ML20148T361
| ML20148T361 | |
| Person / Time | |
|---|---|
| Issue date: | 06/30/1997 |
| From: | Mace M, Pellegrino L NRC OFFICE OF ADMINISTRATION (ADM), PURDUE RESEARCH FOUNDATION |
| To: | |
| References | |
| CON-FIN-W-6749, CON-NRC-04-97-046, CON-NRC-4-97-46 NUDOCS 9707090074 | |
| Download: ML20148T361 (117) | |
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- 1. THIS CONTRACI 15 A RATED ORDER RATING PAGE OF PAGts AWARD / CONTRACT UNDER DPAS (15 CFR 350) 1 46
- 2. CONTRACT (Proc. Inst. Ident.) NO.
- 3. EFFECTIVE DATE 4 REQUISITION / PURCHASE REQUEST / PROJECT NO.
NRC-04-97 046 07/01/97 RES-97-046/RES-C97-009
- 5. ISSut'D BY CODE l
- 6. ADMINISTERED BT CODE l (if other than item 5)
U.S. Nuclear Regulatory Commission Division of Contracts and Property Management Washington, DC 20555
- 7. NAME AND ADDRESS OF CONTRACTOR
- 8. DELIVERY (No., street, city, county, State, and ZIP Code)
O m em 9 me m ma l
Purdue Research Foundation destination 1021 Hovde Hall
. West Lafayette, IN 47907-1021
- 9. DISCOUNT FOR PROMPT PAYMENT net 30
]
- 10. SUBMIT INVOICES ITEM
(
4 copies unless j
otherwise specified) TO l
5 CODE l FACILITY CODE THE ADDRESS SHOWN IN:
- 11. $ HIP T0/ MARK FOR CODEj
- 12. PAYMENT WILL BE 4ADE BY CODE l U.S. Nuclear Regulatory Comission U.S. Nuclear Regulatory Comission l
Of fice of Nuclear Regulatory Division of Accounting and Finance Research, MS T-10E46 MS T-9 H-4 i
l
'tshington, DC 20555 Wa*,hington, DC 20555 l
l l
- 13. AUTHORITY FOR USING GTPER THAN FULL AND OPEN
- 14. ACCOL4T! G AND APPROPRIATION DATA l
COMPETITION:
31x0200 76015115005 W6749 252A
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O 10 uSC 2304(c)(
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O 41 uSC 253(c)(
)
l 15A. 1 TEM NO.
158. SUPPLIES / SERVICES 15C. QUANTITV' 150. UNIT 15E. UNIT PRICE i 15F. AMOUNT i
l See Section B l
0 /
OOV i
l I
15G. TOTAL AMOUNT OF CONTRACT l $ 2.046.235
- 16. TABLE OF CONTENTS 1
l SEC.l DESCRIPTION lPAGE(S) l SEC.I DESCRIPTION l PACE (S)
PART I - THE SCHEDULE PART !! - CONTRACT CLAUSES x
A SOLICITATION / CONTRACT FORM 1
X l 1 lCONTRACT CLAUSES
! 35-44 i
X B
SUPPLIES OR SERVICES AND PRICES / COSTS 2-4 PAltf Ill - LIST OF DOCUMENTS. EXHIBITS AND OTHER ATT ACH.
l X
C DESCRIPTION / SPECS / WORK STATEMENT 5 13 X l J ILIST OF ATTACHMENTS l 46
]
i X
D PACKAGING AND MARKING 14 PART IV - REPRESENTATIONS AND INSTRUCTIONS X
E INSPECTION AND ACCEPTANCE 15 K
REPRESENTATIONS CERTIFICATIONS AND OTHERSTATEMENT$OFOFFERORS j
X F
DELIVERIES OR PERFORMANCE 16-19 X
G CONTRACT ADMINISTRATION DATA 21 23 L
INSTRS.CONDS. AND NOTICES TO OFFERORS K
H SPECI AL CONTR ACT REoutREMENTS 28-34 M
EVALUATION F ACTORS FOR AWARD I
M O
CONTRACTING OrFICER WILL COMPLETE ITEM 17 OR 18 AS APPLICABLE E}
17 @ CONTRACTOR'S NEGOTI ATED AGREEMENT (Contractor is 18.0 AWARD (Contractor is not required to sign this required to sign this document and return 1 copies to document.) Your of f er on Solicitation
- i issuing office.) Contractor agrees to fur sh and deliver Nurrber M
E all items or perform all the services set orth or other-including the additions or changes made by you which addi Z,
I Q wise identified above and on any continuat on sheets for tions or changes are set forth in full above, is hereby M" l 3.
the consideration stated herein. The rights and obliga-accepted as to the items listed above and on any continu- "E" l tions of the parties to this contract shall be subject to ation sheets. This award consununates the contract which f
2 'o
. and governed by the following documents: (a) this award /
consists of the following documents: (a) the Government's g.
N
' contract, (b) the soliciation, if any, and (c) such pro-solicitation and your offer, and (b) this award / contract.
0*
- visions, representations, certifications, and specifica-No further contractual document is necessary.
E i e-P l tions, as are attached or incorporated by reference
~
T I - herein. (Attachments are listed herein.)
h 19A. NAME AND TITLE OF SIGNER (type or print) b 20A. NAME OF CONTRACTING OFFICER h-l.OlJi5 Pellegrmo. C:rettor Mary N. mace oo 011 ice of Sponsored Programs Contrajtinoofficer h
19B. NAM F CONTRACTOR 19C. DATE SIGNED 208. UNI - SrATES OF RIC 20C. DATE SIGNED
(
G By t
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.s Signature of person author Med to sign)
(Sigr'fturTe o[f Contracting pf ficer)
M/"
J' STANDARD F0Ril 26 (REV. 4-85)
NSN 7540-01-152-8069 26-107 8
Prescribed by GSA PREVIOUS EDITION UNUSABLE A n A A fl 1 U U U U U 1 GPO 19850-469 794 FAR (48 CFR) 53.214(a) t' e$
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TABLE OF CONTENTS PAGE V
PART_I -'THE SCHEDULE 2
l SECTION B - SUPPLIES OR SERVICES AND PRICES / COSTS 2
B.1 PROJECT TITLE 2
L B.2 BRIEF DESCRIPTION OF WORK (MAR 198%
2 l
ALTERNATE 1 (JUN 1988)
B.3 CONSIDERATION AND OBLIGATION--TASK ORDERS (AUG 1989) 2 ALTERNATE 1 (JUN 1991)
B. 4.
INCORPORATION OF SMALL BUSINESS, SMALL DISADVANTAGED BU 4
WOMEN OWNED SMALL BUSINESS SUBCONTRACTING PLAN SECTION C - DESCRIPTION / SPECIFICATIONS / WORK STATEMENT 5
C.1 BACKGROUND 5
l~
C.2 OBJECTIVE 5
C.3 SCOPE OF WORK 6
C.3.1 TASK AREA A - MODERN CODE ARCHITECTURE 6
C.3.2 TASK AREA B - ADVANCED NUMERICAL SOLUTION SCHEME 6
l C.3.3 TASK AREA C - IMPROVED TWO-PHASE MODELING 7
L C.3.4 TASK AREA D - ACCURATE AND CONSISTENT CONSTITUTIVE 8
l MODELS AND CORRELATIONS f
C.3.5 TASK AREA E - GRAPHICAL USER INTERFACE (GUI).
10 L
C.3.6 TASK AREA F - EVALUATION OF COMPUTATIONAL FLUID 12' l
DYNAMICS (CFD) CAPABILITIES l
C.4 REPORTING REQUIREMENTS-13 C.5 MEETINGS AND TRAVEL 13 C.6 NRCAR 2052.215-83 TRAVEL APPROVALS (JAN 1993) 13 j
SECTION D - PACKAGING AND MARKING.................
14 i
D1 PACKAGING AND MARKING (MAR 1987) 14 SECTION E - INSPECTION AND ACCEPTANCE 15 E.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988) 15 E.2 PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987) 15 l
SECTION F - DELIVERIES OR PERFORMANCE 16 F.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988) 16 F.2 NRCAR 2052.212-70. PREPARATION OF TECHNICAL 16 i
REPORTS (JAN 1993) j' NRCAR 2052.212-71 TECHNICAL PROGRESS REPORT 16 F.3 l
.F.4 2052.212-72 FINANCIAL STATUS REPORT (DEC 1995) 17 l
.F.5 PLACE OF DELIVERY--REPORTS. (JUN -198 8) 19 l
F.6 DURATION OF_ CONTRACT PERIOD (MAR 1987) 19 l
ALTERNATE 4 (JUN'1988) l F.7 RESOLVING NRC CONTRACTOR DIFFERING PROFESSIONAL 19 VIEWS (DPVs) 21 SECTION G - CONTRACT ADMINISTRATION DATA I
G.1 NRCAR 2052.215-71 PROJECT OFFICER AUTHORITY 21 (JAN 1993)
G.~ 2 NRCAR 2052.215-82 TRAVEL REIMBURSEMENT 23 i
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._. - _ _.._ _.._. _ _. _ ~ _._ _.. _,_ _ _._. _._ _.- _. - _._..._.
I 1
1 TABLE OF CONTENTS PAGE
- ALTERNATE 1 (JAN 1993)-
G.3 NRCAR 2052.216-71 INDIRECT COST RATES (JAN 1993) 24 G.4 NRCAR 2052.216-74 TASK ORDER PROCEDURES (JAN 1993)
.24 G.5 NRCAR 2052.216-75 ACCELERATED TASK ORDER PROCEDURES (JA 26 G.6 ELECTRONIC PAYMENT.
26 28 I
SECTION H - SPECIAL CONTRACT REQUIREMENTS 28 H.1 NRCAR 2052 209-73 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST (JAN 1993)
H.2' NRCAR 2052.215-70 KEY PERSONNEL (JAN 1993) 32 H.3 NRCAR 2052.235-71 PUBLICATION OF RESEARCH 33 J
RESULTS - UNIVERSITIES (JAN 1993)
-34 H.4 NRCAR 2052.235-72 SAFETY, HEALTH, AND FIRE..
PROTECTION (JAN 1993)
PART II - CONTRACI CLAUSES 35 35 SECTION I - CONTRACT CLAUSES I.1 52.252-2 CLAUSES INCORPORATED.BY. REFERENCE -(JUN 1988) 35 I.2 52.216 ALLOWABLE COST AND PAYMENT (MAR 1997) 37 41 I.. 3 52.216-18 ORDERING (OCT 1995) 42 I.4 52.216-22 INDEFINITE QUANTITY (OCT 1995)
I.5 52.217-9 OPTION TO EXTEND THE TERM OF THE 42 CONTRACT (MAR 1989)
I.6 52.222-2 PAYMENT FOR OVERTIME PREMIUMS (JUL 1990) 43 I.7 52.242-4 CERTIFICATION OF INDIRECT COSTS (OCT 1995) 44
' PART.III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS 46 SECTION J - LIST OF ATTACHMENTS 46 46 l
J.1 ATTACHMENTS (MAR 1987) i i
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1 NRC-04-97-046 Section B I
PART I - THE SCHEDULE SECTION B'- SUPPLIES OR SERVICES AND PRICES / COSTS E.1 PROJECT TITLE The title of this project is as follows:
Thermal Hydraulic Research
[End of Clause]
J s
B.2 BRIEF DESCRIPTION OF WORK (MAR 1987)
ALTERNATE 1 (JUN 1988)
(a) Brief description of work:
The Contractor shall provide expert technical assistance (and/or small scale fundamental experiments) in the areas of:
modern code architecture and languages, advanced numerical methods including implicit integration and higher-order differencing techniques, new two-phase flow modeling techniques including interphase area transport and three field methods, support for the development of accurate and consistent constitutive models and correlations, development of a new graphical user interface, and evaluation of computational fluid dynamics capabilities.
(b) Orders will be issued for work required by the NRC in accordance with 52.216 Ordering.
Only Contracting Officers of the NRC or other individuals specifically auth rized under this contract may authorize the initiation of work under this contract. The provisions of this contract shall govern all orders issued hereunder.
L
[End of Clause]
j B.3 CONSIDERATION AND OBLIGATION--TASK ORDERS (AUG 1989) l ALTERNATE 1 (JUN 1991) l (a) The Maximum Ordering Limitation (MOL) for products and services ordered, delivered and accepted under the base period of this' contract is $2,046,235..The Contracting Officer may place orders with the contractor during the base contract i
period provided-the aggregate amount of such orders does not j
exceed the MOL.
1.
L (b) The guaranteed minimum obligated.by the Government under the j
l basic contract is $204,624.
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4 NRC-04-97-046 Section B
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B.3 (Continued)
(c) The Maximum Ordering Limitation (MOL) set above for the base contract period for products and services ordered, delivered and accepted under this contract may be increased by
$1,969,093 for Option Period On3.
The Contracting Officer may place orders with the contract 3r during Option Period One provided the aggregate amount'of such orders does not exceed the new MOL.
(d) The guaranteed minimum under this contract for Option Period One, if exercised, will be $196,909. If Option Period One is exercised, this minimum amount will be added to the minimum for the basic contract to establish a cumulative contract minimum guarantee.
The Government may satisfy this cumulative guaranteed minimum through sufficient obligations on task orders during the base contract period or by obligating I
sufficient funds via the contract modification which exercises Option Year One.
(e) The Maximum Ordering Limitation (MOL) set above for the l
contract base and option one periods for products and services ordered, delivered and accepted under this contract may be increased by $2,029,044 for Option Period Two.
The Contracting Off4ctr may place orders with the contractor during Option Period Two provided the aggregate amount of such orders does not exceed the new MOL.
(f) The guaranteed minimum under this contract for Option Period Two, if exercised, will be $202,904. If Option Period Two is exercised, this minimum amount will be added to the current cumulative guaranteed minimum.
The Government may satisfy this new cumulative guaranteed minimum through sufficient L
obligations on task orders during previous contract periods or l
by obligating sufficient funds via the contract modification l
which exercises Option Year Two.
1 (g) The Maximum Ordering Limitation (MOL) set above for the contract base and option one and two periods for products and j
services ordered, aelivered and accepted under this contract i
may be increased by $2,127,207 for option Period Three.
The Contracting Officer may place orders with the contractor during Option Period Three provided the aggregate amount of I
such orders does not exceed the new MvL.
(h) The guaranteed minimum under this contract for Option Period Three, if exercised, will be $212,721. If Option Period Three is exercised, this minimum amount will be added to the current cumulative guaranteed minimum. The Government may satisfy this i
new cumulative guaranteed minimum through sufficient obligations on task orders during previous contract periods or by obligating sufficient funds via the contract modification Page 3 of 46
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_.. ~. _ _ _ -. -. -.. -
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NRC-04-97-046 Section B t
B.3 (Continued).
t l
which exercises Option Year Three.
l (i)- The Maximum Ordering Limitacion (MOL) set above for the contract base and option one, two and three periods for products and services ordered, delivered and accepted under this centract may be increased by ^2,158,163 for Option Period Four.
The Contracting Officer may place orders with the contractor during Option Period Four provided the aggregate amount of such orders does not exceed the new MOL.
l (j) The guaranteed minimum under this contract for Option Period L
Four, if exercised, will be $215,816. If Option Period Four is l
exercised, this minimum amount will be added to the current l
cumulative guaranteed minimum. The Government may satisfy this new cumulative guaranteed minimum through sufficient obligations on task orders during the previous contract periods or by obligating sufficient funds via the contract s
L modification which exercises Option Year Four, l
(k) A total estimated cost as well as any fee, if any, willibe negotiated for each task order and will be incorporated as a ceiling in the resultant task order.
The Contractor shall comply with the provisions of 52.232 Limitation of Cost 1
for fully funded task orders and 52.232 Limitation of Funds for incrementally funded task orders, issued hereunder.
I i
i (End of Clause]
t B.4 INCORPORATION OF SMALL BUSINESS, SMALL DISADVANTAGED BUSINESS, L
AND WOMEN OWNED SMALL BUSINESS SUBCONTRACTING PLAN l
i small disadvantaged business and The contractor's small business, Women Owned Small Business subcontracting plan dated 5/22/97 is hereby by approved and incorporated into this contract'. A copy of the plan is attached in Section J of the contract.
[End of Clause]
i B.5-INCORPORATION OF REPRESENTATIONS AND CERTIFICATIONS Part IV _ (Sections K, L,
and M) of the solicitation is hereby removed from this contract award document. Section K as completed by the contractor is hereby incorporated into this contract by reference.
(End of Clause]
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Page 4 of.46 i
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NRC-04-97-046 Section C i
DESCRIPTION / SPECIFICATIONS / WORK STATEMENT l
SECTION C C.1 BACKGROUND r
Currently, the NRC maintains fou2 separate thermal hydraulic codes which are used to support the licensing process by analyzing complex transients, accidents, and off-normal conditions. The first of these is RELAPS which is maintained at INEL for small-break LOCA and plant transiant analysis of PWRs. Second is TRAC-P which is maintained at LANL and is used for large break LOCAs of PWRs.
The third code is TRAC-B and it is maintained by Scientech, Inc.
for detailed analysis of BWRs.
Finally, RAMONA which is maintained at BNL and is used for simplified BWR analysis and for situations which require three-dimensional kinetics models.
The cost of maintaining four codes at four separate sites has become prohibitive.
Also, due to these codes' age, inclusion of state-of-the-art features is impractical. Therefore, an NRC effort is being undertaken to consolidace the functionality of these codes into a single code.
This consolidation of the existing NRC thermal hydraulic codes will provide a solid capability that is easier to upgrade and maintain. The consolidated code will also include the following new elements on top of the current capabilities:
- implement modern code architecture,
- upgrade the numerical solution scheme,
- improve the two-phase flow model,
- improve the constitutive models and correlations,
- a new graphical user interface.
In addition, computational fluid dynamics capabilities will be investigated for possible future use.
Other improvements will also be made, but are not in the scope of this contract.
C.2 OBJECTIVE The objective of this contract is to provide expert technical assistance (and/or small scale fundamental experiments) in the i
areas of: modern code architecture and languages, advanced numerical methods including implicit integration and higher-order differencing techniques, new two-phase flow modeling techniques i
l including interphase area transport and three field methods, support for the development of accurate and consistent constitutive models and correlations, development of a new graphical user interface, and evaluation of computational fluid dynamics capabilities.
The research performed under this contract Page 5 of 46 l
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r NRC-04-97-046 Section C i
C.2 (Continued) will be incorporated into the consolidated NRC thermal hydraulic f
code via future contracts.
l C.3 SCOPE OF WORK This is a task ordering contract nde which al.1 task orders will be issued by the NRC Contracting Officer.
Task orders that will be defined to support the next generation code development will be in one of six general areas: (a) modern code architecture, (b) advanced numerical solution schemes, (c) improved two-phase modeling, (d) accurate and consistent constitutive models and correlations, (e) a graphical user interface, and (f) computational fluid dynamics capabilities.
Each task order will be issued in accordance with Section G Task Order Procedures.
C.3.1 TASK AREA A - MODERN CODE ARCHITECTURE The existing thermal hydraulic codes were developed more than ten years ago. At that time computers had very small memories and the cost of computer time was very high relative to the code developer time.
Because of these constraints, the codes had to be designed to run in very small amounts of CPU memory.
These criteria caused the codes to include a pseudo dynamic memory allocation scheme, bit packing, and other processes that make code maintenance difficult. Modern workstations, which have very large CPU
)
memories, possibly multiple CPUs, and virtually free computer time, do not have the constraints of the old machines and so modern codes are designed to minimize code developer time.
One way to minimize code maintenance is to use modern computer languages that have higher level structures and object programming i
capabilit!es.
The following is a list of functional characteristics, under Task Area A, that constitute the NRC's goals in developing modern code architecture in a modern computer languagt
- Adapts easily to parallel execution
- Highly readable code
- Portable across compilers and machines
- Modular coding
- Modern Languages
- Easily modified code database C.3.2 TASK AREA B - ADVANCED NUMERICAL SOLUTION SCHEME Because older computer hardware had small Random Access Memory, solution.of large matrices was difficult since fully implicit Page 6 of 46
Section C NRC-04-97-046 C.3.2 (Continued) techniques require the solution of large matrices, existing NRC thermal hydraulic codes use lower levels of implicitness.
One measure of the level of implicitness of a code is the number of variables included in the matrix solution.
Fully implicit methods include all seven dependent variables, semi-implicit techniques only include the pressure, and nearly implicit or SETS methods use two variables in the matrix solution.
Solution of large fully implicit matrices are now possible due to the improvements in matrix solution techniques and computer hardware over the last ten years.
Also work has been done to increase the ease of constructing these large matrices so code maintenance is not sacrificed by using fully implicit techniques.
The current generation of thermal hydraulics codes also depends highly on first order differencing techniques.
The use of first-order differencing and large control volume size leads to large amounts of numerical diffusion. These low order techniques were employed by the thermal hydraulics codes to help damp oscillatory behavior and also because h.gher order techniques lead to larger matrices and oscillatory behavior Higher order techniques are currently viable options that must be considered to help improve accuracy. Higher order differencing can now be considered due to the evolution of advanced matrix solvers and flux limiting techniques which remove the oscillatory or non-monotonic behavior of the higher order methods.
A list of solution scheme topics, under Task Area B, that require investigation for the next generation code is given below:
- Implicit numerics
- Iterative matrix solvers
- Higher-order differencing techniques
- Intelligent time step control
- Smooth transition as species appears and disappears
- Parallel execution IMPROVED TWO-PHASE MODELING C.3.3 TASK AREA C Current thermal hydraulic codes depend on flow regime maps to predict the interfacial area between the two phases.
The interfacial areas, from the flow regime map, are then used to calculate interfacial mass and energy transfer as well as l
l interfacial friction. Current flow regime maps are based on the assumptions of steady state, and fully developed flow.
These flow in regime maps can be discontinuous because very small changes state space can lead to a very different steady state flow regime.
Also, since the maps are static, they cannot resolve the time Page ;/of 46 1
NRC-04-97-046 Section C C.3.3 (Continued) scale over which flow regime transitions occur. Because of the assumptions of-steady state and fully developed flow, the flow regime maps give instantaneous flow regime changes and the inability to represent entry effects.
Improved two-phase modeling rely less on the flow regime maps and more on techniques that have some transient nature and can rep >ese : development length effects.
There are two promising approaches that may be considered for this modeling improvement.
The first is simply to include an interfacial area transport model.
This model would provide a partial differential equation, similar to a continuity equation, for the interfacial area's evolution.
This model will then allow transient and entry ef fects to be Inodeled.
The second approach i
would be to include a third droplet field as well as an interfacial transport mode, into the equation set.
In this approach the droplets are represented as a third fluid.
The volume fraction of the droplet field and the interfacial area can be used to represent the transition between flow regimes.
If the NRC chooses to pursue either of these approaches, a detailed analysis will be done to determine the availability of supporting experimental data. If the NRC determines that this experimental data base needs to be augmented, then experiments will be designed and run.
The data gathered will then be used both to develop the new model and to validate it afterwards.
The functions for this work will fall under Task Area C and will be in the following general two-phase flow modeling technical areas:
- Droplet field addition (three fluid)
- Interfacial area transport
- Interf.ase mass and energy transfer
- Interfacial friction
- Experiment design, execution, and data measurements C.3.4 TASK AREA D - ACCURATE AND CONSISTENT CONSTITUTIVE MODELS AND CORRELATIONS Because of the coarse computational mesh and the complex geometries used in system thermal hydraulics computations, many important physical phenomena cannot be accurately modeled from first principles.
