Text

Contract: Regulatory Process, Awarded to Regulatory Group
	ML20150B158
Person / Time
Issue date:	06/24/1988
From:	Rodenbeck A, Smith P; NRC OFFICE OF ADMINISTRATION & RESOURCES MANAGEMENT (ARM), REGULATORY GROUP, INC.
To:	;
Shared Package
ML20150B152	List: ML20150B149; ML20150B158;
References
	CON-NRC-38-88-365 NUDOCS 8807110323
	Download: ML20150B158 (155)
	v • d • e

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U.S. Nuclear Regulatory Ev$ission C

32. PAYMENT wtLL et MADE SY Attn:

Carolyn Bassin, MS W-500 U.S. Nuclear Regulatory ComWs* ion Washington, DC 20555 ARM, Division of Accounting & Finance, GOV /COM

11. AUTHOR 4TY FOR U$tNG OTN(R TNAN FULL ANp OpcN c Washington, DC 20555

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$25,000.00

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l 150. SUPPLIES / SERVICES 4 LC. QUANTITY 150. UNIT 15E. UNIT PRICE :

1SF. AMOUNT The con uractor shall present a two-day courso accordar May 17, 1988,ce with the contractor's proposal dau entitled "The Regula ;ory Process ' in Section B.3 "Supplies Or Services and Price /Cwhich is iiicorporate

, 1988, as clarifie j on referenco and made a part hereof See osts" attached lereto t

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16. TABLE OF CONTENTS 15G. TOTAL AMOUNT OF 5 78.246. 00 OESCRIPTION lPAGE ($1 VI l$EC l P_A R T 4 - T HE SCHEDULE OCSCRtPTION lPAGE(S) -

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SOLICITATION / CONTRACT FORM PART f f -CONTR ACT CLAUSES I

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_y B

l CONTR ACT CL AUSES SUPPLIES OR SE RvtCES ANOPRICES/ COSTS 2

lQ C

DESCRIPTION / SPECS / WORK STATEMENT PART in - UST Of OOCUMENTS. EXHIBITS AND OTHER ATT AC,4.

\\

lJ l LIST OF ATTACHMENTS O

, PACK AGING AND MARKING l

E 5

INSPECTION AND ACCEPTANCE PART IV - REPALSENT ATIONS AND INSTNUCTIONS

_y F

DEttVE RIES OR PERFORMANCE REPRESENTATIONS. CERT (FICATIONS ANO K

3

._ y G

CONTRACT ADMINISTRATION DATA OTHER STATEMENTS OF OFFERORS 4

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H l SPECIAL CONTRACT REOUIREMENTS INSTRS.CONOS. ANO NOTICE S TO OF F E RORS L

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9 u ! EVALUAllON FACTORS FOR AWARD 3

CONTRACTING OfflCER K1t l COMPL E TE ITEM !? OR 18 AS APPLICA

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NRC-38-88-365 Page 2

1..Section B.2 is completed as follows:

8.2 CONSIDERATIONANDOBLIGITION--DELIVERYORDERS (MAR 1987)

The total estimated amount of this contract (ceiling) for a.

the products / services ordered, delivered, and accepted under this contract is $28,22bi. The Contracting Of ficer or other individual specifically authorized under this contract may unilaterally increase this amount as necessary for completion of o.-ders placed with the contractor during the contract period provided-such orders are within any maximum ordering limitation prescribed under this c on t ra c t~.

b.

The amount presently obligated with respect to this contract is $25,00D. The Contracting Of ficer may issue orders for work up to amount presently obligated.

This obligated amount may be unilaterally increased from time to time by the Contracting Officer by written modification to this contract.

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

Any work undertaken by the Contractor in excess of the obligated amount specified above is done so at the Contractor's sole risk.

2.

Section B.3 is completed as follows:

B.3 SUPPLIES OR SERVICES AND PRICE / COSTS UNIT BASE PERIOD QUANTITY UNIT PRICE AMOUNT 1

The Contractor shall present the U.S. Nuclear Regulatory Commission's (NRC) two-day course entitled "The Regulatory Process" for a minimum of once the first year, and a maximum of fourteen times during the life of the contract to NRC employees.

EST KAX.

