her procedure for maint ining backup data base in the event that tapes are damaged or lost.

(End of Clause) i l

i

i

.. NRC-04-88-078 Section 0 SECTION D - PACKAGING AND MARKING D.1 PACKAGING AND MARVING (MAR 1987)

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

. the product is being provided.

(End of Clause)

g NRC-04-88-078 Section E

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

This contract incorporates the following clauses by reference.

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

I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES CLAUSE  :

NUMBER DATE TITLE 52.246-6 JAN 1986 INSPECTION -- TIME-AND-MATERIAL AND LABOR-HOUR i E.2 PLACE OF INSPECTION AND ACCEPTANCE Inspection and acceptance of the deliverable items to be furnished hereunder shall be made by the Project Officer within 30 days after receipt of the magnetic tapes from ORNL.

(End of Clause) i I

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NRC-04-88-078 Section F SECTION F - DELIVERIES OR PERFORMANCE i

F.1 CLAUSES INCORPORATED BY REFERENCE (FAR SL'.252-2) (APR 1984)

This contract incor sorates the following clauses by reference.

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

I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES CLAUSE NUMBER DATE TITLE 52.212-13 APR 1984 STOP-WORK ORDER F. 2 PREPARATION OF TECHNICAL REPORTS (MAR 1987)

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

(End of Clause)

F.3 TECHNICAL PROGRESS REPORT (MAR 1987)

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

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

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

do

NRC-04-88-078 i Section F

c. A summary. of progress to date; and

d. Plans for the next reporting period.

(End of Clar.se)

F.4 FINANCIAL STATUS REPORT (MAR 1987)

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

a. Provide total estimated cost (value) of the project as reflected in the contract, the amount of funds available in the contract to date, and the balance of funds required to complete the work as follows:

1) Total Estimated Contract Amount.

2) Total Funds Obligated To Date.

3) Total Costs Incurred This Reporting Period.

4) Total Costs Incurred To Date.

5) Balance of Obligations Remaining.

6) Balance of Funds Required To Complete Contract.

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

c. Update the approved Spending Plan.

(End of Clause)

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

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

a. Project Officer (4 copies)

U.S. Nuclear Regulatory Commission Contract Number: NRC-04-88-078 Office of Nuclear Regulatory Research Division of Regulatory Applications Mail Stop: NL-007 Washington, D.C. 20555

b. Contracting Officer (1 copy)

U.S. Nuclear Regulatory Commission j Contract Number: NRC-04-88-078 Division of Contracts Contract Administration Branch

, NRC-04-88-078 Section F Mail Stop: AR-2223 Washington, D.C. 20555 (End of Clause)

F.6 DURATION OF CONTRACT PERIOD (MAR 1987)

ALTERNATE II (MAR 1987)

This contract shall commence on 04/11/88 and will expire on 04/10/90 The term of this contract may be extended at the option of the Government for an additional 3 years period.

(End of Clause)

F.7 DELIVERABLES AND TIMETABLE A computer program that will prompt keyentry operators to enter coded information in the proper fields shall be approved by the NRC Project Officer and operable within thirty (30) days of the effective date of this contract.

The contractor will deliver magnetic tapes (as specified below) on which all coded information has been keyed in a format compatible with that of the data maintained in REIRS to the Computing and Telecommunications Division of Martin Marietta Energy Systems at Oak Ridge National Laboratory, Oak Ridge, Tennessee. The information on the tapes will be segregated by Lot Number (the number assigned to each box of records). The contractor will prepare a tape of the keyed information within five working days after the receipt of the material from ORNL. The contractor will also return the original reports, in their original boxes, to personnel at ORNL at the same time that the tapes are delivered.

Magretic tape specifications

- 9 track

- 1600 BPI

- Standard IBM label

- EBCDIC format

- Fixed block of 80 bytes

- Record length of 80 bytes (End of Clause) 9

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. NRC-04-88-078 Section G SECTION G - CONTRACT ADMINISTRATION 0ATA G.I PROJECT OFFICER AUTHORITY (MAR 1987)

ALTERNATE I (KAR 1987)

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

Name: Barbara Brooks Address: US Nuclear Regulatory Commission Mail Stop - NL-007 Washington, DC 20555 Telephone Number: 301/492-3738

b. The Project Officer is responsible for:

1) Placing Delivery Orders for items required under this contract.

2) Monitoring Contractor performance and recommending to the Contracting Officer changes in requirements.

3) Inspecting and accepting products / services provided under the contract.

4) Reviewing all Contractor invoices / vouchers requesting payment for products / services provided under the contract and making ,

recommendations for approval, disapproval, or suspension. "

c. The Project Officer is not authorized to make changes to the express terms and conditions of this contract.

(End of Clause)

G.2 METHOD OF PAYMENT (MAR 1987)

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

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

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NRC-04-88-078 Ssction G

1) Name and address of organization.

2) Contact person and telephone number.

3) Name and address of financial institution.

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

5) Telegraphic abbreviation of Contractor's financial institution.

6) Account number at Contractor's financial institution.

7) Signature and title of person supplying this information.

c. In the event the Contractor's financial institution does not have access to the Federal Reserve Connunication System, the Contractor shall forward the following information with regard to 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.

3) Name and address of financial institution.

4) Telegraphic abbreviation of Contractor's financial institution.

5) Account number at Contractor's financial institution.

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

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

8) Telegraphic abbreviation of correspondent financial institution.

9) Signature and title of person supplying this information.

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

(End of Clause) 0

- . - - - , - . ,,. . , - ., - .- - -- - - - , . , , - . _ - - - ,--..---..----e

NRC-04-88-078  !

Section G l

G.3 PAYMENT DUE DATE (MAR 1987) ALTERNATE I (MAR 1987)

a. Payments under this contract will be due 30 calendar days

. af ter the later of:

. 1. The date of actual receipt of a proper invoice in accordance with the attached "Billing Instructions" (See Section J for List of Attachments), or

2. The date the supplies / services are accepted by the Government.

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 these supplies or performance of the services in accordance with the terms of the contract.

c. If the supplies / services are rejected for failure to conform to the technical requirements of the contract, or for damage in the transit or otherwise, the provisions in paragraph b of this clause will apply to the new delivery of replacement supplies or performance of the services.

d. The date of payment by wire transfer through the Treasury Financial Communications System shall be considered the date payment is made for individual payments exceeding $25,000. The date a check is issued shall be considered the date payment is made for individual payments of $25,000 or less.

(End of Clause)

G.4 INTEREST ON OVEROUE PAYMENTS (MAR 1987)

ALTERNATE I (MAR 1987)

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

b. Determinations of interest due will be made in accordance with the provisions of the Prompt Payment Act and Office of Management and Budget Circular A-125, Vol. 47 Federal Register 37321, August 25, 1982. Among other considerations, OMB Circular A-125 provides that:

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

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

(End of Clause) 1

- NRC-04-88-078 l Section H SECTION H - SPECIAL CONTRACT REQUIREMENTS H.1 KEYPERSONNEL(MAR 1987) ,

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

Raj K. Boveja The Contractor agrees that such personnel shall not be removed from the contract work or replaced without compliance with paragraphs b and c hereof.

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

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

d. If the Contracting Officer determines that:

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

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

(End of Clause)

, NRC-04-88-078 j Szction H H.2 DISSEMINATION OF CONTRACT INFORMATION (MAR 1987)

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

(End of Clause)

H.3 PRIVATE USE OF CONTRACT INFORMATION AND DATA (MAR 1987)

Except as specifically authorized by this contract, or as otherwise approved by the Contracting Officer, information and other data developed or acquired by or furnished the Contractor in the performance of this contract, shall be used only in connection with the work under this contract.

(End of Clause)

H.4 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST (OMB CLEARANCE NUMBER 3150-0112) (MAR 1987)

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

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

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

b. Scope. The restrictions described herein shall apply to performance or participation by the Contractor as defined in 41 CFR .

1 20-1.5402(f) in the activities covered by this clause,

c. Work for Others. Notwithstanding any other provision of this contract, during the term of this contract, the Contractor agrees to forgo entering into consulting or other contractual arrangements with any firm or organization, the result of which may

! give rise to conflict of interest with respect to the work being

performed under this contract. The Contractor shall ensure that all

employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause. If the Contractor believes with respect to itself or any such employee that any proposed consultant or other contractual &rrangement with any firm or

, organization may involve a potential conflict of interest, the l

Contractor shall obtain the written approval of the Contracting Officer prior to execution of such contractual arrangement.

d. Disclosure after award.

e e

. NRC 04-88-078 Section H 0

1) The Contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any r*g7nivational conflicts of interest, as defined in 41 CFR 20-1.5402(a).

2) The Contractor agrees that 4' after award it discovers organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the Contracting Officer. This statement shall include a description of the action which the Contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, terminate the contract for convenience if it deems such '.ermination to be in the best interest of the Government.

e. Access to and use of information.

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

(i) Use such information for any private purpose until the information has been released to the public; (ii) Compete for work for the Commission based on such information for a period of six (6) months after either the completion of this contract or the release of such information to the public, whichever is first; (iii) Submit an unsolicited proposal to the Government based on such information until one year after the release of such information to the public, or (iv) Release the information without prior written approval by the Contracting Officer unless such information has previously been released to the public by the NRC.

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

3) The Contractor shall have, subject to patent and security provisions of this contract, the right to use technical l

data it produces under this contract for private purposes provided that all requirements of this contract have been met.

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

I the Contractor shall include this clause, including this paragraph, The terms "contract," "Contractor,"

in subcontracts of any tier.

l and "Contracting Officer," shall be appropriately modified to

NRC-04-88-078 Section H preserve the Government's rights.

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

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

(End of Clause) ,

H.5 DETERMINATION OF MINIMUM WAGES AND FRINGE BENEFITS (MAR 1987)

Each employee of the Contractor or any subcontractor performing services under this contract shall be paid at least the minimum allowable monetary wage and fringe benefits prescribed under Wage Determinntion Number 86-1255 dated 01/15/88 which is attached (See Section J for List of Attachments).

(End of Clause)

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

The Government will not provide any equipment / property, notwithstanding any provisions of the specification (s) to the contrary.

(End of Clause)

H.7 SECURITY REQUIREMENTS The contractor will treat the information as confidential and no '

part of it is to be released to anyone other than the computer personnel at ORNL unless authorized by the NRC Project Officer (End of Clause)

H.8 RIGHTS IN DATA -- General (JUNE 1987)

ALTERNATE II (JUNE 1987) AND ALTERNATE III (JUNE 1987)

(a) Definitions.

"Computer software," as used in this clause, means computer programs, computer data bases, and documentation thereof.

"Data," as used in this clause, means recorded information, .

regardless of form or the media on which it may be recorded. The O

- NRC-04-88-078 Section H term includes technical data and computer software. The term does not include information incidental to contract administration, such as financial, administrative, cost or pricing, or management information. .

"Form, fit, and funct. ion data," as used in this clause, means data relating to items, components, or processes that are sufficient to enable physical and functional interchangeability, as well as i data identifying source, size, configuration, mating, and attachment characteristics, functional characteristics, and performance requirements; except that for computer sof tware it means data identifying source, functional characteristics, and performance requirements but specifically excludes the source code, algorithm, process, formulae, and flow charts of the software.

"Limited rights," as used in this clause, means the rights of the Government in limited rights data as set forth in the Limited Rights Notice of subparagraph (g)(2) if included in this clause.

"Limited rights data," as used in this clause, means data (other than computer sof tware) that embody trade secrets or are commercial or financial and confidential or privileged, to the extent that such data pertain to items, components, or processes developed at private i expense, including minor modifications thereof.

"Restricted computer software," as used in this clause, means computer software developed at private expense and that is a trade secret; is commercial or financial and is confidential or privileged; or is published copyrighted computer software; including minor m3difications of such computer software.

"Restricted rights," as used in this clause, means the rights of the Government in restricted computer software, as set forth in a Restricted Rights Notice of subparagraph (g)(3) if included in this clause, or as otherwise may be provided in a collateral agreement incorporated in and made part of this contract, including minor modifications of such computer software.

"Technical data," as used in this clause, means data (other than computer software) which are of a scientific or techaical nature.

"Unlimited rights," as used in this clause, means the right of the Government to use, disclose, reproduce, prepare derivative works, distribute copies to the public, and perform publicly and display publicly, in any manner and for any purpose, and to have or permit others to do so.

(b) Allocations of rights. (1) Except as provided in paragraph (c) of this clause regarding copyright, the Government shall have unlimited rights in --

l (1) Data first produced in the performance of this contract; 1

j (ii) Form, fit, and function data delivered under this contract; l

l i

I

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

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

NRC-04-88-078 Section H (iii) Data delivered under this contract (except for restricted computer software) that constitute manuals or instructional and training material for installation, operation, or routine maintenance and repair of items, components, or processes delivered or furnished for use under this contract; and (iv) All other data delivered under this contract unless provided otherwise for limited rights data or restricted computer software in accordance with paragraph (g) of this clause.

(2) The Contractor shall have the right to --

(i) Use, release to others, reproduce, distribute, or publish any data first produced or specifically used by the Contractor in the performance of this contract, unless provided otherwise in paragraph (d) of this clause; (ii) Protect from unauthorized disclosure and use those data which are limited rights data or restricted computer software to the extent provided in paragraph (g) of this clause; (iii) Substantiate use of, add or correct limited rights, restricted rights, or copyright notices and to take other appropriate action, in accordance with paragraphs (e) and (f) of this clause; and (iv) Establish claim to copyright subsisting in data first produced in the performance of this contract to the extent provided in subparagraph (c)(1) of this clause.

(c) Copyright. (1) Data first produced in the performance of this contract. Unless provided otherwise in paragraph (d) of this clause, '

the Contractor may establish, without prior approval of the Contracting Officer, claim to copyright subsisting in scientific and technical articles based on or containing data first produced in the performance of this contract and published in academic, technical or professional journals, symposia proceedings or similar works. The prior, express written permission of the Contracting Officer is required to establish claim to copyright subsisting in all other data first produced in the performance of this contract. When claim to copyright is made, the Contractor shall affix the applicable copyright notices of 17 U.S.C. 401 or 402 and acknowledgment of Government sponsorship (including contract number) to the data when such data are delivered to the Government, as well as when the data ,

are published or deposited for registration as a published work in the U.S. Copyright Of fice. For data other than computer sof tware the Contractor grants to the Government, and others acting on its behalf, a paid-up, nonexclusive, irrevocable worldwide license in such copyrighted data to reproduce, prepare derivative works, distribute copies to the public, and perform publicly and display t publicly, by or on behalf of the Government. For computer software, the Contractor grants to the Government and others acting in its behalf, a paid-up nonexclusive, irrevocable worldwide license in such copyrighted computer software to reproduce, prepare derivative works, and perform publicly and display publicly by or on behalf of I

e 0

, NRC-04-88-078 i Section H the Government.

(2) Data not first produced in the performance of this contract.

The Contractor shall not, without prior written permission of the Contracting Officer, incorporate in data delivered under this contract any data not first produced in the performance of this contract and which contains the copyright notice of 17 U.S.C. 401 or 402, unless the Contractor identifies such data and grants to the Government, or acquires on its behalf, a license of the same scope as set forth in subparagraph (c)(1) of this clause; provided, however, that if such data are computer software the Government

• shall acquire a copyright license as set forth in subparagraph (g)(3) of this clause if included in this contract or as otherwise may be provided in a collateral agreement incorporated in or made part of this contract.

(3) Removal of copyright notices. The Government agrees not to remove any copyright notices placed on data pursuant to this paragraph (c), and to include such notices on all reproductions of the data.

(d) Release, publication and use of data. (1) The Contractor shall have the right to use, release to others, reproduce, distribute, or publish any data first produced or specifically used by the Contractor in the performance of this contract, except to the extent such data may be subject to the Federal export control or national security laws or regulations, or unless otherwise provided in this paragraph of this clause or expressly set forth in this contract.

(2) The Contractor agrees that to the extent it receives or is given access to data necessary for the performance of this contract which contain restrictive markings, the Contractot shall treat the data in accordance with such markings unless otherwise specifically authorized in writing by the Contracting Officer.

(e) Unauthorized marking of data. (1) Notwithstanding any other provisions of this contract concerning inspection or acceptance, if any data delivered under this contract are marked with the notices specified in subparagraph (g)(2) or (g)(3) of this clause and use of such is not authorized by this clause, or if such data bears any other restrictive or limiting markings not authorized by this contract, the Contracting Officer may at any time either return the data to the Contractor, or cancel or ignore the markings. However, the following procedures shall apply prior to canceling or ignoring the markings.

(i) The Contracting Officer shall make written inquiry to the Contractor affording the Contractor 30 days from receipt of the inquiry to provide written justification to substantiate the propriety of the markings; (11) If the Contractor fails to respond or fails to provide written justification to substantiate the propriety of the markings within the 30-day period (or a longer time not exceeding 90 days

NRC-04-88-078 Section H approved in writing by the Contracting Officer for good cause shown), the Government shall have the right to cancel or ignore the markings at any time after said period and the data will no longer be made subject to any disclosure prohibitions.

(iii) If the Contractor provides written justification to substantiate the propriety of the markings within the period set in subdivision (e)(1)(1) of this clause, the Contracting Officer shall consider such written justification and determine whether or not the markings are to be cancelled or ignored. If the Contracting Officer determines that the markings are authorized, the Contractor shall be so notified in writing. If the Contracting Officer determines, with concurrence of the head of the contracting activity, that the markings are not authorized, the Contracting Officer shall furnish the Contractor a written determination, which determination shall become the final agency decision regarding the appropriateness of the markings unless the Contractor files suit in a court of competent jurisdiction within 90 days of receipt of the Contracting Officer's decision. The Government shall continue to abide by the markings under this subdivision (e)(1)(iii) until final resolution of the matter either by the Contracting Officer's determination becoming final (in which instance the Government shall thereafter have the right to cancel or ignore the markings at any time and the data will no longer be made subject to any disclosure prohibitions),

or by final disposition of the matter by court decision if suit is filed.

(2) The time limits in the procedures set forth in subparagraph (e)(1) of this clause may be modified in accordance with agency regulations implementing the Freedom of Information Act (5 U.S.C.

552) if necessary to respond to a request thereunder.

(3) This paragraph (e) does not apply if this contract is for a major system or for support of a major system by a civilian agency other than NASA and the U.S. Coast Guard agency subject to the provisions of Title III of the Federal property and Administrative Services Act of 1949.

(4) Except to the extent the Government's action occurs as the result of final disposition of the matter by a court of competent jurisdiction, the Contractor is not precluded by this paragraph (e) from bringing a claim under the Contract Disputes Act, including pursuant to the Disputes clause of this contract, as applicable, that may arise as the result of the Government removing or ignoring authorized markings on data delivered under this contract.

(f) Omitted or incorrect markings.

(1) Data delivered to the Government without either the limited rights or restricted rights notice as authorized by paragraph (g) of this clause, or the copyright notice required by paragraph (c) of this clause, shall be deemed to have been furnished with unlimited rights, and the Government assumes no liability for the disclosure, use, or reproduction of such data. However, to the extent the data has not been disclosed without restriction outside the Government, 9

0

, NRC-04-88-078 Section H the Contractor may request, within 6 months (or a longer time approved by the Contracting Officer for good cause shown) after delivery of such data, permission to have notice olacad on qualifying data at the Contractor's exrense, e _ Contracting '

Officer may agree to do so if the Contractor (i) Identifies the data to which the omitte otice is to be -

applied; (ii) Demonstrates that the omission of the notice was inadvertent; (iii) Establishes that the use of the proposed notice is authorized; and -

(iv) Acknowledges that the Government has no liability with respect to the disclosure, use, or reproduction of any such data made prior to the addition of the notice or resulting from the omission of the notice.

(2) The Contracting Officer may also (1) permit correction at the i Contractor's expense of incorrect notices if the Contractor '

identifies the data on which correction of the notice is to be made, "g and demonstrates that the correct notice is authorized, or (ii) correct any incorrect notices.

(g) Protection of limited rights data and restricted computer software.

(1) When data other than that listed in subdivisions (b)(1) (i),

(11), and (iii) of this clause are specified to be deliveied under this contract and qualify as either limited rights data or restricted computer software, if the Contractor disires to continue protection of such data, the Contractor shall withhold such data and not furnish them to the Government under this contract. As a condition to this withholding, the Contractor shall identify the data being withheld and furnish form, fit, and function data in lieu thereof. Limited rights data that are formatted as a computer data base fur delivery to the Government are to be treated as innited rights data and not restricted computer software.

(2) Notwithstanding subparagraph (g)(1) of this clause, the contract may identify and specify the delivery of limited rights data, or the Contracting Officer may require by written request the delivery of limited rights data that has been withheld or would ,

otherwise be withholdable. If delivery of such data is so required,

, the Contractor may affix the following "Limited Rights Notice" to the data and the Government will thereafter treat the data, subject to the provisions of paragraphs (e) and (f) of this clause, in accordance with such Notice:

LIMITED RIGHTS NOTICE (JUN 1987)

(a) These data are submitted with limited rights under Government contract No. XXX (and subcontract XXX , if appropriate). These data

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

NRC-04-88-078 Section H may be reproduced gnd used by the Government with the express liinit& tion that they will not, without written permission of the Contra'c tor, be used for purposes of manufacture nor disclosed outside the Government; except that the Government may disclose these cata outside the Government for the following purposes, if any, provided that the Government makes such disclosure subject to prohibition against further use and disclosure:

(Agencies may list additional purposes as set forth in 27.404(d)(1) or if none, so state)

(b) ibis Notice shall be marked on any reproduction of these data, in whole or in part."

(End of notice) ,

(g)(3)(1) Notwithstanding subparagraph (g)(1) of this clause, the contract may identify and specify the delivery of restricted computer software, or the Contracting Officer may require by written request the delivery of restricted computer software that has been withheld or would otherwise be withholdable. If delivery of such computer software is so required, the Contractor may affix the in1' lowing "Restricted Rights Notice" to the computer software and the Government will thereafter treat the computer software, subject to paragraphs (e) and (f) of this clause, in accordance with the Notice:

RESTRICTED RIGHTS NOTICE (JUN 1987)

(a) This computer software is submitted with restricted rights under Government Contract No. XXX (and subcontract XXX , if appropriate). It may not be used, reproduced, or disclosed by the Government except as provided in paragraph (b) of this Notice or as '

otherwise expressly stated in the contract.

(b) This computer software may be --

(1) Used or copied for use in or with the computer or computers

for which it was acquired, including ute at any Government j installation to which such computer or computers may be transferred; (2) Vied or copied for use in a backup computer if any computer .

for which it was acquired is inoperative; I l

(3) Reproduced for safekeeping (archives) or backup purposes; (4) HoJified, adapted, or combined with other computer software, provided that the modified, combined, or adapted portions of the ,

derivative software incorporating restricted computer software are made subject to the same restricted rights; (5) Disclosed to and reproduced for use by support service '

Contractors in accordance with subparagraphs /b) (1) through (4) of ,

this clause, provided the Government makes such disclosure or "

reproduction subject to these restricted rights; and 0

e

-n ,-._ _ ,,- , _,, , c--- .. ,n,,,--_,.-,,--.,--,-_-,.-.,-,-,-----n. -

--,--,.-.n --n- --

. NRC-04-88-078 Section H (6) Used or copied for use in or transferred to a replacement

. computer.

(c) Notwithstanding the foregoing, if this computer software is published copyrighted computer sof tware, it is licensed to the Government, without disclosure prohibitions, with the minimum rights set forth in paragraph (b) of this clause.

(d) Any other rights or limitations regarding the use, duplication, or disclosure of this computer sof tware are to be expressly stated in, or incorporated in, the contract.

(e) This Notice shall be marked on any reproduction of this computer software, in whole or in part."

(End of notice)

(ii) Where it is impractical to include the Restricted Rights Notice on restricted computer sof tware, the following short-form Notice may be used in lieu thereof:

RESTRICTED RIGHTS NOTICE SHORT FORM (JUN 1987)

Use, reproduction, or disclosure is subject to restrictions set forth in Contract No. XXX (and subcontract XXX , if appropriate) with XXX (name of Contractor and subcontractor)."

(End of notice)

(iii) If restricted computer software is delivered with the copyright notice of 17 U.S.C. 401, it will be presumed to be published copyrighted computer software licensed to the Government without disclosure prohibitions, with the minimum rights set forth in paragraph (b) of this clause, unless the Contractor includes the following statement with such copyright notice: "Unpublished --

rights reserved ur. der the Copyright Laws of the United States."

(h) Subcontracting. The Contractor has the responsibility to obtain from its subcontractors all data and rights therein necessary to fulfill the Contractor's obligations to the Government under this contract. If a subcontractor refuses to accept terms affording the Government such rights, the Contractor shall promptly bring such refusal to the attention of the Contracting Officer and not proceed with subcontract award without further authorization.

. (i) Relationship to patents. Nothing contained in this clause shall imply a license to the Government under any patent or be construed as affecting the scope of any license or other right otherwise granted to the Government.

(End of Clause) 1 4

--v - -.-----s~ . , _-----n -,,-.--,.v- -,,,,-g-c yr , - - --~- - - - - , - ,--- .,,,m ,e, , ...

, NRC-04-88-078 S:ction I l PART II - CONTRACT CLAUSES SECTION I -

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

This contract incorporates the following clauses by reference.