The underlying physics therefore must be represented by constitutive models and correlations.
In the current generation of NRC thermal hydraulics codes, there are inconsistencies between codes on how these physical effects are included.
Each code represents a similar phenomenon with different constitutive models and correlations. Besides being Page 8 of 46
NRC-04-97-046 Section C l
C.3.4 (Continued) l inconsistent between codes, these correlations can be inceasistent l
with each other inside of a given code (i.e.,
the interfacial area used for mass transfer may not be the same interfacial area used i
for interfacial friction)
Also, many of the existing i
constitutive packages contain discontinuities.
These discontinuities can lead to numer' cal oscillations in the L
L solution.
For the next generation code, it is important to have constitutive j
models and correlations that are smooth (i.e.,
not discont nuous) and that work together to correctly represent the physics of the two phase flows.
To accomplish this one must know what data are currently available, where the gaps are in the existing data, and j
what experiments need to be run to fill the existing gaps. The NRC
]
will then determine which of these experiments will be conducted.
The experiments will then be run and the needed data will be gathered.
Once a complete data set is availacle, a complete constitutive package needs to be constructed to represent the physics of interfacial mass, momentum and energy transfer as well as mass, energy, and momentum transfer between both phases and the wall.
Other models are also required to represent components whose physics are not resolved by the computational mesh of the reactor.
In addition to the above topics, the following is a list of two-phase models that also need improvement for the new code.
j l
First, improvements need to be made in the area of stratified i
flow, level tracking, and entrainment.
These models will improve L
the new code's ability to. accurately represent the physics required to simulate the behavior of the AP600 reactor.
The j
i second area is critical flow modeling. Since a LOCA depends on the critical flow model to determine the boundary condition for the simulation, the critical flow model in part determines the accuracy of the rest of the simulation.
The next specific area deals with interphase and wall interactions.
Work needs to be done on interphase mass, momentum and energy transfer as discussed l
above.
The wall interactions, momentum, and energy transfer, also need to be modeled more consistently. The fourth area is correctly l
l modeling the pressure drop in piping systems at low pressures and flow rates.
The final area is the construction of specific i
component models.
These component models need to be designed to l
represent the important physics without having to include an l
excessively large amount of computational effort.
l If the NRC chooses to incorporate any of these new models into the next generation code, a review of all existing experimental data for the model will be done.
If the NRC determines that the existing data is incomplete, then new experiments will be run to provide the data necessary to develop and validate the new model.
The constitutive model and correlation functions under Task Area D i
Page 9 of 46 l'
NRC-04-97-046 Section C C.3.4 (Continued) will be related to the following technical areas:
- Knowledge of existing experimental databases
- Phenomenology
- Experimental design
- Modern measuring techniques
- Model generation from data
- Scaling
- Integration of models and correlations into a single consistent set
- Stratified flow
- Entrainment
- Level tracking
- Interphase mass and energy transfer (condensation and flashing)
- Pressure drops (low pressure and low flow)
- Critical flow
- Component specific models C.3.5 TASK AREA E - GRAPHICAL USER INTERFACE (GUI)
As compu-er cost decreases and computer speed increases, more of a project's cost is engineer time.
There are two large blocks of time spent by the analyst / engineer.
The first is the construction j
of the input, which describes the reactor or experimental facility j
geometry, boundary conditions, and the initial conditions for each l
control volume, trip, and heat slab. The second is analyzing the l
results of the simulation, which often includes comparing the l
computational results to data.
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A thermal hydraulics code produces output which includes the state of each control volume for each time of interest.
An analyst, who is running the thermal hydraulics code, needs a set of graphical tools to display this data.
The GUI also graphically assists in the construction of input data for a facility.
In addition, the GUI provides version and access control of these files. Finally, the GUI provides tools to display and analyze the results of the calculation, while it is running and after the calculation has been completed.
Page 10 of 46
i NRC-04-97-046 Section C C.3.5 (Continued) f This GUI must make it easy for.the analyst to enter all of the geometry information required to' describe the reactor and to f
initialize the problem. This is accomplished by having an l
expandable library of basic and composite components.
Basic components include such items as ~anufacturing standards (e.g.,
pipe schedules) and code-specific components (e.g.,
pipes, tees, pumps, etc.). Composite components include larger component items
[
such as reactor vessels, CMTs, steam generators, and also entire facility input models which have been previously constructed. In such a manner, a library of reactor plants and experimental facilities could be built up. Basic and composite components are graphically represented on the user's screen. The GUI is able to
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save the input model for the code version it was created for, and also guide the user through the process of exporting the input f
model to another code version. In addition, the GUI allows the l
user to print or export the graphical representation of the input model.
j To protect the large investment in current input decks for the old thermal-hydraulics codes, the GUI must provide the ability to translate between the input of an old code and the input of the new consolidated code. Although this process cannot be completely l
automated, since the new code may have different basic components than an old code, the GUI minimizes the amount of human intervention required.
This translator code is developed in a modular fashion that will enable the translation of a additional code's input with minimal work.
l During and after the calculation is performed, the user needs a
[
large set of tools for displaying and analyzing results.
This capability includes using the graphical representation of the
{
input model to show the state of the system.
The user is able to i
pick components and be given a list of plots to choose from for l
output.
The GUI offers a large selection of output options, allowing the user to print to a printer or save the results in standard formats such as ASCII, postscript, GIF, JPEG, and so on.
l The GUI must also provide the following advanced features,.
- First, it must provide an error checking capability to insure that the geometry information is consistent and reasonable (e.g.,
no i
negative volumes).
Similar checks must be.aade on the initial conditions to insure their integrity.
The second advanced feature
]
will be to include an artificial intelligence capability to provide warnings and suggestions to the analyst to improve the accuracy, speed, and robustness of the simulation.
The third area includes development of a database that maintains records of the important inputs and outputs of the code. For example, a basic input deck that describes a given reactor exists in a database so a new analyst does not have to redo work already done before. The
.+
GUI allows an analyst to start a project file; input models, Page 11 of 46 i
1
Section C NRC-04-97-046 C.3.5 (Continued) output files, restart files, graphs, drawings, reports, and other documents.
This database also makes it easy to store and rotrieve input and output from all of the developmental assessment problems. The following is a list of general functions under Task Area E which will be needed for the development of a new graphical user interface.
- Machine and operating system independent graphics
- Scripting language development I
- Human factors knowledge
- Object oriented coding
- File format I/O and conversion
- Large di ta corc.pression and storage Expert system development
- Nuclear reactor operation knowledge
- Thermal hydraulic code knowledge
- Database design EVALUATION OF COMPUTATIONAL FLUID C.3.6 TASK AREA F DYNAMICS (CFD) CAPABILITIES There are times when a systems thermal hydraulic code, with its l
relatively coarse spatial discretization, cannot resolve the flow field to the required level of accuracy.
In these cases a CFD code may be used to calculate the answer. A large number of CFD codes are available in both the commercial and government sectors.
An evaluation of these codes will be performed to determine which of these tools is added to the NRC's suite of analysis codes.
This evaluation process will have three goals.
The first is to provide the analyst with a new capability that the current system-level codes do not have.
The second is to determine if any of the methods currently used in CFD codes are mature enough and simple enough to include in the next generation thermal hydraulics code.
Finally, the ability to efficiently use system codes to provide boundary conditions for_CFD codes and vice versa needs to be developed.
The following is a partial list of general computational fluid dynamics capabilities which will be investigated.
- Complex fluid interfaces i
i
\\
Page 12 of 46 i
i
i NRC-04-97-046 Section C a
i C.3.6 (Continued)
)
- Irregular geometry
- Viscous and turbulent multi-phase flow
- Droplets and bubbles
- Interface tracking
- Adaptive meshing i
- Subgrid scale modeling C.4 REPORTING REQUIREMENTS i
The contractor will document the results of the research in the report form specified in each task order conforming to the guidelines in NUREG-0650 (Revision 1), Technical Writing Style Guide, November 1990 and NRC HandLook 3.8 (See Section F.2 and Section J).
C.5 MEETINGS AND TRAVEL Specific requirements for meetings and travel will be specified in j
each task order issued under the contract.
l
[End of Clause]
C.6 NRCAR 2052.215-83 TRAVEL APPROVALS (JAN 1993) l (a) All domestic travel requires the prior approval of the project officer.
(b) All foreign travel must be approved in advance by the NRC on NRC Form 445 and must be in compliance with FAR 52.247-63 Preference for U.S.
Flag Air Carriers.
Foreign travel approval must be communicated in writing through the contracting officer.
[End of Clause) i
(
l Page 13 of 46
NRC-04-97-046 Section E l
SECTION E - INSPECTION AND ACCEPTANCE E.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988) i This contract incorporates one or more clauses by reference, if they were given in full text.
with the same force and effect as Upon request, the Contracting Officer will make their full text available.
I.
FEDERAL ACQUISITION REGULATION (4 8 CFR CHAPTER 1) CLAUSES NUMBER TITLE DATE 1
52.246-8 INSPECTION OF RESEARCH AND APR 1984 DEVELOPMENT - COST-REIMBURSEMENT
[End of Clause:
E.2 PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987)
Inspection and acceptance of the deliverable items to be furnished hereunder shall be made by the Project Officer at the destination.
[End of Clause]
i Page 15 of 46
~. -
NRC-04-97-046 Section F SECTION F - DELIVERIES OR PERFORMANCE I
F.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988)
This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text.
Upon request, the Contracting Officer will make their full text available.
l i
I.
FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES NUMBER TITLE DATE 52.242-15 STOP-WORK ORDER AUG 1989 Alternate I (APR 1984)
[End of Cltase,'
F.2 NRCAR 2052.212-70 PREPARATION OF TECHNICAL REPORTS (JAN 1993)
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 Management Directive 3.8, l
" Unclassified Contractor and Grantee Publications in the NUREG Series."
Management Directive 3.8 is not applicable to any Contractor Spending Plan (CSP) and any Financial Status Report that may be included in this contract.
(See Section J for List of Attachments).
[End of Clause]
F.3 NRCAR 2052.212-71 TECHNICAL PROGRESS REPORT l
l The contractor shall provide a monthly Technical Progress Report l
to the project officer and the contracting officer. The report is due within 15 calendar days after the end of the report period and j
must identify the title of the project, the contract number, job code number, project manager and/or principal investigator, the contract period of performance, and the period covered by the report.
Each report must include the following for each discrete task / task order:
I (a) A listing.of the efforts completed during the period,.and 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 Page 16 of 46
NRC-04-97-046 Section F f
F.3 (Continued) i requirements, level of effort (cost) or schedule delay, the contractor shall submit a separate letter to the contracting officer identifying the required change and estimated cost impact.
(c) A summary of progress to date; a n ;.
(d) Plans for the next reporting period.
[End of Clause]
i F.4 2052.212-72 FINANCIAL STATUS REPORT (DEC 1995)
The contractor shall provide a monthly Financial Status Report to the project officer and the contracting officer.
- Also, whenever the report reference the acquisition of, or changes in j
status of, property valued at the time of purchase at $50,000 or j
more, seno a copy of the report to the Chief, Property Management Branch, Division of Facilities and Property Management Office of Administration.
The report is due within 15 calandar days after the end of the report period and shall identify the title of the project, the contract number, job code, project manager and/or principal investigator, the contract period or performance, and l
the period covered by the report. Each report must include the l
following for each discrete task:
(a) Total estimated contract amount.
(b) Total funds obligated to date.
(c) Total ;osts incurred this reporting period.
(d) Total costs incurred to date.
(e) Detail of all direct and indirect costs incurred during the i
reporting period for the entire contract or each task, if it is a task ordering contract.
(f) Balance of obligations remaining.
y I
(g) Balance of funds required to complete contract / task order.
(h) Contractor Spending Plan (CSP) status:
(1) Projected percentage of completion cumulative through the report period for the project / task order as reflected in the current CSP.
(2) Indicate if there has been a significant change in the original CSP projection in either dollars or percentage of completion.
Identify the change, the reasons _for the Page 17 of 46
NRC-04-97-046 Section F F.4
.(Continued) change, whether there is any projected overrun, and when additional funds would be required.
If there have been no changes to the original NRC-approved CSP projections, a written statement to that effect is sufficient in lieu of submitting a detailed response to item h.
j l
(3) A revised ESP is required with the Financial Status Report whenever the contractor or the contracting officer has reason to believe that the total cost for performance of this c.ntract.will be either greater or substantially
]
less than what had been previously estimated.
j i
4 (i) Property status:
(1) List property acquired for the project during the month with an acquisition cost of $500 or more and less than S50,000.
Give the item number for the specific piece of equipment.
i (2) List property acquired for the project during the month with an acquisition cost of $50,000 or more.
Provide the following information for each item of property:
item description or nomenclature, manufacturer, model number, serial number, acquisition cost, and receipt'date.
If no property was acquired during the month,. include a statement to that effect.
Note:
The same information shall be provided for any component or peripheral j
equipment which is part of a " system or system unit."
(3) For multi-year projects, in the September monthly fiancial status report provide a cumulative listing of property with an acquisition cost of $50,000 or more
($5,000 or more if purchased prior to October 1, 1995) showing the above information.
i (4) In the final monthly status report provide a closeout property report containing the same elements as described above for the monthly financial status reports, for all property purchased with NRC funds regardless of value unless title has been vested in the contractor..
If no property was acquired under the contract, provide a statement to that effect.
The report should note any property requiring special handling for security, health, L
safety, or other reasons as part of the report.
I (j) Travel status:
List the starting and end dates for each trip, the starting point and destination, and the traveler (s) for each trip.
Page 18 of 46 l
l l
Section r NRC-04-97-046 F.4 (Continued)
If the data in this report indicates a need for additional funding beyond that already obligated, this information may only be used as support to the official request for funding required in accordance with the Limitation of Cost (LOC) Clause (FAR 52.232-
- 20) or the Limitation of Funds (LOM C'ause (FAR 52.232-22)
(End of Clause]
F.5 PLACE OF DELIVERY--REPORTS (JUN 1988)
The items to be furnished hereunder shall be delivered, with all charges paid by the Contractor, to:
(a) Project Officer (1 copies)
U.S. Nuclear Regulatory Commission Office of Nuclear Regulatory Research Attn: Jennifer Uhle, MS T-10-3-6 Washinton, DC 20555 l
(b) Contracting Officer (1 copy) l
[End of Clause) l F.6 DURATION OF CONTRACT PERIOD (MAR 1987)
ALTERNATE 4 (JUN 1988)
The ordering period for this contract shall commence on the f
contract effective date (block 3 of SF 26) and will expire 12 l
months thereafter.
Any orders issued during this pericd shall be completed within the time specified in the order, unless otherwise specified herein. (See 52.216 Ordering.)
The term of this contract may be extended at the option of the Government for an additional four successive one-year periods.
[End of Clause) i F.7 RESOLVING NRC CONTRACTOR DIFFERING PROFESSIONAL l
VIEWS (DPVs)
The Nuclear Regulation Commission's (NRC) policy is to support the contractor's expression of professional health and safety related concerns associated with the contractor's work for NRC that (1) may differ from a prevailing NRC staff view, (2) disagree or (3) take issue with with an NRC decision or policy position, An occasion may arise proposed or established agency practices.
when an NRC contractor, contractor's personnel, or subcontractor personnel believes that a conscientious expression of a competent Page 19 of 46
1 I
NRC 97 - 04 6 Section F l
F.7 (Continued) j judgement is. required to document such concerns on matters directly associated with its performance of the contract.
The i
procedure that will be used provides for the expression and resolution of differing professional' views (DPVs) of health and safety related concerns associated 'vith the mission of the agency by NRC contractors, contractor personnel or subcontractor personnel on matters directly associated with its performance of l
the contract, may be found in Section J of the solicitation.
The i
contractor shall provide a copy of the NRC DPV procedure to all of its employees performing under this contract and to all subcontractors who shall, in turn, provide a copy of the procedure-to its employees.
NOTE:
The prime contractor or subcontractor shall submit all DPV's received, but need not endorse them.
[End of Clause]
1 1
I l
l l
l l
l i
l 1
1 1
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i Page 20 of 46
NRC-04-97-046 Section G I
SECTION G - CONTRACT ADMINISTRATION DATA
)
G.1 NRCAR 2052.215-71 PROJECT OFFICER AUTHORITY (JAN 1993)
(a) The contracting officer's authorized representative hereinafter referred to as the project officer for this contract is:
Name:
Jennifer Uhle Address:
U.S.
Nuclear Regulatory Research MS T-10-G-6 washington, DC 20555 Telephone Number: 301-415-6023 (b) Performance of the work under this contract is subject to the technical direction of the NRC project officer.
The term technical direction is defined to include the following:
1 l
(1) Technical direction to the contractor which shifts work i
emphasis between areas of work or tasks, fills in i
details, or otherwise serves to accomplish the contractual statement of work.
(2) Provide advice and guidance to the contractor in the i
l preparation of drawings, specifications, or technical l
pcrtions of the work description.
i (3) Review and, where required by the contract, approval of l
L technical drawings, specifications, and technical information to be delivered by the contractor to the Government under the contract.
l (c) Technical direction must be within the general statement of j
work stated in the contract.
The project officer does not l
have the authority to and may not issue any technical I
direction which:
l (1) Constitutes an assignment of work outside the general 1
scope of the contract.
l (2) Constitutes a change as defined in the " Changes" clause i
of this contract.
(3) In any way causes an increase or decrease in the total Page 21 of 46 3
1
- ~.
. ~ - -.
- - ~
l l
l l
NRC-04-97-046 Section G G.1' (Continued) l
\\
l estimated contract cost, the fixed fee, if any, or the l
time required for contract performance.
(4) Changes any of the expressed terms, conditions, or specifications of the concract (5) Terminates the contract, settles any claim or dispute l
arising under the contract, or issues any unilateral directive whatever.
(d) All technical directions must be issued in writing by the project officer or must be confirmed by the project officer in writing within ten (10) working days after verbal issuance.
A copy of the written direction must be furnished to the contracting officer.
(e) The contractor shall proceed promptly with the performance of technical directions duly iss".ed by the project officer in the manner. prescribed by this claase and within the project j
officer's authority under the provisions of this clause.
(f) If, in the opinion of the contractor, any instruction or l
direction issued by the project officer is within one of the l
categories as defined in paragraph (c) of this section, the contractor may not proceed but shall notify the contracting officer in writing within five (5) working days after the receipt of any instruction or direction and shall request the contracting officer to modify the contract accordingly.
Upon receiving the notification from the contractor, the contracting officer shall issue an appropriate contract modification or advise the contractor in writing that, in the i
contracting officer's opinion, the technical direction is j
within the scope of this article and does not constitute a j
change under the " Changes" clause.
(g) Any unauthorized commitment or direction issued by the project officer may result in an unnecessary delay in the contractor's performance and may even result in the contractor expending funds for unallowable costs under the contract.
(h) A failure of the parties to agree upon the nature of the instruction or direction or upon the contract action to be i
taken with respect there to is subject to FAR 52.233 (
Disputes.
l (i) In addition to providing technical direction as defined in I
paragraph (b) of the section, the project officer shall:
(1) Monitor the contractor's technical progress, including surveillance and assessment of performance, and recommend to the contracting officer changes in requirements.
I L
Page 22 of 46
-~
NRC-04-97-046 Section G G.1 (Continued)
(2) Assist the contractor in the resolution of technical problems encourtered during performance.
(3) Review all costs requested for reimbursement by the contractor and submit to the contracting officer recommendations for approval, disapproval, or suspension of payment for supplies and services required under this contract.
[End of Clause]
G.2 NRCAR 2052.215-82 TRAVEL REIMBUPSEMENT
- ALTERNATE 1 (JAN 1993)
(a) The contractor is encouraged to use Government contract airlines, AMTRAK rail services, and discount hotel / motel properties in order to reduce the cost of travel under this contract.
The contracting office _ shall, upon request, provide each traveler with a letter of identification which is
)
required in order to participate in this program.
The Federal Travel Directory (FTD) identifies carriers, contract fares, schedules, payment conditions, and hotel / motel properties which offer their services and rates to Government contractor personnel traveling on official business under this contract.
The FTD, which is issued monthly, may be purchased from the U.S.
Government Printing Office, Washington, DC 20402.
(b) The contractor will be reimbursed for reasonable travel costs i
4 incurred directly and specifically in the performance of this contract.
The cost limitations for travel costs are determined in accordance with the specific travel regulations cited in FAR 31.205-46, as are in effect on the'date of the trip Travel costs for research and related activities performed at State and nonprofit institutions, in accordance I
with Section 12 of Pub.
L.
100-679, shall be charged in accordance with the contractor's institutional policy to the degree that the limitations of Office of Management and Budget l
(OMB) guidance are not exceeded.
Applicable guidance j
documents include OMB Circular A-87, Cost Principles for State j
l and Local Governments; OMB Circular A-122, Cost Principles for Nonprofit Organizations; and OMB Circular A-21, Cost Principles for Educational Institutions.
1 (c) When the Government changes the Federal Travel Regulations, or other applicable regulations, it is the responsibility of the contractor to notify the contracting officer in accordance with the L. imitations of Cost clause of this contract if the contractor w.ll be unable to make all cf the approved trips and remain within the cost and fee limitations of this contract due to the changes.
Page 23 of 46 i
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NR'C-04-97-046 Section G i
l l
G.2 (Continued)
(End of Clause)
L G.3 NRCAR 2052.216-71 INDIRECT COST RATES (JAN 1993)
(a) Pending the establishment of rinal indirect rates which must be.egot:ated based on audit of actual costs, *he contracta:
shall be reimbursed for allowable indirect costs as follows:
n, ~,
oma ma n---
(in The contracting officer may adjust the above rates as appropriate during the term of :he contract upon acceptance of any revisions propos'ed by the contrmator It is the j
contractor's responsibility to notify the contracting office:
in accordance with FAR 52.232-20, Limitation of Cost, or FAR 52.232-22, Limitation of Funds, as applicable, if these j
changes affect performance of work within the established cost or funding limitations.
j i
(End of Clause]
G.4 NRCAR 2052.216-74 TASK ORDER PROCEDURES (JAN 1993)
(a) Task order request for proposal When a requirement within the-scope of work for this centract.is identified, the contracting officer shall transmit-to the contractor a Task order Request for Proposal (TORP) which includes the following as appropriate:
i (1) Scope of work /me, tings / travel and deliverables; 1
(2) Reporting requirements; i
(3) Period of performance - place of performance; l
(4) Applicable special provisions; i
(5) Technical skills required; and (6) Estimated level of effort.
(b) - Task order proposal. By the date specified in the TORP, the j
contractor shall deliver to the contracting officer a written proposal that provides the following technical and cost information, as appropriate:
Page 24 of 46 i
1
-~_
NRC-04-97-046 Section G G.4 (Continued)
(i) A discussion of the scope of work requirements.to substantiate the contractor's understanding of the requirements of the task order and the contractor's proposed method of approach to meet the objective of the order.
(ii) Resumes for professional personnel proposed to be utilized in the performance of any resulting task order.
Include educational background, spe.ific pertinent work experience, and a list of any pertinent publications authored by the individual.
(iii) Identification of administrative support personnel and/or facilities that are needed to assist the professional personnel in completing work on the task order.