Fixed Price per Course Session 14 EA

$5.509.00518.2s6.00 4

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OPTION YEAR UNIT QUANTITY UNIT PRICE AMOUNT The contract will be in effect for a two year period. The term of this contrar.t may be extended at the option of the Government for an additional one year period.

During this option year the Contractor shall present the two-day course entitled The Regulatory Process" a minimum of two times and a maximum of five times.

EST. MAX.

Fixed P. ice per Course Session 5

EA 55,267.00526.335.00 TOTAL M40VNT sl.0L581.00 3.

Section F.2 is completed as follows:

F. 2 DURATION OF CONTRACT PERIOD (MAR 1987)

ALTERNATE II (MAR 1987)

This contract shall commence on 6/24/RR and will expire on

_6/23/90. The term of this contract may be extended at the option of

~

the Government for an additional 1 year period.

(End of Clause) 4.

Section F.3 is completed as follows:

F. 3 REPORTS, DOCUMENTATION AND OTHER DELIVERABLE END ITEMS All documentation and other deliverable end items shall be provided as described under Section C.I.3, Scope of Work.

Upon expiration of this contract, the contractor shall furnish the NRC Project Officer with a complete master set of all current-version course materials, lesson plans and visual aids during the course in camera-ready, reproducible form.

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

U.S. Nuclear Regulatory Commission Attn: Carolyn Bassin Office of Personnel Training Benefits and Employee Assistance Mail Stop: W-500 Washington, D.C.

20555 Project Of ficer (5 copies)

Divisio9 of Contracts (1 copy)

NRC-38-88-365 Page 4 y

5.

Paragraph a. of Section G.1 is completed as follows:

G.1 PROJECT OFFICER AUTHORITY (MAR 1987)

ALTERNATE I (MAR 1987) a.

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

Name: Carolyn Bassin Address:

U.S. Nuclear Regulatory Comission Office of Personnel Training Benefits and Employee Assistance, liS U-500 Telephone Number:gton, DC 20555 Washin 301/492-8526 6.

Sections G.2 Method of Payment, G.3 Payment Due Date, G.4 Interest on Overdue Payments, and G.5 Remittance Address are deleted in their entirety and the following is substituted in lieu thereof:

G.2 PROMPT PAYMENT (52.232-25) (FEB 1988)

ALTERNATE II (FEB 1988)

Notwithstanding any other payment clause in this contract, the Government will make invoice payments and contract financing payments under the terms and conditions specified in this clause.

Payment shall be considered as being made on the day a check is dated or an electronic funds transfer is made. Definitions of pertinent terms are set forth in 32.902. All days referred to in this clause are calendar days, unless otherwise specified.

(a) Invoice Payments (1) For purposes of this clause, "invoice payment" means a Government disbur sement of monies to a Contractor under a contract or other authorization for supplies or services accepted by the Government. This includes payments for partial deliveries that have been accepted by the Government and final cost or fee payments where amounts owed have been settled between the Government and the Contractor.

(2) Except as indicated in subparagraph (a)(3) of this clause, the due date for making invoice payments by the designated payment office shall be the later of the following two events:

(1) The 30th day after the designated billing office has received a proper invoice from the Contractor.

(ii) The 30th day af ter Government acceptance of supplies delivered or services performed by the Contractor. On a final i

invoice where the payment amount is subject to contract settlement actions, acceptance shall be deemed to have occurred on the ef fective date of the contract settlement.

(3) The due date on contracts for meat and meat food products, contracts for perishable agricultural commodities, and contracts not J

hRC-38-88-365

'Page 5 requiring submission of an invoice shall be as follows:

(1) The due date for meat and meat food products, as defined in Section 2(a)(3)'ther defined in Pubof the Packers and Stockyard Act of 192 182(3)) and fur

. L.98-181 to include poultry, poultry products, eggs, and egg products, will be as close as possible to, but not later than, the 7th day after product delivery.

(11) The due date for perishable agricultural commodities, as defined in Section 1(4) of the Perishable Agricultural Commodities Act of 1930 (7 U.S.C. 499a(44)), will be as close as possible to, but not later than, the 10th day af ter product delivery, unless another date is specified in the contract.

(iii) If the contract does not require submission of an invoice for payment (e.g., periodic lease payments), the due date will be as specified in the contract.