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

I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES CLAUSE NUMBER DATE TITLE 52.202-1 APR 1984 DEFINITIONS 52.203-1 APR 1984 0FFICIALS NOT TO BENEFIT 52.203-3 APR 1984 GRATUITIES 52.203-5 APR 19f* COVENANT AGAINST CONTINGENT FEES 52.203-6 JUL 1985 RESTRICTIONS ON SUBCONTRACTOR SALES TO THE GOVERNMENT 52.204-2 APR 1984 SECURITY REQUIREMENTS 52.215-1 APR 1984 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL 52.215-2 APR 1984 AUDIT -- NEGOTIATION.

52.215-22 APR 1984 PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA 52.215-24 APR 1985 SUBCONTRACTOR COST OR PRICING DATA 52.215-26 APR 1987 INTEGRITY OF UNIT PRICES ALTERNATE I (JUN 1985) 52.215-31 SEP 1987 WAIVER OF FACILITIES CAPITAL COST OF MONEY 52.215-33 JAN 1986 ORDER OF PRECEDENCE 52.219-6 APR 1984 NOTICE OF TOTAL SMALL BUSINESS SET-ASIDE 52.219-8 JUN 1985 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL DISADVANTAGED BUSINESS CONCERNS 52.219-13 AUG 1986 UTILIZATION OF WOMEN-OWNED SMALL BUSINESSES 52.220-3 APR 1984 UTILIZATION OF LABOR SURPLUS AREA CONCERNS m

NRC-04-88-078 Section I 52.220-4 APR 1984 LABOR SURPLUS AREA SUBCONTRACTING PROGRAM 52.222-1 APR 1984 NOTICE TO THE GOVERNMENT OF LABOR DISPUTES 52.222-3 APR 1984 CONVICT LABOR 52.222-26 APR 1984 EQUAL OPPORTUNITY 52.222-35 APR 1984 AFFIRMATIVE ACTION FOR SPECIAL DISABLED AND VIETNAM i'RA VETERANS 52.222-36 APR 1984 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS 52.223-2 APR 1984 CLEAN AIR AND WATER 52.227-1 APR 1984 AUTHORIZATION AND CONSENT 52.227-2 APR 1984 NOTICE AND ASSISTANCE REGARDING PATENT AND COPYRIGHT INFRINGEMENT 52.227-10 APR 1984 FILING OF PATENT APPLICATIONS -

CLASSIFIED SUBJECT MATTER 52.232-7 APR 1984 PAYMENTS UNDER TIME-AND-MATERIALS AND LABOR-HOUR CONTRACTS ALTERNATE II (JAN 1986) 52.232-9 APR 1984 LIMITATION ON WITHHOLDING OF PAYMENTS 52.232-17 APR 1984 INTEREST 52.232-23 JAN 1986 ASSIGNMENT OF CLAIMS 52.233-1 APR 1984 DISPUTES 52.233-3 JUN 1985 PROTEST AFTER AWARD 52.243-3 AUG 1987 CHANGES -- TIME-AND-MATERIALS OR LABOR-HOURS 52.244-3 APR 1985 SUBCONTRACTS (TIME-AND-MATERIALS AND LABOR-HOUR CONTRACTS) 52.249-6 MAY 1986 TERMINATION (C0ST REIMBURSEMENT)

ALTERNATE IV (APR 1984) 52.249-14 APR 1984 EXCUSABLE DELAYS I.2 ANTI-KICKBACK PROCEDURES (FAR 52.203-7)

(a) . Definitions. "Kickback," as used in this clause, means any money, fee, commission, credit, gift, gratuity, thing of value, or compensation of any kind which is provided, directly or indirectly, to any prime Contractor, prime Contractor employee, subcontractor, or subcontractor employee for the purpose of improperly obtaining or rewarding favorable treatment in connection with a prime contract or in connection with a subcontract relating to a prime contract.

"Person," as used in this clause, means a corporation, partnersh'ip, business association of any kind, trust, joint-stock company, or individual.

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

"Prime Contractor employee," as used in this clas ., means any l

L

officer, .partnsr, employee, or agent of a prima Contractor.

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

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

furnish or furnishes supplies to the prime Contractor or a higher tier subcontractor.

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

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

prohibits any person from--

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

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

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

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

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

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

(1) Offset the amount of the kickback againist any monies owed by the United States under this contract and/or (ii) direct that the 3

NRC-04-88-078 Section I Contractor withhold from sums owed the subcontractor, the amount of kickback. The Contracting Officer may order that monies withheld under subdivision (c)(4)(ii) of this clause be paid over to the Government unless the Government has already offset those monies under subdivision (c)(4)(1) of this clause. In the latter case, the contractor shall notify the Contracting Officer when monies are witheld.

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

(End of Clause) 1.3 ORDERING (FAR 52.216-18) (APR 1984)

(a) Any supplies and services to be furnished under this contract shall be ordered by issuance of delivery orders by the individuals or activities designated in the Schedule. Such orders may be issued from the effective date of the contract through the end of the effective period.

(b) All delivery orders are subject to the terms and conditions of this contract. In the event of conflict between a delivery order and this contract, the contract shall control.

(c) If mailed, a delivery order is considered "issued" when the l Government deposits the order in the mail. Orders may be issued orally or by written telecommunications only if authorized in the Schedule.

(End of Clause) i 9

e

+ NRC-04-88-078 Ssetion I e

I. 4 OPTION TO EXTEND THE TERM OF THE CONTRACT--SERVICES (FAR 52.217-9) (\PR 1984)

(a) The Government may extend the term of this contract by written notice to the Contractor within the time specified in the Schedule; provided, that the Government shall give the Contractor a ,

preliminary written notice of its intent to extend at least 60 days before the contract expires. The preliminary notice does not commit the Government to an extension.

(b) If the Government exercises this option, the extended contract shall be considered to include this option provision.

I (c) The total duration of this contract, including the exercise of l any options under this clause, shall not exceed 5 years.

(End of Clause)

I. 6 SERVICE CONTRACT ACT OF 1965 (I-FSS-222-41) (APR 1984)

(a) Service Contract Act of 1965, as amended: This contract is subject to the Service Contract Act of 1965, as amended (41 U.S.C.

351 et seq.) and is subject to the following provisions and to all other applicable provisions of the Act and regulations of the Secretary of Labor issued thereunder (29 CFR Part 4).

(b)(1) Each service employee employed in the performance of this contract by the contractor or any subcontractor shall be paid not less than the minimum monetary wages and shall be furnished fringe benefits in accordance with the wages and fringe benefits determined by the Secretary of Labor or authorized representative, as specified in any wage determination attached to this contract.

(2)(i) If there is such a wage determination attached to this contract, the contracting officer shall require that any class of '

service employee which is not listed therein and which is to be employed under the contract (i.e., the work to be performed is not performed by any classifications listed in the wage determination),

be classified by the contractor so as to provide a reasonable relationship (i.e., appropriate level of skill comparison) between i such unlisted classifications and the classifications listed in the l

t l

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

NRC-04-88-078 r Section I i

i wage determination. Such conformed class of employees shall be paid the monetary wages and furnished the fringe benefits as are determined pursuant to the procedures in this section. (The information collection requirements contained in the following paragraphs of this section have been approved by the Office of Management and Budget under OMB control number 1215-0150.)

(ii) Such conforming procedure shall be initiated by the contractor prior to the performance of contract work by such unlisted class of employee. A written report of the proposed conforming action, including information regarding the agreement or disagreement of the authorized representative of the employees involved or, where there is no authorized representative, the employees themselves, shall be submitted by the contractor to the contracting officer no later than 30 days after such unlisted class of employees performs any contract work. The contracting officer  ;

shall review the proposed action and promptly submit a report of the action, together with the ager.cy's recommendation and all pertinent information including the position of the contractor and the employees, to the Wage and Hour Division, Employment Standards Administration, U.S. Department of Labor, for review. The Wage and Hour Division will approve, modify, or disapprove the action or render a final determination in the event of disagreement within 30 days of receipt or will notify the contracting officer within 30 days of receipt that additional time is necessary.

(iii) The final determination of the conformance action by the Wage and Hour Division shall be transmitted to the contracting officer who shall promptly notify the contractor of the action taken. Each affected employee shall be furnished by the contractor with a written copy of such determination or it shall be posted as a part of the wage determination.

(iv)(A) The process of establishing wage and fringe benefit rates that bear a reasonable relationship to those listed in a wage

determination cannot be reduced to any single formula. The approach used may vary from wage determination to wage determination  ;

depending on the circumstances. Standard wage and salary administration practices which rank various job classifications by pay grade pursuant to paint schemes or other job factors may, for example, be relied upon. Guidance may also be obtained from the way different jobs are rated under Federal pay systems (Federal Wage Board Pay System and the General Schedule) or from other wage determinations issued in the same locality. Basic to the establishment of any conformable wage rate (s) is the concept that a i

pay relationship should be maintained between job classifications j based on the skill required and the duties performed, l

r (B) In the case of a contract modification, an exercise l

of an option or extension of an existing contract, or in any other case where a contractor succeeds a contract under which the classification in question was previously conformed pursuant to this section, a new conformed wage rate and fringe benefits may be -

assigned to such conformed classification by indexing (i.e.,  ;

f 9

e

- , - - - , . . , - , .- ., v ,_ --c- ,n-----,,n_.- --..v-_.--_--,

NRC-04-88-078 I Section I e

adjusting) the previous conformed rate and fringe benefits by an amount equal to the average (mean) percentage increase (or decrease, where appropriate) between the wages and fringe benefits specified for all classifications to be used on the contracts which are listed in the current wage determination, and those specified for the corresponding classifications in the previously applicable wage dutermination. Where conforming actions are accomplished in accordance with this paragraph prior to the performance of contract work but the unlisted class of employees, the contractor shall advise the contracting officer of the action taken by the other procedures in paragraph (b)(2)(ti) of this section need not be followed.

(C) No employee engaged in performing work on this contract shall in any event be paid less than the currently applicable minimum wage specified under section 6(a)(1) of the Fair Labor Standards Act of 1938, as amended.

(v) The wage rate and fringe benefits finally determined pursuant to paragraphs (b)(2)(1) and (ii) of this section shall be paid to all employees performing in the classification from the first day on which contract work is performed by them in the classification. Failure to pay such unlisted employees the compensation agreed upon by the interested parties and/or finally determined by the Wage and Hour Division retroactive to the date such class of employees commenced contract work shall be a violation of the Act and this contract.

(vi) Upon discovery of failure to comply with paragraphs (b) (2)(1) through (v) of this section, the Wage and Hour Division shall make a final determination of conformed classification, wage rate, and/or fringe benefits which shall be retroactive to the date such class of employees commenced contract work.

(3) If, as authorized pursuant to section 4(d) of the Service Contract Act of 1965 as amended, the term of this contract is more than 1 year, the minimum monetary wages and fringe benefits required to be paid or furnished thereunder to service employees shall be subject to adjustment after 1 year and not less often than once every 2 years, pursuant to wage determinations to be issued by the Wage and Hour Olvision Employment Standards Administration of the Department of Labor as provided in such Act.

(c) The contractor or subcontractor may discharge the ubligation to furnish fringe benefits specified in the attachment of determined conformable thereto by furnishing any equivalent combinations of bona fide fringe benefits, or by making equivalent or differential payments in cash in accordance with the applicable rules set forth in Subpart 0 of 29 CFR Part 4, and not otherwise.

(d)(1) In the absence of a minimum wage attachment for this contract, neither the contractor nor any subcontractor under this

) contract shall pay any person performing work under the contract -

l (regardless of whether they are service employees) less than the l

1 f

i NRC-04-88-078 I Scction I minimum wage specified by section 6(a)(1) of the Fair Labor Standards Act of 1938. Nothing in this provision shall relieve the contractor or any subcontractor of any other obligation under law or contract for the psyment of a higher wage to any employee.

(2) If this contract succeeds a contract, subject to the Service Contract Act of 1965 as amended, under which substantially the same amended, under which substantially the same services were furnished in the same locality and service employees were paid wages and fringe benefits provided for in a collective bargaining agreement, in the absence of the minimum wage attachment for this contract setting forth such collectively bargained wage rates and fringe benefits, neither the contractor nor any subcontractor under this contract shall pay any service employee performing any of the contract work (regardless of whether or not such employee was employed under the predecessor contract), less than the wages and fringe benefits provided for in such collective bargaining agreements, to which such employee would have been entitled if employed under the predecessor contract, including accrued wages and fringe benefits and any prospective increases in wages and fringe benefits provided for under such agreement. No contractor or subcontractor under this contract may be relieved of the foregoing s

obligation unless the limitations of Section 4.lb(b) of 29 CFR Part 4 apply or unless the Secretary of Labor or his authorized representative finds, after a hearing as provided in Section 4.10 of 29 CFR Part 4 that the wages and/or fringe benefits provided services of a character similar in the locality, or determines, as provided in Section 4.11 of 29 CFR Part 4, that the collective bargaining agreement applicable to service employees employed under the predecessor contract was not entered into as a result of arm's length negotiations. Where it is found in accordance with the review procedures provided in 29 CFR 4.10 and/or 4.11 and Parts 6 and 8 that some or all of the wages and/or fringe benefits contained in a predecessor contractor's collective bargaining agreement are substantially at variance with those which prevail for services of a character similar in the locality, and/or that the collective

! bargaining agreement applicable to service employees employed under I

the predecessor contract was not entered into as a result of arm's length negotiations, the Department will issue a new or revised wage i determination setting forth the applicable wage rates and fringe -

benefits. Such determination shall be made part of the contract or

subcontract, in accordance with the decision of the Administrator, the Administrative Law Judge, or the Board of Service Contract l Appeals as the case may be, irrespective of whether such issuance l occurs prior to or after the award of a contract or subcontract 53 i

Comp. Gen. 401 (1973). In the case of a wage determination issued i solely as a result of a finding of substantial variance, such determination shall be effective as of the date of the final administrative decision.

(e) The contractor and any subcontractor under this contract shall notify each service employee commencing work on this contract of the minimum monetary wage and any fringe benefits required to be I paid pursuant to this contract, or shall post the wage determination -

attached to this contract. The poster provided by the Department of

NRC-04-88-078 Section I Labor (Publication WH 1313) shall be posted in a prominent and accessible place at the worksite. Failure to comply with this requirement is a violation of section 2(a)(4) of the Act and of this contract. (Approved by the Office of Management and Budget under OMB control number 1215- 0150.)

(f) The contractor or subcontractor shall not permit any part of the services called for by this contract to be performed in butiding or surroundings or under working conditions provided by or ,

under the control or supervision of the contractor or subcontractor which are unsanitary or hazardous or dangerous to the health or i safety of service employees engaged to furnish these services, and the contractor or subcontractor shall comply with the safety and health standards applied under 29 CFR Part 1925.  ;

(g)(1) The contractor and each subcontractor performing work subject to the Act shall make and maintain for 3 years from the completion of the work records containing the information specified in paragraphs (g)(1) (1) through (vi) of this section for each employee subject to the Act and shall make them available for '

inspection and transcription by authorized representatives of the Wage anc' Hour Division, Employment Standards Administration of the U.S. Department of Labor. (Sections 4.6(g)(1)(i) through (vi) approved by the Office of Management and Budget under OMB control number 1215-0017 and sections 4.6(g)(1)(v) and (vi) approved under 0MB control number 1215-0150.): ,

(1) Name and address and social security number of each h employee.

(11) The correct work classification or classification, rate or rates of monetary wages paid and fringe benefits provided, i rate or rates of fringe benefit payments in lieu thereof, and total  ;

daily and weekly compensation of each employee.

(iii) The number of daily and weekly hours so worked i

by each employee.

(iv) Any deductions, rebates, or refunds from the total daily or weekly compensation of each employee.

(v) A list of monetary wages and fringe benefits for those classes of service employees not included in the wage determination attached to this contract but for which such wage rates or fringe benefits have been determined by the interested parties or by the

.I Administrator or authorized representative pursuant to the labor standards clause in paragraph (b) of this section. A copy of the

report required by the clause in paragraph (b)(2)(ii) of this ,

j section shall be deemed to be such a list.  !

(vi) Any list of the predecessor contractor's employees I

which had been furnished to the contractor pursuant to Section 4.6(1)(2).

(2) The contractor shall also trake available a copy of this i  ;

_ _ _ _ _ _ _ _ ___ _ __ ___ _.____ ______ _ ~,,___ _ _._ _ _ _

NRC-04-88-078 i Section I 1

contract for inspection or transcription by authorized representatives of the Wage and Hour Division.

(3) Failure to make and maintain or to make available such  !

records for inspection and transcription shall be a violation of the regulations and this contract, and in the case of failure to produce such records, the contracting officer, upon direction of the Department of Labor and notification of the contractor, shall take action to cause suspension of any further payment of advance of funds until such violation ceases.

(4) The contractor shall permit authorized representatives of ,

the Wage and Hour Division to conduct interviews with employees at the worksite during normal working hours.

(h) The contractor shall unconditionally pay to each employee subject to the Act all wages due free and clear and without subsequent deduction (except as otherwise provided by law or Regulations, 29 CFR Part 4), rebate, or kickback on any account.

Such payments shall be made no later than one pay period following ,

the end of the regular pay period in which such wages were earned or accured. A pay period under this Act may not be of any duration longer than semi-monthly.

(i) The contracting officer shall withhold or cause to be "

withheld from the Government prime contractor under this or any other Government contract with the prime contractor such sums as an anoropriate official of the Department of Labor requests or such -

sums as the contracting officer decides may be necessary to pay 3' underpaid employees employed by the contractor or subcontractor in the event of failure to pay any employees subject to the Act all or part of the wages or fringe benefits due under the Act, the agency may, after authorization or by direction of the Department of Labor ,

and written notification to the contractor, take action to cause suspension of any further payment or advance of funds until such violations have ceased. Additionally, any failure to comply with

, the requirements of these clauses relating to the Service Contract Act of 1965, may be grounds for termination of the right to proceed with the contract work. In such event, the Government may enter into other contracts or arrangements for completion of the work, [

charging the contractor in default with any additional cost.

i (j) The contractor agrees to insert these clauses in this section relating to the Service Contract Act of 1965 in all subcontracts subject to the Act. The term "contractor" as used in these clauses in any subcontract, shall be deemed to refer to the subcontractor, except in the term "Government prime contractor."

(k)(1) As used in these clauses, the term "service employee" means any person engaged in the performance of this contract other than any person employed in a bona fide executive, administrative, or professional capacity, as those terms are defined in Part 541 of Title 29, Code of Federal Regulations, as of July 30, 1976, and any subsequent revision of those regulations. The term "service -

employee" includes all such persons regardless of any contractual O

--_..-__. . .. _ ._ -_.- ,- ,- . _ _ _ , - . . _ _ . -.--.,.....,m. --. _

r - - _ ,-

. .NRC-04-88-078 Section I r

relationship that cay be alleged to exist between a contractor or subcontractor and such persons.

(2) The following statement is included in contracts pursuant to section 2(a)(5) of the Act and is for informational purposes only: The following classes of service employees expected to be employed under the contract with the Government would be subject, if employed by the contracting agency, to the provisions of 5 U.S.C.

5341 or 5 U.S.C. 5332 and would, if so employed, be paid not less than tt;e following rates of wages and fringe benefits:

. Imployeeclass Monetary wage-fringe benefits (i)(1) If wages to be paid or fringe benefits to be furnished any service employeas 4mployed by the Government prime contractor or any subcontractor under the contract are provided for in a collective bargaining agreement which is or will be effective during any peit.od in which the contract is being performed, the Government prime contractor shali report such fact to the contracting officer, together will full informat*un as to the application and accrual of such wtje! ad fringe benefits, including any prospectim increases, 9 3ervice ergloyees engaged in work on the contract, and a copy of the rollectiv<t bargaining agreement. Such report shall be made upon co;nmencing pevformance of the contract, in the case of collective barcjaining agreements effective at such time, and in the case of sLJ, agreements or provisions or amendments thereof effective at a later time durirg the period of contract performance, such

<!greemer,ts shall be reported promptly after negotiation thereof.

(Arproval. by the Office of Management and Budget under OM8 control nuinber 1%15-in50. )

(2) NrA less than 1C days prior to completion of any contract being performed at a Federal facility where service employees may be rs'oa i ne : in tne performance of the succeeding contract and subject to a wage dd ormination which contains vacation or other benefit

, provisions based upor, length of service with a con- tractor

'7ryjecesror) or successnr (Section 4.173 of Regulations 29 CFR Part 4), the incumbent prims contevetor shall furnish to the contracting off ker & cnrtified list of the names of all service emoloyees r, the certtractor's or subcontractor's payroll during the last moMh of coMract nerformince. Such lisi shC.1 d so 0:nttin ucMrsary cates of employmett an t' he co'itract, eit nce with the current or predsc6nor contractors of each suc(i service employee. The cont,racH ny of Hcer rhail turn over wch litt te 1.ho succes>or contrJ;;t:r at th) commentwent of the :ucqeading contract. (Aoproved by the Office of Management t,1d Sudget under OM8 Contrel number 1215-0150.)

I i --

_ . _ , , , . ____.__ , - -_, __m_ _ _ ,, , 23, , ,, , _ . . . . , , , , _ , ,,,,

NRC-04-88-078 Section I '

(m) Rulings and interpretations of the Service Contract Act of 1965, as amended, are contained in Regulations, 29 CFR Part 4.

(n)(1) By entering into this contract, the contractor (and officials thereof) certifies that neither it (nor he or she) nor any  ;

person or firm who has a substantial interest in the contractor's

firm is a person or firm ineligible to be awarded Government i contracts by virtue of the sanctions imposed pursuant to section 5 of the Act.

(2) No part of this contract shall be subcontracted to any

, person or firm ineligible for award of a Government contract pursuant to section 5 of the Act.

(3) The penalty for making false statements is prescribed in .

the U.S. Criminal Code, 18 U.S.C. 1001.

(o) Notwithstanding any of the clauses in paragraphs (b) through (m) of this section relating to the Service Contract Act of 1965, the following employees may be employed in accordance with the "

following variations, tolerances, and exemptions, which the Secretary of Labor, pursuant to section 4(b) of the Act prior to its amendment by Pub. L.92-473, found to be necessary and proper in the i public interest or to avoid serious impairment of the conduct of Government business:

l (1) Apprentices, student-learners, and workers whose earning capacity is impaired by age, physical, or mental deficiency or injury may be employed at wages lower than the minimum wages [

c,therwise required by section 2(a)(1) or 2(b)(1) of the Service r Contract Act without diminishing any fringe benefits or cash payments in lieu thereof required under section 2(a)(2) of that Act, in accordance with the conditions and procedures prescribed for the employment of apprentices , student-learners, handicapped persons, i and handicapped clients of sheltered workshops under section 14 of the Fair Labor Standards Act of 1938, in the regulations issued by the Administrator (29 CFR Parts 520, 521, 524, and 525).

i e (2) The Administrator will issue certificates under the

Service Contract Act for the employment of apprentices, student-learners, handicapped persons, or handicapped clients of -

sheltered workshops not subject to the Fair Labor Standards Act of

! 1938, or subject to different minimnm rates of pay under the two  ;

acts, authorizing at iropriate rates of minimum wages (but without changing requirements c7ncerning fringe benefits or supplementary

! cash payments in lieu thereof), applying 3rocedures prescribed by the applicable regulations issued under t,e Fair Labor Standards Act of 1938 (29 CFR Parts 520, 521, 524, and 525).

l (3) The Administrator will also withdraw, annul, or cancel [

such certificates in accordar.ce with the regulations in Parts 525 and 528 of Title 29 of the Code of Federal Regulations. ,

I (p) Apprentices will be permitted to work at less than the I

predetermined rate for the work they perform when they are employed l ,

., NRC-04-88-078 Section I o

and individually registered in a bona fide apprenticeship program registered with a State Apprenticeship Agency which is recognized by the U.S. Department of Labor, or if no such recognized agency exists in a State, under a program registered with the Bureau of Apprenticeship and Training, Employment and Training Administration, U.S. Department of Labor. Any employee who is not registered as an apprentice in an approved program shall be paid the wage rate and fringe benefits contained in the applicable wage determination for the journeyman classification of work actually performed. The wage rates paid apprentices shall not be less than the wage rate for their level of progress set forth in the registered program, expressed as the appropriate percentage of the journeyman's rate contained in the applicable wage determination.

The allowable ratio of apprentices to journeymen employed on the contract work in any craft classification shall not be greater than the ratio permitted to the contractor as to his entire work force under the registered program.

(q) An employee engaged in an occupation in which he or she customarily and regularly receives more than $30 a month in tips may have the amount of tips credited by the employer against the minimum wage required by section 2(a)(1) or section 2(b)(1) of the Act in accordance with section 3(m) of the Fair Labor Standards Act and Regulations, 29 CFR Part 531: Provided, however, that the amount of such credit may not exceed $1.24 per hour beginn:ng January 1,1980, and $1.34 per hour after December 31, 1980. To utilize this provision:

(1) The employer must inform tipped employees about this tip credit allowance before the credit is utilized; (2) The employees must be allowed to retain all tips (individually or through a pooling arrangement and regardless of whether the employer elects to take a credit for tips received);

(3) The employer must be able to show by records that the employee receives at least the applicable Service Contract Act minimum wage through the combination of direct wages and tip credit; (approved by the Office of Management and Budget under OMB control number 1215-0017);

(4) The use of such tip credit must have been permitted under any predecessor collective bargaining agreement applicable by virtue of section 4(c) of the Act.