(iv) Identification of " Key versonnel" and the number of staff hours that will be committed to completion of work on the task order.
(2) Cost proposal.
The contractor's cost proposal for each task order must be prepared using Standard Form 1411, Contract Pricing Propcsal cover sheet.
A copy of the form and instructions are attached to this contract. Each task order cost proposal must be fully supported by cost and pricing data adequa :e to establish the reasonableness of the proposed amounts.
When the contractor's estimated cost for the proposed task order exceeds $100,000 and the period of performance exceeds six months, the contractor may be required to submit a. Contractor Spending Plan (CSP) as part of its cost proposal.
The TORF indicates if a CSP is required.
(c) Task order award.
The contractor shall perform all work described in definitized task orders issued by the contracting officer.
Definitized task orders include the following:
(1) Statement of work / meetings / travel and deliverables; (2) Reporting requirements; (3) Period of performance;
(
(4) Key personnel; (S) Applicable special provisions; and (6) Total task order amount including any fixed fee.
Page ;25 of 46 l
NRC-04-97-046 Section a j
i G.4 (Continued) l
[End of Clause]
{
G.5 NRCAR 2052.216-75 ACCELERATED TASK ORDER PROCEDURES (JAN 1993)
(a) The NRC may require the contractor to commence work before receipt of a definitized task order from the contracting officer.
Accordingly, when the contracting officer verbally authorizes the work, the contractor shall proceed with performance of the task order subject to the monetary limitation est blished for the task order by the contracting officer.
(b) When this accelerated procedure is employed by the NRC, the contractor agrees to begin promptly negotiating with the contracting officer the terms of the definitive task order and i
agrees to submit a cost proposal with supporting cost or i
pricing data.
If agreement on a definitized task order is not reached by the target date mutually agreed upon by the contractor and contracting of :icer, the contracting officer may determine a reasonable price and/or fee in accordance with Subpart 15.8 and Part 31 of the FAR, subject to contractor appeal as provided in 52.233-1, Disputes.
In any event, the contractor shall proceed with completion of the task order, subject only to the monetary limitation established by the contracting officer and the terms and conditions of the basic contract.
(End of Clause)
G.6 ELECTRONIC PAYMENT The Debt Collection Improvement Act of 1996 requires that all l
payments except IRS tax refunds be made by Electronic Funds Transfer.
It is the policy of the Nuclear Regulatory Commission to pay vendors by the Automated Clearing House (ACH) electronic funds transfer payment system.
The electronic system is known as Vendor Express.
Payment shall be made in accordance with FAR 52.232-33, entitled " Mandatory Information for Electronic Funds Transfer Payment" To receive payment, the contractor shall complete the " Company Information" portion of the Standard Form 3881, entitled "ACH Vendor / Miscellaneous Payment Enrollment Form" found in Section J.
The contractor shall take the form to the ACH Coordinator at the financial institution that maintains its company's bank account.
The contractor shall discuss with the ACH Coordinator how the payment identification information (addendum record) will be passed to them once the payment is received by the financial institution.
To ensure that adequate payment information will be available to the contractor, the contractor should inform the financial institution that the addendum record must not be Page 26 of 46 i
f i
NRC-04-97-046 Section G G.6 (Continued) stripped from the payment.
Further information concerning the addendum is provided at Attachment The ACH Coordinator should fill out the " Financial Institution Information" portion of the form and return it to the Office of the Controller at the following address:
Nuclear Regulatory Commission, Division of Accounting and Finance, Financial Opc ations Section, Mail Stop T-9-H-4, Washington, DC 20555, ATTN: ACH/ Vendor Express.
It is the responsibility of the contractor to ensure that the financial institution returns the completed form to the above cited NRC address.
If the contractor can provide the financial information, signature of the financial institution's ACH Coordinator is not required.
The NRC is under no obligation to send reminders.
Only after the Office of the Controller has processed the contractor's sign-up form will the contractor be eligible to receive payments.
Once electronic funds transfer is established for payments authorized by NRC, the contractor needs to submit an additional SF 3881 only to report changes to the information supplied.
Questions concerning ACH/ Vendor Express should be directed to the Financial Operations staff at (301) 415-7520.
Page 27 of 46 i
NRC-04-97-046 Section H SECTION H - SPECIAL CONTRACT REQUIREMENTS H.1 NRCAR 2052.209-73 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST (JAN 1993)
(a) Purpose. The primary purpose of this clause is to aid in ensuring that the contractor:
(1) Is not placed in a conflicting role because of current or planned interests (financial, contractual, organizational, or otherwise) which relate to the work under this contract; and (2) Does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract.
(b) Scope. The restrictions described apply to performance or participation by the contractcr, as defined in 48 CFR 2009.570-2 in the activities covered by this clause.
(c) Work for others.
(1) Notwithstanding any other provision of this contract, during the term of this contract the contractor agrees to forego entering into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being performed under this contract.
The contractor shall ensure that all employees under this contract abide by the provision of this clause.
If the contractor has reason to believe with respect to itself or any employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting officer before the execution of such contractual j
arrangement.
q (2) The contractor may not represent, assist, or otherwise support an NRC licensee or applicant undergoing an NRC audit, inspection, or review where the activities that are the subject of.the audit., inspection or review are
)
the same as or substantially similar to the services within the scope of this contract (or task order as appropriate), except where the NRC licensee or applicant requires the contractor's support to explain or defend
.the contractor's prior work for the utility or other entity which NRC questions.
l Page 28 of 46
i t
NRC-04-97-046 Section H I
H.1 (Continued)
(3) When the contractor performs work for the NRC under this contract at any NRC licensee or applicant site, the contractor shall neither solicit nor perform work in the same or similar technical' area for that licensee or applicant organization fc
&.>eriod commencing with the award of the task order or beginning of work on the site (if not a task order contract) and ending one year after completion of all work under the associated task order, or last time at the site (if not a task order contract)
(4) When the contractor performs work for the NRC unoer this contract at.any NRC licensee or applicant site, J
(i) The contractor may not solicit work at that' site for that licensee or applicant during the period of 1
performance of the task order or the contract, as appropriate.
(ii) The contractor may not perform work at that site for that licensee or applicant during the period of
)
)
performance of'the task order or the contract, as appropriate, and for one year thereafter.
1 (iii) Notwithstanding the foregoing, the contracting j
officer may authorize the contractor to solicit or perform this type of work (except work in the same or similar technical area) if the contracting l
officer determines that the situation will not i
pose a potential for technical bias or unfair j
competitive advant'ge.
(d) Disclosure after award, i
(1) The contractor warrants that to the best of its knowledge
)
and belief, and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest as defined in 48 CFR 2009.570-2.
(2) The contractor agrees that, if after award, it discovers organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the contracting officer. This statement must include a description of the action which the contractor has taken or proposes to take to avoid or
)
mitigate such conflicts.
The NRC may, however, terminate the contract if termination is in the best interest of the government.
(3) It is recognized that the scope of work of a task-order-type contract necessarily encompasses a broad l
Page 29 of 46 l
_ ~..
NRC-04-97-046 Section H H.1 (Continued) spectrum of_ activities. Consequently, if this is a task-order-type contract, the contractor agrees that it will disclose all proposed new work involving NRC licensees or applicants which comes within the scope of.
l vork of the underlying contract. Further, if this contract involves work at a licensee or applicant site, l
the contractor agrees to exercise diligence to discover and disclose any new work at that licensee or applicant site.
This disclosure must be made before the submission of a bid or proposal to the utility or other regulated j
entity and must be received by the NRC at least 15 days before the proposed award date in any event, unless a i
written justification demonstrating urgency and due diligence to discover and disclose is provided by the contractor and approved by the contracting officer.
The disclosure must include the statement of work, the dollar value of the proposed contract, and any other documents that are needed to fully describe the propc sed work f or the regulated utility or Lthcr regulated entity.
NRC may deny approval of the disclosed work only when the NRC has issued a task order which includes the technical area i
and, if site-specific, the site, or has plans to issue a task order which includes the technical area and, if site-specific, the site, or when the work violates paragraphs (c) (2), (c) (3) or (c) (4) of this section.
(e) Access to and use of information.
l (1) If in the performance of this contract, the contractor obtains access to information, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (5 U.S.C.
Section 552a (1988)), or the Freedom of Information Act j
(5 U.S.C.
Section 552 (1986)), the contractor agrees not l
to:
l (i) Use this information for any private purpose until l
the information has been released to the public; j
i (ii) Compete for work for the Commission based on the information for a period of six months after either the completion of this contract or the release of the information to the public, whichever is first; (iii) Submit an unsolicited proposal to the Government based on the information until one year after the release of the information tc the public; or (iv) Release the information without prior written i
approval by the contracting officer unless the information has previously been released to the j
Page 30 of 46 V
NRC-04-97-046 Section H l
H.1 (Continued) t l
public by the NRC.
l (2) In addition, the contractor agrees that, to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (5 U.S.C.
Section 1
E52a (1988)), or the Freedom
>f Information Act (5 U.S.C.
section 552 (1986)), or cther confidential or privileged technical, business, or financial information under this contract, the contractor shall treat the information in accordance with restrictions placed on use of *.ae information.
J (3) Subject to patent and security provisione of tnis i
contract, the contractor chall_have the t_tht to use technical data it produces under this contract for private purposes provided that all requirements of chis contract have been met.
(f) Subcontracts.
Except as provided in 48 CFR 2009.570-2, the contractor shall include this clause, including this paragraph, in subcontracts of any tier.
The terms contract, contractor, and contracting officer, must be appropriately modified to preserve the Government's rights.
(g) Remedies.
For breach of any of the above restrictions, or j
for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations that necessarily imply bad faith, the Government mny terminate the contract for default, disqualify the contractor from subseq' tent contractual efforts, and pursue other remedies permitted by law or this contract.
(h) Wainee.
A request for waiver under this clause must be directed in writing to the contracting officer.in accordance with the procedures outlined in 48 CFR 2009.570-9.
(i) Follow-on effort.
The contractor shall be ineligible to L
participate in NRC contracts, subcontracts, or proposals therefor (solicited or unsolicited), which stem directly from
)
the contractor's performance of work under this contract.
j Furthermore, unless so directed in writing by the contracting j
officer, the contractor may not perform any technical consulting or management support services work or evaluation activities under this contract on any of its products or services or the products or services of another firm if the
)
contractor has been substantially involved in the development or marketing of the products or services.
(1) If the contractor, under this contract, prepares a complete or essentially complete statement of work or Page 31 of 46 i
i l
NRC-04-97-046 Sectio H.1 (Continued) specifications, the contractor is not eligible to perform or participate in the initial contractual affort which a based on the statement of work or specifications.
The contractor may not incorporate its products or services in the statement of work or specifications unlebs so directed in writing by the contracting officer, in which case the restrictions in this paragraph do not apply.
(2) Nothing in this paragraph precludes the contractor from offering or selling its ctandard commercial items to the j
Government.
i
{End of Clause]
1 H.2 NRCAR 2052.215-70 KEY PERSONNEL (JAN 1993)
(a) The following individuals are considered to be essential to the successful performance of ti.e work hereunde_
l The contractor agrees that p'e'rsonnel may not be removed'from the contract work or replaced without compliance with paragraphs (b) and fc) of this section.
(b) If one or more of the key personnel, for whatever reason, becomes, or is expected to become, unavailable for work under this centract f or a continuous period exceeding 30 work days, or is expected to devote substantially less effort to the work than indicated in the proposal or initially anticipated, the contractor shall immediately notify the contracting officer and shall, subject to the concurrence of the contracting officer, promptly replace the personnel with personnel of at least substantiall, equal ability and qualifications.
(c) Each request for approval of substitutions must be in writing and contain a detailed explanation of the circumstances necessitating the proposed substitutions.
The request must also contain a complete resume for the proposed substitute and other information requested or needed by the contracting officer to evaluate the proposed substitution.
The contracting officer or his/her authorized representative shall evaluate the request and promptly notify the contractor of his or her approval or disapproval in writing.
(d) If the contracting officer determines that suitable and timely Page 32 of 46
Section H NRC-04-97-046 H.2 (Continued) replacement of key personnel who have been reassigned, terminated, or have otherwise become unavailable for the contract work is not reasonably forthcoming, or that the resultant reduction of productive effort would be so substantial as to impair the successful completion of the centra t or the service order, thr 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 o
compensate the Government for any resultant delay, loss, or damage.
[End of Clause]
j H.3 NRCAR 2052.235-71 PUBLICATION OF RESEARCH RESULTS - UNIVERSITIES (JAN 1993) g (a) The principal investigator (s) cont _ actor shall comply with the provisions of NRC Handbook 3.8 (formerly MC 3202) and NRC Manual Chapter 3206 regarding publication in refereed scientific and engineering journals or dissemination to the
.public of 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.
(b) Tpe principal investigator (s) / contractor may publish the results of this work in refereed scientific and engineering journals or in open literature and present papers at public or association meetings at interim stages of work, in addition to submit-ing to NRC the final renorts and other deliverables required under this contract.
However, such publication and papers shall focus on advances in science and technology and mini-ize conclusions and/or recommendations which may have regulatory implications.
(c) The principal investigator (s) shall coordinate all such publications with, and transmit a copy of the proposed article or paper to, the NRC Contracting Officer or Project Officer, prior to publication.
The NRC agrees to review and provide comments within thirty (30) days after receipt of a proposed publication.
However, in those cases where the information to be published is (1) subject to Commission approval, (2) has not been ruled upon, or (3) disapproved by the Commission, the NRC reserves the right to disapprove or delay the publication.
Further, if the NRC disagrees with the proposed publication for any reason, it reserves the right to require that any publicatipn not identify the NRC's sponsorship of the work and that any associated publication costs shall be borne by the contractor.
Page 33 of 46
NRC-04-97-046 Section H H.3 (Continued)
[End of Clause)
H.4 NRCAR 2052.235-72 SAFETY, HEALTH, AND FIRE PROTECTION (JAN 1993)
The contractor shall take all r.asonable precautions in the performance of the work under this contract to protect the hea.th and safety of its employees and of members of the public, including NRC employees and contractor personnel, and to minimize j
danger from all ha;ards to life and property and shall comply with all applicable health, safety, and fire protection regulations and requirements (including reporting regiirements) of the Commission and the Department of Labor.
In the event that the contractor fails to comply with these regulations.or requirements, the contracting officer may, without prejudice to any other legal or contractual rights of the Commission, issue an order stopping all or any part of the work; thereafter, a start order for resumption of work may be issued at the discret.2on of the contracting officer.
Tne contractor shall make'nu mlaim for an extension of time or for compensation or damages by reason of, or in connection with, this type of work stoppage.
[End of Clause) l Page 34 of 46 l
~-
NRC-04-97-046 Section I i
PART II - CONTRACT CLAUSES SECTION I - CONTRACT CLAUSES I 1.
52.252-2 CLAUSES INCORPORATED BY TEFr".ENCE (JUN 1988)
This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text.
Upon request, the Contracting Officer will make their full text available.
I FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES NUMBER TITLE DATE 52.202-1 DEF1NITIONS OCT 1995 52.203 GRATUITIES APR 1984 52,203-5 COVENANT AGAINST CONTINC2NT FEES APR 1984 52.203-10 PRICE OR FEE ADJUSTMENT FOR JAN 1996 ILLEGAL OR IMPROPER ACTIVITY 52.203-12 LIMITATION ON PAYMENTS TO JAN 1990 INFLUENCE CERTAIN FEDERAL TRANSACTIONS 52.204-4 PRINTING / COPYING DOUBLE-SIDED JUN 1996 ON RECYCLED PAPER 52.209-6 PROTECTING THE GOVERNMENT'S JUL 1995 INTEREST WHEN SUBCONTRACTING WITH CONTRACTORS DEBARRED, SUSPENDED, j
OR PROPOSED FOR DEBARMENT 52.215-2 AUDIT AND RECORDS--NEGOTIATION AUG 1996 Alternate II (JAN 1997) 52.215-22 PRICE REDUCTION FOR DEFECTIVE OCT 1995 COST OR PRICING DATA 52.215-24 SUBCONTRACTOR COST OR OCT 1995 PRICING DATA 52.215-27 TERMINATION OF DEFINED BENEFIT MAR 1996 PENSION PLANS 52.215-33 ORDER OF PRECEDENCE JAN 1986 52.215-39 REVERSION OR ADJUSTMENT OF PLANS MAR 1996 FOR POSTRETIREMENT BENEFITS OTHER THAN PENSIONS (PRB)
)
52.215-40 NOTIFICATION OF OWNERSHIP CHANGES FEB 1995 52.216-11 COST CONTRACT - NO FEE APR 1984 52.219-8 UTILIZATION OF SMALL, SMALL OCT 1995 DISADVANTAGED AND WOMEN-OWNED SMALL BUSINESS CONCERNS 52.219-9 SMALL, SMALL DISADVANTAGED AND AUG 1996 WOMEN-OWNED SMALL BUSINESS SUBCONTRACTING PLAN Page 35 of 46
~ - ~ ~ _ -
4 NRC-04-97-046 Section I j
I.1 (Continued)
NUMBER TITLE DATE 52.219-16 LIQUIDATED DAMAGES--SUBCONTRACTING OCT 1995 PLAN 52.222-3 CONVICT LABOR AUG 1996 52.222-26 EQUAL OPPORTUNITY APR 1984 52.222-28 EQUAL OPPORTUNITY EREAWARD APR 1984 CLEARANCE OF SUBCONTRACTS 52.222-35 AFFIRMATIVE ACTION FOR SPECIAL APR 1984 DISABLED AND VIETNAM ERA VETERANS 52.222-36 AFFIRMATIVE ACTION FOR APR 1984 HANDICAPPED WORKERS 52.222-37 EMPLOYMENT REPORTS ON SPECIAL JAN 1988 DISABLED VETERANS AND VETERANS OF THE VIETNAM ERA 52.223-2 CLEAN AIR AND WATER APR 1984 52.223-6 DRUG-FREE WORKPLACE CAN 1997 52.223-14 TOXIC CHEMICAL RELEJ.SIFG REPORTING OCT 1996 52.22~-11 RESTRICTIONS ON CERTAIN OCT 1996 FOREIGN PURCHASES 52.227-1 AUTHORIZATION AND CONSENT JUL 1995 Alternate I (APR 1984) 52.227-2 NOTICE AND ASSISTANCE REGARDING AUG 1996 PATENT AND COPYRIGHT INFRINGEMENT 52.227-11 F3 TENT RIGHTS - RETENTION BY JUN 1989 i
THE CONTRACTOR (SHORT FORM) 52.227-14 RIGHT2 TN DATA - GENERAL JUN 1987 52.227.-16 ADDITIONAL DATA REQUIREMENTS JUN 1987 52.228-7 INSURANCE - LIABILITY TO THIRD MAR 1996 PERSONS j
52.232-22 LIMITATION OF-FUNDS APR 1984 l
52.232-23 ASSIGNMENT OF CLAIMS JAN 1986 52.232-25 PROMPT PAYMENT MAY 1997 52.232-33 MANDATORY INFORMATION FOR AUG 1996 ELECTRONIC FUNDS TRANSFER PAYMENT 52.233-1 DISPUTES OCT 1995 52-.233-3 PROTEST AFTER AWARD AUG 1996 Alternate I (JUN 1985) 52.242-1 NOTICE OF INTENT TO DISALLOW COSTS APR 1984 52.242-3 PENALTIES FOR UNALLOWABLE COSTS OCT 1995 4
52.242-13 BANKRUPTCY JUL 1995 52.243-2 CHANGES - COST-REIMBURSEMENT AUG 1987 Alternate V (APR 1984) 52.244-2 SUBCONTRACTS (COST-REIMBURSEMENT FEB 1997 AND LETTER CONTRACTS) 52.244-5 COMPETITION IN SUBCONTRACTING DEC 1996 52.245-5 GOVERNMENT PROPERTY JAN 1986 (COST-REIMBURSEMENT, TIME-AND-MATERIAL, OR Page 36 of 46
. ~
NRC-04-97-046 Section I I.1 (Continued)
NUMBER TITLE DATE LABOR-HOUF CONTRACTS)
Alternate I (JUL 1985) 52.247-67 SUBMISSION OF COMMERCIAL FEB 1995 TRANSPORTATION BILLS TO THE GENERAL SERVICES ADMINIdTRATION FOR AUDIT 52.249-5 TERMINATION FOR CONVENIENCE OF SEP 1996 THE GOVERNMENT (EDUCATIONAL AND OTHER NONPROFIT INSTITUTIONS) 52.249-14 EXCUSABLE DELAYS APR 1984 52.251-1 GOVERNMENT SUPPLY SOURCES APR 1984 52.253-1 COMPUTER GENERATED FORMS JAN 1991
[End of Clause)
I I.2 52.216-7 ALLOWABLE COST AND PAYMENT (MAR 1997)
P (a) Invoicina.
The Government shall make payments to the Contractor when requested as work progresses, but (except for small business concerns) not more often than once every 2 weeks, in amounts determined to be allowable by the Contracting Officer in accordance with Subpart 31.3 of the Federal Acquisition Regulation (FAR) in effect on the date of this contract and the terms of this contract.
The Contractor may submit to an authorized representative of the Contracting Officer, in such form and reasonable detail as the representative may require, an invoice or voucher supported by a statement of the claimed allowable cost for performing this contract.
(b) Reimbursino costs.
(1) For the purpose of reimbursing allowable costs (except as provided in subparagraph (2) below, with respect to pension, deferred profit sharing, and employee stock ownership plan contributions), the term " costs" includes only--
(i)
Those recorded costs that, at the time of the request for reimbursement, the Contractor has paid by cash, check, or other form of actual payment for items or services purchased directly for the contract; (ii)
When the Contractor is not delinquent in paying costs of contract performance in the ordinary course of business, costs incurred, but not necessarily paid, for--
(A) Materials issued from the Contractor's inventory and placed in the production process l
Page 37 of 46
_..i l
NRC-04-97-046 Section !
I.2 (Continued) for use on the contract; (B) Direct labor; (C) Direct travel; (D).' Other direct in-house costs; and (E) Properly allocable and allowable indirect costs, as shown in the records maintained by the Contractor for purposes of obtaining reimbursement under Government contracts; and (iii) The amount of progress and other payments that have been paid by cash, check, or other form of payment to the Contractor's subcontractors under similar cost standards.
(2) Contractor contributions no an, pension or other postretirement benefit, profit-sharing or employee stock ownership plan funds that are paid quarterly or more often may be included in indirect costs for payment purposes; Provided, that the Contractor pays the contribution to the fund within 30 days after the close i
of the period covered.
Payments made 30 days or more after the close of a period shall not be included until the Contractor actually makes the payment.
Accrued costs for such contributions that are paid less often than quarterly shall be excluded from indirect costs for payment purposes until the Contractor actually makes the payment.
(3) Notwithstanding the audit and adjustment of invoices or vouchers under paragraph (g) below, allowable. indirect costs under this contract shall be obtained by applying indirect cost rates established in accordance with paragraph (d) below.
L (4) Any statementa in specifications or other documents incorporated in this contract by reference designating performance of services or furnishing of materials at the Contractor's expense or at no cost to the Government shall be disregarded for purposes of cost-reimbursement under this clause.
(c) Small business concerns.