(4) An invoice is the Contractor's b111 or written request for payment under the contract for supplies delivered or services performed. An invoice shall be prepared and submitted to the designated billing officer specified in the contract. A proper invoice must include the items listed in subdivisions (a)(4)(1) through (a)(4)(viii) of this clause. If the invoice does not comply with these requirements, then the Contractor will be notified of the defect within 15 days af ter receipt of the invoice at the designated billing office (3 day for meat and meat food products and 5 days for perishable agricultural commodities). Untimely notification will ce taken into account in the computation of any interest penalty i

owed the Contractor in the manner described in subpa.agrpah (a)(6)

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b of this clause.

1 (i) Name and address of the contractor.

(ii) Invoice date.

(iii) Contract number or other authorization for supplies delivered or services performed (including order number and contract line item number). (iv) Description, quantity, unit of measure, unit price, and extended price of supplies delivered or services performed.

I (v) Shipping and payment terms (e.g., shipment number and date of shipment, prompt payment discount terms). Bill of lading number and weight of shipment will be shown for shipments on Government bills of lading.

(vi) Name and address of Contractor official to whom payment is to be sent (must be the same as that in the contract or in a proper notice of assignment).

(vii) Name (where practicable), title, phone number and mailing address of person to be notified in event of a defect!<e invoice.

(viii) Any other information or documentation required by other

HRC-38-88-365 Page 6 r

s requirements of the contract (such as evidence of shipment).

(5) An interest penalty shall be paid automatically by the Government, without request from the Contractor, if payment is not made within 15 days af ter the due date (3 days for meat and meat food products and 5 days for perishable agricultural commodities) and the following conditions are met, if applicable: (i) A proper invoice was received by the designated billing office.

(ii) A receiving report or other Government documentation authorizing payment was processed and there was no disagreement over quantity, quality, or contractor compliance with any contract term or condition.

(iii) In the case of a final invoice for any balance of funds due.

the Contractor,for supplies delivered or services performed, the amount was not subject to further contract settlement actions between the Government and the Contractor.

(6) The interest penalty shall be the rate established by the Secretary of the Treasury under Section 12 of the Contract Disputes Act of 1978 (41 U.S.C. 611) that is in effect on the payment date, except where the interest penalty is prescribed by other governmental authcrity. This rate is referred to as the "Renegotiation Board Interest Rate," and it is published in the Federal Register semiannually on or about January 1 and July 1. The interest penalty shall accrue daily on the invoice payment amount approved by the Government and be compounded in 30-day increments inclusive from the first day af ter the due date through the payment date. That is, interest accrued at the end of any 30-day period will be.added to the approved invoice payment amount and be subject to interest penalties if not paid in the succeeding 30-day period. If the designated billing of fice failed to notify the contractor of a defective invoice within the periods prescribed in paragraph (a)(4) of this clause, then the due date on the corrected invoice will be adjusted by subtracting the number of days taken beyond the prescribed notification of defects period. Any interest penalty owed the Contractor will be based on this adjusted due date. Adjustments will be made by the designated payment office for errors in calculating interest penalties, if requested by the Contractor.

(i) For the sole purpose of computing an interest penalty that might be due the Contractor, Government acc?ptance shall be deemed to have occurred constructively on the sth vorking day after the Contractor delivered the supplies or perforrod the services in accordance with the terms and conditions of 1he contract, unless there is a disagreement over quantity, qualits, or contractor compliance with a contract provision. In the (vent that actual acceptance occurs within the constructive acceitance period, the determination of an interest penalty shall be (;ased on the actual date of acceptance. Tne constructive acceptance requirement does not, however, compel Government officials to act ept supplies or 1

services, perform contract administration functic ns, or make payment prior to fulfilling their responsibilities.

4

NRC-38-88-365 Page 7 r

s (ii) The following periods of time will not be included in the determination of an interest penalty:

(A) The period taken to notify the Contractor of defects in invoices submitted to the Government, but this may not exceed 15 days (3 days for meat and meat food products and 5 days for perishable agricultural commodities).

(8) The period between the defects notice and resubmission of the corrected invoice by the Contractor.

(iii) Interest penalties will not continue to accrue af ter the filing of a claim for such penalties under the Otsputes clause or for more than 1 year. Interest penalties of less than $1.00 need not be paid.