(r) Disputes concerning labor standards. Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR Parts 4, 6, and 8. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and the contracting agency, the U.S. Department of Labor, or the employees or their representatives.

i NRC-04-88-078 >

Section I (FDR Temporary Regulation 76)

I. 6 ORDERING (ApR 1984)

(a) Any supplies and services to be furnished under this contract shall be ordered by issuance of delivery orders by the individuals or activities designated in the Schedule. Such orders may be issued from the effective date of this contract through the expiration date of this contract.

(b) All delivery orders are subject to the terms and conditions of this contract. In the event of conflict between a delivery order and this contract, the contract shall control.

(c) If mailed, a delivery order is considered "issued" when the Government deposits the order in the mail. Orders may be issued orally or by written telecommunications only if authorized in the Schedule.

(End of Clause)

I. 7 LIMITATIONS ON SUBCONTRACTING (FAR 52.219-4)(0CT 1987)

By submission of an offer and execution of a contract, the Offeror / Contractor agrees that in performance of the contract (in the case of a contract for --

(a) Services (except construction). At least 50 percent of the cost of contract performance incurred for personnel shall be expended for employees of the concern.

, (b) Supplies (other than procurement from a regular dealer in i such supplies). The concern shall perform work for at least 50 percent of the cost of manufacturing the supplies, not including the cost of materials.

(c) General construction. The concern will perform at least

15 percent of the cost of the contract, not including the cost of materials, with its own employees.

(d) Construction by special trade contractors. The concern will perform at least 25 percent of the cost of the contract, not

, including the cost of materials, with its own employees.

(End of Clause) l l

I l

4 1

I.8 52.216 21 REQUIREMENTS (APR 1984)

(a) This is a requirements contract for the supplies or services specined, and effective for the period stated, in the Scheduk. The quantities 'of supplies or services specined in the Schedule are estimates only and are not purchased by this contract. Except as this contract may otherwise provide, if the Government's requirements do not result in orders in the quantities described as "estimated" or "maximum" in the Schedule, that fact shall not constitute the basis for an equitable price adjustment.

(b) Delivery or performance shall be made only as authorized by orders issued in accordance with the Ordering clause. Subject to any limitations in the De-livery-Order Limitations clause or elsewhere in this contract, the Contractor shall furnish to the Govern-ment all supplies or services specined in the Schedule and called for by orders issued in accordance with the Ordering clause. The Government may issue orders requiring delivery to multiple destinations or perform-ance at multiple locations.

(c) Except as this contract otherwise provides, the Government shall order from the Contractor all the supplies or services specined in the Schedule that are required to be purchased by the Government activity or activities specined in the Schedule.

(d) The Government is not required to purchase from the Contractor requirements in excess of any limit on total orders under this contract.

(e) If the Government urgently requires delivery of any quantity of an item before the earliest date that delivery may be specified under this contract, and if the Contractor will not accept an order providing for the accelerated delivery, the Government may acquire the urgently required goods or services from another source.

(f) Any order issued during the effective period of this contract and not completed within that period shall be completed by the Contractor within the time speci-Ged in the order. The contract shall govern the Con-tractor's and Government's rights and obligations with respect to that order to the same extent as if the order were completed during the contra t's effective period; provided, that the Contractor shall not be required to k a under this contract after mgIjSI.g deliveries

.....~ . (insert date],

(End of clause)

NRC-04-88-078 L

.- Secticn J

• 4-PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS i SECTION J - LIST OF ATTACHMENTS J.1 ATTACHMENTS (MAR 1987)

Attachment Number Title 1 NRC Contractor Organizational Conflicts of Interest (41 CFR Part 20) 2 Billing Instructions 3 NRC Manual Chapter 3202 4 Standard Form 1411 with Instructions 5 Wage Determination No.86-1255 Dated 1/15/88 6 NRC Manual Chapter 0904 7 NRC Form 439 8 Representative Sample Containing Coded Information to be Keyed 9

i .

ATTACHMEt:T 1 PART 20-1 -- GENERAL  !

Subpart 20-1.54--Contractor Organizational Conflicts of Interest Sec.  ;

20-1.5401 Scope and policy.  !

20-1.5402 Definitions.

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

20-1.5404 Representation.

20 1.5405 Contract clauses.

20-1.5405-1 General contract clause.

20-1.5405-2 special contract provisions. ,

20-1.5406 Evaluation, findings, and contract award. t 20-1.5407 Conflicts identified af ter award.

20-1.5408 (Reserved) 20-1.5409 (Reserved) 20-1.5410 Subcontractors.

20-1.5411 Waiver.

20-1.5412 Remedies.

i AUTHORITY: Sec. 8. Pub. L.95-601, adding Sec.170A to Pub. L. '83-703, 68 Stat. 919, as amended (42 U.S.C. ch.14) 120-1.5401 Scope and Policy -- 1 l ,

(NRC)(a) It is the policy of the U.S. Nuclear Regulatory Comissio of interest. The NRC achieves this objective by requiring all prospective contractors to submit information describing relationships, if any, with ,.

l l

organizations or persons (including those regulated by NRC) which may

' give rise to actual or potential conflicts of interest in the event of contract award.

(b) Contractor conflict of interest determinations cannot be made automatically or routinely; the application of sound judgment on virtually i i

a case-by-case basis is necessary if the policy is to be applied so as to satisfy the overall public interest. It is not possible to prescribe l in advance a specific method or set of criteria which would serve to identify and resolve all of the contractor conflict of interest situations which might arise; however, examples are provided in these regulations  :

to guide application of the policy. NRC contracting and program officials ,

umst be alert to other situations which may warrant application of this  !

policy guidance. The ultimate test is: Might the contractor, if awarded the contract, be placed in a position where its judynent may be biased, or where it may have an unfair competitive advantage?

l (c) The conflict of interest rule contained in this subpart applies '

ter contractors and offerers 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 l

l

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

120-1.5402 Definitions (a) "Organizational conflicts of interest" means that a relationship exists whereby's contractor or prospective contractor has present or planned interests related to the work to be perforised 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 conpetitive advantage.

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

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

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

(e) "Contract' means any contract, agreement, or other arrangement with the NRC except as provided in Section 20-1. 5401(c) .

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

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

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

(i) "Prospective contractor" or "offeror" means any person, firm, unincorporated association, joint venture, partnership, corporation, or a# filiates thereof, including its chief executive, directors, key personnel (icentified in the proposal), proposed consultants, or subcontractors, s e mitting a bid or proposal, solicited or unsolicited, to the NRC to

> cctain a contract.

! .t.

e

b

. J 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 tenn "potentia *. 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 performance, a20-1.5403 Criteria for recognizing contractor organizational conflicts of interest (a) General. Two questions will be asked in detemining whether actual or potential organizational conflicts of interest exist: (1) Are there conflicting roles whicP might bias a contractor's judgment in talation to its work for the NRC7 (2) May the contractor be given an unfair competitive advantage based on the performance of the contract?

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

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

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

(ii) Where the ty/feror or contractor provides advice to the NRC on the same or similar matter in which it is also providing assistance to any organization regulated by the NRC.

(iii) Where the offeror or contractor evaluates its own products or services, or the products or services of r^other entity where the offerer or contractor has been substantially involved in their development or marketing.

(iv) Where the awat c of a contract woulo otherwise result in

1 acing the offeror or contractor in a conflicting role in whten its judgment may be biased in relation to its work for the NRC or may otherwise rest'lt in an unfair competitive advantage for the offeror or contractor.

l 1

.h.

7590-01 (2) The contracting officer may request specific infomation from an offeror or contractor or ray require special contract provi. 'ons such as provided in 120-1.5405-2 in the following circumstances:

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

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

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

(iv) Where the offeror or contractor is granted iccess to proprietary infomation of its cotapetitors.

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

(c) Policy application guidance. The following examples are illustrative only and are not intended to identify and res0lve all contractor organizational conflict of interest situations. (1) Example.

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

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

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

(2) Example. The ABC Corp., in response to a RFP, proposes to perfom certain analysts of a reactor component which are unique to one type of advanced reactor. As is the case with other technically qualified companies responding to the RFP, the ABC Corp. is perfoming various projects for several different utility clients. None of the ABC Corp, projects have any relationship to the work called for in the RFP. Based on the NRC evaluation, the ABC Corp. is considered to be the best qualified company to perfom the work outlined in the RFP.

4 l

4 f

7590-01 Guidance. An NRC contract normally could be awarded to the ABC Corp. because no conflict of interest exists which would motivate bias with respect to the work. An appropriate clause would be included in the contract to preclude the ABC Corp from subsequently contracting for work during the perfonnance of the NRC contract with the private sector which could create a conflict. For example ABC Corp. would be precluded from the performance of sjailar work for the company developing the advanced reactor mentioned in the example.

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

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

Since the nature of the work required is vitally important in terms of NRC's responsibilities and no reasonable alternativt exists, a waiver of the policy may be warranted. Any such waiver shall be fully documented and coordinated in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms I to guard against bias.

l (4) Example. The ABC Co. submits a proposal for a new system for i

evaluating a specific reactor component's performance 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 this business are using older systems for evaluation of the specific reactor component.

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

5

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7590-01 l l

(5) Exampl e. The ABC Corp., in response to a RFP proposes to assemble a map showing certain seismological features of the Appalachian ,

fold helt. In accordance with the representation in the RFP and 120-1.5403(b)(1)(1), A8C Corp. inforins the NRC that it is presently j doing seisnelogical studies for several utilities in the Eastern United States but none of the sites are within the geographic area contemplated by the NRC study.

Guidance. The contracting officer would normally conclude that award of a contract would not place ABC Corp. in a conflicting role

' where its judgment might be biased. The work for others clause of 120 1.5405-1(c) would preclude ABC Corp. from accepting work during the ters of the NRC contract which could creets a conflict of interest.

(d) Other considerations. (1) The fact that the NRC can identify and later avoid, eliminata, or neutralize any potential organizational conflicts arising from the performance of a contract is not relevant to a detaruination 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 orgnizational 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.

'l20-1.5404 Representation (a) The foHowing procedures are designed to assist the NRC contracting officer in determining whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a particular offeror or contractor.

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

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7590 01 ORGANIZ.ATIONAL CONFLICTS OF INTEREST REPRESENTATION 1 represent to the best of my knowledge and belief that:

The award to of a contract or the modification of an existing contract ooes ( ) or does not ( ) involve situations or Mlationships of the type set forth in 41 CFR I20-1.5403(b)(1).

(c) Instructions to offerces. The following shall be included in all NRC solicitations: (1) If the representation as completed indicates that situations or relationships of the type set forth in 41 CFR 120-1.5403(b)(1) are involved, or the contructing officer otherwise determines that potential organizational conflicts exist, the offerer shall provide a statement in writing which describes in a concise manner all relevant facts bearing on his representation to the contracting officer. If the contracting officer determines that organizational conflicts exist, the following actions may be taken: (1) Impose appropriate conditions which avoid such conflicts. (ii) disqualify the offeror, or (iii) detemine that it is othentise in the best interest of the United States to seek award of the contract under the waiver provisions of 520-1.5411.

(2) The refusal to provide the representation required by 120-1.5404(b) or upon request of the contracting officer the facts required by 1206-1.5404(c), shall result in disqualtfication of the offeror for award. The nondisclosure or misrepresentation of any relevant interest may also result in the disqualification of the offerer for award; or if such nondisclosure or misrepresentation. is discovered after award, the resulting contract may be terminated. The affaror 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 offerer may, because of actual o'r 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 part of the required work and its exclusion would work to the detriment of the competitive posture of the other offerers, the proposal must be

! ejected as unacceptable.

(e) Tne offeror's failure to execute the representation required by subsection (b) above with respect to irivitation for bids will be considered to be a minor informality, and the effarer will be pemitted to correc* the omission.

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f 20-1.5405 Contract clauses

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7590 01 All contracts of the types set forth in i20-1.5404(b) shall include the following clauses:

(a) Purpose.

The primary (purpose of this clause is to aid in1) Is not placed in a ensuring that the contractor:

because of current or planned interest (financial, contractual, organizational, or othemise) which relate to the work under this contract, and (2) does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract.

(o) Scope. The restrictions described herein shall apply to perfomance 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 ters of this contract, the contractor agrees to forego entering into consulting or other contractual arrangements with any fim 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 egloyees who are egloyed full time under this contract and egloyees designated as key personnel, if any, under this contract abide by the provision of this clause. If the .

contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the contractor snall obtain the written approval of the contracting officer prior to execution of steh contractual arrangement.

(d) Disclosure after award. (1) The contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest, as defined in 41 CFR 120-1.5412(a).

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

This statement shall include a description of the' action which the contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, teminate the contract for convenience i

if it deems such termination to be in the best interests of the government.

I l (e) Access to and use of information. (1)Ifthecontractorin the perfomance of this contract obtains access to information, such as NRC plans, policles, 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) Use sucn infomation for any private purpose until the information has been released to the public; (ii) compete for work for the Comission based l

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7590-01 on such infomation for a period of six (6) months af ter either the co@letion of this contract or the release of such infomation to the public, wnichever is first (iii) submit an unsolicited proposal to the government based on such infomation until one year af ter the release of such infomation to the public, or (iv) release the infomation without prior written approval by the contracting officer unless such ir.fomation has previously been released to the public by the NRC.

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

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

(f) Subcontracts. Except as provided in 41 CFR 320-1.5402(h) the contracter shall include this clause, including this paragraph, in subcontracts of any tier. The terms "contract," "contractor," and "contracting officer " shall be appropriately modified to-preserve the government's rights.

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

(h) Waiver. A request for waiver uncer this clause shall be directed in writing through the contracting officer to the Executive Director for Operations (EDO) in accordance with the procedures outlinec in120-1.5411. ,

t20-1.5405-2 Special contract provisions, i (a) If it is detemined from the nature of the proposed contract that organizational conflicts of interest exist, the contracting officer may ottemine that such conflict can be avoided or after obtaining a waiver in accordance with : 20-1.5411, neutralized through the use of an appropriate special contract provision. If appropriate, the offeror may negotiate the tems and conditions of these clauses, including tne extent and time period of any such restriction. These provisions incluce but are nat limited to:

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(1) maroware exclusion clauses whicn cronibit tne acceptance of procuction contracts following a related nonproduction contract previously performed by the contractor; i (2) Softaare exclusion clauses; .

(3) Clauses which require the contractor (and certain of nis key personnel) to avoid certain organizational conflicts of interest; and (4) Clauses which provide for protection of confidential data and guard against its unauthorized use.

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

(i) Follow-on effort. (1) The contractor shall be heligible to participate in NRC contracts, subcontracts, or proposals therefor (solicited or unsolicited) which stem directly from the contractor's performance of work under this contract. Furthermore, unless so directed in writing by the contracting officer, the contractor shall not perform sny technical consulting or management support services work or evaluation activities under this contract on any of its products ar services or the products or services of another firm if the contractor has been substantially involved in the development or marketing of such products or services.

1 (2) If tU contractor under this contract prepares a complete or essentially complete statement of work or specifications, the contractor shall be ineligible to perform or participate in the initial contractual effort which is based on such statement of work or specifications. The contractor shall not incorporate its products or services in such statement of work or specifications unless 50 directed in writing by the contracting 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 standard ccreercial items to the government.

I 20-1.5406 Evaluation, findings, and contract award i Tr.e contracting officer will evaluate all relevant facts submitted i by an offeror pursuant to the representation reoutrements of 1201.5404(b) and other relevant information. After evaluating this information -

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against tne criteria ofi20-1.5403, a finding will be made by the contracting officer whether organizational conflicts of interest exist with respect to a particular offeror. If it has been determined that conflicts of

! interest exist, tnen tne contracting officer shall eitner:

) (a) Disqualify the offerer from award, f

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6 7590-01 (b) Avoid or eliminate such conflicts by appropriate measurss; or (c) Award the contract under the waiver provision of 120-1.5411.

, 120-1.5407 Conflicts identified after award.

If potential organizational conflicts of interest are identified after award with respect to a particular contractor, the contracting officer detemines that such conflicts do, in fact, axist and that it would not be in the best interests of the government to terminate the contract as provided in the clausts required by 120-1.5405, the contracting officer will t9e every reasonable action to avoid, eliminate, or, after obtaining a wn.er in accordance with $ 20-1.5411, neutralize the effects of the identifiad conflict.

120-1.5408 (Reserved) 120-1.5409 (Reserved) 120-1.5410 Subcontracts The contracting officer shall require offerors and contractors to submit a representation statement in accordance with 120-1.5404(b) from subcontractors and consvi antsi The cc,ntracting officer shall require the contractor to include contract clauses in accordance with 120-1.5405 <

in consultant agreements or subcontracts involving performnce ^ ' work /

under a prime contract covered by this subsection.

i20-1.5411 Waiver l

In the first instance, detemination with respect to the need to seek a waiver for specific contract awards shall be ude by the contracting

! 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 af ter consultation with the Office of the General Counsel, the EDO may waive the policy in specific cases if he determines that it is in the best interest of the United States to do so.

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

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

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7590-01 120-1. 5412 Remedies l

In addition to such other remedies as may be pennitted by law or contract for a breach of the restrictions in this subpart or for any intentional misrepresentation or intentional nondisclosure of any relevant interest required to be provide 6 for this section, the NRC may debar the contractor from subsequent NRC contracts.

Dated at Washinoton. 0.C this 27th day of March 1979, 1

For the Nuclear Regulatory Comission CheMNC4 &

. Samuel . Cnilk '

Secretary of the Comission i

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l (REVISED - 4/87)

BILLING INSTRUCTIONS FOR FIXED PRICE CONTRACTS AhD PURCHASE ORDERS General. The contractor shall submit vouchers or invoices as prescribed herein.

Form. Claims shall be submitted on the payee's letterhead, invoice or on the Government's Standard Form 1034 "Public Youcher for Purchases and Services Other Than Personal," and Standard Form 1035 "Public Voucher for Purchases Order Other Than Personal -- Continuation Sheet." These forms are available from the Government Printing Office, 701 North Capitel Street, Washington, DC 20801.

Number of Copies and Mailing Address. An original and six copies shall be submitted to NRC offices identified below.

Frequency. The contractor shall submit an invoice or voucher only 'after NRC's final acceptance for services rendered or products delivered in performance of the contract unless otherwise specified in the contract.

t Preparation and Itemization of the Voucher. The voucher shall be prepared in ink or typewriter (without strikeovers) and corrected or erasures must be initialized. It must include the following:

(a) Payor's name and address. (1) Address the original voucher (with 4 copies) to: U.S. Nuclear Regulatory Commission, Division l

of Accountirig and Finance, ATTN: GOV /COM Accounts Sections, Washington, DC 20555. (ii) Address 2 copies to: U.S. Nuclear Regulatory Commission, ATTN: E. L. Halman, Director, Division of Contracts, Washington, DC 20555. (iii) The' original copy of the voucher should indicate that (2) copies have been forwarded to the Contracting Officer.

1 (b) Voucher number.

l (c) Date of youche'r.

(d) Contract number and date.

l (e) Payee's name and address. (Show the name of the contractor and its correct address, except when an assignment has been made by the contractor or a different payee has been designated, then insert the name and address of the payee.)

l (f) Descriptier cf articles or services, quantity, unit price, and total amount.

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-2 (g) Weight and zone of shipment, if shipped by parcel post.

(h) Charges for freight or express shipments, and attached prepaid bill, if shipped by freight or express.

(i) Instructions to consignee to notify Contacting Officer of receipt of shipment.

(j) Final invoice marked: "FINAL INVOICE" Currency. Billings may be expressed in the currency nonna11y used by the contractor in maintaining his accounting records and payments will be made in that currency. However, the U.S. dollar equivalent for all invoices paid under the contract may not exceed the total U.S. dollars authorized in the contract.

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ATTACHME!!T 3 Form NRC-489 *

(1 76)

U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL TRANSMITTAL NOTICE CHAPIER NRC-3202 IUBLICATION OF 'IECHNICAL REPORIS PEPARED BY NRC (DNTRAC'IORS, INCUJDING EPDRIS PEPAED UNDER OR PURSUAPTT 'IO INIMNCY AGREDENTS SUPERSEDED: TRANSMITTED:

Number Date Number Date

. TN 3200-21 Chapter NRC-32C2 4/29/82 Chapter NRC-3202 6/ M Page Page Appendia NRC-3202 4/29/82 Ap endix NRC-3202 8/29/St REMARKS:

This revision of Qiapter 3202 expands the chapter frun coverace of unclassified reports to include the rarkini; and handling of sensitive unclassified irlemation (Official Use Only and Limited Official Use Infomation, Safeguards Inforration, Propr.ietary Infomation) and classified irfomation (Top Secret, Secret, and Confidential). A section has also been added to set forth procedt.L"es for the handling of unclassified reports on NRC cooperative programs with foreign govem ents and ort;anizations and with U.S. industry.

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U.S. NUCLEAR MEGULATORY COMMISSION NRC MANUAL Volume: 3000 Information and Foreign Activities Part : 3200 Technical Information and Document Control ADM CHAPTER 3202 PUBLICATION OF TECHNICAL REPORT." PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 3202-01 COVERAGE This chapter and its appendix handbook establish responsibilities , basic requiremen ts , standards and procedures for the documentation, production and dissemination of technical reports prepared by NRC consultants and grantees and by NRC contractors and their subcontractors, includtng reports prepared under or pursuant to interagency agreements or memorandums of understanding. These reports are hereafter referred to as contractor re-ports. This chapter does not cover NRC staff-generated documents , NRC docket material, or the documents generated by NRC boards, panels ,

advisory committees and Offices that report to the Commission.

3203-02 OBJECTIVES 0 21 to assure production and dissemination of technical reports as requireo by the Energy Reorganization Act of 1974 and the Freedom of Infor-mation Act.

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

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

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

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

3202-03 RESPONSIBILITIES AND AUTHORITIES 031 The Director, Office of Administration:

a. develops and main tain s , in consultation with Directors of Offices and Divisions and Regional Administrators, NRC standards, proce-dures and guides for the production and dissemination of technical contractor reports.

Approved: August 29, 1984

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

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

032 The Director, Division c.,f Technical Infomation and Document Control:

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

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

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

d. establishes and administers interagency agreements necessary for the dissemination and public sale of unclassified contractor reports and controls duplication and printing of 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.

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

and the Freedom of Information Act.

033 Directors of Offices and Regional Administrators:

a. establish the contract or Standard Order for Work

• p rovisions ,

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

i (1) specify what reports will be reviewed for policy, management, and legal issues by NRC staff in draft prior to printing and distribution. If the report is to be reviewed by NRC staff, give the conditions under which the contractor may publish documents in the event of unresolvable differences relative to the draf t, including the type of disclaimer to be used in addi-tion to the standard government disclaimer (see Exhibit 6).

In the case of DOE work, this is NRC Fom 173, Standard Order for DOE Work. See Chapter NRC-Il02.

Approved: August 29, 1984 e = * * .

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

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

(3) specify that all formal reports carry NUREG/CR or NUREG/CP numbers .as the prime identification , as illustra ted 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 !! and IV).

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

(6) establish the number of copies the contractor may retain or request for internal and exteri al distribu' tion and charge agains t NRC. Written justificatio.s must be provid e d , and l approval obtained of the NRC JCP r tpresentative (tne Director.

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

(7) assure the protection of classified and sensitive unclassified t informa tion . if any, in contractor reports (see A ppen dtx .

I Part V).

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

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

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

l l e. establish procedures for review of contractor's proposed press and other media releases.

l 034 The Office er the Executive taal Dimet c.- provides legal review and advice to NRC staff on questions regarding inventions, patents, proprietary information, use of copyrighted material, national security, and other sensitive unclassified 2nd classified information.

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! 035 The Director. Office of Public Affairs, upon request of the project manager, reviews proposed contractor's press or other media releases for appropriatenes s .

Approved : Au gus t 29, 1984

l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED N RC-3202-036 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 036 The Director, Division of Security

a. administers t ' overall in'fonnation security program which includes management on he security classification program and other programs for the proteccion of sensitive unclassified information. i

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

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 alteratiorts in the terms and conditions of applicable contracts as they pertain to report production and distribution.

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

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

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

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

3202-04 DEFINITIONS

• 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 policits, procedures and guides needed to identify and produce regulatory and technical reports and to assure adherence to requirements and standards for documentation, formatting, printing and distribution.

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

Words underscored in definitions are also defined in list.

Approved: Au gust 29, 1984

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

' Copyrighted material may not be reproduced without the pemission 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 technologipal investigations. Such distribution may be accom-plished by the use of standard distribution data banks established and main-tained by the Division of Technical Information and Document Control based on the requests of the originating Office or Region.

047 documentation - classification and associated markings required for classified or sensitive unclassified documents , the NRC report number i unique to the repert, title (and subtitle, if .any), author or correspondent (if

( any), organization identification and contract number (or FIN number), date r

and availability.

l 048 draft or final material for inclusion in "Safety Evaluation Reports" l or "Environmental Statements" (ES) - written matertal requested for input ta SERs or ESs to be issued as NUREGs. Such material may be edited or m' a fied at the discretion of the NRC staff.

049 formal technical reports - the final product of research, an origtnal investigation , or a significant compilation of information. This product is a formal technical report for publication in the NUREG/CR series. For extensive long-tem projects, formal monthly, quarterly or semiannual and annual peri-l

' 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 meber responsible for the work performed by con:;ultants or contractors and their subcontractors, or l

for work performed under or pursuant to an interagency agreement.

0411 patent review - examination by legal staff to assure protection rights in inventions.

0412 proprietary information - trade secrets; privileged or confidential research, development, commercial or financial infomation, exempt from manda-tory disclosure under 10 CFR Part 2 (Sections 2.740 and 2.790) and under 10 CFR Part 9 (Section 9.5); and other information submitted in confidence to the NRC by a foreign source and determined to be unclassified by the NRC.