A small business concern may be paid more often than every 2 weeks and may invoice and be paid for recorded costs for items or services purchased directly L
for the contract, even thougn the concern has not yet paid for those items or services.
i l
Page 38 of 46 n
T
(
NRC-04-97-046 Section I j
i i
I.2 iContinued) i
{
(d) Final indirect cost rates.
(1) Final annual indirect cost rates and the appropriate bases shall be established in j
accordance with Subpart 42.7 of the Federal Acquisition t
Regulation (FAR) in effect for the period covered by the i
indirect cost rate proposal.
i (2) The Contractor shall, within 90 days after the expiration of each of its fiscal years, or by a later date approved i
by the Contracting Officer, submit to the cognizant Contracting officer responsible for negotiating its final i
indirect cost rates and, if required by agency l
procedures, to the cognizant audit activity proposed final indirect cost rates for that period and supporting cost data specifying the contract and/or subcontract to which the rates apply.
The proposed rates shall be baaem on the Contractor's actual cost experience for that l
period.
The appropriate Government representative and Contractor shall establish t'.e final indirect cost rates as promptly as practical after receipt of the Contractor's proposal.
(3) The Contractor and the appropriate Government representative shall execute a written understanding i
setting forth the final indirect cost rates.
The i
understanding shall specify (i) the_ agreed-upon final annual indirect cost rates, (ii) the bases to which the
~
rates apply, (iii) the periods for which the rates apply, (iv) any specific indirect cost items treated as direct costs in the settlement, and (v) the affected contract and/or subcontract, identifying any with advance 4
agreements or special terms and the applicable rates.
The understanding shall not change any monetary ceiling, contract obligation, or specific cost allowance or disallowance provided for in this contract.
The l
understanding is incorporated into this contract upon execution.
(4) Within 120 days after settlement of the final indirect cost rates covering the year in which this contract is physically complete (or longer, if approved in writing by the Contracting of ficer), the Contractor shall submit a completion invoice or voucher to reflect the settled amounts and rates.
(5) Failure by the parties to agree on a final annual indirect cost rate shall be a dispute within the meaning of the Disputes clause.
(e) Billina rates.
Until final annual indirect cost rates are established for any period, the Government shall reimburse the Page 39 of 46 l
I
1 Section I NRC-04-97-046 I.2 (Continued)
Contractor at billing rates established by the Contracting Officer or by an authorized representative (the cognizant auditor), subject to adjustment when the final rates are established.
These billing rates--
(1) Shall be the anticipated final rates; and (2) May be prospectively or retroactively revised by mutual agreement, at either party's request, to prevent J
substantial overpayment or underpayment.
(f) Ouick-closecut procedures.
Quick-closecut procedures are applicable when the conditions in FAR 42.708 (a) are satisfied.
(g) Audit.
At any time or times before final payment, the Contracting Officer may have the Contractor's invoices or vouchers and statements of cost audited.
Any payment may be (1) rec.uced by amounts found by tic Contracting Officer not to constitute allowable costs or
- 2) ac' justed for prior overpayments or underpayments.
l (h), Final navment.
(1) Upon approval of a completion invoice l
or voucher submitted by the Contractor in accordance with paragraph (d) (4) of this clause, and upon the Contractor's compliance with all terms of this contract, the Government l
shall promptly pay any balance of allowable costs and that part of the fee (if any) not previously paid.
(2) The Contractor shall pay to the Government any refunds, rebates, credits, or otLer amounts (including interest, if any) accruing to or received by the Contractor or any l
assignee under this contract, to the extent that those amounts are properly allocable to costs for which the Contractor has been reimbursed by the Government.
Reasonable expenses incurred by the Contractor for securing refunds, rebates, credits, or other amounts shall be allowable costs if approved by the Contracting L
Officer.
Before final payment under this contract, the Contractor and each assignee whose assignment is in effect at the time of final payment shall execute and deliver--
j (i)
An assignment to the Government, in form and substance satisfactory to the Contracting Officer, r
l of refunds, rebates, credits, or other amounts (including interest, if any) properly allocable to costs for which the Contractor has been reimbursed by the Government under this contract; and g
(ii) A release discharging the Government, its officers, agents, and employees from all liabilities, Page 40 of 46
t NRC-04-97-046 Section I 3
I.2 (Continued) l I
obligations, and claims arising out of or unde this contract, except--
i (A) Specified claims stated in exact amounts, or in estimated amounts when the exact amounts are not known;
]
(B) Claims (including reasonable incidental expenses) based upon liabilities of the
~
Contractor to third parties arising out of the performance of this contract; provided, that the claims are not known to the Contractor on I
the date of the execution of the release, and that the Contractor gives notice of the claims in writing to the Contracting Officer within 6 years following the release date or notice of final payment date, whichever is earlier; and i
(C) Claims for reimbur ement of costs, including reasonable incidental expenses, incurred by the contractor under the patent clauses of this contract, excluding, however, any expenses arising from~the Contractor's indemnification of the Government against patent liability.
[End of Clause]
I.3 52,216-18 ORDERING (OCT 1995)
(a) Any supplies and services to be furnished under this contract shall be ordered by issuance of_ delivery orders or task orders by the individuals or activities designated in the Schedule.
Such orders may be issued from contract effective date (block 3 of the SF 26) through one year after the contract effective i
date.
(b) All delivery orders or task orders are subject to the terms and conditions of this contract.
In the event of conflict between a delivery order or task order and this contract, the contract shall control.
i (c) If mailed, a delivery order or task order is considered
" issued" when the Government deposits the order in the mail.
Orders may be issued orally, by facsimile, or by electronic commerce methods only if authorized in the Schedule.
i
[End of Clause]
l l.
l i
l Page 41 of 46
NRC-04-97-046 Section I L
I.4 52.216-22 INDEFINITE QUANTITY (OCT 1995) j (a) This is an indefinite-quantity contract for the supplies or services specified, and effective for the period stated, in the Schedule.
The quantities of supplies and services i
specified in the Schedule are estimates only and are not purchased by this contract.
(b) Delivery or performance shall ce made only as authorized by orders issued in accordance with the Ordering clause.
The contractor shall furnish to the Government, when and if ordered, the s:_pplies or services specified in the Schedule up to and including the quantity designated in the Schedule as the " maximum."
The Government shall order at least the quantity of supplies or services designated in the Schedule as the " minimum."
(c) Except for any limitations on quantities in the Order Limitations clause or in the Schedule, there is no limit on the nurter of orders that may be issued.
The Government may I
issue orders requiring de:.1ver, to rultiple destinations or performance at multiple locations.
(d) 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 specified in the order.
The shall govern the Contractor's and Government's rights contract and obligations with respect to that order to the same extent as if the order were completed during the contract's effective period; provided, that the Contractor shall not be required to make any deliveries under this contract after six months after contract expiration.
[End of Clause)
I.5 52.217-9 OPTION TO EXTEND THE TERM OF THE CONTRACT (MAR 1989)
(a) The Government may extend the term of this contract by written notice to the Contractor within 60 days; provided, that the l
Government shall give the contractor a preliminary written notice of its intent to extend at least 60 days before the contract expires.
The preliminary notice does not commit the l
l Government to an extension.
(b) If the Government exercises this option, the extended contract shall be considered to include this option provision.
(c) The total duration of this contract, including the exercise of any options under this clause, shall not exceed five years.
[End of Clause)
Page 42 of 46 l
I NRC-04-97-046 Secticn I I.6 52.222-2 PAYMENT FOR OVERTIME PREMIUMS (JUL 1990) l (a) The use of overtime is authorized under this contract if the i
overtime premium cost does not exceed S0.00 or the overtime premium is paid for work--
(1) Necessary to cope with emergencies such as those resulting from accidents, natural disasters, breakdowns of production equipment, or uccasional production bottlenecks of a sporadic nature; (2) By indirect-labor employees such as those performing duties in connection with administration, protection transportation, maintenance, standby plant protection, operation of utilities, or accounting; i
(3) To perform tests, industrial processes, laboratory procedures, loading or unloading of transportation conveyances, and operations in flight or afloat that are continuous in nature and cannot reasonably be interrupted
)
or completed otherwise; ur (4) That will result in lower overall costs to the Government.
(b) Any request for estimated overtime premiums that exceeds the l
amount specified above chall include all estimated overtime for contract completion and shall--
(1) Identify the work unit; e.g.,
department or section in which the requested overtime will be used, together with present workload, staffing, and other data of the affected unit sufficient to permit the Contracting Gificer to evaluate the necessity for the overtime; (2) Demonstrate the effect that denial of the request will have on the contract delivery or performance schedule; (3) Identify the extent to which approval of overtime would affect the performance or payments in connection with other Government contracts, together with identification of each affected contract; and (4) Provide reasons why the required work cannot be performed i
by using multishift operations or by employing additional personnel.
i
(
[End of Clause)
Page 43 of 46
i NRC-04-97-046 Section I j
I.7 52.242-4 CERTIFICATION OF INDIRECT COSTS (OCT 1995) 1 (a) The Contractor shall--
(1) Certify any proposal to establish or modify billing rates or to establish final indirect cost rates; (2) Use the format in paragraoh (c) of this clause to l
certify; and l
t (3) Have the certificate signed by an individual of the Contractor's organization at a level no lower than a vice president or chief financial officer of the business segment of the Contractor that submits the proposal.
(b) Failure by the Contractor to submit a signed certificate, as described in this clause, shall result in payment of indirect i
costs at rates unilaterally established by the Government.
(c) The certificate of indirect coste shall read as follows:
j Certificate ci Indirect Costs j
This is to certify that to the best of my knowledge and l
belief:
1.
I have reviewed this indirect cost proposal; l
2.
All costs included in this proposal (identify proposal and date) to establish billing or final indirect costs rates for (identify period covered by rate) are allowable in accordance with the requirements of contracts to which they apply and with the cost principles of the Federal Acquisition Regulation (FAR) and its supplements applicable to l
those contracts; l
l 3.
This proposal does not include any costs which are unallowable under applicable cost principles of the FAR or its supplements, including, but not limited to: advertising and public relations costs, contributions and donations, entertainment costs, fines and penalties, lobbying costs, defense of fraud proceedings, and goodwill; and 4.
All costs included in this proposal are properly allocable to Government contracts on the basis of a beneficial or casual relationship between the
=
expenses incurred and the contracts to which they are allocated in accordance with applicable acquisition regulations.
I declare under penalty of perjury that the foregoing is Page 44 of 46
.. -. - -.. -.. _. =..
I Section I
{
NRC-04-97-046 I.7 (Continued) i
.true and correct.
1 I
Firm:
\\
Signature:
(
Name of Certifying Official.
Title.
Date of Execution:
[End of Clause]
Page.45 of 46 i
Section J NRC-04-97-046 LIST.OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS PART III SECTION J - LIST OF ATTACHMENTS J.1 ATTACHMENTS (MAR 1987) i Attachment Number Title 01 Billing Instructions 02 NRC Contractor Organizational Conflicts of Interest 03 NRC Handbook 3 8 04 Contractor Spending Plan (CSP)
Instructions 05 Subcontracting Plan 06 Procedures for Resolving NRC Contractor Differing Professional Views l
l l
l i
l l
i I
Page 46 of 46 i
i i
r WARCH 1996, Page 1 of
- .D r
e BILLING INSTRUCTIONS"FOR COST REIMBURSEMENT TYPE CONTRACTS i
The contractor shall prepare vcachers/ invoices for General:
?
reimbursement of costs in the manner and format described herein.
[
FAILURE TO SUBNIT VOUCHERS / INVOICES IN ACCORDANCE WITH THESE INSTRUCTIONS WILL RESULT IN REJECTION OF THE VOUCHER / INVOICE AS IMPROPER..
Number of Copies:
An original and three copies, including supporting documentation shall be submitted.
A copy of all l
supporting documents must be. attached to each copy of your voucher / invoice.
Failure to submit all the required copies will result in rejection of the voucher / invoice as improper.
l l
Desionated Aaency Billino Cffice:
Vouchers / invoices shall ba l
submitted to the following address:
U.S. Nuclear Regulatory Commission Division of Contracts - T-7-!-2 Washington, DC 20555 HAND DELIVERY OF VOUCHERS /!NVOICES IS DISCOURAGED AND WILL NOT EXPEDITE PROCESSING SY NRC.
However, should you choose to deliver vouchers / invoices by hand, including delivery by any express mail services or special delivery services which use a l
1
' courier or other person to deliver the voucher / invoice in person h
b to the NRC, such vouchers / invoices must be addressed to t e a ove the-Designated Agency Billing Office and will only be accepted at following location:
U.S. Nuclear Regulatory Commission One Whit? Flint North 11555 Rockville Pike - Mail Room 1
Rockville, MD 20852 HAND CARRIcD SUBMISSIONS WILL NOT BE ACCEPTED AT OTHER THAN TH
\\
ABOVE ADDRESS.
f Note-that the official receipt date for hand-delivered vouchers / invoices will be the date it is received by the official agency billing office in the Division of Contracts.
l l
I Payment will continue to be made by the
&gency Payment Office:
in Block 12 of SF 26 or Block office designated in the contract 25 of.SF 33, whichever is applicable.
(
I r
l l
BILLING INSTRUCTIONS FOR CCST REIM3URSEMENT TYPE CbNTRACTS -
i (Page 2 of 10)
The contractor shall submit claims for reimbursement Frecuency:
once each month, unless otherwise authorized by the Contracting Officer.
Claims should be submitted in the format depicted on the attached sample form entitled " Voucher / Invoice for Purchases and Format:
Services Other than Personal" (see Attachment 1).
The sample The format is not required format is provided for guidance only. Alternate formats are for submission of a voucher / invoice permissible provided all requiremencs of the billing instructions The instructions for preparation and itemization are addressed.
of the voucher / invoice are included with the sample form.
i If the contractor bills for more than Task Orderina Contracts:
detailed cost information one task order under a voucher / invoice, for each indi.
- al task order shall be submitted, together witr a cumulative summary of all charges billed on the elements voucher /inv^ ice.
This includes all applicable cost discussed in paragraphs (a) through :n of the attached instructions.
to the provisions of 10 CFR Part Fee Recovery Billines:
Pursuant 170 and 171 on license fees, the NRC must recover the cost of work performed.
Accordingly, the centractor must provide the of funds billed during the period, fiscal year to to.tal amount by date and the cumulative total for each task cr task assignment The fee recovery b:lling repcrts shall be en facility or report.and shall be in the fcrmat provided in a separate page,The billing period for fee recovery costs should.
be from the first day of each calendar month to the last day of must ha Each separate fee billing report
[
the same month.
attached to the monthly invoice a"d ccver the same perica as the invoice.
nunber or other unique will contain a docket Each report The NRC will provide a unique identifier for all identifier.
Costs should be reported as whole. number to the work performed.
involves more than one facility at For work that nearest cent.
each facility should be listed separately and the the same site, costs should be split appropriately between the facilities.
Common costs, as defined below, shall be identified as a separate line item in the fee recovery bill'r port each month.
licensee unique and are not Common costs are those ccsts that hat dssociated with the performance of an overall program tall similar l benefit the program.
Common l
are required to satisfactorily carry out preparatory costs include costs associated with the following:
i and reach agreement on or start up efforts to interpret methodology, approach, acceptance criteria, regulatory position, l
BILLING INSTRUCTIONS FOR CCST RE MBURSEMENT TYPE CONTRACT (Page 3 of 10) or technical reporting requirements; efforts associated with the concept that might be involved during the first one
" lead plant" reviews; meetings and discussions involving the or two plant above efforts to provide orientation, backgrc"nd knowledge or
. guidance during the course of a program; any technical effort or other unique identifier; and project applied to a docket be reporting monthly for each management.
Common costs must docket or unique identifier.
Common costs must be computed based
. cn1 the proportion of direct costs incurred against each docket or unique identifier Tor the billing period.
Billina of Cost After Exniration of Contract:
If costs are incurred during the contract period and claimed after the the period during which these costs were contract has expired, To be considered a proper expiration incurred must be cited.
voucher /irvoice, the contractor sba:' c eerly mark it " EXPIRATION VOUCHER" cr "EXPIRAT:CN :NVCICE".
or " FINAL Final vouchers / invoices shall be marked " FINAL VOUCHER" INVOICE".
Billings may be expressed in the currency normally used by the contractor :n maintaining his accounting records; Currency:
currency.
However, the U.S. dollar payments will be made in thatfor all vouchers / invoices paid under the contract may equivalent dc;;ars authcrized in the contract.
not exceed the total U.S.
These instruct cns supersede any previous billing Suoersession:
instructions.
E 2
SILLING INSTRUCTIONS FOR COST REIMBURSEMENT TYPE CONTRACTS (Pege 4 of 10)
ATTACHMENT 1 INV0lCElV00CHER FOR PURCHASES AND SERVICES OTHER THAN PERSONAL (S AMPLE FORMAT)
Officiel Aeoner Billina Office (a)
Centract Numbw U.S. Nuclear Regulatory Cummission Division of Centracts MS: T 7-I-2 Task Ordw No.Of Applicable)
Washington. DC 20555-0001 Paves's Name and Address (b)
Voucharlinvoics #
1 (c)
Oste of Voucherlinvoice Individual to Contact (d)
Fixed Fee Regarding this Voucher Name:
Tel. No.:
(e) This voucher represents reimbursable costs for the l
i i
i Amount Bi"ed Current Period Cumulative (f)
Direct Costs (1)
Direct labor *
(2)
Fringe benefits
( %,if computed as percentage)...
(3) Capitalized nonexpendable equipment ($50,000 or more.
see instructions)'.
(4)Non-capital:.ed equipment, meterials, and supplies.
(5) Premium pay (NRC approved ovwtime)
(6)
Consultants
- __
(7)
Travel' (8) Subcontracts' (9)
Other costs
- Total 0irect Costs (g) indirect Cests 1
(A)
Overhead
%of
l
' Gndicate Bessi (B)
General & Administrative Expense
__ % of Cost Elements Nos.
Total Diract & Indirect Costs (h)
Fixed Fee (Cite Formule):
(i) Totel Ameont Billed..
(j) Adjustments -
.3 s, sed retea
- (dequires Supporting information - See Attached) 1 I
.~
i BILLING INSTRUCTIONS FOR COST REIMBURSEMENT TYPE CONTRACTS (Page 5 of SAMPLE GUPPORTING INF0,1MATION 1)
Direct Labor $2400 Neurs Leber Cee alative
- Hrt, Billed Rale Total r
Catenary Billed 100
$14.00 $1400 975 Senior Engineer i 50
$10.00 $500 465 Enginew 100
$5.00 $500 320 Computer Analyst
$2400 3)
Casitalized Non Expendable Eauipment Prstotype Spectrometer item number 1000-01 $60,000 Non capitalized Eauipment. Meterials. and Suppfes 4)
= $1100.00 10 Reden tubes @ $110.00
$900.00
- 6 Peirs Electrostatic gloves @ $150.00
-=
$2000.00 5)
Premium Pev Welter Murphy 10 hours1.157407e-4 days <br />0.00278 hours <br />1.653439e-5 weeks <br />3.805e-6 months <br /> @ $10.00 Per Hour = $100 (This was approved by NRC in letter dated 3/6/95).
6)
Ceesultants' Fee
= $100 Dr.Careey 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br /> 9 $100 7)
Travel Destination Cons Start Date l
3l1l39 Wash., DC
$200 I
8 BILLING INSTRUCTIONS FOR COST REIMBURSEMENT TYPE CONTRACTS (Page 6 of 101 ATTACNMENT 1 (Cont.)
INSTRUCTIONS FOR PREPARING l
I CDST INFORMATION FOR NRC C0FTRAC' VOUCHERS /INVolCES Properation end itemization of the Voucher / invoice: la ordw to constitute a proper invoice centracter shell furnish all the information set fe.-th below. These notes are keyed to the entries o the sample voucharlievoice.
Official Agency Billing Office: Address the original and 3 copies of the voucher / invoice, to supporting documentation attached to each copy to: U.S. Neclear Regulatory Commis Centracts, MS: T 7-I-2. Washingten, DC 20555 0001.
Vouchers, invoices delivered by hand, including delivwy by express mail or special delivery service which use a courin or other puson to delivw the vot chulini dce in puson to the NRC, should be addressed in accordance with the foregoing and delivered to: U. S. Nuclear Regulatory Commissi One White Flint North.11555 Rockville Pike. Mail Room. Rockville. Maryland 20852. Hand-deli vouchwslinvoices will not be accepted at other than the above andress. Note, however, that the official receipt date for hand. delivered voucherslinvoices will be the date it is received by th agency billing effice in the Division of Contracts.
1 Payee's Nome end Address. Show the nome of the contractor as it appears in the centr correct address. When an approved assignment has been made by the centractor, er a different payee er addressee has been designated, insert the name and address of the payee. Indicate the n telephone ownbw of the individual responsible for answering any questions that the NRC regarding the invoice. The fellowing guidance corresponds to the entries required en t (a) Contract Number, insert the NRC contract number, 1
Task Ordw Numbw. if applicable. Inswt the task ordw number, Veuchwlinvoice number, The appropriate sequential number of the voucherlinvoice,beginning (b)with 001 should be designeted. Centracters may aise include enindividualinternal accounting number,if desired.in addition to the 3 digit seauentist num6w.
BILLING INSTRUCTIONS FOR COST REIM80RSEMENT TYPE CONTRACTS (Page 7 of 10)-
ATT.ACHMENT i (Cent.)
(c) Date of Voucharlinvoice. Inswt the date the voucharlinvoice is prepared.
(d) Fixed-Fee. Insert total fixed fae. Include this information as it applies to individual task orders as well.
- (e) Billing Period. Insert the beginning and endeng detes (day, month. yearl of the paried during which costs were inestred and for which reimbursement is claimed.
(f) Direct Cests lasert the ameest billed for ties following cost elements, adjustmoets, suspensions, and total auments, tw both the swrest billing period and fu the cumulative period (from centreet incepties to end date of this billing period).
(1)
Direct Leber. This censists of salaries and wages paid for accrued) for direct performance of the centract itemized as follows:
Labor Mrs.
Cumulative Catenerv Billed Rate Total Mrs.bilieu (2)
-- Fringe Benefits. This represents fringe benefits applicable to direct labor and billed as a direct cost. Where a rate is used indicate the rate. Fringe benefits included in direct labet or in other indirect cost peels should not be identified here.
(3) Capitalised Non Expendable Equipment. List each item costing $50.000 er more and having a life expectancy of more than one year. List only these items of equipment for which reimbursement is requested. For each such item, list the following (as applicable): (a) the item number for the specific piece of equipment listed in the property schedule of the contract er Ib)the Centresting Offiser's approvallettw if the equipment is not covered by the property schedule.
BILLING INSTRUCTIONS FOR COST REIMBURSEMENT TYPE CONTRACTS (Page 8 of 10b ATTACHMENT 1 (Cent.)
(4) Non<spitalized Equipment, Metwiels, and Supplies. These are equipment other than that described in (3) above, plus consumable matwiels, supplies. List by category.
List items valued at $500 or mere separately. Provide the item number fw uch piece of equipmsat valued at $500 or more.
(5) Premium Pay. This enumwation ie excess of the besic hourly rate. (Requires written j
spprovalof the Contracting Offi w.)
l (6) Censultants. The supporting information must include the name, hourly er daily rate of j
the censultant. and refwence the NRC approval (if not specifically approved in the i
originel centract).