(iv) Interest penalties are not required on payment delays due to disagreement between the Government and Contractor over the payment amount or other issues involving contract compliance or on amounts temporarily withheld or retained in accordance with the terms of the contract. Claims involving disputes, and any interest that may be payable, will be resolved in accordance with the Disputes clause.

(7) An interest penalty shall also be paid automatically by the designated payment office, without request from the contractor, if an improperly taken discount for prompt payment was not corrected within 15 days af ter the expiration of the discount period (3 days for meat and meat food products and 5 days for perishable agricultural commodities). The interest penalty will be calculated as described in paragraph (a)(6) of this clause on the amount of discount taken for the period beginning with the first day af ter the end of the discount period through the date when the contractor is paid.

(b) Contract Financing Payments (1) For purposes of this clause, "contract financing payment" means a Government disbursement of monies to a Contractor under a contract clause or other authorization prior to acceptance of supplies or services by the Government. Contract financing payments include advance payments, progress payments based on cost under the clause at 52.232-16, Progress Payments, progress payments based on a percentage or stage of completion (32.102(e)(1)) other than those made under the clause at 52.232-5, Construction Contracts, or the clause atPayments Under Fixed-Price 52.232-10, Payments Under Fixed-Price Architect-Engineer Contracts, and interim payments on cost type contracts.

(2) For contracts that provide for contract financing, requests for payment shall be submitted to the designated billing office as

<pecified in this contract or as directed by the Contracting afficer. Contract financing payments shall be made on the (insert day as prescribed by Agency head; if not prescribed, insert 30th day) day af ter receipt of a proper contract financing request by the designated billing office. In the event that an audit or other

NRC-38-88-365 Page 8 review of a specific financing request is required to ensure compliance with the terms and conditions of the contract, the designated payment of fice is not compelled to make payment by the due date specified.

(3) For advance payments, loans, or other arrangements that do not involve recurrent submissions of contract financing requests, payment shall be made in accordance with the corresponding contract terms or as directed by the Contracting Officer.

(4) Contract financing payments shall not be assessed an interest penalty for payment delays.

(c) Electronic Funds Transfer.

Payments under. this contract will be made by the Government either by check or electronic funds transfer (through the Treasury Financial Communicattoris System (TFCS) or the Automated Clearing House (ACH)), at the option of the Government. After award, but no later than 14 days before an invoice or contract financing request is submitted, the contractor shall designate a fhancial institution for receipt of electronic funds transfer paymentL The Contractor shall submit this designation to the Contracting Officer or other Government official, as directed.

(1) For payment through TFCS, the Contractor shall provide the following information:

(i) Name, address, and telegraphic abbreviation of the financial institution receiving payment.

(ii) The American Bankers Association 9-digit identifying number of the financing institution receiving payment if the institution has access to the Federal Reserve Communications System.

(iii) Payee's account number at the financial institution where t

fonds are to be transferred.

(iv) If the financial institution does not have access to the Federal Reserve Communications System, name, address, and telegraphic abbreviation of the correspondent financial institution through which the financial institution receiving payment obtains electronic funds transfer messages. Provide the telegraphic i

abbreviation and American Bankers Association identifying number for the correspondent institution, j

(2) For payment through ACH, the Contractor shall provide the following information:

(i) Routing transit numbers of the financial institution receiving payment (same as American Bankers Association identifying number used for TFCS).

(ii) Number of account to which funds are to be deposited.

l NRC-38-88-365 Pace 9 (iii) l savings). ype of depositor account ("C" for checking, "S" for (iv "Paymen)t Information Form," TFS 3881If the Contractor is a n payment can be processed.

m, a

, must be completed before (3) In the event the Contractor, during the perfo contract, elects to designate a different financial instit ti rmance of this the receipt of any payment made using elect u on for procedures, notification of such change and thronic funds transfer specified above must be received by the appropriate Ge required information official 30 days prior to the date such change is to b overnment e f fective.

ecome paragraph (c) must be dated and contain the signat u red in this telephone number of the Contractor officialure, title, and it, as well as the Contractor's name and contract nu bauthorized to pro m er.

institution or to provide appropriate payee b(5) Contract nancial may delay payments of amounts otherwise prop ank account information erly due.