0413 publicly available documents - information (reports and references) which is available in the NRC Pubbe Document Room (PDR) for public inspec-tion and copying or available in the public domain.

Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED N RC-3202-0414 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 0414 reproducible masters - camera-ready copy which includes (1) origi-nals of line drawings (or prints that can be copied), (2) glossy prints of black and white photogtraphs (colored photographs cannot be reproduced),

(3) original typed or prhted text, tables, cover, title page, contents and

. abstract, or (4) other 8 mums of the materials listed in (1), (2) and (3) that a printer can reproduce.

0415 technical reports - infonnation on the technical aspects of contract l work. These may be interim or final technical letter reports, draft or final formal technical reports for publication in the NUREG/CR or NUREG/CP ,

series, or draft or final material for inclusion in SERs or ESs. l 0416 technical lette.' reports (also called technical evaluation reports)

- interim or final letters that provide information on the technical aspects of contract work. Interim technical letter reports may be required at various stages of a project. These reports usually are followed by a final technical letter report or a formal technical report. Final technical letter reports are usually specified in situations where the technical work is review and eval-uation of work of others or work to be used by the staff in the licensing and regulation process. Interim letter reports may include, but are not limited to , infonnal (interim) progress reports, qui'ck-look reports , data reports, status summary reports, project descriptions, pre-tested predictions, model verifications , experiment safety analyses, experiment operating procedures.

facility certification reports, and test result reports.

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

3202-05 BASIC REQUIREMENTS ,

0 51 Applicability. The provisions of this chapter and its appendix apply to NRC consultants, grantees, contractors and subcontractors, including those working under interagency agreements, whose contracts require the prepara-tion of technical reports. Because of the unique nquinments 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 l

advisory committees, by the Advisory Cosaattes Mycagement Officer, or the

! Commission. These exceptions do not preclude the use of the NUREG/CR

! series designation on reports prepared for these entities that are to be given wide public dissemination.

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

053 Appendix 3202. .This appendix contains standards and procedures for the preparation of reporting requirement portions of Statements of Work, and for the documentation, production, and dissemination of technical reports prepared by contractors and other government agencies in accordance with contract requirements or interagency agreements. ,

Approved: August 29, 1984 t

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-054 054 Preparation Requirements

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

b. Reports Printed by Authorized Federal Printinz Plants. All contrac-tor reports to be printed by the contractor (as specified by the contract , agreement, or standard order for work) shall be prepared according to Appendix 3202, and a reproducible master and suffi-cient copies for, standard and incidental distribution shall be sup-plied to the Division of Technical Information and Document Control, accompanied by completed NRC Form 426A, signed by the authorized contractor official. Each such report shall include, as the last pa;, e .

a completed NRC Form 335.

055 R eferences . The NRC chapters referenced and NUREG-0794 (ref j) and NUREG-0650 (ref. i) are available from the Division of Technical Informa-tion and Document Control. The other publications are available from the Government Printing Office.

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

6. Chapter and Appendix NRC-2101, "NRC Security Program."

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

d. Chapter NRC-Il02. "Procedu res for Placement of Work with the Department of Energy. "

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

f. Chapter NRC-3207, "Conferences and Conference Proceedin gs . '

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

l 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.

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

i Government Printing Office.

1 Approved: August 29, 1984

I PUBLICATION 67 TECnNICAL REPONTS PREPARED BY NRC CON'TRACTO?,S, INCLUDING RFFORTS PREPARED  ;

NRC-3202-055 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS l

j. "Technical Writing Style Guids," A. W. Savolainen et al. , codpilers, ,

U.S. NRC Report NUREG-0650, Noorrbe.- 197S, and Su,*.ple.nent 1,  :

February 1982.

k. "Protection of Unclassified Safeguards Information." D. .J. Krsun.

USNRC Rep <et NUREG-0794, Cecto'Ntr 1981.

1. Chapter NRC-0255, "Mail Manageme.nt," and Appendix 0255 Part V, Annex A.

m Approved: August 29, 1984 0

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6 PUBLICATION OF TECHNICAL REPORTS PREPARED BY

' NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 CONTENTS PAGE PART I PREPARATION OF REPORTING-REQUIREMENTS PORTIONS OF STATEMENTS OF WORK FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR 00E WORK 1

A. LIST OF TECHNICAL REPORT REQUIREMENTS.........................

2 B. REQUIREMENTS FOR FORMAL REP 0RTS...............................

2 C. REQUIREMENTS FOR ORAFT REP 0RTS................................

D. PUBLISHING UNCLASSIFIED, NON-SENSITIVE INFORMATION 3

IN OPEN LITERATURE AND PRESENTING PAPERS......................

4 E. TYP0 GRAPHY....................................................

F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND 4

CLASSIFIED INFORMATION........................................

G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES 4

AND WORKSHOPS........................................... .

4 l  : ,. .

H. WRITING AND PUBLISHING UNCLASSIFIE') B00KS. . . . . . . . . . . '. . . . . . . . . 5 &

5 f I. DISTRIBUTION OF REPORTS TO CONTRACTORS................. . ..

l J. COURDINATION OF DRESS OR OTHER ME0!A RELEASES 0F UNCLASSIFIED INFORMATION.......................... . ... S l

I 7

l PART II UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC.

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

7

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

7

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

Availability Information........................... ..... 9 3.

..... 9

4. Disclaimer........................................

Previous Reports in Series............................... 9 5.

6. Abstract........................................'......... 9 9

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

Bibliographic Data Sheet..... ........................... 10 8.

10 B. PATENT AND SECURITY REVIEWS...................................

10

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

10

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

1 l

i Approved: August 29, 1984

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

PAGE C.

PMCEDURES FOR PRINTING AND DISTRIBUTING. . . . . . . . . . . . . . . . . . .11 ...

1. P r i n t i ng . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ............. 11

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

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

1. Sample Cover for Unclassified Formal Contractor-Prepared Reports, Excluding Those Printed by DOE Laboratories with JCP Authorized Federal Printing P1 ants........................... .............. 13

2. Sample Title Page for Unclassified Formal Contractor-Prepared Reports, Excluding Those Printed by 00E Laboratories with JCP Authorized Federal Printing Plants.................... ........... 14

~

a

3. Sample Cover for Unclassified Formal Reports Printed by 00E Laboratories with JCP Authorized Federal Printing Plants.......... 15

4. Sample Title Page for Unclassified Formal Reports Printed by DOE Laboratories with JCP Authorized Federal Printing P1 ants........................................ ................... 16

5. NRC Form 4.26A, Publications Release.............._................ 17

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

7. NRC Form 335, Bibliographic Data Sheet....... .................... 19 PART III WCLASSIFIED TECHNICAL LETTER REPORTS. . . . . . . . . . . . . . . . .. 21 A. FORMAT............... ............... .... ....... .......... 21

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

! 2. Requirements.........................!.................. 21 l

l B. PATENT AND SECURITY REVIEWS................................. 21 l

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

2. Security Review........................................ 22 l

PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE OFFICE 0F NUCLEAR' REGULATORY RESEARCH BY DOE LABORATORIES WITH JCP- AUTHORIZED FEDERAL PRINTING PLANTS. . . . . . . . . . . . . . . . . . . . . . 23 A. 00CUMENTATION....................................... ....... 23 l

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

2. Front Cover and Title Page................. ........... 23 1

l Approved: August 29, 1984 11 l

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

PAGE

3. Availabili ty and Price Information. . . . . . . . . . . . . . . . . . . . . 25 4.

5.

Disclaimer.............................................

Previous Reports in Series.............................

25 25

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

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

8. Bibliographic Data Sheet............................... 26

8. PATENT AND SECURITY REVIEWS................................. 26

1. Patent R,eview........................................ . 26

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

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

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

3. Distribution of Reports................... ... . . 27 PART V REPORTS CON,TAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION.. ............................ .. . . 29 A. APPLICABILITY........................................... . 29

8. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION. 29 C. PROPRIETARY INFORMATION.... ....... ... ....... . . 30

0. SAFEGUARDS INFORMAT10N....................... ........ .. 31 E. CLAS$1FIED INFORMATION........... ........... . ... 31 EXHIBITS

8. Sample Cover for a Contractor Report Containin On ly I n f o rma t i on. . . . . . . . . . . . . . . . . . . . . . . ....................

. . . . . . . g O f f i c i a l U s33e l

9. Sample Title Page for a Contractor Report Containin Use Only Inf o rma ti on. . . . . . . . . . . . . . . . . . . . . . . . . ...............

. . . . . g O f f i c i a l34 1

10. Sample Back Cover for a Contractor Report Containin Us e Only In f o rma t i on. . . . . . . . . . . . . . . . . . . . . . . . ..........

. . . . . . ... g O f fic i a 35 l l 11. Sample Cover for a Contractor Report Containing Limited l

Of ficial Use Information. . .................................. . .. 36

12. Sample Title Page for a Contractor Report Containin Of ficial Use Inf ormation. . . . . . . . . . . . . . . . . . . . . . . . ......g Limi.... ....

ted 37 iii Approved: August 29, 1984

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

PAGE

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

14 Sample Cover for a Contractor Report .Containing Proprietary Inf ormation Obtained f rom a U. S. Organization. . . . . . . . . . . . . . . . . . . . .

39

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

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

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

18. Sample'5'ack Cover for a Contractor Report Containin Proprietary Information..... . ....................g .............. 43

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

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

21. Sample Title Page for a Contractor Report Containin Unclassi'ffed Safeguards Information................g............... 46

22. Sample Back Cover for a Contractor Report Containin Unclassified Safeguards Infors: tion............ ...g ... ... .. 47 23: Cover Sheet for a Contractor Report Containing Unclassified Safeguards Information.... . ... .... . . ... ...... .. . 48 PART VI. HANDLING OF UNCLASSIFIED INFORMATION ON HAC COOPERATIVE PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH INDUSTRY.................................s................... 49 A.

PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMENT. . . . . . . . . 49 B. O!STRIBllTION BY NRC PROJECT MANAGERS......................... 50 C. COMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT............... 50

0. REPORT 10ENTIFIERS........................................... 50 E. MAILING TO PROGRAM PARTICIPANTS............................. 51 F. SECURITY................... .............. ... . . 51 Approved: Aug'u s t 29, 1984 iv

• _ .O _ _ _ _ _ _ _ . . ..__ . . _ , , _ _ _. . - . . . _ _ _ _ _ _ _ - . _ ,. __ _ _ , . _ . _ . _ , . _ _ _ .

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

PAGE EXHIBITS

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

25. Transmittal Letter from Contractor to NRC Project Managar for Dra f t Prel imi na ry Repo rt (Code). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53

26. Transmittal Sheet for Requesting Mailing to Cooperative Program Participants......................................................

54 v Approved: August 29. 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PUPSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART I PREPARATION OF REPORTING REQUIREMENT PORTIONS OF '

STATEMENTS OF WORK FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR DOE WORK A. LIST OF TECHNICAL REPORT REQUIREMENTS List the technical reports required from each project, task or subtask, as applicable. State when and to whom they should be submitted and what they should contain. These reports may be unclassified, sensitive unclassified or classified. Standards for each of these categories are presented in Parts !! through V. The following definitions describe the types of reports that may be specified:

technical reports - information on the technical aspects of contract work. These may be interim or final technical letter reports, draf t l or final formal technical reports for publication in the NUREG/CR or NUREG/CP series, or draf t or final material for inclusion in SERs or ESs (see definitions below).

technical letter re arts (also called technical evaluation reports) -

interun or final ,etters that provide information~ 'on the technical l aspects of the contract work. Interim technical letter reports may l

be required at various stages of a project. These interun letters l

usually are followed by a final technical letter report or a tomal '

I technical report. Finai technical letter reports are usually specified r in situations where the technical work is review and evaluation of work of others or work to be used by the staff in the licensing and regulation process. Interim letter reports may include, but are not limited to , informal (interim) progress reports , quick-look reports, data reports, status summary reports, project descriptions, pre-test predictions , model verifications, experiment safety anal-yses, experiment operating procedures. facility certification reports, and test result reports. These reports must be identified with the financial number (FIN) assigned to the project. They are not to be identified with DOE registered report codes. The num-ber of copies to be prepared and the distribution of those copies will be specified by the project manager.

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

1 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part I UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS draf t or final material for publication or inclusion in SERs. ESs, letters, or license amendments - wntten matenal 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-tion . This material is to be submitted to NRC as a technical letter report addressed to the project manager and identified by the FIN number.

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

B. REQUIREMENTS FOR FORMAL REPORTS If the contractor is to prepare a final formal technical report for publi-cation. state that it will be printed and distributed by NRC from camera-ready copy submitted by the contractor, unless the work is being done for the Office of Nuclear Regulatory Research by a DOE facility or Laboratory with a JCP-authorized printing plant. The camera-ready copy is to be prepared in accordance with the provisions of this appen-dix. Parts !! and V (for contractors other than DOE contractors). or Parts IV and V of this appendix and Chapter 1102 (for DOE contrac-tors). A style guide is also available free, upon request (NUREG-0650). If the report is to be printed by NRC and it is . unclassified, the l camera-ready copy is to be submitted by the contractor to the Director, Division of TechnicalInformation and Document Control, NRC, Washington.

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

Unclassified reports printed for the Office of Nuclear Regulatory Research should be handled in accordance with Parts IV and V of this appendix and/or Chapter 1102.

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

formal technical report, final material for inclusion in an SER or ES, or for comment by participants in cooperative programs with foreign gov-ernments and organizations and with U.S. Industry, state that require-ment and the time frame for delivering the final camera-ready copy after receiving NRC and/or participant comments on the draft. State that all

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

When the contractor is to submit draft material for comment prior to the preparation of the final report, state that if there are NRC program and/or participant comments the contractor will be asked to make changes.

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 manager, if it is a letter report or input to an SER or ES, or to the Director, Division of Technical Information and Document Control, if it is Approved: August 29, 1984 2 a

^

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a - - - - . , - . . - - - , - , , . , , . , - , . - - - - - - - -

O PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part I camers-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, the project manager will be informed and requested to prepare and sign the NRC Forin 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 p'Wpare the camera-ready copy with, in addition to the sts.ndard disclaimer required on all contractor formal reports (see. Exhibit 6), any caveats deemed necessary to cover NRC objections. Such caveats may range from the "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" to the addition of a preface setting forth the NRC opinion or footnotes at appropriate locations within the text.

State that if NRC objections cannot be covered in this manner, NRC can l , refuse to publish the report . In the case of DOE / National Laboratory reports, the DOE Operations Office Manager responsible for that !abora-tory should be informed by the NRC Office Director or Regional Adminis-trator of the decision and the reasons therefor, with a copy to the Laboratory Director. In the case of another Federal agency, a State, or a private contractor, the person who executed the contract should sum larly be informed by the NRC Contracting Officer. The contractor is then free to publish without NRC identification of the report Project manager or higher level decisions may be appealed to the NRC Executive Director for Operations.

D. PUBLISHING UNCLASSIFIED INFORMATION IN OPEN LITERATURE AND PRESENTING PAPERS If the contractor's principal investigator is to be allowed to publish in the open literature instead of submitting a final report and/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 to presentation or submission for publication, state this in the Statement of Work, as follows:

The principal investigator (s) may publish the results of 'nis work in the open literature instead of submitting a final report and/or pre-sent papers at public or association meetings at interim stages of the work, if the article or paper has been reviewed by the NRC project '

1 3 Approved: Augu st 29, 1984

i PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part ! UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS -

manager in draft fom and agreement has been reached on the con-tent. The applicable procedures set forth in Chapters NRC-3206 or NRC-1102 must be fouowed.

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

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

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

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

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

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

(See Cha'p'ter 3206 for provisions re ating to payment of page charges and travel costs for presentation of papers.)

E TYPOGRAPHY The text of reports must be single spaced on 85 x 11-in. paper, unless otherwise specifically authorized. Ocessionally . reports with many sym-bois and mathematical expressions may require one and one-half spacing to provide for superscripts and sub scripts . This spacing should be allowed where needed, but should be considered an exception, not the standard. .

F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION Details of the marking of reports designated Official Use Only. Limited Official Use, Proprietary Information , Safeguards Information , and classified (Confidential, Secret, and Top Secret) are provided in Part V of this appendix and in NRC Appendix 2101. .

G. PUBLISHING UNCLASS!FIED PROCEEDINGS OF CONFERENCES AND WORKSHOPS NRC publishes or assists in the publication of compilations of papers presented at mee tin gs , conferences, and symposiums in which NRC Approved: August 29, 1984 4 6

A a

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 and Conference Proceedings," provides general information and guidance for this. More detaUed guidance is available from TIDC upon request.

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

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

If fewer than 50 copies are needed, indicate the desired quantity on NRC Fom 426A. Single copies for specific individuals in organizations other than the contractor's organization who are not included in the distribution requested by the NRC project manager may be requested on a project basis or on a report-by-report basis. The request, with written justifi-cation, should be addressed to the NRC project manager, with a copy to NRC/TIDC. If the additional distrib2 tion is approved by the NRC project manager, the contractor shall seed 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-fied reports will be made by the project manager on a case-by-case basis.

J. COORDINATION OF PRESS OR OTHER MEDIA RELEASES OF UNCLASSI-FIED INFORMATION A contractor may request permission to issue a press or other media release on the work being done. Such request shall be made to the project manager, who will consult with his/her management and with the Office of Public Affairs. The contractor may not issue a press release on nonroutine information without this prior coordtnation. 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.

5 Approved: August 29. 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART 11 UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC A. DOCUMENTATION

1. Applicability

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

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

b. With respect to sensitive unclassified and classified reports ,

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

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

2. Front Cover and Title Page

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

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

l (1) NRC Report Number i

Each report shall be identified by an NRC-controlled l alpha-numeric designation as the prime designation unique to that report. The centralized report control system for unique identification is maintained by the Division of Technical Information and Document Control. Numbers may be obtained by calling the Division of Technical Infor-mation and Document Control or by submitting a copy of NRC Form 426A (Exhibit 5) with a request for a number.

e Reproducible copy of the cover of the performing organization may be sub-l mitted; however, the data elements shown in Exhibit I must be included.

se These requirements meet the specifications of American National Standard ANSI Z39.18-1974, Guidelines for Format and Production of Scientific and Technical Reports, and ANS! Z39.23-1974. Technical Report Numbers.

l l

7 Approved: Augtst 29, 1984

I NRC Apptndix 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING . REPORTS PREPARED Part 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS The NRC identification number will have the form: j NUREG/CR-XXXX' or NUREG/CP-XXXX I where CP indicates conference proceeding. The contrac-tor's report number, if any, may be inserted below the NUREG number on the title page and cover, as shown in Exhibits 1 through 4, it desired by the contractor.

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

(2) Title and Subtitle .

(a) Use a brief title that indicates clearly the subject matter covered in the report.

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

repeat the primary title on each volume.

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

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

(3) Personal Author (s)' Name(s)

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

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

l (5) Basis for Report Date(s) i (a) The basis for dating may be showr along with the l

date on the title page. Various bases for dating are possible; e.g., date report completed, date reviews completed, date published, date distribu ted , etc.

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

Approved: August 29, 1984 8-l l* -

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c . . . . - - .. . - _ _

V , .

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

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

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

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

5. Previous Reports in Series --

If the report being prepared is one in an ongoing series, list all l previous reports in the series. Include report numbers and issu-ance dates. Place this list on the back of the title page l

! 6. Abstract l An abstract of 200 words or less shall be prepared for each formal i

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

7. References and Bibliographies l Reports or other documents referenced in text, reference sections, bibliographies , and appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office, at the National Technical Information Service, or at other reference or sales outlets) or in the NRC Public Document Room. This means that references should not be made to personal communications and interviews , unpublished This preferred positioning of the abstract in the report need not be followed if the style manual of the originating organization requires a different loca tion .

9 Approved: August 29, 1984 L.

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS infonaation and infor-nation with restricted distribution (e.g.,

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

Guidelines for developing and preseriting reference material r provided in NUREG-0650, "Technical Writing Style Guld published in November 1979 (see Appendix A, p p . 19- 23. .__

specific guidance) and Supplement I dated February 1982.

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

B. PATENT AND SECURITY REVIEWS

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

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

If NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the government agency administer-ing the contract, the responsible NRC contracting officer shall be consulted, and the respont!ble NRC project manager shall consider the patent implications. If there is no need for patent review I because of the certainty that the report contains no description of novel technical developments which may be of an inventive nature, NRC Form 426A may be completed with the statement "Not Appli-cable" cr "N/A" in the space for the Pate,nt Counsel's signature. If l

there is a possibili'y that there le disclosure of developments of an

inventive nature , the contracting officer shall request assistance (rom the NRC Patent Counsel, Office of the Executive Legal l

Director.

1 i 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 Division of Security to establish the appropriate procedures and inform the contractor of such procedures through the contracting officer. The standards for marking and handling such reports are i

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

Approved: August 29,198< 10

(

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FUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPAED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part !!

C. PROCEDURES FOR PRINTING AND DISTRIBUTING

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

Such authorization shall be reported in writing to TIDC.

The Division of Technical Infonnation and Document Control will review the masters for adherence to the standards set forth in this chapter and appendix and will arrange for printing and distributmg 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 agreement work, the publications manager of the performin g organization .

2. Reprinting l Requests for reprinting any report subsequent to the initial prmt-l ing require approval of the Division of Technical Information and i

Document Control. Each request shall include a written justification

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

l

3. Distribution of Reports All copies of unclassified formal contractor reports will be distrib-uted by the Division of Technical Irformation and Document Control in accordance with instructions on NRC Form 426A (Exhibit 5). The Division of Technical Information and Document Control will also arrange automatic distribution of these reports to the NRC Docu-ment Control System, the NRC Public Document Room, the National Technical Information Service (NTIS), the Government Prmtmg Office and the Depository Library Service. -

If any distribution is to be made other than, or m add tion to, the standard distribution established for the report, written justification I and the project manager's approval for printing additional copies I 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.

l Distribution of sensitive unclassified and classified reports will be .

made by the NRC project manager on a case-b>-case basis.

l 1

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11 Approved. August 29. HB4

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

"t -

EXHIBlT 1 SAMPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR-PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS .

NRC Report No. NUREG/CR 1676 Contractor Report No. (if any) , NUSAC 566 Vol., Part, Her., etc. (if any) Vol.1 T,oe Using Advanced Process Monitoring to improve Material Control Subtrtle and Type of Report Final Report (Annual, Top cal, etc.) September 1979 September 1960 Author W p .,a g ... ~ a teaa6-Contractor *usAr we. .iw u 'n,e n

13 Approved : August 29, 1964

___ _ , - -. -.-,-.7 - - , -- -~e--

7

/

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part 11 _

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHISIT 2 SAMPLE TrTLE PAGE FOR UNCLAS$1FIED FORMAL CONTRACTOR.

PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC REPORT No, NumEC/cm. igm Conteactor Report No. (if erry) NVSAC566 Vol. 3 Vol., Port, Rev., etc. (if erryl Distrdhaten Category No. (if any) o T,oe Ucing Advanced Process Monitoring to improve Material Control r

Subtttle and Type of Report F. net Recoet

( Annual. Topical, etc.l 560'"8*' 183

• SC'"D" N Re,oaD . e .e . g._ , c,., w .

Auther(s1. Ed etor(s), ,

Comeder(s), etc.

Contractor Name wtac , ,

and Address  %,i va ar.a NRC Sponsorship pre,ered fee hvEe* v. N.I.n i sevv eae see,, ....

I N

Mac nm se437 OYE N RC Contract No, l

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l Approved: Auguit 29, 1984 14 f

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

+ - - . ,, - _ _ - - . . . - - , . - , _ - , , _ -. ~,-,..m -_- - __, _ , . _ _ __ _ , _.., ..__ _ - ~ - . . -,

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRP Annaadiv Mn?

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS  :*a.~. !!

EXHl81T 3 SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No. ,

NUREG/CR 1952 Centractor Report No.

S AND810151 Vol.. l' art. A ev., etc.

LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks . ..

Type of Report independent Verification Testing Program or $wbtitle independent Verification Test 1 Authof til. E dator til * **L',8O'O ,*,",'," Z ,[ /.c # ' "*' '* ' " '

C*at'ac 5 o' s n. we ..

seenior*o ,,......,,

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, 15 A pproved : Au gust 29, 1984

NRC Appendix 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY Part !! NRC CONTRACTORS. INCLUDING REPORTS PREPAMED UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS EXHIBIT 4 SAMPLE TITLE PAGE FOR UNCLASSlFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No.

Contractor's Report No.

voi Part. Rev ets.

Distributton yyg;gt,ss2 Category A4 Titi.

LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks Subtitle inoopendent ventesten testeg progrem inoopenoont Verificaten Test 1 Report Ostes

.imi Author (s). Editer(s)

Contractor's Narne and Address Wy,= .

NRC 5poniotihe

,7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,

$$ie., wie N c"NEE NRC FIN No. a"cNs"sici 1

1 I

l Approved: August 29. 1984 16 i

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRP Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part II EXHIBIT 5 NRC FORM 426A, PUBLICATIONS RELEASE FOR UNCLASSIFIED NRC CONTRACTOR AND CONSULTANT REPORTS y,,. - .~,. -

= .. -

MALICAfloses AELE.AM POA tesCLAmtfIED e .. . s.......