(7) Travel. Total costs associated with each trip must be shown in the following format:
Start Date Destination Costs From To From To (B) Subcontracts. Include separate detailed breakdown of all costs paid to approved subcontracters during the billing period.
(9) Other Costs. List all othw direct costs by cost element and dollar amount separately.
i (g) Indirect Costs (Overhud and General and Administrative Expense). Cite the formula (rate and i
baselin effect in accordance with the terms of the contract, during the time the costs were incurred and for which reimbursement is claimed.
(h) Fixed Fee. If the contract provide: ' a fixed fee,it must be claimed as provided fe' by the contract. Cite the formula or method of compatation. The contractor may bi'l for fixed fee only up to 85% of total fee.
(i) Total Amount Billed. lasert the total amounts chimed for the current and cumulative pwinds.
l BILLING INSTRUCTIONS FOR COST REIMBURSEMENT TYPE CONTRACTS (Page 9 of 101-ATTACHMENT I (Cent.)
\\
1
\\
(j) Adjustments. For cumulative amount. include outstanding suspensions.
(k) Grand Totals.
furthw itemiration of wouchwslinvoices shall only be required for items having specifie limitations set forth in the centract.
)
l I
i l
l
l l
i BILLING INSTRUCTIONS FOR COST REIMBURSEMENT TYPE CONTRACTS (Page 10 of 101
(
ATTACHMENT 2 (Cent.)
l l
l FEE RECOVERY BILLING REPORT t
r FIN:
I Facility Nems or Report
Title:
1 TAC er inspection Report Numb.r:
ior other unique identifieri Docket Number (if applicablei:
Period Fiscal Vser Total Cost Categories Period Amt, Costincurred To Date Costs Cumulative Costs Labor i
Materials Subcontractori Consultant i
Travel Other (specify)
Common Costs Total l
)
Romerks:
l' I
R:tBILUNG.396 l
Volume 3, Part 1 - Publications. Mail, and Information Disclosure i'
Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part IH Availability Information (G)(continued) 4 Reference Material (1) (continued) 4 the text or in footnotes. P10 side any credit due to individuals in the text or in an acknowledgment section. Availability may be stated collectively for all entries. (a)
Although proprietary repons may not be included in a list of references, listing or identi5 cation of proprieta2y reports may be included in an appendix or in a separate listing follov,ing the reference section titled " Proprietary Sources of Information." (b) q In addition, reference to Institute of Nuclear Power Operations i
(INFO) documents may not be made without prior approval from INPO. Approval to reference INPO documents mu st be stated on the l
NRC Form 426A. (c)
Guidelines for developir.g and presenting reference material are provided in NUREG-0650. Revision 1. (d) e Reports (2)
Most final repons are sold by GPO and NTIS. A statement indicating this availability is added to each report, as appropriate, by the Publications Branch staff before the report is printed. (a)
Draft reports for which comments are requested are typically announced in the Federal Register as being available from the NRC.
These reports are not sold at GPO or at NTIS. (b) 4 i
Forms (n)
~
Bibliographic Data Sheet (NRC Form 335)(1)
All published NRC repons must include an NRC Form 335 as the final right-hand page of the manuscript. Instructions for completing the i
NRC Form 335 appear on the back of the form. A completed NRC Form 335 must be submitted to the Technical Publications Section.
DFIPS. with the camera-ready copy of the report. Exhibit 2 shows a completed NRC Form 335.
Release To Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A) (2)
The NRC contact must submit a completed NRC Form 426A (see
~
Exhibit 1) with the camera-ready copy of the repon to the Technical Publications Section. DFIPS. NRC Form 426A must be signed by the staff member designated by the appropriate office director.
~
Approved: June 17,1991 (Revised: July 9,1995) 14
i
\\
Unciassified Contractor and Grantee Publications in the NUREG Series i
Directive i
l 3.8 i
i I
l i
i l
}
t
Vclum: 3, Part 1.- Publications, Mail, r.nd Informati:n Discl:sure Uncl ssified Contractor and Grantee Publicati:ns in the NUREG Series i
Directiv3 3.8 Contents I
Policy.................................................................
1 Obj ect ives............................................................
2 Organintional Responsibilities and Delegations of Authority............
2 Executive Director for Operations (EDO)................................
Deputy Executive Director for Nuclear Reactor Regulation, Regional 2
Operations and Research (DEDR).....................................
Deputy Executive Director for Nuclear Materials Safety. Safeguards, 3
and Operations Support (DEDS).......................................
3 O ffi ce Dire ctors.....................................................
4 Director, Office of Administration (ADM).............................
Director, Division of Freedom of Information and Publications 4
Servi ces, (DFIPS). ADM...........................................
4 Director, Division of Contracts (DC). ADM..............................
5 A p plicab ility..........................................................
5 E mpl oye e s..........................................................
5 1
Other Publications..................................................
5 H an d book.............................................................
5 1
R eferen ce s............................................................
l I '
l Approved: June 17,1991 m
l (Revised: July 9,1995)
l y
g
- o. a a uosoai mgmmv..
3
[E Volume: 3 Information Management
/
Part:
1 Publications, Mail, and Information ADM Disclosure
%,e Unclassified Contractor and Grantee Publications in the NUREG Series Directive 3.8 Policy (3.8-01) the U.S. Nuclear Regulatory Commission policy reg' ires that following publications published by NRC adhere to the documentation and production requirements. standards, and practices specified in this directive and handbook: (1) unclassified NRC contractor, consultant. or grantee formal reports, books. and international agreement repons in the NUREG/CR (contractor reports), NUREG /G R (grant reports), and NUREG /l A (international agreement repons) serics: (2) repons and books by contractors of the U.S. Depanment of Energy (DOE); and (3) publications prepared for NRC under memoranda of understanding and interagency agreements.
Objectives (3.8-02)
To ensure the production and dissemination of information and e
publications as required by the Energy Reorganization Act of 1974 and the Freedom of Information Act. (a)
To ensure technical staff and management reviews of formal reports and books before publication. (b) national security patent rights, copyrights, To ensure that proprietary rights and rights in other sensitive unclassi5ed information. including those speci5ed in interagency and international agreements and memoranda of understanding are not ccmpromised by the release or publication ofinformation by NRC (c)
=== = =-
Approved: June 17.1991 1
(Revised: July 9,1990
Volume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series 1
i
]
Directive 3.8 l
Objectives
)
(3.8-02) (continued)
To ensure that all _nclassified NRC contractor or grantee publications in the NUREG series carry the registered Government identification NUREG/CR-0000.
NUREG/
GR-0000, or NUREG/IA-0000, with the exception of some publications prepared by grantees, and indicate the availability of source material used in these publications. (d)
To ensure that NRC-sponsored book manuscripts rec'ive proper peer review from experts within and outside NRC. (e) j To proside uniform procedures for publishing formal reports and books prepared by NRC contractors or grantee.s. (f)
Organizational Responsibilities and Delegations of Authority (3.8-03)
Executive Director for Operations (EDO)
(031)
Delegates to the Deputy Executive Directors for Operation i
decisionmaking authority for the resolution of differences between NRC and contractors abcut the contents of publications, about i
granting contractors permission to publish NRC-sponsored information in the open literature, and about permitting contractors to issue press or other media releases conceming NRC-sponsored j
information, j
l Deputy Executive Director for Nuclear Reactor Regulation, Regional Operations and Research (DEDR)
(032)
As delegated from the EDO. makes final decisions in the following areas for the Office of Nuclear Reactor Regulation, the Office of Nuclear Regulatory Research, and regional offices:
When an office director refuses to publish an NRC-sponsored document because of irreconcilable differences between himself or herself and the author about the contents of the document. (a) l Approved: June 17,1991 j
2 (Revised: July 9,1995) l
V:lume 3, Pcrt 1 - Publicati:ns, hiail, and Inf rmati:n Discl:sure Unclassified Centrcctar cnd Grcntee Publicati:ns in th NUREG Series t
Diredive 3.8 l
l.
Deputy Executive Director for Nuclear Reactor Regulation, Regional Operations
_ (032) (continued).
l and Research (DEDR)
When an office director refuses to permit a contractor's principal investigator to publish NRC-sponsored information in the open literature. (b)
When an office director refuses to permit a contractor to issue a press or other media release about an NRC-sponsored l
publication. (c)
Deputy Executive Director for Nuclear Materials Safety, Safeguards, and Operations Support (DEDS)
(033)
As delegated from the EDO. makes final decisions in the following areas for the offices reporting to the DEDS:
When an office director refuses to publish an NRC-sponsored document because of irreconcilable differences between himself or herself and the author about the contents of the document. (a)
When an office director refuses to permit a contractor's principal investigator to publish NRC-sponsored information in the open literature. (b)
When an office director refuses to permit a contractor to issue a press or other me dia release about an NRC sponsored publication. (c)
OITice Directors (034)
Ensure that publications will be reviewed in draft for acceptability before final printing and distribution by determining that they are consistent with ageng policy, management decisions, and that they raise no significant legal issues. (a)
Ensure that statements of work on contracts
- include a requirement that contractors comply with this directive and handbook and wah Govemment Printing anc Binding Regulations. (b)
"Contrac1* in the context encompasses tbe -Standard order for doe Work"(NRC Fortn 173). mteragency and sternational ageements.
and pa::ts.
f Approved: June 17.1991 3
(Revised: July 9.1995) i
Volume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Directive 3.8 I
i i
l Office Directors
]
(034)(continued) i l
l Sieu. or delegate signat are ;thority for, the NRC Form 426A.
l
" Release to Publish Unclassified NRC Contractor. Consultant, or L
Conference Proceedings Reports" (Exhibit 1 of Handbook 3.8).
and for memoranda requesting reprints of contractor publications. (c)
Director, Office of Administration (ADM)
(035)
As delegated from the DEDS. administers NRC's programs and policies for publishing unclassified contractor and grantee reports and books in the NUREG series.
l Director, Division of Freedom of J
Information a::d Publications Senices, (DFIPS) ADM (036) l Develops and administers. as delegated from the Director. ADM, 1
NRC's program and policies for publishing unclassi5ed contractor, consultant. and grantee formal reports books. and international agreement repons in the NUREG/CR.
NUREG/GR and SUREG/IA series. (a)
Applies the policy, procedures. standards, and guides for the documentation.
formatting.
composition, printing.
and dissemination of SRC-sponsored publications in the NUREG series consistent with the mission of the agency and in accordance with the requirements of the Government Printing and Binding Regulations issued by the Joint Committee on Printing, U.S.
Congress. (b)
Develops and administers the central agency nublication numbering system for identifying, producing, ard retrieving i
unclassi5ed NRC-sponsored publications in the NUREG series. (c)
Director, Division of Contracts (DC), ADM (037) i Ensures that those requests for propoals, imitations for bids, and grant proposals. and the ensuing contracts and grants that require r
Approved: June 17,1991 4
(Revised: July 9,1995)
l Volum! 3, Part 1 - Publications, Mail, and Infermati:n Disclosure i
Unclissified Centrccior cnd Grantee Publicati:ns in the NUREG Series Directiva 3.8 Director, Division of Contracts (DC), ADM (037)(continued) publications as deliverables include provisions requiring that contractors comply with this directive and handbook and with Government Printing and Binding Regulations.
Applicability (3.8-04)
Employees (041)
All NRC employees shall follow the policy and guidance specified in this directive and iundbook.
Other Publications (042)
The provisions of this directive and handbook do not apply to NRC staff publications in the NUREG series. NRC docket material, or l
documents created by NRC boards, panels, advisory committees, or offices that report to the Commission.
Handbook (3.8-05)
Handbook 3.8 giw detailed guidelines for preparing unclassified contractor and grantee publications in the NUREG. series.
References i
(3.8-06)
A Manual of Style, University of Chicago Press.
Atomic Energy Act of 1954, as amended (42 U.S.C. 2011 et seq.).
" Copyrights." Title 17. United States Code.
i f
" Cost Principles for State and Local Governments." OMB Circular A-87. Office of Management and Budget. January 1981.
Energy Reorganization Act of 1974, as amended (42 U.S.C. 5801 et seq.).
Approved: June 17.1991 3
(Revised: July 9.1995) l l
m Vclume '3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications.in the NUREG Series Directive 3.8 References (3.8-06)(continued)
" Federal Grant and Cooperative Agr:ement Act," Pub. L 95-224 February 3,1978.
" Federal Regulation Requirements," Executive Order 12291, February 17,1981 (5 U.S.C. 5601 Note).
Freedom of Information Act (5 U.S.C. 552).
a Government Printing and Binding Regulations. Pub. L 101-9.
February 1990.
" Grants and Agreements Witn Institutions of Higher Education.
Hospitals. and Other Nonprofit Organizations." OMB Circular A-110. Office of Management and Budget, July 1976.
l Memorandum of Understanding Between the Department of Energv and the U.S. Nuclear Regulatory Commission. February 24,1978.
L Memorandum of Agreement Between the Institute of Nuclear Power Operations and the U.S. Nuclear Regulatory Commission, dated September 17.1993.
NRC Management Directive 3.9 "NRC Staff and Contractor l
Speeches. Papers, and Journal Articles on Regulatory and Technical Subjects.
3.11. " Conferences and Conference Proceedings."
12.2, "NRC Classified Information Security Program."
12.6. "NRC Sensitive Unclassified Information Security Program."
NUREG-0650, Revision 1. " Publishing Documents in the NUREG Series," November 1990.
NUREG/BR-0075, Revision 2. "NRC Field Policy Manual," Field Policy Manual No. 9, dated March 22,1993.
"Public Printing and Documents," Title 44. Chapter 3 Government Printing Office, United States Code.
j U.S. Government Printing Office Style Manual,1984.
l 1.
Approved: June 17,1991 6
(Revised: July 9,1995)
i i
I Unclassified Contractor and Grantee Publications in the NUREG Series i
Handbook f
i 3.8 I
I l
b i
.,=
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V:lume 3, Part 1 - Publicati:ns, Mail, cud Inf:rmatirn Discl sura Unclassified Contractor cnd Grantee Publications in th2 NUREG Series H ndbook 348 Pcrts I - VI Contents t
Part I 1
Intr odu ction..........................................................
Part II Preparing Publication Requirements for Statements of Work for 2
Contract s.........................................................
2 Specifying Publication Requirements (A)...............................
2
(
F ablishing Formal Reports (B)........................................
Publishing Unclassified Information in the Open Literature and Presenting 4
Pape rs (C)............................................
6 Reports Containing Sensitive Unclassified and Classified Information (D)......
J 7
Conference and Workshop Proceedings (E)................................
i 7.
l
~ Distribution of Reports to Contractors (F)...............................
7 Coordinating Contractor Press or Other Media Releases of Information (G)....
i Part III 8
Draft and Final NUREG Reports...................................
8 Identification Information (A).....
8 NU REG Numb er (1 )
8 Auth ors' N ames (2)...............................................
9 Organizational Identification (3).....................................
9 Previous Reports in Series (4).......................................
9 Report Dates (5)..................................................
9 Report Organization and Components (B)................................
9 Pre-Publication Reviews (C).........................
9-Patent Resiew (1).................................................
10 Securi ty Review (2)..............................................
10 Copyright Review (3)............................................. -.
10 Color Printing (D)....................................................
12 M i crofi ch e (E).....................................................
13 Discl aim e rs (F)....................................................
Approved: June 17,1991
...m (Revised: July 9,1995)
V:lume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contract:r and Grantee Publications in the NUREG Series Handbook 3.8 Parts I-VI Contents (continued)
Part III (continued) t 13 Availability Information (G)..........................................
13 Reference Material (1).............................................
l 14 Reports (2)......................................................
14 Fo rms (H)...........................................................
Bibliographic Data Sheet (NRC Form 335) (1).........................
14 Release To Publish Unclassified NRC Contractor. Consultant, or Conference Proceedings Reports (NRC Form 426A) (2)..............
14 15 Printing and Reprinting (I)..............
15 I
Distribution (J)
L Part IV 1
16 International Agreement Reports...
~
16 2
Background and Rationale (A)........
Identification Infonnation (B)........................................
16 16 Cover and Title Page (1)..........
16 j
i NRC Report N umbe r (2)...........................................
17 Previous Reports in Series (3)......................................
17 Report Organization and Components (C)...............................
17 l
Availability Information (D)....................................
17 References and Bibliographies (1)..................................
18 Reports (2)......................................................
18 Disclaimer (E). -......................................................
19 Fo rms (F)...........................................................
19 Bibliographic Data Sheet (NRC Form 335) (1).........................
Release to Publish Unclassi5ed NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A) (2)..............
19 19 Classified or Sensitive Unclassified Information (G).........................
l i
f Approved: June 17,1991 (Revised: July 9,1995) av
V:lume 3, Part 1 - Publicati:ns, Atil, and Information Disclosure Unclassified 0:ntract:r cnd Grantee Publicati:ns in the NUREG Series Handbook 3.8 Parts I - VI Contents (continued)
Part V 20 Books.................................................................
20 G en eral (A)........................................................
20 Definition (B).......................................................
20 Fo rm at (C)..........................................................
21 NRC Document Number (D)..........................................
21 Availability of Reference Materials (E)..................................
22 Resi ews (F).......................................................
22 Pe er ( 1)...................................
23 Copyright (2)...................................................
23 S e curity (3 )....................................................
23 Patent (4).........................
23 Publishing Authorization Form (G) 23 Disclaimers (H)............................................
..................................... 24 Printing (I)..............
24 Distribution and Sales (J)..........................................
Part VI 25 G rant P ublications...................................................
25 Background and Rationale ( A)..........................................
25 Publication of Results (B)..............................................
25 Publication by NRC (1)............................................
25 Publication by a Grantee (2)........................................
25 Publication by a Grantee in the Open Literature (3)....................
27 Reprints of Open Literature Publications (4)...........................
i 27 identification Information (C).........................................
27 Pre-Publication Reviews (D).............................................
G l o s s a ry....................................................
28 Approved: June 17,1991 V
(Revised: July 9,1993)
Vclume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contracter and Grantee Publications in the NUREG Series H: ndbook 3.8 Parts I - VI Contents (continued)
Exhibits
- 1. NRC Fonn 426A. " Release to Publish Unclassified NRC Contractor.
Consultant, or Conference Proceedings Reports"........................
32 33
- 2. NRC Form 335, " Bibliographic Data Sheet".............................
- 3. Micro 5che Sheet Sample 35
\\
i i
Approved: June 17,1991 (Revised: July 9,1995) vi l
l
V: lum: 3, Part 1 - Publicati:ns, Mail, cnd Inf:rmati:n Disclosure Unclassified Centrcct:r end Grantee Publicatisns in the NUREG Seri:s Handbook 3.8 Part I Part I Introduction This handbook specifies the procedures that the Nuclear kegulatory Commission (NRC) contractors and grantees need to follow when pre]5aring the following publications for the NRC: (A)
Final NUREG reports (1)
International agreement reports (2)
Books (3) 4 Grant publications (4)
The handbook is divided into six major parts and includes a glossary and exhibits. Part D provides general information for staff consideration in preparing statements of work. Parts IH,IV, V, and VI provide publishing guidelines specific to, respectively, contractor reports, international agreement reports, books, and grantee publications. (B)
Contractor means a private contractor, consultant, expert, another State or Federal agency working under an interagency agreement, or a Department of Energy (DOE) facility or subcontractor, such as a nationallaboratory, working under the DOE /NRC Memorandum of Understanding of February 24,1978, and any subcontractors of these organizations. (C)
This directive and handbook, as well m a copy of " Publishing Documents in the NUREG Series" (NUREG-0650, Revision 1), must be included or referenced in all contracts, interagency and international agreements, and grants for which the publications previously listed are contract deliverables or grant obligations. In addition to the guidelines specific to each type of publication that appear in subsequent parts of this handbook, all statements of work must contain the applicable guidelines outlined in Part II. (D)
' Approved: June 17.1991 I
(Revised: July 9.1995)
V: lum: 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUPl :G Series Handbook 3.8 Part II Part II Preparing Publication Requirements for Statements of Work for Contracts 5pecifying Publication Requirements (A)
List and describe the type of technical repons required from each project, task. or subtask. as applicable. State when, how many, and to whom the reports should be submitted and the scope ofinformation they should contain. These reports may be unclassified, sensitive unclassified, or classified. For guidelines and requirements covering sensitive unclassified and classified publications, refer to Management Directive (MD) 12.2, "NRC Classified Information Security Program," and MD 12.6, "NRC Sensitive Unclassi6ed Information Security Program." (1)
This directive and handbook pertain to publications that will be issued in the NUREG/CR, NUREG/IA. and NUREG/GR series. (2)
Publishing Formal Reports (B)
NUREG series reports will be printed and distributed by NRC from camera-ready copy submitted by the contractor to the Publications Branch, Ma11stop T-6 E7, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The camera-ready copy is to be prepared in accordance with the provisions of this handbook.