(End of clause) 7.

Paragraph a. of Section H.1 is completed as foll ows:

H.1 KEY PERSONNEL (MR 1987) to the successful performance of the work hereundThe following a.

e r.

Fred J. Emery Linda McCloud Arlene Rodenbeck removed from the contract work or replaced without compliT paragraphs b and c hereof.

ance with 8

Delete the fo by Reference."llowing clauses from Section I.1, entitled "Clauses I 52.215-2 APR 1984 52.215-22 APR 1984 AUDIT -- NEGOTIATION PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA 52.215-23 APR 1985 PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA -- MODIFICATIONS 52.215-26 JUL 1986 INTEGRITY OF UNIT PRICES ALTERNATE I (JUNE 1985) 52.243-1 APR 1984 CHANGES -- FIXE 0 PRICE ALTERNATE I (APR 1984

3 NRC-38-88-355 Page 10 9.

Insert the following clauses in Section 1.1, entitled "Clauses incorporated by Reference."

52.215-2 APR 1988 AUDIT -- NEGOTIATION 52.215-22 APR 1988 PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA 52.215-23 APR 1988 PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA -- MODIFICATIONS 52.215-26 APR 1987 INTEGRITY OF UNIT PRICES ALTERNATE I (APRIL 1987) 52.243-1 AUG 1987 CHANGES -- FIXED PRICE ALTERNATE I (APR 1984)

10.Section I.4 is completed as follows:

1.4 DELIVERY-ORDER LIMITATIONS (FAR 52.216-19) (APR 1984)

(a) Mirimum order.

When the Government requires supplies or the Government is not obligated te purchaseservices covered by this c obligated to furnish, those supplies or serv, ices under the contract.

nor is the Contractor (b)Maximumorder.

The Contractor is not obligated tr> honor--

(1) Any order for a single item in excess of fourteen courses; (2) Any order for a cotr.bination of items fri excess of t1/tt ;

N/A(3) A series of orders from the same ordering office within limitation in subparagraph (1) or (2) above.__,__ days that together call Requirements clause at subsection (c) If this is a requirements contract (i.e 52.216-21 nf the Federal Acquisition Regulation FAR order a part of any one(requ))r,ement from the Contractor if thatthe Gov i

requirement exceeds the maximum order limitations in paragraph (b) above.

shall honor any order exceeding the maximum order limita ordering office within N/Aparagraph (b), unless that order (or orders) is returned to the days after issuance, with written notice stating the Contractor's intent not to ship the item (or items) called for and the reasons.

Government may acquire the supplies or services from another sourcUpon rec e.

)

(End of Clause)

Pag 2 1 e

SOLICITATION, OFFER AND AWARO OMB No. 0505-0005 Expiration Date: 05/31/88

1. TITLE:

Regulatory Process Training

2. CONTRACT NO.

3. SOLICITATION NO.

4. TYPE OF SOLICITATION RS-PER-88-365 Negotiated (RFP)

SET-ASIDE (See Section L)

5. DATE ISSUED 6.

REQUISITION / PURCHASE NO.

January 26, 1988 RS-PER-G8-365

7. ISSUED BY

8. ADDRESS OFFER TO U.S. Nuclear Regulatory Commission All proposals should be addressed Division of Contracts as indicated in Block 7, however, Mail Stop AR-2223 handcarried proposals (including Express Mail) must be delivered Washington, DC 20555 to the address in Block 9.

NOTE: In sealed bid solicitations, "offer and offeror" mean "bid and bidder".

SOLICITATION

9. Sealed offers in original and 5 copies for furnishing the supplies or services in the Schedule will be received at the place specified in Item 7, or if handcarried, in the depository located in Room 2223, Second Floor, 4550 Montgomery Avenue, Bethesda, Md.

CAUTION-LATE Submissions, Hodifications,'and Withdrawals:20814, until 2:00 P.

52.214-7 or 52.215-10.