MAC CostTRACTOR AND COeWULTANT REPORTS *~ ***"

g m r e, ,,

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17 Approved: August 29, 1984

PUBLICATION OF TECHNICAL PEPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Past 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 4 DISCLAIMER AND AVAILABluTY STATE *iENTS (sAct or covam Wofica Tie report ums mesured as e ammmwe af own unserad by en essey of to 14deud h Geeramme. seemer es namend amas Gameususs ser any aguey ensusf. er any of miser emesseum6 menes any sweamry, eceamme er angled, er sensame muy lugs Rummy of so-usammenen, ter say ese syvy) est er as rendes si ask tea, af guy higsuudge, agguagen, weeusi er nemus enemmed in om risert, w eorumme ass is um my ese see pu,y umidd nos perugs pruemer eased equL NOTIG Aotedesty of Reserwee Mesurue Oud in NRC Ptemmasse 4,nse emmwune esas an NRC simhausure mail to setente trwn ese of the tenemmig snaren:

1. The NRC Pwwe Osawant Resen 1717 N Seemt. N w.

wuspeguen. DC 3MM

2. The NmCK.PO laams Preyssa. U18*stimmr Repneenry L warwignon. DC 3WA8

3. TM Neuwud Tessmust 6menneseen Survus, loragrand, V A 2M41 Aseesch as guesig aus tumous repumpas su nusurery of ammusses esame en NAC eneenmasse, a e noe sieriend to to assummassa.

neeuwens emmuunne ensemass tur busaseen and empvung ter a tee tseen We beeC Ptems Dame mese Aeman asemen MAC emppuunnesus and mussed tsAC manurwen; et#C Oftus of isuummasa erW Interessess tuassue. eveuesra, siennuunun resun, woumsum and sumumenen nemens, (seems E vent Assors; inneur reparis and earrumorepus. Cassunsmuun susset, esas aestemme ased imeuse ammweens and erruewsmpet TM teasesq esswsono si pio NUREG uunn are suertsten ter swurnme tresa 9e 9thC/GPO tone proposa: terwei NRC anM wed esseresser respu NRC1spumred eenewstas grammamen, and N AC temaeu and bumpespek Amo siennese are Ampsamenry Gemen. mmc rapismoso me sie Caer et

/serof Ampesmans, wed Alhamar Ampueary Centmanes femmust Dam,none seemane tross we 8esessed Teswummi lateraumen Surisme isubses NumtG senes reemru esW touppens reemru premred by emner teewel agree and resorn greemrod Dr we Aeums tewyy e- Iwwwwer espey to see Insumer Aspsesesry h Dansayas emesmo true oness apel quaned omspuummi terwte subsem eA esas herumse ammuut assh as teena,sawsul and possual eremeuk arid _. _ _ Ausgef Ampeur neeus,lessel asuf umme espetussa, ese senysummsel reparu een eensey be stesud luuma eens m Damameos asah as Wumuk samurteense. Imrupt reports med owetamese, and asMeAC ewdowum penumeign ese sumAmbas tur pse8use l'un so wrihamsten esosawwg se sneemusen amma laisse enous of temC essi reemru are esemene bem, to We mesut ed ass >y. ioen areemn reemus is sie Dwuman of Tauswaal 6suturuumma sud Durrause Cmeet. U1 pesener Reedeswy Can-

n. wan.ipen. DC 3sses.

emuus of m , ones we anneneim d bi nes wi us.u, mi se wnC w wees.

se ausnesud as we N#C uwery. Pts seertemi Aseeue. amounda. harvim% ene are mesume e.e sur ,eep.ee as my we mens. Caem we a iere ne , evev==d d as ,no swwe-s e,wn we wi, g wwnm==n w. d sev we Aai i n m.ou w senswe, e we l

innimus s =we inmesmas, tuo e,eme v. n yws, ny icos et

\

90e===sumerwas i

A p prond - Aupist 29, 1981 18 t

l 9

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o PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRAC'10RS, INCLUDING REPORTS PREPARED NRC Aonendix 3202 UNDER OR PURSUANT TO INTERAGFNCY AGREEMENTS Part II EXHIBIT 7 NRC FORM 336. BIBLIOGRAPHIC DATA SHEET a.ma anam a m-. DATA SMEET 2 42' i -w g

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1 l 4-..n 4 ~i 19 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC /Lppendix 3202 NRC CONTRACTORSe INCLUDING REPORTS PREPARED Part !! UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHlBIT 7 (Centinued) '

BACK OF NRC PORM 35 i

DO NOT PftlNT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT ,

eestauct Oms Nac 804W 330. 6itL1044APMiC OAT A SMitT.18 OA400 Des GuiOOLimes soa 80muAt 440 **00VCT:04 08 SCelest:8sC ase0 ttCnssiCAL mapoeift. Aasen Int 6-stie AVAILASL3 emons aweniCAas seAf toesAL statsoamos inestitute. saae anoa0way;eitw voms. esy teste gates sepamattLv 80 vee 0 at>0at 80m t EaupLt. t Acm v0gvut eic a nevLtiv0tvut sit alaaLL m Ava its uselout titLeOOAA#es4C Data 8s*447.

1. atront asuesta. t era **,.eweer tow is esseet sNel 10. 980essoaisse caeawitAttoes L st me: 0.. .ea Once.

see, aw n. ewe weaeaw mare eensyneten 18evegG) eenpass y 3 aswsee, mapw eien, Comm.e.ea weiaatsoa. OC 20646

' e, ene Oce.ea es teraaesi sae rmeeen u one Oerusasas crie . 40W .a ereeresame am en asser een seeeems 11. as tvPt 08 m spont. Sion eret s .. e.v.m.a ,, teessi,i sieaure ahls 239 23-1974 Teemanni 4eoent 8ewmeer eeraa. sea esew.eisev oweve ev. eie . eae. .e eseaecome.

.stoni ves ,meersee .eevers. Aesous awraeress, eeres, orie me+ve.e eseos a,eaene eae,. es ia see to+es ag enemses seve 844t te.

mystGIC'4010. suunge/Cm4tet. ene severtettmaste e. Ptee00 Covenge. i s, eseerie .a e enres ses vos. Sims , moveen, este ,

a sseaev. .ac aseemery Ace seaveerser eee <sewesee IL SUPPlanogastaav motts t ai, .a.o.m.iea aei . eiwees

.sene.leei.ea a w8aWr 4 0 en,l Weese adVR$0 avdu=WF, e g , een.aere enyt steews, saga M heescos e gegeyst.ea go.gm pin g a a I sahos E E X E R. $Al EIER. P.swaroe eteeneyegeet to se gwp e'ee Owsti he seasa e esseet e es..ese. .neseie one,as, og as.

esseet sworemest se ewee.omeae, one e*ese esseet 1 tittt a40 SuttdTLt. f. tie saowie me sese eiseat one woh, t*e awbose leewarep! ff 84 eteert. entsweag easy oweems to eae me.a tites outua e resort e eseneres us enere 11 Aest A ACT. sariwee e eret 1700.eees or sessi seriwee som tas eae voiv *e. su eseems saa sresierv tette.ame seasme awmeer mer , et tae mees aga,8esat 480eameien sense. nee .a ese one .ae was a,oretes eer* tee seassoie sessee use neuer ese essert 48 vae essert emaimas e e ma.seant e.esegressi, or so.ee tee ette o, east tapetseise sepuusviar sees assaes Oo *.ewetwe e tware, ee sa ei.e.e w .oivanee sneat.ea .t aene asee,ar.

aet we aerea,me eae *emame a trees. 8'ev to seese m 4 to es wesores e, evener ee see,est measone eereatme*4

14. DOCutetest Ale &Lvtst 1 4 t aVI BLasst. & EtY WFOA08/94Keer?04& Se ori enem tae t ae ,,  ;

4 Datt a spont C0esabittO. tera evoset eneH tre, e sete Qeie see $wgsegg iapgewe wg, QQg ftig ?gge R g ,ng eteese evtaseises eerme ease .eeni.s, tas awee eensee

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4 Dee J m eses Des) L.at swiner e e'iderea d .4.,8.He-eas seem iae es,*pm.ses ongesmeseen e. 80testspigas Asse OPeaktse040 f tmen use esae..

f ort 8er erosses aW*es. eens 888'ee. gewe8sient esempassert, t Oatt REPOmf tatWOO. Rosa smert sa*81 s er', a esos ets vos esoaeases see,.eessi neeme .eie. ees,.ee ,

sena steel lee tasse emessets for .mara ao emes,eee, eessi.ag meara esue vase ewesesses come

• tas tassesAst

t. PsapOmasseno casaaestAt:Oss anAmed Aase esAILlesS I A 0044 08, G e masse seeest. set. sieme, esse 2ie seem tk AVAILAS4Lity STAttestert. Deaese owe,. epe,ise. ,,

L.se ao mere eaen esse ausse se se ergeneennroes herweese, for emessoas wn eases'. er swa.seiea se, esseeae e,se.

0 see, see assee of W orgs**essea enese, e esseomme: vasa ervr.e, Ocaea. O* tee. Oegamesessa er Oeuere8=ual seperv. met 14 S4CUent? CLAmspaCAtaces. 6aise W 8 lesurse, C.eam4.

esmous emea

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t recactnAsamoas useet =vemen. v. ~ we =s.

seen saa smere e,s : mismieses ew eur .mest one remos esos peessue 4.0 aus,1.

17. IttnetR Of PA40& Lee.e e eae saanee e, se t Si I

a paw ca en Aert asusesa. same, vae rim er ersas avsaear 1 46 Paict. Loew aeone. I Acese e, es tis w es, ea ,seert s e.es-se I

Approved : August 29s 1984 20 l

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---

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4 5 4

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

UNCLASSIFIED TECHNICAL LETTER REPORTS A. FORMAT

1. Applicability

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

b. The requirements of this part do not apply to consultants and co: tractors 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 mannger. If unclas-sified and non-sensitive, the NRC project manager is responsible for making such reports available in the NRC Public Document Room

. (PDR) by sending them to the PDR through the NRC Document j Control System.

B. PATENT AND SECURITY REVIEWS

1. Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC. If the work being reported is contractually managed through another government agency (v.g. , DOE labora-tories ), that government agency should be requested by the con-tractor to perform the patent review.

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

If there is a possibility that there is disclosure of developments of I an inventave nature , the NRC contracting officer shall request l assistance from the !!RC Patent Counsel Office of the Executive Legal Director.

l 1

1 21 Approved: August 29, 1984 l

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

2. Security Review in most cases, contractor technical letter reports will be unclassi-fied . Should a report o't sensitive unclassified or classified work be required, however, the project manager must work with the Division of Security to establish the appropriate security procedures and infona the contractor of such procedures. The standards for marking and handling such reports are given in Part V of this appendix and NRC Appendix 2101.

l l ,

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i Approved: August 29,19M 22 l '

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

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

1. Applicability

a. The requirements of this part apply to NRC staff who are responsible for agreements with DOE Laboratories and their contractors who print regulatory and technical reports re-quired by NRC. (See also Chapter NRC-Il02).

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

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

2. Front Cover and Title Pare I

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

(

b. Items such as those shown in Exhibits 3 and 4 and discussed below shall appear on the front cover and title page, as appro-p 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 .

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

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

se These requirements meet the specifications of American National Standard i ANSI Z39.18-1974, "Guidelines for Fomat and Production of Scientific and l Technical Reports," and ANSI Z39.23-1974, "Technical Report N utr b e rs . " j l

I 23 Approved: August 29, 1984

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

The NRC identification number will have the form:

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

When a report consists of more than one volume or bind-ing or is issued in 'aore than one edition, an appropriate volume , supplement, part, or revision designation shall appear immediately below the report number (s). NRC report numbers on covers and title pages shall be shown entirely on one line to facilitate computer processing.

(2) Title and Subtitle (a) Use a brief title, which indicates clearly the subject matter covered in the report.

(b) When a report is prepared in more than one volume, repeat the primary title on each volume.

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

annual report, final report, etc.) and the period

, covered as part of the subtitle.

l (3) Personal Author (s)' Name(s)

(a) Authors' names should be given on the title page and cover unless this is impractical, as in the case t

of annual reports which have many contributors. If i

authors' coretributions are as editors , compilers , ,

etc., so indicate on title page and cover following i

the names. In addition, list affiliation of each author l only if affiliated with an organization other than the organization generating the report.

(b) Authors may b4 identified on backstrips (spines) of bound volumes.

(4) Organization Identification (a) On the cover, provide the name of the contractor responsible for preparing the report , followed by "Prepared for the U.S. Nuclear Regulatory l Commission. "

t Approved: August 29, 1984 24

\ .

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV (b) On the title page, provide information of the type illustrated in Exhibit 4.

(5) Basis for Report Dates (s)

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

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

3. Availability and Price Information AU formal reports wn! be made available for sale by NRC and NTIS.

The statement shown in Exhibit 6 is required on the inside of the front cover.

4. Disclaimer The fonowing 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 agenc'y thereof, or any of their employees, makes any warranty, expressed or implied, or assumes any legal liabuity or responsibnity for any third party's use, or the results of such use, of any information, apparatus, product or process disclosed, or iepresents that its use by such third party would not infringe privately owned rights." The foUow-ing additional statement, "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" wn! be printed below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed (see Part !.C.,

Requirements for Draf t Reports).

5. Previous Reports in Series If the report being prepared is one in an ongring series, list au previous reports in the series. Include report nusabers and issuance dates. Place this list on the back of the title page.

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

a This preferred positioning of the abstract in the document need not be fol-lowed if the style manual of the originating organization requires a different location.

25 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PRZ. PARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part IV UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

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

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

Guidelines for developing and presenting reference material are provided in NU REG-0650, "Technical Writing Style G uide ," pub-lished in November 1979 (see Appendix A, pp.19-23, for specific guidance) and Supplement I dated February 1982.

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

B. PATENT AND SECURITY REVIEWS

1. Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor. The DOE Operations Office responsible for the contractor should perform the patent review .

The results of such review shall be reported by the contractor on l NRC Form 426A in item 11 (Exhibit 5). ,

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

Approved: August 29, 1984 26

~~

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV C. PROCEDURES FOR rRINTING AND DISTRIBUTING

1. Printing Contractor reports may be printed only by a JCP-authorized print-ing plant and then only if prepared for the NRC Office of Nuclear Regulatory Research. Reports printed by the contractor and one reproducible master shall be submitted to the Division of Technical Infonnation and Document Control, with completed NRC Form 426A.

The number of copies specified by the Statement of Work for stand-ard and incidental distribution shall be provided. The appropriate identifying number (NUREG/CR- ) may be obtained as discussed in Section A.2.b.(1).

2. Reprintin g Requests for reprinting of any report at NRC expense subsequent to the initial printing requires approval of the Division of Technical Information and Document Control. The request shall inclu de a written justification and the project managers approval for the re-printing, along with address labels for the recipients.

3. Distribution of Reports AU copies of unclassified formal contractor reports will be distr.b-uted by the Division of Technical Infonnation and Document Control in accordance with instructions on NRC Form 426A (Exhibit 5).

NRC Form 426A must be signed by a contractor official authorized

[ by the project manager. Such authortzation shall be reported in writing to the Division of Technical Information and Document Control.

If any distribution is to be made other than, or in addition to, the standard distribution established for the report, written justification and the project manager's approval for printing additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control. Address labels for the additional distribution must be supplied.

The Division of Technical Information and Document Control will arrange automatic distribution of these reports to the NRC Docu-ment Control System, the NRC Public Document Room, the National

! Technical Information Service (NTIS), the Government Printing Office and the Depository Library Service.

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

l l

27 Approved: August 29, 1984

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

[ REPORTS CONTAINING SENSITIVE UNCLASS!FIED AND CLASSIFIED INFORMATION A. APPLICABILITY These procedures and exhibits of this part apply to sensitive unclassi-fied and classified reports prepared by NRC contractors . These reports include those designated:

Official Use Only Limited Official Use l Proprietary Infomation Safeguards Information Confidential Secret Top Secret Only sufficient information is presented here to aid in the prel: ration of the preperly marked covers, title pages, back covers,. and text pages.

D' 'Is of the NRC Security Program and specific provisions for deter-mt..n g when to use the markings exhibited are contained in NRC Appendix 2101.

The reports covered are defined as sensitive unclassified or classified.

Sensitive unclassified information refers to information designated Official Use Only , Limited Official Use, and Proprietary Information .

Sensitive unclassified information also includes Safeguards Infomation that must be protected from unauthorized disclosure pursuant to 10 CFR 73.21 and Section 147 of the Atomic Energy Act of 1354, as amended, information withheld from public dissemination under the Freedom of Infomation Act or Privacy Act, and information not tc, be exported to or disclosed to foreign countries.

Classified information as used in this part includes Restricted Da ta ,

Formerly Restricted Data or National Security Information that requires protection in one of the three classification categories described in Executive Order 12356: Top Secret, Secret or Confidential.

The uses of each of the sensitive unclassified and classified categories and the markings required on reports are discussed and exhibited in the following sections. All sensitive unclassified and classified reports are to be sent directly to the project manager.

B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION.

NRC regulations require an Official Use Only marking to be placed on a report only when the origmator or other holder believes the marking is 29 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED i Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS essential to ensure proper handling. Reports designated Official Use i Only wul contain only unclassified information originated by or furnished l to an NRC contractor which.is to be withheld Imm public disclosure. The report on which the marking appears must be r viewed at the time a request for release is received to determine its releasabuity. The Official 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.

Official Use Only NRC contractor reports shall be marked as shown in Exhibits 8 through 10.

Limited Official Use information is infonnation originated by the U.S.

Department of State. A report originated by an NRC contractor that contains Limited Official Use information shall be marked as shown in Exhibits 11 through 13.

Procedures for reproducing, transmittin g, p rotectin g , and handling reports containing Official Use Only and Limited Official Use information and removing such reports from those categories are detaued in NRC Appendix 2101.

C. PROPRIETARY INFORMATION Proprietary information is a specific type of Official Use Only informa-tion . Proprietary information includes:

1. trade- secrets.

2. privileged or confidential research, development, commercial or financial information exempt from mandatory disclosure under 10 CFR Part 2, "Rules of Practice for Domestic Licenstng 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, which has been determined by NRC to be unclassified.

Unclassified NRC contractor reports containthg proprietary information shall be marked as shown in Exhibits 14 through 18. In each instance, the optional wording that describes the material being presented should be selected.

If a report contains both Official Use Only information and proprietary information, the front cover shall be marked as proprietary information and may also be marked as Official Use Only information, if necessary.

. 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 infonnation may be marked Official Use Only I

f Approved : August 29, 1984 30 6

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CCNTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V Procedures for reproducing, transmitting, protecting and handling pro-prietary information reports and removmg them from the proprieta ry 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 Safeguards information may be of three types: (1) classified informa-tion, which is marked and handled as indicated in Section E. (2) un-classified information restricted under Section 147 of the Atomic Energy Act, which is marked and handled as described in this Section, and (3) unclassified information , which is publicly available and handled as indicated in Parts I through IV.

The safeguards information that is to be protected as desenbed here is unclassuied information used in a report which specifically identifies certain licensee's or applicant's detailed:

1. security measures for the physical protection of special nuclear material

2. secunty measures for the physical protection and location of certain plant equipment vital to the safety of productier. or utilization facilities .

Unclassified NRC contractor reports containing safeguards information that is to be protected shau be marked as shown in Exhibits 20 through 22.

Procedures for reproducing, transmitting, protecting. and handling safe-guards information reports and removing them frem the safeguards infomation category are detaUed in NRC Appendix 2101. A cover sheet (Exhibit 23) is to .be placed on each hard copy of a report containing safeguards information.

E. CLASS!FIED INFORMATION Classified information is limited to Restricted Data, Fomerly Restricted Data and National Security Information. The procedures for making classification determinations and for marking, reproducing, transmitting.

protecting, and handling reports containing classified information and removing such reports from classified categories are detailed in NRC Appendix 2101. These procedures are too complex for summarizing here.

Classification determinations regarding NRC information may be made solely by authorized classifiers designeted by NRC or DOE. Authorized classifiers are responsible for insuring that reports they determme to be classified are marked and protected in accordance with the provisions of NRC Appendix 2101.

31 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC App:ndix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS It is important to note that information may not be classified in order to prevent or delay the release of information that does not require protection in the interest of national security. Basic scientific research information not clearly related to national security may not be classiffed.

Approved: August 09, 1984 32 l

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EXHitlT 13 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION UMITED OPPICIAL USS i

f LIMITED OPMCIAL USE Approveo: August 29, 1984 38 O

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EXHIBIT 14 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION PROPRitTARY INFORMATION NUREG/CR XXXX #1 Title Subtitle and Type of Report Assetal towtsl

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UNAUTHORIZED DISCLOSURL 10 CFR 73.21 AND SECT}ON 147, ATOMK: ENERGY ACT OF t984 APPLY. VlOLATIONS ARE SUBJECT TO CML OH CRIMINAL PEMALTIES.

THIS DOCUMENT IS NOT TO BE LEFT UNATTENDED OR ACCESSISLE TO UNAUTHORIZED

$ PERSONS. WHEN NOT IN USE. IT MUST BE STORED IN A LOCKED SECURITY STORAGE f CONTAINER.

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'NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 l

PART VI NANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE-PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH U.S. INDUSTRY The Nuclear Regulatory Commission has requested that its Program Offices establish, to the extent feasible, cooperative nuclear safety research programs that involve either or both U.S. industry and foreign governments and orga- <

nizations. Such involvement includes monetary contributions, information i 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 l have been signed that provide for transmitting unclassified information from l NRC to participants. These procedures apply only to NRC-managed work not programaticauy funded by DOE.

t l The interests of all NRC cooperative nuclear safety research program partici-l pants are served best by early, rapid dissemination for comment of informa-r tion on these programs developed for NRC by NRC contractors. This can be

accomplished by distribution of "Draft Preliminary Reports (or Codes)" for comment for a specified period of time, followed by issue as formal NUREG/CR reports, with the concurrence of the participants. Specific Frecedures for i

accomplishing these goals and for transmitting information prepared by the NRC and DOE facilities and contractors and their subcontractors working on these programs are presented in the fouowing sections. The procedures de-tailed here have been agreed to by DOE and have been provided to the responsible DOE Operations Officers and NRC Program and Project Managers as guidance.

A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT The first issuance of information by a contractor shall be designated "Draft Preliminary Report (or Code)," and shan include the cover sheet shown in Exhibit 24.

The following notice is to be printed on the bottom of the cover sheet (Exhibit 24):

NOTICE TNIS DRAFT PRELDilNARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of C==insion action it has not have received patent review and may con-tain information received in confidence. Therefore, the con-tents of this report should neither be disclosed to others nor reproduced, wholly or partially, ualess written permission to do so has been obtained from the appropriate USNRC office.

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

49 Approved: August 29, 1984 l- -

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS This notice has been agreed to by the legal staffs of both NRC and DOE and is not to be added to or changed. Any problem in this regard shall be brought to the attention of the NRC project manager, who will consult with the NRC legal staff.

The "Draft Preliminary Report (or Code)" shall be submitted by first class or express mail by the contractor to the NRC project manager, with the letter shown in Exhibit 25, in the number of copies specified by the project manager (in most instances this will be fewer than 20 copies)

The contractor (DOE facility, contractor or subcontractor or other cou-tractor) may retain copies only for internal use. DOE facilities and contractors and their subcontractors shall not distribute copies of this draf t report to DOE /TIDC. Draft reports may be distributed to interested DOE program offices. Subsequent issues of the information shall also be designated "Draft Preliminary Report (or Code)" until the NRC project manager authorizes preparation of a NUREG/CR report.

! "Draf t Preliminary Reports (or Codes)" shall not be identified as l NUREG/CR reports or carry any contractor report number or NRC dis-tribution codes.

B. DISTRIBUTION BY NRC PROJECT MANAGERS The NRC project manager will distribute the copies received only to (1) l the participants in the program, (2) the NRC staff with a need-to-know, and (3) others authorized by the program or project manager. Trans-mittal to participants shall be by first class or express mail, including air mail to foreign participants. If premium cost mail services are to be used, a Division Director or comparable or higher authority must certify to the need on NRC Form 420, "Request for Premium Cost Mail S e rvice . " Premium cost mail is:

1. Express Mail, Priority Mail (First Class weighing more than 12 ounces) l 2. International Express Mail (Air Mail weighing more than l

10 ounces) .

(See Chapter NRC-0255-058 and NRC Appendix 0255, Part V Annex A)

C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT A minimum of six months will be allowed for comments and resolution of comments. At the end of the comment period, the NRC project manager shall, with the concurrence of the participants, authorize the contractor I to issue the infonnation as a NUREG/CR report in accordance with the l provisions of this Chapter.

D. REPORT IDENTIFIERS The "Draf t Preliminary Reports (or Codes)" will be uniquely identified only by the Financial identification Number (FIN) assigned by NRC and l

Approved: August 29, 1984 50 e

c

. e PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI the appropriate periodic notation, if any , included in the title (Ex-hibit 24). They shall not be given standard report nomenclature until the NRC project manager authorizes publication as a NUREG/CR report.

At that time , the contractor may add its own designation below the NUREG/CR number, as shown in Exhibits 3 and 4.

E. MAILING TO PROGRAM PARTICIPANTS The physical transmission of reports from NRC to program participants shall be handled by the Document Ms.nagement Branch (DMB), Division of Technical Information and Document Control (TIDC), based on address labels of participants supplied by the project manager. The transmittal sheet shown in Exhibit 26 shall be used to transmit the documents and the labels to DMB.