Recommended guidelines for the orgamzation and format of formal reports are specified in " Publishing Documents in the NUREG Series" (NUREG-0650, Revision 1). (1)
When the report contains sensitive unclassified or classified information, the contractor must comply with MD 12.2. (2) 1 Approved: June 17,1991 (Revised: July 9,1995)
Vclume 3, Part 1 - Publications, Mail, and Infcrmati:n Disclosure Unclassified Contrcctor and Grantee Publicati:ns in the NUREG S:. ries Handbook 3.8 Part U Publishing Formal Reports (B)(continued)
If a draft is desired before completing a final report, specify in the statement of. work (SOW) the due date for delivering the final camera-ready copy after receiving comments from NRC staff or participants (if applicable) on the draft. State that all draft material be submitted to the cognizant NRC contact. (3)
When the contractor is to submit draft material for comment before prenaring the final repon. state that '.ne contractor will be asked to make changes if there are comments from NRC staff or panicipants. If agreement on the changes is reached, the NRC contact will authorize the contractor to prepare the final copy and submit it t'o the NRC l
contact if it is a letter repon orinput to a Saky Evaluation Repon or an Emironmental Statement, or to the Director, Division of Freedom of Information and Publications Servi < es (DFIPS) if it is a camera-ready copy for printing and distribution. This procedure will ensure proper publication, handling distribution and. among other things, preclude further changes that might nullify the agreement. (4)
If special caveats were agreed to between the contractor and the NRC contact, the caveats should accompany the NRC Form 426A (Exhibit 1) for approval when it is sent to the NRC contact. A copy of l
special caveats should also accompany the camera-ready copy sent to DFIPS. (5) i j
If agreement on changes to a formal technical report to be issued in the NUREG/CR series is net reached, the NRC contact may request the contractor to prepare L e camera-ready copy with, in addi ion to the t
standard disclaimer required on all contractor formal reports (see Section (F), Pan III of this handbook), any caveats deemed necessary to cover NRC objections. These caveats may range from "The siews expressed in this repon are not necessarily those of the U.S. Nuclear Regulatory Commission" to the addition of a preface setting forth the NRC opinion or footnotes at appropriate locations within the text. (6)
If NRC objections cannot be covered in this manner, NRC can refuse to publish the repon. In the case of DOE / national laboratory reports.
the DOE Operations Office Manager responsible for the laboratory should be informed by the NRC office director cr regional aJannistrator of the decision and the reasons therefor. A copy of the decision should be sent to the laboratory director. In the case of Arcther Federal agency. a State, or a private contractor, the person whc aw.ed irm the contract should similarly be informed by the Approved: June 17.1901 (Revised: July 9,1995)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series j
J Handbook 3.8 Part II Publishing Formal Reports (B)(continued)
NRC comracting officer. The contractor is then free to publish the repon without identifying NRC as the funding sponsor of the repon and without the NRC dischimer Decisions by the office director or designee may be appealed to the appropnate Deputy Executive Director for Operations. (7)
Publishing Unclassified Information in the Open Literature and Presenting Papers (C)
Specify whether the contractor's principal investigator is permitted to publish in the open literature instead of submitting a final repon and/or to present papers at public or association meetings during the course of the work. If this arrangement is authorized. add the following statement to the SOW: (1)
The principat investigator may publish the'results of this work in
'the open literature instead of submitting a final report.or may presentf papers at pubhc or. association meetings (at: interim 1
~
~ '
B
~
stages of the wor,k.-
If the NRC contact wants to review the paper or journal article before presentation or submission for publication, so state in the SOW. as follows:(2)
The principalinvestigatormay psblish the results dthis workin.
the open, literature instend of submitting a finhl sportfor ma~y
~
present-papers lat publicMr2associitioOmi.%datiinierim hasbNireviEwed bythe stages of theworkif thesrticlEer pa@nnent has;been reach NRC contactindraft fosmiMagree m, 1.;i dj$ 6 2 thEcontenk If agreement is not reached, NRC may also_ require that the paper include in addition to the standard statement " Work supponed 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 may refuse to authorize publication in the open literature and/or presentation of papers. (3)
In the latter case, NRC will inform the contractor of the decision. as previously stated. The contractor is then free to publish without identifying NRC as the funding sponsor of the information. Decisions by office directors or designees may be appealed to the appropriate NRC Deputy Executive Director for Operations. (4)
Approved: June 17,1991 (Revised: July 9,1995) 4-
Volume 3, Part 1 - Publications, Mail, and Informatinn Disclosure 4
Unclassified Centractor and Grantee Publications in the NUREG Series 1
Handbook 3.8 Part H
~
4 Publishing Unclassified Information in the Open Literature and Presenting l
Papers (C)(continued)
If the contractor proposes to publish in the open literature or present 4
the information at meetings in addition to submitting the required technical reports, approval of the proposed article or presentation should be obtained from NRC. NRC shall approve the material as t
submitted, approve it subject to NRC-suggested revisions, or disapprove it. In any event, NRC may disapprove or delay presentation j
of papers on information that is subject to the Commission's approval that has not been ruled upon or that has been disapproved. (5) l f
i If the contractor requests permission to publish in t e open literature h
even though the contract does not explicitly provide fc-this type of publication, the' contract can be modified to provide for such l
presentations. (6)
When the contractor submits journal articles for publication, each must be accompanied by the following statement:(7) i 1
The subnAitted manuscript has'been authored bia centsastorof i
the U.S! GsL=sr.catunder ContraitPNo; 1 Accordidgly, the l
.U.S.T,osernmentiIsas' alnenexclusive; royalty-free? license' to publish or reproducithe published form of this coniribution;or f
i aH0w othgrs to do so,for U.S. GAermnent purposes.
1 j'
i All published parars and articles must include the following
]
j disclaimer: (8) 1 l
m mm This reportwas prepared as'an1 account of worKspor-est by m
1 l
- an agency;of ths United StAlss Gdvernment.Neitherithe:Udited
~
" States (G..g _55tinoEAnyjiency thereof,inerM$fitheir J
employeefsdnakssfany1 warranty, expressedfor$ia$liedder 1 assumes [any legaCliability[cifresponsibHitfferiannthiid
)
iparty'slinse?drfthEfstsultsiefssuch f ases ufjanninforma' tion, imppardtusp/podd6ct[or(process?sclosed id{thisjreport,Cer l
iepresentsitha6its use by;sudi third paityisseldsstlinfringe
~ privately owned rights. The views expressed _in this papeirare not necessarily those of the 'U.S. Nuclear Regulatmy Commission.
'For DOE mork orders. the appropnate job code number is appbcable.
Approved: June 17.1991 3
(Revised: July 9,1995)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part H Publishing Unclassified Information in the Open Literature and Presenting Papers (C)(continued)
If the contractor is requested by the journal or other publisher to transfer the copyright the contract author will respond to the journal or other publisher in writing in accord with the sample letter shown as follows:(9)
- Ded(CopyrightMoldE's Name)-
3Ye:recently: received (aLdocumant foridignatureiassigning
- copyright,and republication l rights linfthe submitted article
.. (titleyto (name of publication).!This letter is ofTered in lieu of the. document as. a means of completing thej transfer of ownership. Accordiagli, we hereby;expresstyr transfer' and assign our rights of ownership'in the above-citedrwork to
-(name of publisher).
You are advised, however, that the above assignment and any publication or republication of the above-cited work is subject to the following Government rights:;~
Thesubmitted manuscripthas beerf authhed. y a contractor b
of the U.S. Government under: Contract No. '
Accordingly, ' thes
.S. I Government? has:; a % nonexclushe, -
royalty-freei cense to:publisifor: reproduce {ths[ published, li form of this contribution, or allow others to do;so, for U.S.'
Government purposes.
. Sincerely, ;
If NRC approves open literature pubiication and page charges and travel costs are required for the presentation of papers, see MD 3.9.
"NRC Staff and Contractor Speeches, Papers, and Journal Articles on Regulatory and Technical Subjects." (10)
Reports Containing Sensitive Unclassified and Classified Information (D)
Examples of the proper marking of reports designated Official Usef Only, Limited Official Use, Proprietary Information, Safeguards Information, and classified (CONFIDENTIAL, SECRET, and TOP SECRET) are specified in MD 12.2.
Approved: June 17,1991 l
(Revised: July 9,1995) 6 j
Volume 3, Pcrt 1 - Publications, Mail, and Infarmati:n Disclosure Unclassified Contracter cnd Grantee Publicati:ns in tha NUREG Seri:s Handbook 3.8 Pcrt U Conference and Workshop Proceedings (E)
If NRC approves publication of compilations of papers presented at NRC-sponsored or cosponsored meetings, conferences, and symposia.
see MD 3.11. " Conferences and Conference Proceedings.',
Distribution of Reports to Contractors (F)
J Up to 50 copies of printed unclassified NUREG/CR, NUREG/GR.
and NUREG/IA reports will be bulk shipped to the contractor by i
NRC. (The Joint Committee on Printing's Govemment Printing and Binding Regulations permit contractors to receive free of charge up to 50 copies of reports they have produced for NRC.)If fewer than 50 copies are needed, indicate the desired quantity on NRC Form 426A requesting single copies for speciSc 1
(Exhibit 1). Contractors individuals in organizations other than the contractor's organization who are not included in the distribution requested by the NRC contact 4
may address such a request, with written justification, to the NRC 4
contact. If the additional distribution is approved by the NRC contact, the contractor shall send address labels with the camera-ready copy to the Publications Branch. DFIPS, USNRC, Washington, DC 20555-0001, and that distribution will be made along with the standard distribution.
Coordinating Contractor Press or Other Media Releases ofInformation (c)
A contractor may regi est permission to issue a press or other media release on the. work being done. That request must be made to the NRC of5ce director or designee, who will consult with the staff of the Office of Public Affairs. The contractor must not issue a press release on nonroutine information without this prior approval. This approval may be obtained by a telephone call to the office director or designee to expedite the request. The contractor may appeal decisions not to authorize the release of information or delays in handling the request to the appropriate Deputy Executive Director for Operations.
l Approved: June 1". l9M
,/
(Revised: July 9,1945)
V:lumm 3, Part 1 - Publicati::ns, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part III l
Part III Draft and Final NUREG Reports Identification Information (A) 1 NUREG Number (1) i Each contractor report published by NRC must be identified by a unique alphanumeric designatio controlled and maintained by the Division of Freedom of Information and Publications Senices (DFIPQ To obtain an NRC report number. call the Publications Branch. DFIPS. at (301) 415-7008. (a)
The NRC identification numbers will have one of the following forms:(b)
NUREG/CR-0000 NUREG/GR-0000 NUREG/IA-0000 CR indicates contractor report, GR indicates grant report. and IA indicates international agreement report. The contractor report number, if any, will be placed below the NUREG number on the title page and cover. (c) i When a repon consists of more than one volume or binding, or is issued in more than one edition, an appropriate volume, number, supplement, pan, addendum, or revision designation must appear immediately below the NRC repon number and the contractor's repon number, if any. (d)
Authors' Names (2)
Authors' names must appear on the report cover and title page, unless placing them there is impractical, as for an annual repon having many contributors. Editors or compilers with subject-area expertise may also be identified as such on the cover and title page. The authors' Approved: June.17,1991 8
(Revised: July 9,1995)
V:lume 3, Part 1 - Publications, Mail, and Informatian Disclosure Unclassified Centractor and Grantee Publicatirns in the NUREG S ries Handbook 3.8 Prrt III Identification Information (A)(continued)
Authors' Names (2) (continued) affiliation need not be listed unless it differs from the organization creating the report.
Organizational Identification (3)
The Publications Branch, DFIPS. prepares the covers and title pages for all repons and will list information about the organization that created the repon as it is provided.
l Previous Reports in Series (4)
)
If the report being prepared is one in an ongoing series, list all previous repons in the serier include repon numbers and issuance dates. Place this list on the back of the title page. If this list cannot be placed on a j
single page, place the pages at the end of the front rnatter rather than on the back of the title page.
Report Dates (5)
The report dates are shown on the title page. These dates include the month and year the report is completed and the month and year it is published.
Report Organization and Components (s)
The organization and components of contractor repons vary, depending on their purpose and scope. Recommended format and organizational gmoelines appear in " Publishing Documents in the NUREG Series" (NUREG-0650, Revision 1). (1)
Each draft and final report prepared for NRC must include an abstract of 200 words or less that appears on a separate page preceding the table of contents.The abstract also must appear on the " Bibliographic Data Sheet," NRC Form 335 (Exhibit 2). Instructions for completing NRC Form 335 appear on the back of the form. Guidelines on the special writing requirements for preparing abstracts appear in j
i Section 5.5 of NUREG-0650, Revision 1. (2).
Pre-Publication Reviews (C)
Patent Review (1)
Patent implications must be considered before approval of reports for public release so that disclosure will not adversely affect the patent Approved: June 17,1991 9
(Revised: July 9.1995)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contracter and Grantee Publications in the NUREG Series Handbook 3.8 Part IH Pre-Publication Reviews (C)(continued)
Patent Resiew (1)(continued) rights of NRC or the contractor. If the work being reported is contractually managed through another Government agency (e.g..
DOE national laboratories), the contractor should request that Government agency to perform the patent review. The result of the review must be reported on NRC Form 426A under item 8 (see Exhibit 1). (a)
If NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the Government agency administering the contract, the responsible NRC contracting officer must be consulted. and the responsime NRC technical cor. tact shall consider the patent implications.1. the report does not require a patent review because the report does not contain any description of novel technical developments that may be of an inventive nature, mark "N/A" on the NRC Form 426A in the space for the Patent Counsel's signature. If a possibility exists that developments of an inventive nature are disclosed. the contracting officer shall request assistance from the NRC Assistant General Counsel for Administration. Office of the General Counsel. on (301) 415-1553. (b)
Security Review (2)
If a report of sensitive unclassified or classified work is required, the NRC contact must work with the NRC Division of Security to establish the appropriate procedures and inform the contractor of these procedures through the contracting officer. The standards for marking and handling these reports are given in Management Directive (MD) 12.2. "NRC Classified Information Security Program."
Copyright Review (3)
Copyrighted material must not appear in NRC-sponsored publications without written permission from the copytaht holder.
See Section 3.4 of NUREG-0650, Revision 1. for information about obtaining copyright permission.
L Color Printing (D)
Regulations issued by the Joint Committee on Printing (JCP) restrict the use of color in printed materials to those uses that are of demonstrable value. JCP regulations specify that " demonstrably valuable multicolor printing" includes the following categories: (1) i i
Approved: June 17,1991 (Revised: July 9.1995) 10
Volume 3, Part 1 - Publications, Mail, and Infcrmati::n Disclosure Unclassified Contractor cnd Grantee Publications in the NUREG Serits Handbook 3.8 Prrt IH Color Printing (D)(continued)
Maps and technical diagrams for which additional color is necessary for clarity. (a)
Object identification (medical specimens, diseases, plants, flags, uniforms, etc.). (b)
Safety programs, fire prevention, savings bonds programs, and competitive areas of personnel recruiting. (c)
Areas wherein clearly identifiable savings in costs can be soundly j
predicated on multicolor use. (d) t Printing for programs required by law. whose relative success or
)
failure is in direct ratio to the degree cipublic response, and for which that response can be logically attributable to the number of colors planned and the manner in which they are proposed to be used.(e) i Color for promotional or motivational purposes, such as programs concerning public health, safety, and consumer benefits, or to encourage utilization of Government facilities, such as programs for Social Security. Medicare. and certain areas of need for veterans. (f)
The regulations indicate that the following categories do not meet the
-demonstrable value" criteria: (2)
Printed items wherein additional color is used primarily for decorative effect. (a)
Printed items for which additional color is used primarily in lieu of effective layout and design. (b)
Printed items for which additional color is used excessively, that is, four colors when two or three will fulfill the need, three colors when two are adequate, two colors when one is adequate. (c)
Printed :tems wher ein the inclusion of multicolor does not reflec advance planning that recognizes the careful, competent contribution that the use of color is expected to make to the 4
ultimate end-purpose. (d)
Approved: June 17.1991 11 (Revised: July 9,1995)
Volume 3g Part 1 - Publications. Mail, and Infortnation Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part IH Color Printing (D)(continued)
If color printing is anticipated when the statement of work or standard order for DOE work is beir. prepared. contact the Publications l
Branch. DFIPS. Prior approval must be granted by the Director of DFIPS. If a requirement for colcr printing arises as the report is being prepared, submit a written jusr5 cation for its use to the Director of DFIPS. (3)
Microfiche (E)
}
NRC contractors and DOE laboratories submitting microfiche with
[
on each microfiche as shown, copy of each micro 5che, include h reports must submit a hard in Exhibit 3. and conform to the following NRC specifications."
s
.Niicrofiche must conform to either the 24/98 format for source documents with 14 columns and 7 rows (reduction ratio of 1 to 24 or the 48/270 format for computer output microfilm with IS columns and 15 rows (reduction ratio of 1 to 48). (1)
The microfiche sheet must be standard 105 mm by 148 mm. C)
The microfiche must be either a silver-halide master or a black or blue-black diazo placed in acid-free envelopes. (3)
The microfiche must contain headers as shown in the sample in Exhibit 3. Specifically, the first block of the header must contain the NUREG number (mclude volume or revision. If applicable).
the contractor identification number, and the classification (e.g..
unclassi5ed. proprietary). The second block must contain the description of the microfiche and may include the contractor's name. The third block must contain the publication date and the sheet identification. (4)
The header information must be eye readable on a clear background. (5)
A foldout page must be microfilmed in sections if the page is too large to be microfilmed in a double frame. No less than 25-mm overlap of original material is acceptable. (6)
- With the excepuon of items (3). (4). and (S), these speedcanons are consistent with the Amencan Nanona! Standards 1nsutute -Standard for Macrographics-Micro 5che. ANSI /AIIM MSS.-1985." Copies of this standard are available from the Amencan Nanonal Standards Insutute. ATrh: sales Department.11 West 42nd Street.13th floor. New York, h710036 (212) 642-4900. or from the Associauon for Infonnanon and Image Management.
ATrN: Pubhcanons Secuon.1100 Wayne Avenue. Silver Spnng. MD 20910 (301) 5@-8202.
Approved: June 17.1991 12 (Revised: July 9.1995)
- Vclume 3, Part 1 - Publications, Mail, and Inforrndtion Disclosure
~
Unclassified Centracter and Grantee Publications in the NUREG Serits Hcndbook 3.8 Part III Microfiche (E)(continued)
The first frame must be blank (on the first sheet only), and the second frame must contain the NationalInstitute of Standards and l
Technology's (NIST's) Reference Material resolution target in Microcopy Test Charts (NBS SRM 1010A). (7)
Jacketed microfiche is unacceptable. (8)
Disclaimers (F)
The following notice will be added by the Publications Branch, DFIPS, before the printing process on the inside front cover: (1)
This report was prepared as an account of work sponsored by i
i an agency of the United States Government. Neither the United States Government nor anyTagency;thsreof, nor any of their S employees,imakes t.,anyf warranty,? expressed yor implied,@r uassumeisanyJlegalfliability orresponsibilitysforJanyithird (party's?use,/or. the,results:of such u'se, oflanylinfdrmation, apparatus,iproduct, or process disclosed?inithis report,7or represents that its"use by such third parti would not. infringe prifately owned rights. : '
~'
The branch will print the additional statement. "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission." below the standard disclaimer, if appropriate. Other qualifying statemen may be added. if needed. (2)
Availability Information (G)
Reference Material (1)
Reports or other documents referenced in text, reference secti'ons, I
bibliographies, and appendixes of unclassified regulatory 'and technical reports in the NUREG series must be available to the public j
either in the public domain (asin a public Hbrary, at the Government Printing Office (GPO), at the National Technical Information Service (NTIS), or at other reference or sales outlets) or in the NRC Public Document Room (PDR). This means that references should not be made to personal communications and interviews, unpublished information and information with restricted distribution (e.g.,
proprietary, National Security, and Official Use Only). If the unretrievable information is important and unrestricted, quote it in Approved: June 17,1991 1,0 (Revised: July 9,1995)
Volume 3, Part 1 - Publications. Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part III 1
Availability Information iG)(continued)
Reference Material (1)(continued) the text or in footnotes. P1 ovide any credit due to individualsin the text or in an acknowledgment section. Availability may be stated collectively for all entries. (a)
Although proprietary reports may not be included in a list of references, listing or identification of proprietary reports may be included in an appendix or in a separate listing following the reference section titled " Proprietary Sources ofInformation."(b)
In addition. reference to Institute of Nuclear Power Operations (INPO) documents may not be made without prior approval from
. INPO. Approval to reference BTO documents mu;t be stated on the NRC Form 426A. (c)
Guidelines for developir.g and presenting reference material are provided in NUREG-0650. Revision 1. (d)
Reports (2)
Most final reports are sold by GPO and NTIS. A statement indicating this. availability is added to each report, as appropriate. by the Publications Branch staff before the report is printed. (a)
Draft reports for which comments are requested are typically announced in the Federal Register as being available from the NRC.
These reports are not sold at GPO or at NTIS. (b)
Forms (n)
Bibliogrnphic Data Sheet (NRC Form 335)(1)
All published NRC reports tmist include an NRC Form 335 as the final right-hand page of the manuscript. Instructions for completing the NRC Form 335 appear on the back of the form. A completed b3C Form 335 must be submitted to the Technical Publications Section.
1 DFIPS. with the camera-ready copy of the report. Exhibit 2 shows a j
completed NRC Form 335.
Release To Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A)(2)
The NRC contact must submit a completed NRC Form 426A (see Exhibit 1) with the camera-ready copy of the report to the Technical i
Publications Section, DFIPS. NRC Form 426A must be siped by the staff member designated by the appropriate office director.
Approved: June 17,1991 (Revised: July 9,1995).
14' I
l
Volume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG S Handbook 3.8 Part III Printing and Reprinting (I)
The Publications Branch, DFIPS, will review the camera ready report submitted for printing 'or its adherence to the standards and requirements set fonh in this directive and handbook, as well as any relevant guidelines from NUREG-0650. Revision 1. Unsatisfactory manuscripts will be returned to the NRC contractor for appropriate action. (I)
Submit a memorandum requesting a reprint to the Director, DFIPS, or designee, for approval. Include with the request a written justification and the approval of the office director or. designee for reprinting. Also provide address labels for recipients not on STC standard distribution lists. (2)
Distribution (J)
The Publications Branch. DFIPS, will arrange distribution for all copies of unclassified formal contractor reports in accordance with instructions on NRC Form 426A(Exhibit 1).The Publications Bran will also arrange automatic distribution of these reports to hTC NUDOCS the NRC PDR. NTIS, GPO, and the GPO Federal Depository Library Program. (1)
Sensitive unclassified and classified reports will be distributed by the NRC sponsoring office on a case-by-case basis. (2)
Approved: June 17,1991 13 (Revised: July 9,1995)
Vclume 3, Part 1 - Publicati:ns, M il, and Infcrmati:n Discl: sura Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part IV Part IV International Agreement Reports Background and Rationale (A)
NRC has cooperative nuclear safety research prognms that involve either or both foreign governments and organizatic s and U.S.
indusuy. These programs include monetary contributions, information exchange, and comments on program plans and results as authorized in the Energy Reorganization Act of 1974. To this end, international and U.S. industry agreements have been signed that provide for transmitting unclassified technical information from foreign participants to NRC. These procedures apply only to NRC-managed work, (1)
The interests of all NRC international nuclear safety research program participants are served best by formal dissemination ofinformation on these programs or codes developed for or in cooperation with NRC. (2)
Identification Information (B)
Cover and Title Page (1)
The cover and title page will contain a title, a subtitle (if appropriate),
the names of the authors, the performing orgamzation, and the NRC office sponsoring the project. The cover and title page will be prepared by the Publications Branch, Division of Freedom ofInformation and Publications Services (DFIPS).
NRC Report Number (2)
Each report must be identified by an NRC-controlled alphanumeric number as the prime number unique to that repon. The centralized document cor. trol system for unique identification is maintained by DFIPS. Numbers may be obtained by calling the Publications Branch at (301) 415-7008. (a)
Approved: June 17,1991 16 (Revised: July 9,1995)
J
Volutne 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part IV i
Identification Information (B)(continued)
NRC Report Number (2) (continued)
The NRC identification number will have the form "NUREG/IA-000," wher^ IA 5 dica:es -international agreement.'
The foreign participant's report number, if any, may be inserted below the NUREG number on the cover, if desired. (b)
When a repon consists of more than one volume or binding or is issued in more than one edition, include an appropriate volume, number, supplement, part. addendum, or revision designation below the repon number and the foreign participant's report number,if any. (c)
Previous Reports in Series (3)
If the report being prepared is one in an ongoing series. list all previous reportsin the series. Include report numbers and issuance dates. Place this list on the back of the title page. If this list cannot be placed on a single page, place the pages at the end of the front matter rather than on the back of the title page.
Report Organization and Components (C)
The organization and components of cooperative agreement reports vary somewhat, depending on their purpose and scope. Each of these reports must include an abstract of 200 words or less that appears on a separate page before the table of contents. The abstract must also appear on the " Bibliographic Data Sheet," NRC Form 335 (Exhibit 2).
Instructions for completinji NRC Form 335 appear on the back of the form (Exhibit 2). Guidance on'the special writing requirements for preparing abstracts appears in Section 5.5 of NUREG-0650, Resision 1.