See Section L, Provision No.

conditions con,tained in this solicitation.All offers are subject te all terms and

10. FOR INFORMATION CALL: A. NAME: Sharon D. Nearse B. TELEPHONE NO.: 301/492-428i (No Collect Calls)

11. TABLE OF CONTENTS PART/SECTION DESCRIPTION PART I - THE SCHEDULE A

SOLICITATION / CONTRACT FORM B

SUPPLIES OR SERVICES AND PRICES / COSTS C

OESCRIPTION/ SPECIFICATIONS / WORK STATEMENT 0

PACKAGING AND KARKING E

INSPECTION AND ACCEPTANCE F

OELIVERIES OR PERFORMANCE G

CONTRACT ADMINISTRATION OATA H

SPECIAL CONTRACT REQUIREMENTS PART II - CONTRACT CLAUSES I

CONTRACT CLAUSES PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS J

LIST OF ATTACHMENTS PART IV - REPRESENTATIONS AND INSTRUCTIONS X

REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFER 0RS L

INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFER 0RS M

EVALUATION FACTORS FOR AWARD EXCEPTION TO STANDARD FORM 33 APPROVED BY GSA/0!RM 6/85 STANDAR0 FORM 33(REV-4-85)

FAR(48 CFR) 23.214(C)

8 PAGE 2 SOLICITATION, OFFER AND AWARD OFFER (Must be fully completed by offeror)

NOTE:

Item 12 does not apply if the solicitation includes the provisions at 52.214-16, Minimum Bid Acceptance Period.

12. In compliance with the above, the undersigned agrees, if this offer is accepted within _9D_ calendar days (60 calendar days unless a different period is inserted by the offeror) from the date for receipt of offers specified above, to furnish any or all items upon which prices are offered at the price set opposite each item, delivered at the designated point (s), within the time specified in the schedule.

13. DISCOUNT FOR PROMPT PAYMENT (See Section I, Clause No. 52.232-8) 10 Calendar days 20 Calendar days 30 Calendar days

,_. Calendar days

14. ACKNOWLEDGEMENT OF MENDMENTS (The offeror acknowledges receipt of amendments to the SOLICITATION for offerors and related documents numbered and dated:

MENDMENT NO DATE AMENDMENT NO DATE 01 2/2/88 ISA NAME AND ADORESS OF OFFER 0R

16. NAME AND TITLE OF PERSON DUNS Code:

Facility:

AUTHORIZED TO SIGN OFFER The Regulatory Group, Inc.

1511 K St.

NW Suite 545 Washington _( C 158. TELEPdONE NO. (Include Area Code)

B}0. 628-1408(Type or Print) Frej J. Emery, President 15C. ( ) CHECK IF REMITTANCE ADORESS IS DIFFERENT FROM ABOVE--ENTE ADDRESS IN SCHEDULE

17. SIGNATURE:

18. OFFER DATE:

3

7. f ff I AWARD

19. ACCEPTED AS TO ITEMS NUMBERED $TobecompletedbyGovernment)

20. AMOUNT 21. ACCOUNTING AND AFPROPRIATION

22. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION

( ) 10 U.S.C. 2304(c)( ) ( ) 41 U.S.C. 253(c)( )

23. SUBMIT INVOICES TO ADDRESS SHOWN IN ITEM 25:

(4 copies unless otherwise specified)

24. ADMINISTERED BY (If other than Item 7)

25. PAYMENT WILL BE MDE BY U.S. Nuclear Regulatory Commission Division of Accounting and Finance GOV /COM Acounts Section Washington, DC 20555

26. NAME OF CONTRACTING OFFICER 27. UNITED STATES OF AMERICA

28. AWARD DATE (Type or Print)

(SignatureofContractingOfficer) IMPORTANT - Award will be made on this Form or on Standard Form 26, or by other authorized official written notice. EXCEPTION TO STANDARD FORM 33 APPROVED BY GSA/0IRM 6/85

s e Page 1 o SOLICITATION, OFFER AND AWARD OMB No. 0505-0005 Expiration Date: 05/31/88

1. TITLE:

Regulatory Process Training 1

2. CONTRACT NO.

3. SOLICITATION NO.

4. TYPE OF SOLICITATION RS-PER-88-365 Negotiated (RFP)

SET-ASIDE (See Section L)

5. DATE ISSUED 6.

REQUISITION / PURCHASE NO. January 26, 1988 RS-PER-88-365

7. ISSUED BY

8. ADDR'ESS OFFER TO Ali proposals should be addressed U.S. Nuclear Regulatory Commission as indicated in Block 7, however, Division of Contracts handcarried proposals (including Mail Stop AR-2223 Express Mail) must be delivered Washington, DC 20555 to the address in Block 9.