F. SECURITY If infonnation included in the report or code has been determined to be sensitive unclassified or classified infonnation (see statement of work) the procedures of Part V also apply. The report (or code) may not be classified solely for the purpose of limiting distribution to the pFtici-pants.

51 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC App 2ndix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 24

, SAMPLE COVER FOR A DRAFT PRELIMINARY REPORT (CODE)

FOR COMMENT ORAFT PRELIMINARY REPORT (CODE) FOR COM9ENT FIN NO.

Title of Program Subtitle for This Report, Including Appropriate Periodic Notation, If Any (e.g., First Quarter, Issue No. 1)

Prepared by (Name of DOE Facility, Contractor and/or Subcontractors, if any) for U.S. Nuclear Regulatory Commission NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of Comission action. It has not received patent review and may contain information received in confidence.

Therefore, the contents of this report should neither be disclosed to others nor reproduced, wholly or partially, unless written permission to do so has l been obtained from the appropriate USNRC office. The recipient is requested to take the necessary action to ensure the protection of this report.

l Approved: August 29, 1934 52

e. l l e 4 -

W PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 U!!_,ER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI EXHIBIT 25 TRANSMITTAL LETTER FROM CONTRACTOR TO NRC PROJECT MANAGER FOR DRAFT PRELIMINARY REPORT TO: MRC Project Manager

SUBJECT:

DRAFT PRELIMINARY REPORT (CODE) ON (PROGRAM TITLE) FOR COPMENT l

The enclosed "Draft Preliminary Report (Code)" is being submitted for comment.

It is our understanding that the coernent period shall extend six months from the date of mailing of the draft to the participants. Upon resolution of the cosunents after that period and with concurrence of the cooperative program participants, the NRC Program Manager will authorize publication of this report in the NUREG/CR series under the provisions of NRC Manual Chapter 1102 or 3202.

DOE Facility or Contractor Representative l

l l

{

53 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI EXHIBIT 26 l

TRANSMITTAL SHEET FOR REQUESTING MAILING TO COOPERATIVE PROGRAM PARTICIPANTS Recipients: Addresses on attached labels Method of Mailing:

/~/ First Class Postal Service to U. S. addresses

/_/ Express mail to U. S. addresses

• _/

/ Air mail to foreign addresses *

-/~/ Surface mail to foreign addresses (may require up to three (3) months)

THIS MAILING CONTAINS NO PROPRIETARY INFORMATION OR OTHER SENSITIVE UNCLASSIFIED INFORMATION Special Instructio'ris:

Individual Requesting Mailing:

Project Manager 6: High Authority

Enclosures:

1. Address labels

2. Documents to be mailed ,

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

1. Express Mall, Priority Mail (First Class weighing more than 12 ounces)

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 9 Approved: August 29, 1984 i

e, ' s 4

-Q. Y _._ - . - . . .

s' ATTACHMENT 4 STANDARD FORM 1411 WITH INSTRUCTIONS

1. SF 1411 provides a vehicle for the offeror to submit to the Government a pricing proposal of estimated and/or incurred costs by contract line item with supporting information, adequately cross-referenced, suitable for detailed analysis. A cost-element breakdown, using the applicable fomat prescribed in 7A, B, or C below, shall be attached for each proposed line ites 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, summary total amounts covering all line items must be furnished for each cost element. If agreement has been reached with Government representatives on use of forward pricing rates / factors, identify the agreement, include a copy, and describe its nature. Depending on offeror's system, breakdowns shall be provided for the following basic el'ements of cost, as applicable:

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

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

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

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

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

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

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

1

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

breakdown of labor hours, rate * , and cost by appropriate category, and furnish bases for estimates.

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

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

Royalties,- If more than $250, provide the following information on separate page 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 description (including any part or model numbers of each contract itee or

, component on which the royalty is payable); percentage or dollar rate of l royalty per unit; unit price of contract item; number of units; and total dollar amount of royalties. In addition, if specifically requested by the Contracting Officer, provide a copy of the current license agreement and identification of applicable claims of specific patents. (See FAR 27.204 l and 31.205-37).

Facilities Capital Cost of Money - When the offeror elects to claim facilities capital cost of money as an allowable cost, the offeror must submit Forn CAS8-CMF and show the calculation of the proposed amount (see

! FAR 31.205-10).

l

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

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

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

3. There is a clear distinction between submitting cost or pricing data and merely making available books, records, and other documents without identification. The requirement for submission of cost or pricing data is met when all accurate cost or pricing data reasonably available to the offerer have been submitted, either actually or by specific identification, .

to- the Contracting Officer or an authorized representative. As later information comes into the offeror's possession, it should be progtly submitted to the Contracting Officer. The requirement for submission of cost or pricing data continues to the time of final agreement on price, l s ,

.$. .-.f.___,, ,-..-, - _ ._. ,.- ,.- _ , . . , _ - - , - - - - - _ , , _ . _ - _ , _ - . - - - - - - - - - - - - -

1 e ~ l I

4 In submitting offeror's proposal, offeror must include an index, appropriately mferenced, of all the cost or pricing data and infonnation accompanying or identified in the proposal . In addition, any future additions and/or revisions, up to the date of agreement on price, aust be annotated on a supplemental index.

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

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

7. Headings for Submission of Line-Item suamaries:

A. NewContracts(includingLettercontracts).

j ,

l Proposed Contract Proposed Contract l Reference Cost Elements Estimate-Total Cost Estimate-Unit Cost

! (4)

! (1) (2) (3) i --

Under Column (1) - Enter appropriate cost elements.

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

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

Under Colusm (4) - Identify the attachment in which the infomation supporting the specific cost element may be found. Attach separate pages as necessary.

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8. Change Orders (modifications).

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

Under Column (1) - Enter appropriate cost elements.

Under Column (2) - Include (1) current estimates of what the cost would have been to complete deleted work not yet performed, and (ii) the cost of deleted work already perfonned.

Under Column (3) - Include the incurred cost of deleted work already performed, actually computed if possible, or estimated in the Contractor's accounting records. Attach a detailed inventory of work, materials, parts, components, and hardware already purchased, manufactured, or perfonned and deleted by the change, indicating the cost and proposed disposition of each line item. Also, if offerer 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 performed. Colum (2) less Column (3) = column (4).

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

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

Column (6).

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

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C. Price Revision /Redetemination Number of Nuecer of Redetermina-Units Units To Be Contract tion Proposal Cutoff Date Completed Completed Amount Amount Difference (1) (2) (3) (4) (5) (6)

Incurred Incurred Incurred '

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

Under Column (1) - Enter the cutoff date required by the contract, if applicable.

l l

Under Co.lunn (2) - Enter the number of units completed during the period for

! which experienced costs of production are being submitted.

Under Column (3) - Enter the number of units remaining to be completed under the contract.

Under Colunn (4) - Enter the cumulative contract amount.

Under Coluem (5) - Enter the offemr's redetermination proposal amaunt.

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

Under Column (7) - Enter appropriate cost elements. When residual inventory

, exists, the final costs established under fixed-price-incentive and fixed-price-redeterminable arrangements should be net of the fair market value of such inventory. In support of subcontract costs, submit a listing of all subcontracts subject to repricing action, annotated as to their status.

l Under Column (8) - Enter all costs incurred under the contract before

starting production and other nonrecurring costs (usually referred to as

! startup costs) from offferor's books and records as of the cutoff date.

These include such costs as preproduction engineering, special plant rearrangement, training propran, and any identifiable nonrecurring costs such as initial rewort, spoil age, pilot runs, etc. In the event the amounts are not segmgated in or othenrise available from offeror's records, enter in this column offeror's best estimates. Explain the basis for each estimate and how the costs are charged on offeror's accounting recores l

l -- - . - . . - . - - . - . - - . . - . - - - - - - - - - - - - - - - - - - - - - - - - - - - ~ ~ - - - - - - - - -

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

Under Columns (9) and (10)' - Enter in Colum (9) the production costs from offeror's books and records (exclusive of preproduction costs reported in Column (8) of the units cogleted as of the cutoff date. Enter in Column (10) the costs of work in process as determined from offeror's records or inventorie. 2t the cutoff date. When the amounts for work in process are not available in Contractor's records but reliable estimates for them can be l made, enter the estimated amounts in Column (10) and enter in Colum (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 estisutes, including identification of any provision for experienced or anticipated allowances, such as shrinkage, rework , design changes, etc.

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

Under Coluen (11) - Enter total incurred costs (Total of Colums (8), (9),

and (10)).

Under Column (12) -

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

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

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

e.

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US. DEPARTMENT OF LABOR Page 1 of S EMPLOYMENT ST ANDARDS ADMINIST RATION - - - - - - - - - - ' ' ' - - - - - - - - - - - - - - - ' ~ ~ - - - - - - - " " - - - - - - - - - ' ~ ~

i WAGE AND 840UR DIVISION WASHINGTON. D C. 202 80 5*: Di st_rict of Colis_nhja-Kiryland-Virginia DC-MD-VA REGISTER Of WAGE DC TCRMINAllONS UNDER 16tE SERVICC CONT RACT ACT A Washington IX' M2tropolitan Area S/ -~

I OC A*.8 T Y tty dese(tson of the Seuetaev et Lataos f j} Yl.

W ' A // kp3_3/ Division of lati .. Moss Wage Determinations Director wa, ir.....aauon ..umtie<: 86-1255 (Rev. 3) pase: ,g ron ,a.ea.v.tp.y ats u6 3,,,,,,,

Class of service employee tiourty n ,gg, s.

wage Vacateori s toled.y Ottier wetsase Astointic Data lhnusing Qugntinri, Infirmitim ail Ar us angution i 1.il 2iry ; sal Ardiiw an;utiues, :al Tedr,iml unenticas:

1. Key Futry Operator 11 7.86

2. Key Futry Operator I 6.97

3. Oungwater Programer i1I 1/ 1S.88

4. Oxuputer Prograumer 11 1/ 13.76

5. Oxnpiter Programer I _1/

12.26

6. Oxupiter Op!rator 1Ii 11.68

7. Oxnpiter Operator II 10.13

8. Compiter Ojerator I 9.05

9. Periplieral figuipient Opera t or 8.57

10. Omnpiter Ikita 1.ibrarian 9.18

11. Dral~ter V 13.60 12.

~

Dratter lV 11.01

13. Dralter til ') . 60

14. Dral't er 11 /.52 1S. Dralter 1 6.33-Electronic, innt n isucint at ion, f tilluwit ical , Meclianical ,

auxl l'liot o-Opt ics: ,

Ia.. Teclinicinn iII 15.01

i. Terlinician ii 11.26

- na m

U.S. DEPARTMENT OF LABOR EMPLOYMENT 5TANDAROS ADMIN 154 3ATION Page 2 of 5

- - '--* - - "- - - - - - - - - -- -~ --*~ ~-

WAGE ANO teOUR DIVISION WASHINGTON, D.C. 20210 5': 1,ist rict o_f_Coltunbia-Marylarxl-Virginia tr-MD-VA REGIST ER OF WAGE DEI EllM1 NATIONS UNDEll ^;

THE SERVICC CONTRACT ACT Washington DC Metropolitan Area 5/ ~

I- AI' Hy dese(teon of the Se(setasy of Labos et j

Ian .. Mo/ss K4W Division of Director wage Determinations wa,e oeiesm.nauon s'umt==: 86-1255 (Rev. 3) D*8*: JAN I51%8 rson,e tienefat payeseents Class of servke employee houstY a teatus a, V*'*b " ' '"d*V O'h*'

wave weiras.

19. Crungxster Systems Analyst III 1/ 18.96

20. Quugniter Systems Asuilyst Ii 1/ 16.31

21. Comgxster Systems Ana1yst i 1/ 13.04

22. Exhibits Sgx cialist III 13.60

23. Exhibits Specialist 11 11.01

24. Exhibits Specialist I 9.60

25. Illustrator 111 13.60

26. Illustrator 11 11.01

27. Illustrator I 9.60

28. Photographer 111 13.60

29. Photographer i1 11.01

30. Photographer i 9.60

31. Tecluiical Information Specialist III 13.60 32'. Teclunical Inforunt ion Specialist II 11.01

33. Teclunical Inforunt ion Specialist I 9.60

34. Librarian 10.68

35. Library Technician 8.65

36. laboratory Tecluiician 7.26

37. Meteorological Technician / Weather Observer 8.87 ,

38. Training Tecluiician (Icarning itesources Center) 7.86

39. Tecluiical Illustrator 11.15

40. Ilardware Coorfinator 6.86'

41. Of f-line liguigment Operator 6.25

T' i

US.DEPAHTMENT OF LABOR EMetoVMENT ST ANDARDS ADMINIST RATION

[2 age 3 Of $

---

m - - - - - - - - - - - - - - - - - - - - - - - -

w ace AND etOUR DIVISION wAstuNcTON.D.C. 20210 State: DistriCL Of ColtNnbia-Maryland-Virginia DC-MD-VA REGISTEll Of WAGE DEICitMINATIONS UNDER ^'**. Washington DC Fbtropolitan Area _5_/

illE SERVICE CONTRACT ACT LOC Ai.IT Y Uy dese(tion of the Se(setasy of Lat>c, 1/),

Y Ian .. Mo/ss WW Division of Director Wage Determinations wa,e oeterminanon s.umt er: 86-1255 (Rev. 3) D*'*:

JAN I 51%8 f asage t>essefit payestants Class of service employee housty Health a, wage Vacati n it I day Other W itase Itingy inefits iqpliadile to clinas of arvim uiplgus ungpi in omana:t ierformsat: y 3/ 4_/

1/ nas si>t aqply to uiplgus uipigul in a lini fith exint.im, alriinistnitiw or pufe:sion1 apcity as Mirni at! Minuital in 29 Olt 541.

(Se 2() Olt 4.156).

p $.9) est lamar or $23.(O a usk or $1W.26 a mnth.

3/ 2 usks guitt v.antini alter 1 yuir of asvim with a manctcr or anmar; 3 uths after 5 ynts; 4 utks after 15 ynts. lisoth of tervio irclinks tie dole :pn of andiraans :civim with tle penit (annnur) contnct<r, distwr unplgul, ati with pulusar ontnctims in tie issfismuu of similar unk at sie site Runsul facility.

4/ 10i nist inlistrys p r yur: Nu %nr's hcj, Martin lutler Kirn, Jr.'s liirtitby, Wediirgtal's Ilittitby, timrial Dry, hikynksn3 lby,11&rr

' Dry, Giliniin tiny, Veteran' 11:y, 'llriksgiviin Dry, aul Gristmis Day. (A emtnct<r mry adstitude fcr any of tle noni lolidrys antitr diy off witti pry ni anuttsau with a plan mminicital to tie uiphyss inmlwxl.)

-5/ IC: uchingtus (011)

M): Onsehs of Gihtst (01)), Oncles (017), Rubrick (TI), Mutantuy (Q31), Iristu Gryp (033), att St. Muy's (037).

VA: Gmt its of Arlinctui (013), Riirfax ((ff)), Hrpier (061), Kiin G.xqp (079), Innkan (107), lYirn Willi 1m (153), axi Staffoni (179),

Indi ndnt citins of Ahxsulcia (3)l), Riirfiix (267), ail Hills airdi (217).

. F uqp Ittermimtim Wrl2SS (Ikv. 3)

Morge The empteyeeoestracting which isefmet fices abatt requite that emy close of service medes the coatsact ( i . e. l i st

, ed bet e t s and whi ch t o t o be amapt ev ed the wes h to be pes tesmed t o met pos-be cleessit ed by the cent s act esthemed y emy classification listed in the wage det ,

setettemehty (i.e., appr ope t at e t so ow as et to ps eelde a resseeabl e of ak t t i compos t eent between i latel in theeach wageent iat ed clt em.

det eselmat aes t i A ca t t ene and t he cl aeol f I cat t ene Such cent osaed ct see of employees eenet t be paid t he monet as y wages and f us at shed a sie fringe benefits as are detesamined.

sLhata be Int t 8 ated by the cent a se t es Such cent osming ps ecediate of coat a act weak by seech usit iet ed et ter les ase of empteyee.

ta t he pasiesmance aepost of the proposed conf osef ag act 8 on, lact udt og A mtAosmat ws A t t en t ee s agas ding the agreennesnt es di sags eement of the authos taed no s eps amentat two of the ampl oy ees Anwelved os, whos e these la aut hos t a ed s eps esent at t w o, t>e outenit t ed any a he coat s actes the ampl oy ees t hem sel wee, aball lates than le days attes such aantt aiat t he cent s act ang of f icer me ed cl ass of empl oy een pesi ossee any coats act was h.

The coat act ing of f ices skat3 sewiew the pceposed act ion and psempsIy eesheett a aopost of ahe actiom, tegethes with tene att pestament inf ormat ion agency

• e s ecommendetless and t s act os and t h e antit oy eeni, tact eding the posi tion of the com-thpt orment Stande:de Aehniaietsation t o t he Wage , U. E. and BJoes Divlelem, 1.a tso s , fos aowiew. Depasteest of 29 Cra 43. (See aoct ion 4.6(b)(2) sef Regestat1eme DM FTt: .

Tlie?

a si t lacelef S4'A a Is asis t senses a ere ens y <>f est t ise escristma s s ein a set .n r fe us cosite.nlii ne.el lie.a c e an O c c u p.st asenes. ' Isit us m.:t a nas sa.ny t>e oint .a a see el I.y cesse t .ei'l i si.3 I lee 20110 8..s t in a , W.a is a sses t osi, fl . C . - - A.lm a sia i.t s .s t on ul Wa.ge .a u.I Ilou e.g s . 13 . S . 18cle.a m

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i Hg! IUterminatiin Wrl2SS (ikv 3) nae JAN 151988 Ro' 5 # 5 l

mi.e m , w,.m 1 - are r this coat. met elred m .ni - i. .he - - . , .

by state .sr leest law, etc.), the coat of fearmishing ancia uniforses and s taining (by laeandering or dry cleaning) -

wot be herme by an esaployee ubere sucia coat reduces the hoearly rate Isoleessecte unifor that regelred by the wage deteranimation.

j payunent in accordance with the following standards as compliance sThe Departament of ImRm The contractor er embcontracter is rep ared to formlett eli employees wa th on adequate ===-amar of unifosina withest cost or to reimburse employees for the actual cost of the uniforme.

j In addition, where uniforma cleaning and

! omaistenance is made the responsibility of the employee, ,

! all contractors and aut> contractors subject to this wage determination shall (in the absence of a bona l

!. collective bargaininy agrecament providing for f ide a

different amount, or the J f urnishing of cont rary affiramattwe employees proof as to actual cost), reimburse ali "

of $ 1. M for a weeksuch cleaning and maintenance at a rate l (or U cents a day) . Isowcwer , la thosnofinstances made where the uniforms furnished are "wash and wear

• saaterials, anay be routinely washed and dried with other personal garaments, and do not require any special treatment such as dry cleaning, d.naly washing, er evm===ratel laundering in osder to sneet the cleanliness or -

appearance et.andarde set by the terans of the Government by the naturecontsof act, by the contractor, by law, er the work, there is no requirement that employees be reimbursed for uniforum malatenessa costa.

, .c.

./

BASIS F0ft ISSUANCE OF WAGE DETERMINATION UNDER THE SERVICECONTRACTACT(SCA)

Blanket Wage Determination 86-1255 (Rev. 2), issued November 30, 1987, fr Automatic Data Processing Occupations in the Washington, D.C. Metropolitan area is revised to add Frederick county (c31) to the areas covered by this decision. In additon, the Computer Programer occupations were issued the rates from the previous decision in view of the survey data showing a decrease in these tates. The remaining rates on P~ 2 were retained because they were in proportion with the BLS survey.

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ATTACHMENT 6 Perm NRC 23 n.m Published in advance of incorporation in NRC Manuel Chacter 0904 File and retain in Manual until superseded.

UNITED STATES NUCLEAR REGULATORY COMMISSION NRC MANUAL BULLETIN NO. 0904-3 DATE: January 21, 1987

SUBJECT:

NRC COMPUTER SOFTWARE POLICY This Bulletin sets forth NRC policy on the acquisition / development, rnodification, copying and distribution, use, and disposal of NRC computer software, particularly microcomputer software. '.t provides overall agency policy which should serve as the basis for Office / Region internal control of both microcomputer and mainframe software development and use, including development and use by both NRC staff and contractors, f < -rL. < ..

William G. Mcdonald Deputy Executive Director for Operations /lRM

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1. Purpose The purpose of this Bulletin is to set forth NRC policy on the acquisition /

development, modification, copying and distribution, documentation, use, and disposal of NRC computer software, particularly microcomputer software. A major goal of the policy is to encourage innovative use and sharing of sof tware while at the same time assuring continued compatibility among software products and consistency with the NRC's long range ADP plans.

II. Definitions Corporate application: (1) The use of computer technology that involves the creation, updating, or modification of NRC corporate data; or (2) the creation or modification of a computer system that affects agency standards for computer hardware, sof tware, electronically-stored infor1r.ation, or electronic information comunication or delivery.

Corporate data: NRC data to which electronic access is required by more than one Office / Region or data whicn is deemed essential by the EDO to support NRC's mission.

Corporate Data Network 'CDN): An information management concept which provides for the aggregation of NRC corporate data in shared databases integrated with office automation systems and accessed through end-user computing.

Customized applications software: Software that is developed specifically to meet the needs. of a particular user or organization where the development l requires progriming or the equivalent. Customized applications may be developed with high level programming languages such as BASIC, FORTRAN, or COBOL, with data base management systems such as RAMIS, MARKIV, or IDMS/R, or with

, general purpose microcomputer software such as dBASE III or LOTUS 1-2-3, when l user-written programs'or macros are needed to create customized input screens I

or output reports. Customized applications include both scientific and non-scientific applications.

Individual application: The use of computer technology by an employee to enhance his or her personal productivity at the NRC, with no impact on NRC functions beyond its affect on the user's individual performance.

Non-scientific opplications software: All customized applications sof tware except for scientific aoplications software. Examples include administrative applications such as payroll, personnel, and travel systems; management information applications such as systems to provide status on office projects and budgets, and technical information applications such as systems for storage and retrieval of nuclear plant data, siting data, and reliability data.

NRC standard microcomputer software: Vendor software supported by NRC (See NRC Bulletin 0904-1 for the list o tnis software).

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l Organization-unique application: Any NRC computer application which is neither l

an individual application nor a corporate ap)lication. Examples are (1) the use of computer technology to accomplish the worr. of a small, self-contained or lower level hRC unit (usually a section, branch, or small non-program office) where the function is of a self-contained, stand-alone nature not requiring data sharing beyond the buands of the unit; and (2) any application based on the use of corporate data (typically by querying or downloading from corporate data bases) without the need to maintain and update a duplicate copy of the deta.

Public domain software: Free or minimal cost software railable from such sources as government agencies, certain periodicals, a W computer user groups., ,

Scientific applications software: A type of customized applications software '

developed by or for a program office to perfom scientific calculations in support of NRC's mission. Examples are computer codes to calculate reactor plant thermal-hydraulic response in accidents, the nature and consequences of radiological releases, statistical analyses, structural response analyses, or probabilistic risk analyses.

Vendor software: General or special purpose software that is purchased or leased to be used without modification.

J 111. Software Acquisition / Development There are three major types of software that are used on NRC computers:

(1) vendor software; (2) public-domain software (sometimes called "shareware" or "freeware"); and (3) customized applications software (see section 11 for definitions). When a requirement has been identified for the acquisition or development of software, the end user, or for more complex applications, the Office of Information Resource Management (IRM), in coordination with the end user, should first determine if the application should be placed on a mainframe, or on a microcomputer, if the application is appropriate for a microcomputer, it should then be determined if NRC standard microcomputer software can be used. If none of the standard software is appropriate, the use of other vendur software should be considered next. Only in the event that no uppropriate vendor software is available should customized application development be considered, as it is generally more cost-effective to use special- or general-purpose vendur software than to custom-build an application.

Vendor Software:

1RM acquires all vendor software for the NRC except where authority is delegated by IRM on a case-by-case basis.

• NRC Bulletin 0904-1, " Policy and Procedures for Acquiring Microcompuu r ,

Equipment, Sof tware, and Support Services," contains a list of standarc software, procedures for requesting the software, and the procedure for requesting that additional software be added to the list. IRM will also give priority consideration to the acquisition of other software for specific applications, if none of the standard software w111 meet the user's requirement or if the acquisition of the other software would eliminate or substantially reduce the need for programing. Standard sof tware is fully supported by IRM while the other sof tware will not normally be supported by IRM.

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K fl4 IRM coordination and approval is required for purchase or le'se of vendor 7ftware by contractors or DOE laboratories for use in satisfying an ADP

.aquirement of an NRC contract.

It is NRC policy that a copy of individually-licensed vendor software be acquired for each computer on which the software will be used. For site-licensed software, IRM will supply one copy for each computer f where tht sof tware is required.

J Public D v o Software:

Public domain microcomputer software (such as utilities useful with NRC standard software available from the ITS) may be acquired for individual use on NRC equipment provided there is no NRC standard software to perform the function.

IRM will acquire analytical codes which have been developed by non-NRC sources (e.g., codes available from Federal code centers or other government agencies), upon receipt of a memorandum with the particulars addressed to the Director, Division of Information Support Services, IRM.

All public domain software with which there is a cost associated, even if minimal, must be obtained by request from IRM.

Unless it is on NRC's list of standard software, public domain micro-computer software shall not be acquired for organization unique or corporate applications. Tfiis is to avoid NRt dependence on unsupported, undocumented, and in some cases harmful, products for applications which could affect critical agency functions.