Availability Information (D)
Refetences and Bibliographies (1)
Reports or other documents referenced in text, reference sections, bibliographies, and appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the public dounin (as in a public library, at the Government Printing Office (GPO), at the National Technical Information Service (NTIS), or at other reference or sales outlets) or in the NRC Public Document Room. This means that references should not be made personal communications, interviews, and unpublished information with restricted distribution (e.g., proprietary, National Security, Official Use Only). lf the unretrievable information is important and I
Approved: June 17,1991 17 (Revised: July 9,1995)
Vclume 3, Part 1 - Publications, Mail, and Infcrmation Disclosure Unclassified Centract:r and Grantee Publications in the NUREG Serits Handbook 3.8 Part IV Availability Information (n)(continued)
References and Bibliographies (1) (continued) unrestricted, it can be quoted in the text, in footnotes, or in appendixes. If the title of a document containing proprietary information is unclassified, it can also be quoted in the text or in a footnote. If credit is due to individuals, they can be raentioned in the text or in an acknowledgment section. Availability may be stated collectively for all entries. (a)
Although proprietary reports may not be included in a list of references, listing or identification of proprietary reports may be included in an appendix or in a separate listing following the reference section titled " Proprietary Sources of Inforrntion." (b)
Li addition, reference to Institute of Nuclear Power Operations (INPO) documents may not be made without prior approval from i
INPO. Approval to reference INPO documents must be stated on the NRC Form 426A. (c)
Guidelines for developing and presenting reference material are provided in NUREG-0650. Revision 1. (d)
Reports (2)
These reports will be made available for sale by GPO and hTIS.
Disclitirner (E)
The following notice will be added by the Publications Branch, DFIPS, on the inside front cover before printing.
m s
w ue w
/Diisreportfwasfpnparedfundkabjiinia-@M[;M, e
- h. a.dt for the.cxchange of technical infonnatiAn! Neith
. United Staies Gov'ermeditieranp agency thereof,nor anylhrtheiri t
employess makes'anywarrantsexpressedloFimplied,W_ asumesl
- anyleght liability orlnsponsibility for
- any thini party's u_sefo
~
- results of such.;use/of any information; apparatus l product,' or
- process 4isclosed in this report, or represents. shat its use by suctG/
(third party would notl infringe privately owned rightsA Approved: June 17,1991 (Revised: July 9,1995)
Ig
Volume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part IV Forms (F)
Bibliographic Data Sheet (NRC Form 335) (1)
Submit a typed NRC Forn. 335 (Exhibit 2) with the camera-ready copy to the Technical Publications Section. DFIPS, as the final right-hand page.
Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A) (2)
An NRC Form 426A (Exhibit 1) must be completed and signed by the office director or designee and submitted with the camera-ready copy of the report to the Technical Publications Section, DFIPS.
Classified or Sensitive UnclassiD.ed Information (c)
The NRC contact should r:fer to Management Directive 12.2 or call the Division of Security for answers to questions about the status of classi5ed or sensitive unclassified information in NUREG/IA reports.
i Approved: June 17,1991 19 (Revised: July 9,1995).
V:luine 3, Part 1 - Publications, Mail, and Inf:rtnation Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part V Part V Books General (A)
These guidelines apply to books written by contractors and grantees that are printed by NRC. See Part VI of this handbook for guidance on publications, including books. by grantees.
Definition (s)
A book refers to a publication intended as a permanent reference or as a textbook or major critical review of a technical or regulatory topic.
Format (C)
Books are usually 6 by 9 inches in trim size. but size will be based on requirements such as ease of use and legibility for graphics, foldouts, and the like. The binding (casebound or paperback) will be chosen according to the leed for durability. Additional guidance on manuscript preparations can be found in the U.S. Goremment Printing Office Style Manual and the Chicago University's A Manual of Style.
Refer also to NRC's " Publishing Documents in the NUREG Series" (NUREG-0650, Resision 1). (1)
The contractor shall submit to the NRC project manager the typeset (photocomposed) manuscript suitable for printing. The NRC contact shall submit the manuscript to the Chief, Publicatio'ns Branch, Division of Freedom of Information and Publications Sersices, (DFIPS), where it will be reviewed for adherence to the standards set forth and referenced in this directive and handbook. The manuscript will also be reviewed for printing acceptability by the Printing and Mail Senices Branch, DFIPS. Unsatisfactory manuscripts will be reported to the NRC contact for appropriate contractual action by the hTC contracting officer or, in the case of Government agency or interagency agreement work, the publications manager of the performing organization. (2)
Approved: June 17,1991 20 (Revised: July 9,1995)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part V l
Format (C)(continued)
)
DFIPS will approve the design of the cover and title page contait. fag appropriate information once aing-(3)
Authors' names (a) 1 Organizational identification (b)
Public availability and sales (c) e All books must include a comprehensive subject index of the book's contents, unless the book is made up almost exclusively of graphical or tabular matter. See NUREG-0650, or The Chicago Manual Style (13th ed.) for guidelines on cre'. ting an index. (4)
NRC Document Number (o)
Each book must be identified by an NRC-controlled alphanumeric code unique to that book. The alphanumeric code will have the form NUREG/CR for books prepared by contractors and NUREG/GR for books prepared by grantees. (1) 3Vhen a book consists of more than one volume or binding, or is issued in more tha'n'orie niition, include an appropriate volume, number.
~
supplement. part, addend.:rn, or revision designation directly below the document number. (2)
Numbers are assigned by the Publications Branch, DFIPS. The number may be obtained before the manuscript is submitted to DFIPS for printing by calling the Publications Branch at (301) 415-7166. The DFIPS staff will arrange to meet with the NRC contact for the project and, when appropriate, the author (s), to discuss the publication production requirements and the schedule for the book. (3)
Availability of Reference Materials (E)
The guidelines for availability of reference material given in Section G of PartID of this handbook also apply to books prepared by contractors and grantees that are published by NRC.
Approved: June 17,1991 21 (Revised: July 9,1995)
Wlume 3, Part 1 - Publicatisns, Mail, and Inferinati:n Discl:sure Unclassified Centracter and Grantee Publications in the NUREG Series Handbook 3.8 Part V Reviews (F)
Peer (1)
Books published by NRC must undergo peer review by experts within and outside NRC. Peer review refers to a critical evaluation of the technical contents of a publication. These reviews may be conducted anonymously by reviewers from the author's own or a related field who are totally independent of the work leading to the manuscript. (a)
Reviewers should be chosen by the NRC office sponsoring the book from the potential audience for the publication and should proside an independent judgment about whether the publication successfully accomplishes the author's aims. Peer reviewers should be chosen for their expertise in the subject matter of the book.They may come from academia, the national laboratories, other Federal agencies, or from other research institutg or consulting firms. They may be identified from the m6mbership'r'ollsif4Pofessibnal' societies;-AInsifidi G
/
National Standards Institute (ANSI) subcommittees, and the like. Do not choose more than one reviewer from the same organizanon. (b)
When assessing potential peer reviewers, screen for demonstrated competence and achievement in a specific discipline or research specialty. Assess competence based on the quality of research accomplished. publications in refereed journals, and other significant technical activities, achievements, and honors. Consider the judgment, perspective, and objectivity of reviewers. Consider also the personal integrity of those selected to ensure the confidentiality of information reviewed. Finally, avoid real or perceived conflicts of interest.'Do not choose reviewers who are licensees or consultants to
~
licensees, nor reviewers from intenenor groups. Likewise, do not choose reviewers who may profit financially from influencing the information reviewed. (c)
The senices of reviewers from outside the agency may be acquired through consultant senices contracts. The decision as to wilether to reimburse peer reviewers should be made on a case-by-case basis,,
however. Recognize that reimbursing peer reviewers may give the appearance of a conflin of interest, suggesting to some that because NRC is paying for this senice, the agency will seek only resiewers thought to be favorably disposed to the material reviewed. One way to offset this impression is to seek recommendations for peer reviewers from independent organizations, such as the American Physics Approved: June.17,1991 (Revised: July 9,1995) 22
1 Volume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part V i
Reviews (F)(continued)
I Peer (1)(continued)
Society, the American hoclear Society, the American Society of Mechanical Engineers, or appropriate universities. Reimbursement could then be made to the organization. (d)
Copyright (2)
Copyrighted material must not be reproduced in NRC books without appropriate authority, usually written permission of the copyright holder. See Section 3.4 of NUREG-0650. Revision 1. for information about obtaining copyright permission.
Security (3)
On the basis of the knowledee of the ir. formation sources used, the author is responsible for ensuring that the manuscript does not contain classi5ed or other access-controlled information. If uncertainty exists with respect to the security classification of a reference document or manuscript, an authorized classifier or the NRC Division of Security should be contacted for assistance. See also Management Directive 12.2. "NRC Classified Information Security Program."
l Patent (4)
The patent review guidelines for draft and final formal reports specified in Section (C)(1) of Part III of this handbook also apply to books prepared by contractors and grantees.
Publishing Authorization Form (G) -
A completed NRC Form 426A (Exhibit 1), signed by the office director or designee or by a DOE national laboratory authorized official if the publication is prepared for the ' Office of Nuclear Regulatory Research, must be submitted to DFIPS with the book manuscript.
i Disclaimers (a)
The following standard U.S. Government riotice will be added before printing:(1)
Approved: June 17,1991 23 (Revised: July 9,1995)
l Vclume 3, Part 1 - Publicati:ns, Mail, and Inform:ti:n Discl:sure Unclassified Contract:r cnd Grantee Publications in the NUREG S: ries t
Handbook 3.8 Part V i
Disclainters (n)(continued)
This documentwas prepared as an account ofwork sponsored i
by;an'idencf or the; United! States Government.jNeitherLthe j
FUnised Stites Governwesu nisrsey' agency;iti.sWoof anyof E shhiFensplayees;=mkedany; warranty, expdssed drimplied,or EM'0iuryllegallliabilitierf.m "$tjIfinE[immi third i
s party'sluspWthFresults#sechsusefffinE infaruudian,
[sppar$thprindu$, srprocess EMilithis; Y-E sof I
Irepreselists thst its uss by such third party n6sWisot infringe i
ipr @Wowned rightk -
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The following additional statement may bc grinted below the standard disclaimer,if authorized by the NRC office director or designee: (2)
Thisdocument was prepared imder U.S. Nuclear Risinlaiory.
Commission ((NRC) Contract'No.
m%efopinions,:
fadings, conclusions,and recommendations expressed herein hart those'of the: author (s) and do not necesiaril ireDect the-
'M
- views of the NRC.f w
m Other qualifying statements may be added, if needed. (3) 3 i
Printing (n
[
DFIPS will submit book manuscripts to GPO for printing. The printing cycle requires from 6 to 8 weeks.
Distribution and Sales (J)
J l
The DFIPS staff will arrange distribution in accordance with j
distribution guidance provided by the NRC project manager on NRC Form 426A (Exhibi: 1). (1)
Free distribution should be limited to those who contributed materially to the book or to those for whom the book's subject matter l
bears direcdy on their work at or for NRC. (2)
DFIPS will arrange to make the book available for sale through GPO.
DFIPS al:;o will arrange to have it made availsble at the NRC PDR and for the GPO Federal Depository Library Program. (3) 4 d
Approved: June 17,1991 (Revised: July 9,1995) 34
=.
Vclume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part VI i
Part VI Grant Publications i
Background and Rationale (A)
The Nuclear Regulatory Commission funds grants for educational and nonprofit institutions State and local governments, and professional societies for the expansion, exchange, and transfer of knowledge and ideas pursuant to the Atomic E..ergy Act of 1954, as amended.
Sections 31.a and 141.b.
Publication of Results (s)
The grant will specify the publication requirements of the award.
Grant results may be published by NRC. by the grantee, or in the open literature.
Publication by NRC (1)
This publication option must be governed by the guidelines specified in Part III of this handbook for reports or in Part V of this handbook i
for books, as appropriate. See " Identification Information,"
Section (C) of this pan.
Publication by a Grantee (2) i When the grant speci5es that the grantee is to publish the results of his or her work, the grantee must grant to the Government a royalty-free, nonexclusive, irrevocable license to reproduce, translate, publish, use, and dispose of all copyrightable material first produced or composed in the grantee's performance under the grant.
l Publication by a Grantee in the Open Literature (3)
When the grantee submits journal articles for publication, each article must be accompanied by the following statement: (a)
Approved: June 17,1991
~3 (Revised: July 9,1995)
_ _ _ _. _ _ _ _ _ _. ~. _ _ _ _ _.
V:lume 3, Part 1 - Publications, Mail, and Information Disclosure i
Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part VI 4
i j
Publication of ReSultS @)(continued) i j
Publication by a Grantee in the Open Literature (3) (continued)
, j ;l %
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!.This paper was prepared with the suppost of the EdL. Nuclear RegulatoryCommission(NRC)unden GiaanNo.
cThe!
[ opinions, findings,4conclusionsMand Frecomunendationst expressedsbereinfare thoseiof!the author (s) andidoinot?
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i necessarily reflect the views of the NRC. -
4 i
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If the grantee is requested by the journal or other publisher to transfer 1
the copyright, tne grantee author will respond to the journal or other publisher in writing in accord with the sample letter shown as 2
follows:(c)
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Dear'{Pablisber's Name):
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$@iday feceived kdocumentfo(signature assigmag copynght
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t Approved: June 1"/,1991 (Revised: July 9,1995) 26
Volume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series
- iandbook 3.8 Part VI Publication of Results (s>(continued)
Reprints of Open Literature Publications (4)
When any article resulting from work under the grant is published in a scientific, technical, or professional journal, two reprints of the publication must be sent tc the cognizant NRC program officer.
clearly labeled with the grant r; umber and other appropriate identifying information.
Identification Information (C)
Each report or book published by NRC that results from a grant must be identified by an alphanumeric number. "NUREG/GR-000,~
where "GR" indicates "gnnt r eport." (1)
When the publication consists of rnore than one volume. number, supplement, part, or binding, or is issued in more than one edition an appropriate volume, supplement, part, or revision designation must appear below the NUREG/GR number. (2) l Numbers may be obtained from the Publications Branch at (301)415-7008.(3)
Pre-Publication Reviews (o)
The U.S. Congress characterizes the relationship between a Federal agency and a grant recipient as one in which "the recipient can expect to run the project without agency collaboration, panicipation, or intervention as long as it is run in accordance with the terms of the instrument."
l Approved: June 17,1991 2,/
(Revised: July 9,1995) l l
Volume 3, Part 1 - Publicati:ns, Mail, and Informati:n Discl: sura
~
. Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Glossary Glossary
- Book. A publication intended as a permanent reference or textbook or i
as a major critical review of a technical or regulatory topic. It may be casebound (hardback) or paperbound.
i Camera-Ready Copy. Pages ready for printing by the offset printing
{'
process. This is a colloquial term used even though the printing j
process may not involve the so-called copy camera (see also reproducible rr.=:ers).
Casebound. Term denoting a book with a hard cover.
]
Compose. To arrange letters in type or film. for printing. Usually synonyrnous with typesetting.
t Composition. The process of setting type by hot-metal casting, phototypesetting, or electronic character generating devices (e.g.,
computers) for the purpose of producing camera-ready copy, negatives, a plate, or an image to be used in.the production of printing or microform.
Contractor Report. Record of work done (a report) prepared m accordar,ce vn.. the provisions of a contract or under or pursuant j
to an imeragency agreement.
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, anistic, and certcin other intellectual works. This protection is available to i
both published and unpublished works. Generally, copyrighted material may not be reproduced without the permission of the author or the publisher.
Disseminate. To announce the publication of reports and make them available for free distribution. sale, or copying.
- Words in italic.s m debmtx;ns are also de5ned m the glossary.
Approved: June 17,1991 28 (Revised: July 9,1995)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Glossarv Y
\\
Glossary (continued)
Distribution. Repons dispensed to specific organizations and individuals to ensure heir, articipation in the regulatory process and suppon of research and technological investigations. Such distribution may be accomplished by the use of standard i '
distribution lists established and maintained by the Division of Freedom of Information and Publications Senices at the request j
of the originating of5ce or region.
Documentation. Classification and associated markings required for classified or sensitive unclassified documents, the NRC report number unique to the repon, title (and subtitle,if any). author or correspondent (if any), organization identification and contract number (or job code number), date and availability.
4 Edition. All copies of a book printed from the same type. Edition also refers to format, such as paperback. casebound, or to the text. as revised, expanded, and so on. If extensive revisions have been made to the text and the book is reprinted, the revised version is the new edition.
Grant. A legalinstrument which defines the relationship between the -
Government and a recipient for the transfer of money, propeny.
services. or anything of value to the recipient for the accomplishment of a public purpose of suppon or stimulation authorized by law. A grant presumes a limited amount of involvement by the agency in the performance by the recipient.
drant Report. A record of work done prepared in accordance with the provisions of thegrant.
Index. An alphabetical list of all major topics discussed in a book. It cites the page numbers where each topic can be found. The index is the last section of a book.
International Agreement. Cooperative nuclear safety research programa that involve either or both foreign governments and organizatie and U.S. industry. Such -involvement, r.uthorized under 42 C.S.C.
5801, includes monetary contributions, information exchanges and comments on program plans and results.
International Agreement Report. A record of work done prepared in accordance with the provisions of an intemational agreement.
Approved: June 17,1991 29 (Revised: July 9,1995)
Valutn3 3, Part 1 - Publicati:ns, Mail, and Inforinati:n Disclosura l
Uncl:ssified Centract:r cnd Grantee Publications in the NUREG S ries l
Handbook 3.8 Glossary Glossary (continued)
Manuscript. A handwritten, typewTitten, or composed version of a document, as distinguished from a printed copy.
4 NRC Project Manager. The NRC staff member responsible for the work performed by consultants or contractqrs and their l
subcontractors, or for work performed under or pursuant to an j
interagency agreement. -
Paperback. Abook with a flexible paper cover.
t Peer Review. A critical evaluation of the technical contents of a I
publication. These reviews are conducted by reviewers from the i
author's own or a related field who ar,: totallyindependent of the work leading to the manuscript. Reviewers should be chosen from the potential audience for the publication and should provide an independent judgment about whether the publication successfully accomplishes the author's aims.
Photocomposition. Typesetting performed when photosensitive paper l
or Elm is exposed to light in the form of letters and characters.
Photocomposition is to be distinguished from hot-metal and typewriter composition.
Printing. As defined by the Joint Committee on Printing, includes and applies to the pro:ess of composition, platemaking presswork.
collating, and mia aform: 6e equipment used in such processes; or the end product produced by such processes and equipment.
Proprietary Information. Trade secrets; privileged or confidential research. development, commercial, or financial information exempt from mandatory disclosure under 10 CFR Part 2 (Sections 2.740 and 2.790) and under 10 CFR Part 9 (Section 9.17);
and other information submitted in confidence to the NRC by a foreign source and determined to be unclassified by the NRC.
Public Domain. Materials for which a copyright never existed, such as U.S. Governmem publications, or for which a copyright has expired.
Publicly Available Documents. Information (reports and references) that is available in the NRC Public Document Room (PDR) for public inspection and copying or available in the public domain.
Approved: June 17,1991 (Revised: July 9,1995) 30
.. - - - ~
Volume 3, Part 1 - Publications, Mail, and Information Disclosure i
. Unclassified Contractor and Grantee Publications in the NUREG Series IIandbook 3.8 Glossarv Glossary (cominued>
Reproducible Masters. Camera-ready copy that includes (1) originals ofline drawings (or prints that can be copied): (2) glossy prints of black and white photographs; (3) original typeset or printed text.
tables, cover, title page, contents, and abstract; or (4) other forms of the materials that a printer can reproduce.
Trim Size. The final size of the whole page, margins included.
Typesetting. The placement of type on a page (letters, numbers, and other characters) in conformance with specific style and layout instmetions.
Unique Identification. NRC :dentification (NUREG number) used on a report and its attacl. men s,. evisions, and supplements that is not used on any other publication.
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l i-Approved: June 17,1991 01 (Revised: July 9,1995)
V:lums 3, Part 1 - Publicati:ns, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Exhibits Exhibit 1 NRC Form 426A, " Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports"
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p Approved: June 17,1991 3
(Revised: July 9,1995)
V:lume 3, Part 1 - Publications, Mail, and information Disclosure Unclassified Contractor and Grantee Pu'olications in the NUREG Series Handbook 3.8 Exhibits Exhibit 2 NRC Form 335, " Bibliographic Data Sheet" 3.
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2 o.re.a.o.v.sous-s o Pilot Study on Davis-Besse Nuclear Power Station l 1990 a- -
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1 85 9 D.A. Wesley, T.R. Kipp, D.K. Nakaki, H. Hadidi-Tarrded chnic A
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- 30. 3LFPL&as&NTadtv B.OTEs It, Asst.aCTsae, e.e The capacities of four, low-pres re f uid s st to wi stand pressures and tempera-tures above the design lev were es hhe for e Da s-Besse Nuclear Fower Stat-ion. The results will b use n e alu
.g th pro ity of plant damage from Inter-facing System Loss of olant Ac - e ts OCA) part of the probabilistic risk as-sessment of the Davis-sse r clear r t ion u ertaken by EG&G Idaho, Inc. In-ngers, filters, pumps, valves, and cluded in tais evaluatio are tanks, h t c
flanged connections for ea sys The p bab ities of failure, es a function of in-ternal pressu e evalua d as i
s the variabilities associated with them. Leak rates or lea reas e esti ed fo the trolling modes of failure. The pressure capacities f th pi and we els a evaluated using limit-state analyses for the various failu mo con ered. The pacities a.e dependent on several factors, in-cluding the mat ria pert
, no 1 assumptions, and the postulated failure cri-teria. The fail re d
for g ete -flange connections, valves, and pumps do not lene th to eva ati y conven 'onal structural mechanics technioues and evaluation rely rimaril on er 1
from ongoing gasket research test programs and avail-le v r informa on a test data.
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'st isk atsessment Unclassified Davis-Bes. uclea Power Station Unclassified
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Approved: June 17,1991 (Revised: July 9,1995) l
V:lume 3, Part 1 - Publicatiens, Mail, and Inf rmati:n Discl:sure Unclassified Ccntractor and Grantee Publicatiens in the NUREG S: ries Handbook 3.8 Exhibits m.
- s t
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Exhibit 2 (continued)
DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN WE NUREG REPORT a
BNSTRUCTIONS i
NRC FORM 335, SISUOGRAPHic DATA SHEET. IS BASED ON CUIDEUNES FOR FORMAT AND PRODUCTION OF SCIENTIFIC AND TECHNICAL REPORTS. ANSI Z39.15-1987 AVAILAgLE FROM AMERICAN NATIONAL STANDARDS INSTITUTE.1430 SROADdsAY NEW YORK. NY 10018. EACH SEPARATELY BOUND REPORT-FOR EXAMPLE. EACH VOLUME IN A MULTIVOLUME SET-SHALL HAVE ITS UNIQUE BIBUOGRAPHIC OAT A SHEET.
- 1. REPORT tsWIWOL Each indivsomony bound report eniar S. PERFORaseseG ORGANIZATION NAAst AND MAILING carry a unions alphonenerse dessystsen (NUREG) anssened ADDRESS. Gewe narve. street, oty, stare, and ZIP sese.
i try 19 e Repsistory Pubilcstluas tranc14. Dienoon of Frescorn List no more than two levels of an orgnanastsonst twrerchy, of Informesson and Pedshcassens Servens. im ancemeense oveth Dueley the name of the organiantson enactly as tonauws:
Amensen Nattenal Seputertl ANSI Z39.23-1983 Standard Osisson. Offsse. Orgunnaation or Goverrnment egency, and Tashnscal Report Nurnber (STRN). Use impersese setters, adoress.
Arutsic eumerals, slashes, arid Ivyphens only, as in the follove.
eng emenoiss: NUREG.0100. NU%EG/CP4010. NUREG/
- 9. SPONSORiisG CRGANIZaTION. If NRC. Type "Some as CR4100. seal NUREG/BR4010. For reports en a sereas add atevei if contractor, prorsoe NRC Davenson. Offsce or Regson, Vol. Supp., Rev and Addendur% suhen recessary. Add U.S. Nucteer Regalatory Conwnrsason, and maissng sodress.
contracter cross < reference adentif. cation nurnber (if any) below NURK serus number e.g, PNL.XXXX. SANDXX.
elsecuhere but useful, such as: Prepared in cooperet on suith...
4 Presmted at centsrunse of. To be publisPed... Docket No.
- 2. TITLE AND SU5 TITLE. Title should ired.cate ceserty and brlefly the subject looversge) of the report; ent$utbag arpy subutte to the a ain title. When a report is prepared in more
- 11. ABSTRACT Inesuoe a bnet (200 words or less) factual sum-tnen one volurne, rupest the primary title, med volume number mary of the enost seymifscant informaison contained an the and &ncluste subtide lor the specifsc vcdistne. Use upper and report. if the report contaires a s)priefecant b4steogruohy or iouxer case letters. but capitahre comsarver cose names. Do l teratuve survey or mutsele tosurnes, menten it here. Atutract i
not use acronyms end irtetMums en tuttes; may he askerd en is o be preparetf by autrior or preprect eneneget parenthesis.
- 12. KEY 9WORDS/DISCRIPTORS. Select from the Esergy Data Base Subiect Thesaurus. DOE / TIC 700R R.5. the proper
- 3. DATE REPORT PUBUSHED. Each report must carry a date authonrad terrru that identsfy the maior concept of the indscoung month and year putEsshed.
a resseech and are natismently specifsc and preose so be uwt os indu ente tw cate%
""8**h'*""'*""'
11 AVAILABALITY STATEMENT. Dence putec re==*:lity, for exarmpte "unismised", or lamttstica for reasons other
- 5. AUTHOR!S). Give name(s) in conventional orcer (e.g., John trun security.
R. Doe, J. Robert Doe). Ust author's effdentson if is a differ.
- 14. SECURITY CLASSIFICAllON. Enter U.S. Secunty Clatufe, errt from the performing ergenitation.
cation en accorderus weith U.S. Securety Reguir Jons (ie..
i
- 6. TYPE OF REPORT. State craft. final, prehmernary, tooscal.
techrucas, mgum annual, oW r. Mc.
- 15. NUhASER OF PACES. LasWe blank. IAeded try NTis)
- 16. PRICE. Lasse blant 4Asased try NTis)
- 7. PERIOD COVERED Addinchsive deres.
u - s..s.
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4 Approved: June.17,1991 (Revised: July 9,1995) 34
Volume 3, Part 1 - Publications, Mail, and information Disclosure f
Unclassified Contractor and Grantee Publications in the NUREG Seri l
Handbook 3.8 Exhibits l
1 l
Exhibit 3 Microfiche Sheet Sample
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CONTRACTOR NAME (Op l}
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i Approved: June 17,1991 35 (Revised: July 9,1995) i'
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CONTRACTOR SPENDING PLAN - INSTRUCTIONS The Contractor Spending Plan (CSP) is an important tool for projecting and tracking contract costs and progress each task under the contract.
Appifcability The Nuclear Regulatory Commission (NRC) requires that the CSP be completed for cost reimbursement contracts when the award amount is expected to exceed j
$100,000 and the period of performance is expected toJexceed 6 months.
For task ords ' type contracts, a CSP is required when an individual cost reimbursement task order is expected to exceed the above thresholds. When a contract or task order modification increases the contract or task order amount of a cost reimbursement contract or task order to over 5109,000 and the period of performance from the ef fective date of the modifica'tf on to the contract or task order expiration exceeds 6 months, a CSP is required for all contract work to be performed.after the effective date of the modification.
4 Submission j
i
'I.
A CSP is required:
as part of the cost proposal for a cost reimbursement contract or.
a.
individual task order, or modification to a contract or task order which meets the above thresholds; b.
as part of the Best and Final Offer (if requested) as a result of negotiations; j
2.
Updated CSP information is required on a monthly tis or as approved by the CO as part of the " Financial Status Report" (E2f:
Section F.3,
" Financial Status Report").
Format The attached CSP sample format may be duplicated and used by the Contractor, or modified to permit more accurate reporting or to meet other needs of the For instance, the sample format provides spaces to report contractor.
projected costs for.12 months, but the contractor may wish to alter the l
The sample format for shorter or longer contract / task order periods.
contractor may also wish to alter the sample format for ease of typing or automated production.
So long as complete information is provided on actual
.and projected costs or accompitshments, changes to the format to improve relevance to the circumstances are encouraged.
It is up to the discretion of the offeror to determine the appropriate level This o' cost detail to be presented based on the complexity of the effort.
plan ' reflects only.the minimum requirements for submission of cost details
-which will be considered for completeness, reasonableness', and as a measure '
of effective management of1the effort.
The Contracting Officer reserves the right to request additional cost information, if deemed necessary.
MI%CIIR)?lEUIHG P_tNLlQfl (ts be completed as e pcrt af ths Offersr's Cast Pre;ssal fcr ccch cost ct er task rotobursement contrces er tadtvidual task srd:r er f ar czy csstrcand has a gerfsrmanca per e td order modification which escoeds 3100.000 onceeding (, months)
_/_/_
Seltetta ton Mo, Performance Portod: free
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fotal Esttested Costs (includtag fixed fee. If any) of the Proposed Contract / Task Order /Modtf tcation (to e contract icek Order No.
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I Modift2ratten No, i Of ferer/ Contractor Name:
Does not include options, t
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attacnment no. 63 NUCLEAR REGULATORY COMMISSION ACQUISITION REGULATION 2009.570 NRC organizational conflicts of interest.
62009.570-1 Scope of policy.
It is the policy of NRC to avoid, eliminate, or neutralize The NRC achieves this (a) contractor organizational conflicts of interest.
objective by requiring all prospective contractors to submit information describing relationships, if any, with organizations or persons (including those regulated by the NRC) which may give rise to actual or potential conflicts of interest in the eve'nt of contract award.
Contractor conflict of interest determinatioris cannot be made The application of sound judgment on virtually a (b) automatically or routinely.
case-by-case basis is.necessary if the policy is to be applied to satisfy the It is not possible to prescribe in advance a overall public interest.
specific method or set of criteria which would serve to identify and-resolve
~
all of the. contracto-conflict of interest situations which might arise.
However, examples are provided in these regulations to guide application of The ultimate test is as follows:
Might the contractor, this policy guidance.if awarded the contract, be placed in a position where its judgmen biased, or where it may.have an unfair competitive advantage?
The conflict of interest rule contained in this subpart applies to (c)
Individuals or firms who have other contractors and offerors only.
relationships with the NRC (e.g., parties to a licensing proceeding) are not This rule does not apply to the acquisition of covered by this regulation.
with other Government agencies, international organizat i
Separate procedures for avoiding conflicts of or foreign Governments.
interest will be employed in these agreeroents, as appropriate.
s2009.570-2 Definitions.
As used in 52009.570:
Affiliates means business concerns which are affiliates of each ot 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 beth.
Contract means any contractual agreement or other arrangement with 'the NRC except as provided in 52009.570-1(c).
Contractor means any person, firm, unincorporated association, joint venture, co-sponsor, partnership, corporation, affiliates toereof, or their successors in interest, including their chief executives, directors, key personnel (identified in the contract), proposed consultants or subcontractors, which are a party to a contract with the NRC.
Evaluation activitie_s means any effort involving the appraisal of a technology, process, product, or policy.
l i
l Offeror or crospective contractor means any person, firm, unincorporated association,.joi.'t_ venture, co-sponsor, partnership, corporation, or their i
. affiliates or successors in-interest, including their chief executives, l
directors, key persor..nel, proposeo' consultants, or subcontractors, submitting a bid or proposal, solicited or unsolicited, to the NRC to obtain a contract.
)
Oroanizational conflicts of ints est neans that a relationship exists l
whereby a contractor or prospective contractor has present or planned j
interests related to the work to be ' performed under an NRC contract _ which:
(1)
'May diminish its capacity to give impartial, technically sound, objective assistance and advice, or may otherwise result in a biased work product; or (2)
May result in its being given an unfair. competitive advantage.
Potential conflict of interest means that a factual situation exists that suggests that an actual conflict of interest may arise from award of a The term potential conflict of interest is used to ' signify proposed contract.
those situations that-(1)
Merit investigation before contract award to ascertain whether-award would give rise to an actual conflict; or Must be reported to the contracting officer for investigation if r
I (2) they arise during contract performance.
Research means any scientific or technical work involving theoretical analysis, exploration, or experimentation.
Subcontractor means any subcontractor of any tier who performs work under a co-tract with the NRC except subcontracts for supplies and
- subcontracts in amounts not exceeding the small purchase threshold.
i Tchhnical ansultina and manacement~ succort services means internal assistance to a component of the NRC in the formulation.or administration of
-l its programs, projects, or policies which normally require that the. contractor l
be given access to proprietary information or to information that has not been made available to the public.
These services typically include assistance in j
l the preparation of program plans, preliminary designs, specifications, or statements of work.
Criteria for recognizing contractor organizational conflicts of
$2009.570-3 interest.
f (a)
General.
-(l)
Two questions will be asked in determining whether actual or potential'~ organizational conflicts of interest exist:
(i)-
Are there conflictinq roles which 'might bias an offeror's or contractor's judgment in relation to its work for the NRC?
-=
k (ii) May the offeror or contractor be given an unfair competitive advantage based on the performance of the contract?
NRC's ultimate determination that organizational conflicts (2) of interest exist will be made in light of common sense and good business While it is difficult to identify and judgment based upon the relevant facts.
to prescribe in advance a specific method for avoiding all of the various situations or relationships that might involve potential organizational J
conflicts of interest, NRC personnel will pay particular attention to proposed contractual requirements that call for the rendering nf advice, consultation or evaluation activities, or similar activities that directly lay the groundwork for the NRC's decisions on regulatory activities, future Any work performed at an applicant or procurements, and research programs.
licensee site will also be closely scrutinized by the NitC staff.
(b)
Situations or relationships.
The following situation's or relatinnships my give rise to organizational conflicts of intere The offeror or contractor shall disclose information, that (1),
may give rise to organizational conflicts of interest under the follow circumstances.
for the requirement, being performed, the period of performance, and the name and telephone number for a point of contact at the organization knowledgeable about the commercial contract.
Where the offeror or contractor provides advice and i
(i) recommendations to the NRC in the same technical area where it is also providing consulting assistance to any organization regulated by the NRC.
Where the offeror or contractor provides advice to the (ii)
NRC on the same or similar matter on which it is also providing assistance to any ci gnization regulated by the NRC.
)
i (iii) Where the offeror or contractor evaluates its own products or services, or has been substantially involved in the development or marketing of the products or services of another entity.
i Where the award of a contract would result in placing (iv) the offerer or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC, or would result in an unfair competitive aovantage for the offeror or contractor.
Where the offeror or contractor solicits or performs (v) work at an applicant or licensee site while performing work in the i
same technical area for the NRC at the same site.
The contracting officer may request specific information (2) from an offeror or contractor or may require special contract clauses such as provided in 62009.570-5(by in the following circumstances:
(i)
Where the offeror or contractor prepares specifications that are to be used in competitive procurements of products or services covered by the specifications.
Where the offeror or contractor prepares plans for (ii) specific approaches or methodologies that are to be incorporated into competitive procuremer:s using the approaches or methodologies.
(iii) Where the offeror or contractor is granted access to information not available to the public concerning NRC plans, i
policies, or programs that could form the basis for a later procurement action.
Where the offerar or contractor is granted access to (iv) proprietary information of its competitors.
Where the award of a contract might result-in placing (v) the. offeror or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC or might result in an unfair competitive advantage for the offeror or contractor.
(c)
Policy aoolication auidance. The following examples are illustrative only and are not intended to identify and resolve all contractor e
organizational conflict of interest situations.
(1)
(i)
Ex ampl e,.
The ABC Corp., in response to a Request For Proposal (RFP), proposes to undertake certain analyses of a reactor component as called for in the RFP.
Th'e ABC Corp. is one of several companies considered to be technically well qualified.
In response to the inquiry in the RFP, the ABC Corp. advises that it is currently performing similar analyses for the reactor manufacturer.
Guidance. An NRC contract for that particular work (ii) normally would not be awarded to the ABC Corp. because the company would be placed in a position in which its judgment could be Because there are biased in relationship to its work for the NRC.
other well-qualified companies available, there would be no reason for considering a waiver of the policy.
(2)
(i)
Examole. The ABC Corp., in response to an RFP, proposes to perform certain analyses of a reactor component that As is the case with is unique to one type of advanced reacter.
other technically qualified companies responding to the RFP, the ABC Corp. is performing various projects for several different utility clients.
None of the ABC Corp. projects have any Based on the NRC relationship to the work called for in the RFP.
evaluation, the ABC Corp. is considered to be the best qualified company to perform the work outlined in the RFP.
Art NRC contract normally could be awarded.
(ii)
Guidance.
to the ABC Corp. because no conflict of interest exists which
An appropriate could motivate bias with respect to the work.
clause would be included in the contract to preclude the ABC Corp.
from subsequently contracting for work with the private sector that could create a conflict during the performance of the NRC For example, ABC Corp. woulo be precluded from the contract.
performance of similar work for the company developing the advanced reactor mentioned in the example.
The ABC Corp., in response to a competitive (3)
(i)
Example.
RFP, submits a proposal to assist the NRC in revising NRC's guidance documents on the respiratory protection requirements of ABC Corp. is the only firm determined to be 10 CFR Part 20.
ABC Corp. has performed substantial work technically acceptable.
for regulated utilities in the past and is expected to continue The wnrk has and will cover the similar efforts in the future.
writing, implementation, and administration of compliance
. F retory protection programs for nuclear power pla s.
i This situation w(uld place the firm in a (ii)
Guidance.
role where its judgment could be biased in relationship to its Because the nature of the required work is work for the NRC.
vitally important in terms of the NRC's responsibilities and no reasonable alternative exists, a waiver of the policy, in accordance with 62009.570-9 may be warranted.
Any waiver must fully documented in accordance with the waiver provisions of s
policy with particular attention to the establishment of protective mechanisms to guard against bias.
The ABC Corp. submits a proposal for a new (4)
(i)
Example.
system to evaluate a specific reactor component's performance for the purpose of developing standards that are important to the NRC The ABC Corp. has advised the NRC that it intends to sell the new system to 'ndustry once its practicabiiity has been program.
Other companies in this business are using older demonstrated.
systems.for evaluation of the specific reactor component.
A contract could be awarded to the ABC (ii)
Guidance.
Corp. if the contract stipulates that no information produced under the contract will be used in the contractor's private activities unless this information has been reported to the NRC.
Data on how the reactor component performs, which is reported to the NRC by contractors, will normally be disseminated by the NRC When the to others to preclude an unfair competitive advantage.
NRC furnishes information about the reactor component to the con-tractor for the performance of contracted work, the information may not be used in the contractor's private activities unless the rurther, the information is generally available to others.
contract will stipulate that the contractor will inform the NRC contracting officer of all situations in which the information, developed about the performance of the reactor component under contract, is proposed to be used.
The ABC Corp., in response to a RFP.
(5)
(i)
Example.
proposes to assemble a map showing certain seismological Teat
4 4
of the Appalachian fold belt.
In accordance with the representation in the RFP and 52009.570-3(b)(1)(i), ABC Corp.
informs the NRC that it is presently doing seismological studies for several utilities in the eastern United States, but none of the sites are within the geographic area contemplated by the NRC study.
(ii)
Guidance.
The contracting officer would normally conclude that award of a contract would not place ABC Corp. in a Section conflicting role where its judgment might be biased.
2052.209-73(c) Work for Others, would preclude ABC Corp. from accepting work which could create a conflict of interest during the term of the NRC contract.
(6)
(i)
Example.
AD Division of ABC-Corp., in response to a RFP, submits a proposal to assist the NRC in the safety and environmental review of applications for licenses for.the construction, operation, and decommissioning of fuel cycle facilities.
ABC Corp. is divided into two separate and distinct divisions, AD and BC.
The BC Division performs the same or similar services for industry.
The BC Division is currently pro-viding the same or similar services required under the NRC's contract for an applicant or licensee.
(ii)
Guidance. An NRC contract for that particular work i
would not be awarded to the ABC Corp.
The AD Division could be placed in a position to pass judgment on work performed by the BC Division, which could bias its work for NRC.
Further, the Conflict of Interest provisions apply to ABC Corp. and not to If.no separate or distinct divisions within the company.
reasonable alternative exists, a waiver of the policy could be sought in accordance with E2009.570-9.
7(i)
EXAMPLE The ABC Corp. completes an analysis for NRC of steam Three generator tube leaks at one of a utility's six sites.
months later, ABC Corp. is asked by this utility to perform the same analysis at another of its sites.
(ii) GUIDANCE E2052.290-73(c)(3) would prohibit the contractor from beginning this work for the utility until one year after completion of the NRC work at the first site.
J EXAMPLE ABC Corp. is assisting NRC in a major on-site 8(i) analysis of a utility's redesign of the common areas between its The contract is for two years with an estimated twin reactors.
value of $5 million.
Near the completion of the NRC work, ABC Corp. requests authority to solicit for a $100K contract with the l
ABC same utility to transport spent fuel to a disposal site.
Corp. is performing no other work for the utility.
(ii) GUIDANCE The Contracting Officer, would allow the contractor to proceed with the solicitation because A) it is not in the same technical area as the NRC work and B) the potential for technical bias by the contractor because of financial ties to
i the utility is slight due to the relative value of the two contracts.
9(i)
EXAMPLE The ABC Corp. is constructing a turbine building and installing new turbines at a reactor site.
The contract with the utility is for five years and has a total value of $100 million.
ABC Corp. has responded to an NRC Request For Proposal requiring the contractor to participate in a major team inspection unrelated to the turbine work at the same site.
The estimated value of the contract is $75K.
(ii) GUIDANCE An NRC contract would not normally be awarded to ABC Corp. since these factors create the. potential for financial loyalty to the utility that may bias the technical judgment of the contractor.
(d)
Other considerations.
(1)- The fact that the NRC can identify and later avoid, eliminate, or neutralize any potential organizational conflicts arising from the performance of a contract is not celevant to a determination of the existence of conflicts prior to the awara of a contract.
(2)
It is not relevant that the contractor has the professional reputation of being able to resist temptations which arise from organizational conflicts of interest, or that a follow-on procurement is not involved, or that a contract is awarded on a competitive or a sole source basis.
62009.570-4 Representation.
(a)
The following procedures are designed to assist the NRC contracting officer in deter'nini-whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a particular offeror or contractor. The procedures apply to small purchases meeting the criteria stated in the following paragraph (b) of this section.
The organizational conflicts of interest representation provision (b) must be included in solicitations and unsolicited proposals, at s2052,209-72 (including those for task orders and modifications for new work) for:
4 f
(1)
Evaluation services or activities-(2)
Technical consulting and management support services; (3)
Research; and Other contractual situations where special organizational (4) conflicts of interest provisions are noted in the solicitation and would be included in the resulting contract.
This representation requirement also applies to all modifications for additional effort under the contract except those issued under the " Changes" clause. Where, however, a statement of the type required by the organizational conflicts of interest representation provisions has previously been rubmitted with regard to the contract being modified, only an updating of the statement is required.
I (c)
The offeror may, because of actual or potential organizational conflicts of interest, propose to exclude specific kinds of work contained in a RFP unless the RFP specifically prohibits the exclusion. -Any such proposed exclusion by an offeror will be considered by the NRC in the evaluation of proposals.
If the NRC considers the proposed excluded work to be an essential or integral part of the required work and its exclusion would be to the detriment of the competitive posture rf the other offerors, the NRC shall reject the proposal as unacceptable.
(d)
The offeror's failure to execute the representation required by paragraph (b) of this section with respect to an invitation for bids is considered to be a minor informality.
The offeror will be permitted to j
correct the omission.
2009.570-5 Contract clauses.
(a)
General contract clause.
All contracts and small purchases of the types set forth in s2009.570-4(b) must include the clause entitled,f "Contrac. tor Orgaoizational Conflicts of Interest," set forth in s2052.209-73.
(b)
Other special~ contract clatses.
If it is determined from the nature of the proposed contract that av organizational conflict of interest exists, the contracting officer may determine that the conflict can be avoided, or, after obtaining a waiver in accordance with 62009.570-9, If neutralized through the use of an appropriate special contract clause..
appropriate, the offeror may negotiate the terms and conditions of these These clauses, including the extent and time period of any restriction.
clauses include but are not limited to:
(1)
Hardware exclusion clauses which prohibit the acceptance of production contracts following a related non-production contract previously performed by the contractor; (2)
Sf tware exclusion ci suses; (3)
Clauses which require the contractor (and certain of its 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.
62009.570-6 Evaluation, findings, and contract award.
The contracting officer shall evaluate all relevant facts submitted by an offeror and other relevant information. After evaluating this information 52009.570-3, thn contracting officer shall make a against the criteria of finding of whether organizational conflicts of interest exist with respect to j
a particular offeror.
If it has been determined that real or potential conflicts of interest exist, the contracting officer shall:
(a)
Disqualify the offeror from award; (b)
Avoid or eliminate such conflicts by appropriate measures; or
-_~
~
-.. ~.
i i
)
Award the contract under the waiver provision of $2009.570-9.
(c) 62009.570-7 Conflicts identified after award.
If potential organizational conflicts of interest are identified after j
award with respect to a particular contractor, and the contracting officer d'etermines that conflicts do exist and that it would not be in the best interest of the Government to terminate the contract, as provided in the 62009.570-5, the contracting officer shall take every clauses required by reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with (2009.570-9, neutralize the effects of the identified-j conflict.
52009.570-8 Subcontracts.
i The contracting officar shall require offerors and contractors to submit a representation statement from all subcontractors (other than a supply subcontractor) and consultants performing services in excess of ft0,000 in accord uce with,62009.570-4(b). The contracting officer shall require the contractor to include contract clauses in accordance with 62009.570-5 in j
consultant agreements or subcontracts involving performance of work under a prime contract.
62009.570-9 Waiver.
The contracting officer determines the need to seek a waiver for (a) specific contract awards, with the advice and concurrence of the program Upon the recommendation of the Procurement office director and legal counsel.
Executive, and after consultation with legal counsel, the Executive Director for Operations may waive the policy in specific cases if he determines that it is in the best interest of the United States to do so.
Waiver action is strictly limited to those situatier.r in which:
(b)
The work to be performed under contract is vital to the NRC (1) program.
(2)
The work cannot be satisfactorily performed except by a contractor whose interests give rise to a question of conflict of interest.
Contractual and/or technical review and surveillance methods (3) can be employed by the NRC to neutralize the conflict.
For any waivers, the justification and approval documents must be (c) placed in the NRC Public Decument Room, 2120 L Street, NW. (Lower Level),
Washington, DC.
(2009.570-10 Remedies.
In addition to other remedies permitted by law or contract for a breach of the restrictions in this subpart or for any intentional misrepresentation l
or intentional nondisclosure of any relevant interest required to be provid,ed j
.for this.section, the NRC may debar the-contractor from subsequent NRC contracts.
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