Computer users should be aware that there have been numerous reports of purposely destructiv? public domain software which could seriously damage NRC microcomputer or mainframe systems and data. Sirce individuals could be held personally responsible for such damage (See NRC Appendix 5201, Part I, Paragraphs H and J), users would be wise to limit their use i of public domain software to those programs which have been screened by IRM.

l Customized Application Software:

Office / Region management is responsible for monitoring end-user j applications development to assure compliance with this bulletin and l

to prevent the development of unnecessary or duplicative systems.

l In general, customized applications software shall be developed cnly when l no vendor software is available to meet the need or when no applications

! software is available to meet the need through softwere sharing.

Where possible, it is usually more cost-effective for end users to develop j an application using a general purpose software package such as dBASE !!!

( or LOTUS 1-2-3 than to use a programing language such i.s FORTRAN or l

BASIC.

3

khere possible, end users creating customized applications should first consider obtaining necessary data from the Corporate Data Network (CDN) or from other existing IRM-maintained systems, thus avoiding the need to maintain duplicate data.

Table 1 Sumarizes the approvals necessary for development of non-scientific customized aaplications software depending on the class of use, as defined in the sefinitions sectim of this Bulletin, and on the software developer. Note that the level of concurrence relates to the "level of risk" associated with each class of use. Individual applications involve a very minimal risk to the agency because they do not affect agency functions; organization-unique applications have a higher level of risk a

because they do impact agency functions but affect only a single organi-zational unit; corporate applications have the highest risk because of their potentially wide spread impact on agency functions. Note also that all development of non-scientific customized application software by other tnan end users must be approved by IRM. This is necessary for the proper central administration, control, and sharing of software and data, and to assure that staff and contractor resources are not diverted from direct mission support. In ,eneral, IRM will develo.o corporate applications and any organization-unique non-:cientific applications which are either too complex or otnerwise inappropriate for development by end user:,, Where appropriate, certain non-scientific applications may be developed by the program offices by means of contracts or DOE laboratory agreements which have been reviewed and approved in advance by IRM on a case-by-case basis.

The "N/A" entry in Table 1 reflects agency policy that IRM and contractor resources will not be used to develop applications for individual use.

• To assure that contract deliverables are portable and are compatible with NRC ADP equipment and software, it is the responsibility of offices /

regions to include Attachment 1, "Development, Submittal, Distribution and Documentation Requirements for Machine-Readable Coistract Deliverables" in the statement of work for all contracts or DOE laboratory agreements which could involve the development of scientific or non-scientific applications scftware or other machine-readable contract deliverables. Offices / Regions

, hall assure that contractors and DOE Laboratories comply with the require-n,ent:, in Attachment I and shall specify any additional constraints such as memory si:e ano specific software version and equipment configuration of the NRC machine (s) on which the applications will eventually run.

• 1RM coordination and approval is required for purchase or lease by tortractors or DOE Laboratories of software'or ADP equipment (includir.g microcomputers, microcomputer boards, terminals and peripherals) for use in satisfying an ADP requirement of an NRC contract.

Scientific applications software is developeo by or under the guidance of the program offices. Contracts and DOE Laboratory agreements which involve the oevelopment of such software must include Attachment 1, "Development, SJomittal, Distribution and Documentation Pequirements for Machire-Readable Contr6ct Celiverables," but require IRM approval only when:

4 I . - - _ _ _

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- the contract or DOE laboratory agreement involves the purchase or lease of software or ADP equipment (including, but not limited to, microcomputer, microcomputer boards, terminals or peripherals) for use in satisfying a requirement of the contract or DOE Laboratory Agreement;

- use by the NRC of deliverables (e.g., software or data) developed under the the contract or DOE Labor 4 tory Agreement will necessitate the purchase or lease of ADP equipment, software, or ADP services not already available to the NRC staff, including, but not limited to, timesharing services, microcomputers, terminals, microcomputer boards, 8

peripherals, or vendor software;

- the contract or DOE Laboratory Agreement specifies that the NRC will provide timesharing services, or that the contractor will acquire timesharing services which could be more cost-effectively furnished by the NRC under its own timesharing agreements; or

- any of the requirements in Attachment 1 are to be waived or modified.

It is the responsibility of Offices / Regions to obtain IRM coordination and approval when required by this Bulletin. It is the responsibility of the Office of Administration's Division of Contracts to ensure that the necessary coordination and approval is obtained before the contract is initiated.

NRC Bulletin 0904-2, "ADP Responsibilities, Planning, Management, and Delivery of System Software Services," contains procedures for requesting IRM development of customized application software.

Table 1 Required Approvals for Non-Scientific Customized Applications Software Development

, Usage ----------------- Developer ----------------

Category NRC End User Contractor, DOE, IRM Staff Individual h:;ne N/A Organization- Office / Region

• Office / Region unique and IRM Corporate All affected All affected Offices / Regions Offices / Regions and IRM and IRM

• 0ffice/ Regional approval or as delegated by the Office / Region to icwer organizational levels.

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

IV. Software Modification vendor and Public Domain Software Modification of almost all vendor software, and some public domain software is prohibited, except as described in the installation instructions provided by the vendor er author. All microcomputer software supplied by IRM is installed in a standard way, and there are several reasons why users should only rarely modify the way that the software is installed:

- The use of all NRC standard microcomputer software, if installed according to standard instructions provided by IRM, is documented in the NRC ADP Services Guide. Changes to the installation may make use of the documentation difficult or impossible.

IRP installs so'tware in a standard way allowing for ease of trouble shooting by the ITS, should the need arise.

Modification of the software or of the menu structure on machines with a fixed disk may make subsequent software installation or upgrades more difficult.

Medification is inconsistent with software par m ility and standardization, and may confuse other staff members who expect to find the standard installation when using an NRC machine.

For these reasons, users contemplating modifications should consult the Information Technology Services Support Center to discuss possible implications.

Customized Applications Software All data and software created by end users may be modified as desired.

It is the responsibility of office / region management to assure that all modifications made by end users a such applications (except individual applications) are recorded in a change log and incorporated into the application documentation.

All software maintained by IRM will be modified by IRM in accordance with the procedures in NRC Bulletin 0904-P..

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V. Software Copying and Distribution Vendor Software IRM distributes all vendor software used by the NRC.

Copying vendor software other than for authorized back-up purposes, or using a software package on a machine for which it has not been authorized may be a violation of software licensing agreements and could lead the vendor to take legal action against the NRC. NRC employees who violate licensing agreements by making or using unauthorized copies of NRC software or any other vendor software, risk both disciplinary action and possible suit by the vendor. Unauthorized use or copying of proprietary software should be brought to the attention of the Office of Inspector and Auditor and the Office of Administration's Division of Security.

It is NRC policy that individually-licenced software be used only on the machine for which it was purchased and to which it was assigned by IRM.

If software must be moved from one machine to another, users shnuld notify IRM's Hardware and Software Acquisition Branch (Headquarters) or the appropriate regional program support staff so that software inventory records can be updated.

Public Domain Software Public domain software may be copied and distributed as desired, subject to any restrictions made by the author, for use in individual applications.

Any public domain software approved for organization unique or corporate applications is distributed by IRM.

Customized Applications Software Customized applications and associated data created by end users may be copied as required, If possiblE, users should avoid storing non-copyrighted data or programs on the same diskettes as copyrighted vendor software.

In cases where internal or public distribution of customized applications

• software (including scientific applications software developed by NRC staff or contractors either for mainframes and microcomputers) is appro-priate, such distributions are performed by, or under the guidance of, IRM to assure that applications receive at least minimal review for compliance with documente. tion and copyright standards before release, IRM will assure that programatic distribution requirements are met for public and non-public software. NRC staff should not distribute any software for either microcomputers or mainframes on an ad hoc basis. NRC Contractors or 00E laboratories should r.ot distribute any NRC sof tware for either microcomputers or mainframes without formal approvals as described in Attachtrent 1, Section 3.

7

VI. Documentation Vendor Software One copy of software documentation is provided by the vendor for each vendor software package acquired by the NRC. This documentation is provided to the user with the software.

IRM fills out a Software Locator Information Sheet for all vendor software acquired by the agency.

Public Domain Software Documentation for public domain software is usually provided by the author, but may be limited.

If public doitain software is obtained directly by a user, he or she should send a copy of documentation (if any) and a Software Locator Information Sheet (see Exh.5it 1) to IRM, since other individual users may be interested in the software. IRM will fill out a Software Locator Information Sheet for any public domain software which it acquires.

Customized Application Software Creation of written do;umentation is an important part of the development and maintenance process for all customized applications. There are usually two types of documentation associated with each application:

(1) user documentation, and (2) technical or programmer documentation.

The first type of documentation is needed so that staff other than the developer can effectively use the system. The second type of du:rmentation is needed in order to effectively maintain and/or change the system. It is good practice for users to document all applications that they develop, even those limited to individual use. it is mandatory that documentation be developed for all organization-unique use and corporate use applications so that staff other than the aeveloper can use the software and 50 that the software ,alue is not lost if the developer moves to another assignment or separates from the agency. Microcomputer Application Documentation Stanaarci prepared by IRM, are available from the ITS Support Center.

lt is IR"'s responsibility to create and maintain in a documentation library, user and rrogrammer documentation for all applications which it develops. Software modifications will be recorded in a change log and incorporatti into the documentation. A copy of the user documentation will be pro.ided to each user of the software.

• It is the responsibility of Of."ice / Region management to assure that user and programmer documentation is developed and maintained for organization-unicue and corporate applications developed by end users. A copy of the documentation for each of these applications should be maintained by each office, preferably in a single location. Software modifications should be recorced in a change log and incorporated into the documentation.

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Offices / Regions are responsible for filling out a Software locator Information Sheet for each end-user developed application and submitting new and updated sheets to IPM as part of their inputs to the yearly ADP Planning Call.

Documentation requirements for contractor-developed software are covered in Attachment 1 Section 4 VII. Software Use i

I Software Sharing IRM actively supports software and data sharing within the agency. To encourage sharing of software. IRM maintains a Softwcre locator directory of all software acquired or developed by the NRC. IRM maintains the software locator information for all standard NRC vendor software and all applications software maintained by IRM. It is the users' responsibility to complete and submit the Software Locator Information Sheets (see Exhibit 1) for a'l other software acquired or developed for their use or use by their contractors.

Personal Use of NRC Software and Hardware

.NRC-accessible mainframes, NRC minicomputers, and NRC microcomputers and associated software may be used only for NRC official business per NRC Appendix 2301, Part II. No personal use can or will be authorized. Employees who misuse NRC property or incur unauthorized timesharing costs may be subject to discipli-nary act i on.

Use of Personally-Owned Hardware and Software for NRC Work Pirsonally-cwned hardware and software may be used at home for NRC work provided that (1) no sensitive unclassified or classified information is accessed, processed, stored or telecommunicated; (2) work products are compatible with hardware and software available to the employee at the office; (3) any use of personally-owned hardware and software for purpose of telecommunicatien with NRC-accessible timesharing facilities or electronic bulletin boards sha?1 be in strict accordance with the security reculations of such facilities and with NRC security regulations associated with computer access as specified in NRC ,

Appendix 2301, Part II.

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The NRC will supply any hardware ar.d sof? ware needed for NRC work. Personally-l owned proprietary commercial software may not be used on NRC computer 5 and NRC sof tware may not be use>i on personally-owned computers. A limited nunber of portable computers 3nd software are available from the IRM Systems Support

( Branch for temporary loan where necessary.

t Backups of Data and Programs IRM makes or sends for back-up copies for all NRC standard vendor software., and provides both the oricinal and the back-up copy to the user. Before making ,

additional back-up copies, users should consult the software documentation and l Chapter 8 of the NRC ADP Services Guide, or call the ITS Suppert Center for ,

I assistance.

9

Both diskettes arid fixed disks used on microcomputers are subject to occasional damage or failure and, hence, data loss. Users sometimes inadvertently purge data files or programs. For these reasons it is good operating practice for users to make backup copies of important data and applications programs which they write, even those limited to individual use. It is mandatory that backup procedures be developed, documented and used for all data and pr0 grams which are in the organization-unique or corporate use categories. The system developer (whether IRM or an end user) is responsible for providing the documentation on the backup procedures.

Backup copies of critical applications software and associated data should be placed in the NRC archival facility, where they will be retained under appropriate environmental conditions and will meet the requirement of storing the backup copy in a separate location from the working copy. Contact the Information and Records Management Branch for further infomation.

Security No classified information 'nay be processed or stored on a mainframe, word processor or microcomputer without the prior written approval, guidar.ce and authorization of the NRC Office of Administration's Division of Security (SEC).

No sensitive information, including unclassified Safeguards Information (SGl),

proprietary data, information which is withholdable from public disclosure under the "Privacy Act," FOIA, or other regulations, may be stored on systems with nonremovable disks without prior approval frorr SEC. If a computer system contairt such information, it is the user's responsibility, and that of his or her supcevisor, to review the appropriate security guidelines or consult with SEC for assistance. Diskettes containing sensitive information must be locked up when not in use and must be purged of all infortnation before release for another pArpose.

Ferther written gridance on the processing / storage of clastified Or sensitive dita on N?C microcomputers, mainframes, and word processors is available in NRC Appendix 1301, Parts I and II, and in "Security Guidance Outlines" available from SEC ar from the Information Technology Services Support Center.

Microcor:9 uter equipment, software and data should be protected from possible damage or theft by taking reasonable precautions. Software should be con-trolied during business hours and locked up, if possible, at the end of the day, ho sch vare may be removed from NRC premises without a property pass or NRC form l'.9.

All applicauons shall be developed in accordance with requirements contained in NRC Appendix 2301, Part !!, Section A.6, "Security Measures of NRC Computer Centers and Unclassified Applications Systems."

Software Ownership All data or programs written by NRC staff for government work that are entered into word processors, or small or large comput us, regardless of ownership or location of the processors or computers, are the property of the government and may be considered government records.

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VI!!. Disposal of Obsolete or Unsupported Software Vendor Software Vendor Software which is owned by the NRC, but which is no longer on the list of supported software may be retained until existing applications are converted. Users are encouraged to convert such applications to supported software as quickly as possible with advice from the ITS Support Center.

IRM may provide further assistance for the conversion of critical appli-cations upon written request. No new applications should be developed with unsupported software. Once all applications have been converted, unsupported software should be returned to IRM for disposal.

i

! Customized Applications Software Obsolete applications software, including scientific codes, should be disposed of in accordance with the applicable NRC records disposition schedule (see NUMEG 0910). If the schedule requires retention, the software and documentation should be provided to the NRC Information and Records Management Branch for storage in the NRC archival facility.

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Exhibit 1 NRC SOFTWARE LOCATOR INFORMATION FORM

1. FY: 2. SOFTWARE TITLE:

3. ACRONYM: 4. VERSION f:

5. FULL SYSTEM (Y/N): 6. MACR 0/ SUBROUTINE (Y/N):

7. CLASSIFICATION: (Checkone)

SCIENTIFIC CODES ADMINISTRATIVE SUPPORT (Budget, Travel, Personnel, etc.)

GENERAL PURPOSE (Management Infonnation, Tracking, etc.)

TECHNICAL INFORMATION PERSONAL PRODUCTIVITY

8. SENSITIVE (Y/N): CLASSIFIED (Y/N):

9. STATUS (A= active,1= inactive,N=not used,Urunder devel/ test P= planned):

If 9. STATUS =1 or N: 9a. LAST USED YEAR: 9b. SUPERSEDED (Y/N):

If 9b. SI'PERSEDED=Y: 9bl. BY WHAT? ACRONYM:

VERSION #:

10. REQUIRES FURTHER DEVELOPMENT, MODIFICATION, OR UPDATE (Y/N):

10a CURR FY EFFORT: CONTRACT 5: (X) NRC STAFF YEAR 5:

10b. NEXT FY EFFORT: CONTRACT $: _(K) NRC STAFF YEARS:

11. NRC SPONSOR: 0FF DIV BR SPONSOR CONTACT: LAST: FIRST: MI:

12. DEVELOPER: (Check one)

NRC DATA PROCESSING STAFF (RM/D)

NRC EMPLOYEE OTHER THAN RM/D NAME - LAST: FIRST: MI:

NRC CONTRACTOR OR DOE LABORATORY - if checked provide:

CONTRACTOR NAME: FINf(s): , ,

CONTRACTOR CONTACT - LAST: FIRST: - MI:

PHONE:

VENDOR /0FF THE SHELF PUBLIC DOMAIN, SHAREWARE, OR FREEWARE

13. USERS: (Check all that apply) l NRC STAFF hRC CONTRACTOR (including 00E laboratories)

APPLICt.NT/ LICENSEE OTHER(specify) j 14 REGULATORY APPLICATION AREA (Check all that apply to this software):

licensing application related to 10 CFR Part (e.g., 50 if reactors, 60 or 61 for waste disposal facilities.ctc.,

! see instructions for further examples) operation.1 data analysis

(

event or accident ar.alysis I emergency response inspection / enforcement research on other ILescribe):

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15. PAST OR PRESENT LICENSING USE (Check all that apply to this software):

_ , Has been used or is being used by NRC staff or NRC contractor in the licensing process is identified in the Standard Review Plan, Section Has been specifically cited by the NRC in official corTespondence (e.g., Safety Evaluation Reports) is toentified in an NRC Regulatory Guide, Number 1s identified in a Branch Technical Position. Specify Is specified in other regulations. Specify Is specified in an industry code or standard. Speci fy Other licensing use. Describe ,

e 16. KEYWORDS (See instructions): _,

17. DESCRIPTION (See instructions):

18. APPLICATION HAS RECEIVED PEER REVIEW /CA (Y/N):

If 18. PEER REVIEW /QA=Y, DESCRIBE HOW AND BY WHDM:

19. DOCUMENTATION:

NUREG #(s) , ,

LATEST NUREG FUBLICATION CATE (MM/DD/YY):

USER'S OVIDE (Y/N) UP-TO-DATE (Y/N):

PROGRAMMER'S GL'IDE (Y/N) UP-TO-DATE (Y/N):

20. DISTRIBUTION:

By hRC/IS (Y/h): By NRC/ITS (Y/N):

15 System No: ITS Control No:

l I By NESC (Y/N): By RSIC (Y/N):

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NESC No

RSIC No:

l l If "N" to ALL of the ebove complete the following:

i 20(A). BY WHOM: LAST: FIRST: MI:

i ORGAN!ZATION: (If NRC, proviTe Branch abbrev.)

l 20(B). If NESC or RSIC is marked as "Y", please provide the following:

External Availability Category NTIS/ DOE No.

~

bhLIMITED PB No.

U.S. ONLY DE No ,_

U.S. GOVERhMENT SPECIAL 13 L

21. COMPUTER ON WHICH INSTALLED OR TO BE INSTALLED (Check any that apply):

NRC MICR0 NRC MINI NRC-ACCESSIBLE MAINFRAME P1(PC256K) 81 (DG6000) A1 (NIH)

P2(PC640K) B2(DGB000) A2(ORNL)

P3 (XT 256K) B3(OTHERDG) A3 (BNL)

P4 (XT 640K) A4(INEL) 0 (OTHER) Specify CONTRACTOR COMPUTER:

Computer Vendor Name Model

22. LANGUAGES / PACKAGES (MarkPrimary[P)onceandanyothersas[5] Secondary)

BASIC RAMIS dBASE!!!

FORTRAN IV SYSTEM 2000 DOS FORTRAN 77 (V) WYLBUR LOTUS 1-2-3 COBOL MARK!V PL/1 -OTHER(SPECIFY)

23. NRC CONTACT: (Name of NRC employee who filled out this form)

LAST: FIRST: MI:

OFF DIV BR PHONE:

SIGNATURE: DATE:

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(

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Attachment 1 Development Submittal. Distribution and Documentation Requirements for Machine-Readable Contract Deliverables This document provides requirements for contractors developing software, data or other machine-readable deliverables for the Nuclear Regulatory Commission (NRC).

Its purpose is to assure that any such deliverables can be readily implemented and used on NRC equipment and can, if required, be easily disseminated or transferred to other data processing sites. This implies the use of standard software packages, programming languages, and compilers which are compatible with.the NRC hardware and software environment, as well as adherence to good programming and documentation practices.

This document applies to all machine-readable deliverables for use on micro-computers and to scientific applications for use on mainframes and minicomputers.

Requirements for non-scientific applications for use on mainframes or mini-computers are provided by IRM on a case by case basis.

All computer applications and associated data developed under contract to the NRC or under a DOE laboratory agreement are the property of the NRC unless stated otherwise in the contract or DOE laboratory agreement. These items must be submitted to the NRC project manager in machine-readable form at or before contract completion. Microcomputer software and data deliverables should be supplied on diskette and conform to the criteria stated in section 1 below.

Mainframe or minicomputer software and data deliverables should be submitted on tape and conform to the criteria in section 2 below.

All machine-readable deliverables must be accompanied by appropriate documentation as specified in sections 1, 2, and 4 below. Conversely, contractor reports citing the use of computer codes must be accompaniea by said computer codes.

1. Deliverables for Use on Microcomputers

, All deliverables developed for use on microcomputers must meet the

! following criteria unless a written waiver is obtained in advance from the NRC project manager and approved by the Division of Automated l Information Services (IRM):

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a. Deliverables should be submitted on diskettes.

b. All diskettes should be capable of use on an IBM PC or compatible microcomputer using one of the software packages

, supported by the NRC Division of Automated Information l Services (see Table 1, attached). All programs developed for the NRC must be written using one of the standard l software packages.

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l I r, I

c. In particular, docum.'nts (e.g., reports) submitted in machine-readable form should be produced with IBM DisplayWrite word processing software. This will allow them to be used both on NRC microcomputers and word processing equipment.

d. Failing crittria b or c above, data or text only may be provided as ASCII files in standard IBM PC diskette fonnat.

e. All diskettes must be accompanied by documentation, including a printed cop) of the disk directory, a description of each file in the directory and how it is to be used and installation instructions. Refer to sections 3 and 4 for software distribution and documentation requirements, respectively.

No microcomputer software or hardware may be purchased by a contractor or DOE laboratory for subsequent delivery to the NRC without written concurrence in advarce by the NRC Project Manager and the Office of Infonnation Resource Management.

Updated information ,tbout software supported for use on NRC-accessible computer facilities and microcomputers may be obtained from the NRC ITS Support Center, (301; 492-4160 (FTS 492-4160).

2. Deliverables for Use on Mainframes or Minicomputers These requirements apply to scientific applications software and i associated data delberables intended for use on raainframes or minicomputers. All such deliverables must meet the following criteria unless a written waher is obtained in advance from the NRC project manager and approved by the Office of Infomation Resource Management.

a. All new mainframe or minicomputer programs developed or converted for NRC shall be written in American National Standards (ANS)

FORTRAN (ANSI Standard X3.9-1978),

b. Mainframe or minicomputer programs which gensrate plots must do so using the Display Integrated Scftware System and Plotting Language (DISSPLA). This graphics software is a standard at all DOE laboratories,

c. The recomended mathematical / statistical subroutines are the International Mathematical Statistical Libraries (IMSL).

! d. Proprietary software packages should be avoided except where standard I

readily available packages exist and are supported for use at NRC-accessible computer 4cilities by the NRC ITS Support Center (see Table 1, attached). Nachine-dependent and installation-specific packages and features including assembly language"should not be used,

e. Deliverables should be submitted on tape according to the following tape fnmat requirements:

?E 1

, s

e'

- Recording: 9-track

- Density: 1600 BPI

- Internal Tape label: @0 Label

- Character Code: EBCDIC or ASCII

- Record Size: FIXED RECORD LENGTH (80 char / record preferred for source code when possible)

- Block Size: FIXED BLOCX LENGTH (maximum = 2048 char / blot.k)

- All files on one physical tape must each have the same number of char / record and char / block.

- Tapes must not be generated using system-dependent copy routines.

Tapes must be made so as to be transportable from one computer system to another. This is most easily accomplished by means of a FORTRAN READ-WRITE routine rather than a system utility; however, use of IBM IEBGENER is acceptable,

f. All tapes must be accompanied by documentation, including a copy of the job that created the tape, a list of the files on the tapa, a description of each file and how it is to be used, and installation instructions. Refer to sections 3 and 4 for software distribution and documentation requirements, respectively.

g. Tapes should include the following files:

Source Code - Compiler input records Sample Input - Test case input data. (The output generated by executien of the program using the sample input must also be provided in printed form.)

Data Libraries - External data files required for program execution (e.g., cross-section libraries, dose conversion factors , etc. ) .

Control Infomation - Operating systen control language statements required for compilation and execution.

Optinnal files include cbject or load modules.

Quertions concerning the abcve instructions should be addressed to the NRC Infor.tation Technology Services Support Center (FTS) 492-4160.

17 L

3. Distribution Distribution of contractor-developed applications software and document-ation will be performed under the guidance of IRM. IRM will assure that programatic distribution requirements are met for public and non-public software. At present, most NRC software is being distributed by the National Energy Software Center at Argonne National Laboratory under a DOE laboratory agreement administered by IRM. Under certain circum-stances, an NRC contractor or DOE laboratory may distribute scientific applications software while in the development or maintenance stages provided that:

a. The required distribution activities are explicitly specified in the contract or DOE laboratory statement of work;

b. The contract or DOE laboratory agreement specifies that the software and associated documentation will be transmitted to the NRC in approved fom (per sections 1-4 of this attachment) upon termination of the contract or DOE laboratory agreement;

c. The Program Division Director has approved, in writing, the need for deviation from the standard distribution procedures;

d. The Director, Division of Infomation Support Services, IRM, has approved, in writing, the contract or DOE laboratory statement of work wherein the distribution activities are described.

Before release for distribution, NRC-sponsored software must be appropriately reviewed, tested, documented and approved for release by the sponsor'fng NRC office. It is the responsibility of the sponsoring NRC office to detemine whether or not a computer code is ready for distribution and to clearly define the limitations to be imposed on said distribution (e.g., USA only, unlimited, a specific distribution list, etc.). However, the sponsoring NRC office is advised that once infor-mation regarding a computer code has been published (e.g., in a NUREG report), members of the public may request a copy of the code and, under nomal circumstances, the NRC must be prepared to distribute the code.

Thus, tne preparation of a distribution submittal package for the computer code and the publication and distribution of a NUREG(s) associated with the computer code should coincide, in order to prepare to meet these requirements once the contract is complete, the statement of work should include, as a requirement, the preparation of the submittal package necessary for requesting distribution by the National Energy Software Center (NESC). Copies of the NESC submittal forms, distribution proce-dures and advice regarding submittal package preparation may be obtained by calling the ITS Support Center on 492-4160 or FTS-49?-4160. A copy of the NESC release fom, signed by the Division Director of the sponsoring NRC office, should be sent to the Chief, Infomation Technology Services Branch, at the time the submittal package is sent to NESC.

18 4

s. \ _- . . - _ . - ._- -- . _ _ _ _ _- .-

p:

4. Documentation All reports, including applications software documentation, must confonn to NRC Manual Chapters 3201 and 3202. Copies of these manual chapters are available from the NRC Publications Services Division. DOE laboratory staff may obtain copies from their respective technical infonnation offices.

In addition, the content of all scientific applications documentation shall confonn to ANSI Standard N-413. "Guidelines for Documentation of Digital Computer Programs." The major documentation requirements included in the standard are:

a Computer Program Abstract b Application Information (User's Guide) c Problem or Function Definition (Theoretical Development) d Programing Information (Programer's Guide)

A copy of this standard may be obtained for $8.50 plus $2,00 shipping and handling from:

The American National Standards Insf.itute 1430 Broadway New York, New York 10018 ATTN: Sales Department in addition to or instead of conforming to ANSI Standard N-413, documentation for some applications may be required to conform to NRC Microcomputer Application Documentation Standards and/or meet other requirements of the sponsoring office. Applicability of any additional requirements will be detennined by the NRC Project Manager.

Each program developed for the Nuclear Regulatory Comission should include the following program title block and disclaimer in the main program:

Program

Title:

l Developed for: U.S. Nuclear Regulatory Commission Office of (fill in NRC Office)

Division of (fill in NRC Division)

Date:

l NRC Contact (s): Phone:

Code Developer: Phone:

Title (s) of Associated Documentation and NUREG Number (s):

l This program was prepared for an agency of the United States Government.

Neither the United States Government nor any agency thereof, nor any of their employees, makes any warranty, expressed or implied, or assumes any Itcal liability or responsibility for any third party's use, or the results nf such use. Of any portien of this program or represents that its use by such third p rty '..culd not infringe privately cwned rights.

19

Updated January 1987 Table 1. NRC Supported Software MAINFRAME SOFTWARE:

Idaho National Energy Laboratories Computer System NOS Operating System for CYBER 176 FSE Text Editor XEDIT Text Editor UPDATE Text Editor Utility FORTRAN 5* Programing Language DISSPLA Graphics IMSL Math / Statistical Subroutines National Institutes of Health Computer System OS/MVS Operating System for IBM 3081 TSO Comand Language WYLBUR Text Editor /Comand Language VS FORTRAN

• Programing Language DISSPLA Graphics TELL-A-GRAF Graphics FOILS Word Charts for Overhead Projection MARK IV File Management / Report Generator SYSTEM 2000 Data Base Management System (Reports and Queries only)

RAMIS II Data Base Management System (Reports and Queries only)

KERMIT Comunications (PC's)

IMSL Math / Statistical Subroutines NRC Data General MV/8000 CLI Comand Language Interf ace SED Text Editor SPEED Text Editor BASIC Programing Language FORTRAN 77= Pretraming Language SS!* CALC Spreadsheet IMSL Math / Statistical Subroutines DISSPLA Graphics

• Adheres to current AMFI Standard for FORTRAN (FORTRAN 77)

NOTE: This list rf software is changed periodically. For an updated list,

all the !r.fomatior. lechnology Services h,pport Centtr (301) 492-4160 or (FTS) 497 4160.

20

Updated January 1987 t NRC Supported Software (continued)

MICROCOMPUTER SOFTWARE:

IBM PC DOS & BASIC Operating System, language COMPAQ MS-DOS & BASIC Operating System, language IBM BASIC Compiler Programming Language IBM FORTRAN Compiler Programming Language IBM DisplayWrite Word Processor IBM DisplayComm WP Consnunications IBM 5520 Attachment Program 5520 Terminal Emulation Microstuf CROSSTALK Communications Persoft Smarterm DG Terminal Emulation LOTUS 1-2-3 Spreadsheet Ashton-Tate dBASE III, Data Base Management dBASE III Plus Westminister Software Pertmaster Project Management Decision Resources Chartmaster Graphics Decision Resources Signmaster Graphics Borland International Sidekick Multi-purpose Utility i

l

• Adheres to current ANSI Standard for FORTRAN 77. r NOTE: This list of software is changed periedically. For an updated list, t call the Information Technology Services Suppor*. Center (301) 492-4160 or TTS 492-4160.

21

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ATTACHMkNT7 se#C soew e U.S. NUCLE AR REQULATORY COMMISSION ' D * " O' * * *Va '

64 Se o ces yo en REPORT OF TERMINATING INDIVIDUAL *S Y"'"'**'

OCCUPATIONAL EXPOSURE

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INSTRUCTIONS FOR COMPLETING NRC FORM 419.

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8.sywins imaans shace sechste easy the ipsaamass regnared to be massesad as maureasse esa $20103ias)) are ==f==aaa l4 idrenfy se symed easd a 10 CTR Part 20. Appeemita B. for es r=d--d d= or masasse of rw-*= fce ensch a vive amhr enashne

_ were pertarmed is 3. Ce 60. U 235). If die mammered esamey of ecovey for can redsmusses e asao mand to asummse ehre r=d--naar ta==rm. sisenty the rassenstate acte #y measured in ; _ "y eAer me rh =d= lamed a Cahams 14. $se se esamese green e ihr enrectu=e ke Casuma I) ehrte U-ameTh 2 di e essered a Cohams 14 edmanag mal et armame lung burest tes deer.Wumed Due _ __ of D D4 pasease il taar en form. $ for m*eade er i for maaletne. of en r=d-=adste e essa se sorter een empend if entmoon, mae esmas armand on tseire. eus e-esaring what conseneresum natus a Pan 20. Arr="a 8. Tees I, Cohses I. ens amassen en appty.

66.17 & il T)see eniumas anoe for em reymung of se resihs of tem surrani seasonag prosedneres is arrus of temaasy rummaa. &es ennemass. er smaas b ony one me or wwww of these oesnnes leerII & m2) For each taas in whach a vive messorernents were perforwise, as sheet ta Colvma l), enter a Ceivme 16edil the number of estenadie r --__. a fadioned Dv es haghsma venfind resute fe meaneisnest is paresshames Os me mesi has e mis messe. emer en mammee of ----r_. - ihai sadscesed emanainese an==a== Spanfy e Cahama teen 2) the orpas la etsch as sidscased reda=4ade en kaned 1se se esempne given e se 6arecsson he Casema l) let Few. sesre es gravunriru er ressorienne uswa e etsen es unandynes resule are reparied #e g_, ameagrene per lasr nammunse per terri es en bina6 apare of se handag for Cdwns lee la Ca6maa leb. he ese year ennag ohma unselyess were portareed. esser en meeer of eracistee neu#e kdkreed Dy are beghem numersal taJur of we concessremos is unas of as raam== Mats hated e Colume 14 lar es year spenfed la Colone l) On se see Lee a en schama. emner one amminet of r-- naesemag ____ -- assumas 5er en saampie gives in sie deactnes Ier Ce6use 1) lie t & t Spanft a CeW 17c em orgas er haanse reassving eiens esemased a Cohens 17e er 17b (Nas sus e agessenaary to provide beh er temsesasd ami aammal huss ) For Ca6umns lia and I?b yes are repasand as lahoe em proceduren be6ee, if muy neersmave presenhane are used esecrime tuse en we best of aus fann la 17a. earse se ces mesgreed from e no 30 years, ettsre e a se tagiamag ese those e Cohama 1) la 57b ener se ese e-negranad owr saca saaeasar year t# pes for shas pnarpme na Cabana 1). Incinas the firer ased any --aat years of mas _ . .a er mort samgerrent and we tent lahose6g ihr errounawa dass Seas ese esamiams as se enamury to a mamanwas of the reasomaciais. Cotene 14. takse amo se body si your fardinati donag this empeoewese ce e,et.anangsse se pared 18 Reportog of radeonuchde suaaes as erwertsred by aar namphag, a nra regnared tsy 10 CFR 20 408 Homewr il vow thoose 80 do to. andwait the same weighted conceursiens of reasrecove snaaened 4 e . MPC4.nsrti se shact we undnuh sJ =as empresa eurog me same perusta insmaemi in Cseene 1)

Refer so us tani paragraps of us insmwimwis for Coswna 13 for we sure snarnats to be maad Conviene Columns 13.14. and Il for euh emrt in C.wvmn is hem %.mree 8e ti amnre opuun yaw ma, shoe are nommaine of non-nuc6mtripacific Gaia in eram of a perces of matunum perewsutile laeh 1%rden i% MPBBi ti a 6 s J vr e pacent of maasmem prmaubes organ burera t% MPots. c tasal espreere to time-etighned ceskemiscons of resmantive maanal sMPC heu. se J nosa!

neuvre iniane Thew ownmarens can te armissied as awa 49 eves a. t c. or d. #espec1wely Carneral stantmenu misch as "an s.gmfmasu miste eas deisued dereg ihr peruni twered by the regawt" can to thoes a tese Any esser buonana, rewde thai canma le repwied elseehrte in Par 111 mee ami he taiered a tree or on un revene of we form hem %.mter 20 if ecis insend io need a ecgy of es repon to the arnnennung inanahal to saasty se acaifumme requiresema of 10 CFR lit I). ches 6 she les" ist PRJV ACT ACT IT ATI.MLN'T Pun.am = $ U 1 C 5524<eult enamed mio ta= D, escace ) of on Penwy Act et 1974 (Pubis Lao 9F5% en fauonne twenen a fwnashed to undanham and perwes sie ppe, m#arweuen to se %.ciaar Regwator, Cansunnan on htC Forse 4)9 he sfonnacme a mesmaaned an a synese af raceres ers.gened as htC 27 ans eranted as 40 peorew Regaast 45Ma rOrioter 4. 19736 i AUT)40RITY Sections 53. 6). 65. Bl.103.104.161% and t6lles of em Am.sm sc Energy Act et 1954. as amenomd i42 U S C 20'). 2t% 2WS. 2111. 213). 2134 2201/ti anni 220 hen T1e avutonry for enticeang um itsel sansnry ownese is 80 CFR Pan 20

PRJ%CIP AL PURPOSEili The intoriretse a used D, the PiRC e as evainmen of en run of r=*a== espinwe annizoed sie we treanad unen and e eierenas as saadwoor, reseres. eden in moswoor east regvia*e we sate *, and heale practecas of us nuennees The esta premai a meannagfwi compannan of inth rissem and n*g nerm es-essere eigenese ans*g ngen o9 hresaces and amcmg en:eamees enhen sect typa Dois en ycner espe.re io rmi-= are siadatine io voie upon re9 arts o

1 ROLTI%E U113 he m ormauan mai er wied to pro, mar aans no over Fanersi and See agencan invoved e anosuianag and'or eva>maung rea. aeon ensamere retened >=

was.=usi.asi engeo,ed as roe.atum moraevs en a pavmanes er armpreary tese and espos.re race,ved D, mosuiored vainors Tie aformaien mai ano te d.acao=sd no an as*

pmenge Federe. haie or hual areers e se term the alonnarca waaicaws a sumatam er paneen.ad vesasana of lee ama e the cru.ne of an a3menehehte se hm3KW pnu seem, 4 m MITHE R DISCLD5L RE 11 M A%D ATORY 09 %OLL%'T4RY a%D EFFECT OF NOT PROVIDl%G l% FORM ATION 0% 1%DnIDL AL 04 Pt R$o8 k weeman ow mem..a ne ee ewr. eJ nhemaine ess ae, name dase or > an and us e ienwes neeneer The u.m ieserm numrer = .med sa rawee ma. sac %, an u.e ce idr8thier Ese weie41 in Ifur CDines49Phe rit uffma? narhet or intrTh asses amoeig iPit istge hee 8hter el $eriallin es elk 8fh data et manftlastrd Pigame emise leerste ihai the in te=er I

etuid leaf a ef89nessme reftW1 uuha none softam fegpwared enormasann test at Whea. necuhrt hemhet for eskt saattasimas estaie empeogmeni se esitt ash tamen het eerme% steel I ased noir eihWR fef%enti thesioreg eat regwared u%. art 10 CFR 420 202 F wee er ihr taensee to recomar the micrmane semaer au CF R IN NO veJ tN en snee w a iett we men.re w easorcreeni same vroer 10 CF R IN enji S 11 STEM %t4%4GIR 1 A%D ADDRES5 Deector Orfme of hvonar terwaen Researce U 5 %.oser Reg sion Camn.ausa a w anamgium DC 20S me l

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ATTACHMENT 1 PPaL Pennsylvania Power & Light Company Two North Ninth Street e Anentown. PA 181o1

• 2151T7CL5151 Director, office of Nuclear Regulatory Research PA Power & Light Attention Ms. Barbara C. Brooks Susquehanna Steam Electric Station occupational R.adiation Protection Branch PO Box 467 Division of Radiation Programs and Earth sciences Pervick, PA 18603 , _

U.s. Nuclear Regulatory Commission Date of Report: / A 3/ -[,5 /2 ~.5 Vashington. D.C. 20555 OCCUPATIONAL RADIATION EXPOSURE REPORT This is to inform you that while visiting or assigned to the Susquehanna Steam Electric Station, the individual listed below received the following occupational exposure to radiation:

kb W Name Social Security No. Date of 81rtn MI 09-02-49 f f

_ Our records indicate that personnel monitoring was not required for this individual.

External Exeoeure W5 JA5 LXhole Bocy (Jkin Extremity Mesnoc of

. Periods of Exposure ~ - - - - Monitoring" Trom~ " To - -(REM) (REM) (REM)

'Ol bh'7 4 /64 ~? -0C' N jbl6 -Il -Y1 Ib _)/ Y Y d.2-4/ ll .2 - U l2 H Wy *63647 - d.b d '7 +ee- "D-D I

Portion of TOTAL Receivec durino terminatino Quarter d/// 8/0 /M NN

• Menitoring by TLD unless otherwise noted.

/ - Internal Exeosure

1. Lee.s than 2". MPBS of all isotopes measured ,

Greater than 5 MPBS - results attached Internal monitoring not required Ternination bioassay information unavailable Reason:

i

( This report is furnished to you under the provisions of the Nuclear Regulatory Cem mission regulattens in 10CFR Part 19. You should reserve nis recort for future raftrence. c,

, y

. - ~

Eealtn physics Specialis - Cos1 metry FORM HP-TP-217-1, Rev. 2, Page 1 of 1

- , W 4

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HANC0C;;! ERIDG . M E'J J E.T T E Y 0!02?

7ALEM UNIT I OPEPAT!NG LICE'.3: 8 OPP 70 j a t'E M N I T !! OPERA 7: NG LICEN!E e EPR7E TERMINATION REPORT - DATE 8/25 /3! /J 70- p A N D E R :- ON SC 29624 FOR M -H2 $35 N1 - 5 S SIRTH DATE: 7/ 0/4T a3 AfdDERSON SC Z?G2d i

PSE3G EMPLOYEE RESPONSIBILITY CENTE.7 I 0;

$UFJECT. RADIATION EXPOSURE REPORT PLEASE BE ADVISED THAT DURING THE FOLLOUING UORK PERIODS.

YOU RECE!vED EXF0tURE TO ION!!!NG RADIATICN AT MEASURED BY THERl10 LUMINESCENT DOSINETRt a? IfdDICATED sEL0u:

• • RECORDED / RECEIVED @ SALEM OR HOPF CREEK NUCLEAR GENERATING STATICN <d DEEF D (' S E INCLUDES NEUTRON. DEE8 DOSE IS 1hCLUCED IN EN'TREMIT r AND SHAT. LOU DEEP SHALLOU NEUTRON E X T R E M ! T " - g3 MREM MR Eli NREM- MPEN CURRENT V!$17 ~b3 0;7; ~B3.Sg 4s. 1/E"/79 TO t /E?/82 aq 1.E C 8 gq 3.78E-87 20 148C 37 0 c2o gg

? r :' O U A R T E P. 196E TC DA1E I.:X1;.b '1 7/ 1/St TC 5.*I5/85 0 0 'O O Vs 5 YEAR-TO-DATE 1/ 1/8E TO 0/26/8E 0 0 0 0 TOTAL FOR RECORDED PER:00 3/Z?/79 TO 1.'E!/SE 1E?S 3785 20 1288 B I G A i ! A FE! ULT $ A1TACHED TE! NO

• /2 */ 7! TO 1/ 2 ? .' ? Z CURREtJT VISI) !NTERNAL E F O ! UIE a P C

TW: S REPORT !! TURNISHED TO YOU UNDER THE *FO*.'!SIONS ;r THE ($

j 'a a NUCLEAR REGULATORt C O.9 M t 2 3 ! 0 N . ret,ULATION to !FR CAR" 17 ( '.

(OU *'HCULC **ECERVF TH:! RE*0FT F05 c '.' h ? H E : CE5EPENCE a

i e  ;.e.cc=:CE v NU: er: c:E;. n g

, NU:L!ak 9EGUL*TO;, COFN: ION I

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• C L 7 ; , 'i fic-!l~-

p* {,j f,' 7 FINAL IIPOSURE RIPORT TOLLOVING IMPLOYMINT TIRMIN ATION (5-REPORT DATE: ' ..

IMPLOT3E NA .

ADDRESS: TH HAVIN, MI 49090 SOCIAL SECURITM DATI 0F BIRTH: 163 R4B_ O.

U .

TO VHOM IT MAT CONCIRN:

According to Indiana & Michigan Electric Company records, 'he individual identified above was potentially exposed to ionising radiation and radioactive material in the course of employment from 23SEP95 to 0400785 while at the Donald C. Cook Nuclear Plan t in Bridgman, Michigan. The records indicate that the individual was exposed to 969.251 Ken whole body dose during that time.

The records of exposure to external radiation, airborne radioactivity, and of the analyses of radioactive material retained in the body are shown on the a ttached report (s).

This report is furnished to you under the provisions of the Nuclear RegIlatory Commission, Regulation 10CFR Part 19. You should preserve this report for future reference.

I l Tery truly yours, l

l AHgedt9'-

Plant Radiation Protection Supervisor cc:

(- Director of Inspection and Inforcement U.S. Nuclear Regulatory Commission Yashington, D.C. 2e555 I- -

- Page 2 of 2 TINAL EIPOSURE REPORT TOLLOVING IMPLOYMINT TIRMINATION AD. 1 IMPLOTIE NAME:

SOCI AL SECU?.ITT NUMBIB'r gemmuuseen Al 31 GINNING IIPOSURE DATE TOR THIS ST AT AT SITE: 23SEP85 Al LAST IIPOSURE DATE FOR THIS STAT AT SITE: 040Ct85 v.4/F TOTAL VHOLI 30DT RECE!YED THIS STAT AT SITE: 000.251 Rem RICORD IIPOSUPI AT SITE ET QUARTER FOR THE LAST IIGHT QUARTERS:

Quarter Gamma MPC Beta Neutron Extremity Period (Rem) (Brs) (Rem) (Rem) (Rem) 010C785 00.127 000.0 00.013 00.000 , S4.127 01JUL84 00.124 000.0 00.000 00.124 01APR85 00.480 000.0 0 0. O re' ',29.-600 00.000 00.480 e1JAN35 00.000 000.0 00.000 00.000 00.000 310CT84 00.000 000.0' 00.000 00.000 00.000 1 01JUL84 00.000 '000.2 00.000 00.000 00.000 _

01APR84 00.000 000.0 00.000 00.000 00.000 '

02JAN84

' 00.000 000.0 00.000 00.000 00.000 DATE OF LAST WECLE BODY COUNT: 235EP85 RISULTS OF LAST VHOLE 30DT COUNT:

Isotopes Reading Percent detected (Nano-C1) NP3B C 3,00 c 3. CS-137 JS .3_. 0 03 0.0 2.0 (c.CS-134_ cs 2.000 0.0 1.0 TOTAL PERCENT MP33 : 0.0 RIMARKS:

l l

l

INOlVIDUAL OCCUPATIONAL AADIATION EXPOSURE REPORT vorm s<a s 2 <nrw LICENSEE Duke Power Company Employse's Name I

/l l REPORTING: Nuclear Production Orpartment P. O. Box 33189 Employee's Address: .ag 3 Charlotte, N.C. 282 '2 I v.,r $ h M S 2 40(p]

LICENSE ONS: OPR 38,47,55 O Ssat Sah No. .6>5 NUMBER (S) MNS: NPF 9,17 O HP Badge No. 21 M A CNS: NPF M % I CmdSh 9 23' 39 db EMPLOYER (if different from licensee) Peded of Year (s)

Exoosed/ Employed: 1 M 4 fo I9T6 REQUIRED (10CFR 19.13 (d)] MONITORING ACCOMPLISHED BY: TLD Y REQUESTED (10CFR 19.13 (b or c)] O Pocket DosimeterO PROMPT ESTIMATE [10CFR 19.13 (e)) O Calculation O EXTERNAL EXPOSURE INFO _HMATION _

Whole Body Dose (Rems) "Extremity Dose (Rems)

Period (s) Of Exposure Neutron (R ms Hand & Forearm Feet & Ankles amg

% u.a.u s i,.so.se o. coo- h c.eco q.1 74 4 /Ol.14 "MONITORING NOT RiQUIRF.D"

1. . # . 75 4, 1 14.Scs "MONITORING NOT Rl: QUIRED" _

I I

I I

I TOTA LS: O.000 O.000 INTERNAL EXPOSURE INFORMATION TO THE INDIVIOUAL NAMED ABOVE:

Organ (s) THIS REPORT IS FURNISHED TO YOU UNDER LUNGS .

THE PROVISIONS OF THE NuGLEAR REGU-Nuc; ides LATORY COMMISSION REGULATIONS 10 NONE CFR, PART 19. YOU SHOULD PRES RVE Dose (Rems) THIS REPORT FOR FUTURE REFERENCE.

0.0 n.3.p

• sun do e vnwn tetow is the sum of Y, & n, h BODY BURDEN ANALYSIS NOT REQUIRED C

• • Total entrecruty thine is the sum of tre eatiemsty dame and the sksi dime COPIES TO: NRC Y $ d tw6ow.

PL Y  %. 7 Q .$r,[.4 SYSTEM HE ALTH PHYSICIST DATE

p

',.[g 7 Arizona Nuclear Power Project P o Box $2034 e PMotair, AmiloN A 45072 2034 STATION 6005 Mr. Rob /M Report Date: Octr4er 17, 19858 3' S.S.l: W/;ssMrJEIS Peoria. Arizona 85345 -

00D: August 71 1952 W l

Dear Mr. Welch:

l Flease be advised that whiie assigned work at Palo Verde Nuclear Generating Station during the periods listed below, you received the following occupational exposure to ionizing radiation.

Periods of Exposure Whole Body Skin of W.B. Extremities To Camma Neutron Hands feet From Left Right Left Right 0.000 0.000 0.000 i l/// 11-15-83_to I M 1-63 0.000d7] iot Monitored 0.000 0.000 1-1-8 N 12-31-04 0.000 fot Monitored 0.000 0.000 0.000 0.000 0.000 l l-4 to 9-16-85/7// 0.000 fot Monitored 0.000 0.000 0.000 0.000 0.000 TOTALS 0.000 0.000 0.000 0.000 0.000 0.000 Monitoring was accomplished by Thermo!uminescent Dosimetry, unicss otherwise 14.ticated.

Skin includes non-penetrating and penetrating exposures. Extremities include penetrating extremity doses plus penetrating exposures received when the extremities were not spect-fically monitored. All exposures are reported in Rem.

Bloassay results Nn sient rie,ne aceiviev _

This report is furnished to you under the provisions of the l'ni:cd States Nuclear Regul.1-tory Commission regulation 10 CFR Part 19, entitled "Notices, la;tructions, and b ports to Workers: Inspections." You should preserve this report for 'urther reference. ,

I Sincerely.

f' b $Y$

]Nlichael W. Lantz s dtation Protection Support Supervisor

" -lear Cecerating Stattan cci Petu rnet .(posure file VOTE FOR p474 For Re <rds Exposures Only:

Director Office of Inspection ind Enfo PLEAsg KEV THE REMT-U.S. Nuclear Regulatory Commisston iN THIS pg EIICETS

% sntngton, D.C. 20555 M FER TCP CODEp SHEETS.

"Accredtted by the Nation.1L Cureau of

\ccreditatton Program for selected test. ......

Radtatton Dostmetry Processing Serstees."

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