NOTE: In sealed bid solicitations, "offer and offeror" mean "bid and bidder". SOLICITATION

9. Sealed offers in original and 5 copies for furnishing the supplies or services in the Schedule will be received at the place specified in Item 7, or if handcarried, in the depository located in Roo~m 2223, Second Floor, 4550 Montgomery Avenue, Bethesda, Md.

20814, until 2:00 P.M. local time on 2/25/88. CAUTION-LATE Submissions, Modifications, and Withdrawals: See Section L, Provision No. 52.214-7 or 52.215-10. All offers are subject to all terms and conditions contained in this solicitation.

10. FOR INFORMATION CALL: A. NAME: Sharon D. Mearse B. TELEPHONE NO.: 301/492-4282 (No Collect Calls)

L

11. TABLE OF CONTENTS PART/SECTION DESCRIPTION PART I - THE SCHEDL*LE J

A SOLICITATION / CONTRACT FORM B SUPPLIES OR SERVICES AND PRICES / COSTS C DESCRIPTION / SPECIFICATIONS / WORK STATEMENT D PACKAGING AND MARKING E INSPECTION AND ACCEPTANCE F DELIVERIES OR PERFORKANCE G CONTRACT ADMINISTRATION DATA H SPECIAL CONTRACT REQUIREMENTS PART II - CONTRACT CLAUSES I CONTRACT CLAUSES PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS J LIST OF ATTACHMENTS PART IV - REPRESENTATIONS AND INSTRUCTIONS K REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFER 0RS L INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFER 0RS ) M EVALUATION FACTORS FOR AWARD EXCEPTION TO STANDARD FORM 33 STANDARD FORM 33(REV-4-85) APPROVED BY GSA/0!RM 6/85 FAR(48 CFR) 23.214(C) i I 3

PAGE 2 SOLICITATION, OFFER AND AWARD OFFER (Must be fully completed by offeror) NOTE: Item 12 does not apply if the solicitation includes the provisions at 52.214-16, Minimum Bid Acceptance Period.

12. In compliance with the above, the undersigned agrees, if this offer is accepted within calendar days (60 calendar days unless a different period is inserted by the offeror) from the date for receipt of offers specified abose, to furnish any or all items upon which prices are offered at the price set opposite each ittm, delivered at the designated point (s), within the time specified in the schedule.

13. DISCOUNT FOR PROMPT PAYMENT (See Section I, Clause No. 52.232-8) 10 Calendar days 20 Calendar days 30 Calendar days

__ Calendar days 11 ACKNOWLEDGEMENT OF AMENDMENTS (The offeror acknowledges receipt of amendments to the SOLICITATION for offerors and related documents numbered and dated: AMENDMENT NO DATE AMENDHENT NO DATE 15A. NAME AND ADDRESS OF 0FFEROR

16. NAME AND TITLE OF PERSON DUNS Code:

Facility: AUTHORIZED TO SIGN OFFER (TypeorPrint) ISB. TELEPHONE NO. (Include Area Code) 15C. ( ) CHECK IF REMITTANCE ADDRESS IS DIFFERENT FROM AB0VE--ENTER SUCH ADDRESS IN SCHEDULE

17. SIGNATURE:

18. OFFER DATE:

~~ AWARD (To be completed by Government)

19. ACCEPTED AS TO ITEMS NUMBERED 20. AMOUNT 21. ACCOUNTING AND APPROPRIATION

22. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION

( ) 10 U.S.C. 2304(c)( ) ( ) 41 U.S.C. 253(c)( )

23. SUBMIT INVOICES TO ADDRESS SHOWN IN ITEM 25:

(4 copies unless otherwise specified)

24. ADMINISTERED BY

25. PAYMENT WILL BE KADE BY (If other than Item 7)

U.S. Nuclear Regulatory Commission Division of Accounting and Finance GOV /COM Acounts Section Washington, DC 20555

26. NAME OF CONTRACTING OFFICER 27. UNITED STATES OF AMERICA

28. AWARD DATE (Type or Print)

(Signature of Contracting Officer) IMPORTANT - Award will be made on this Form or on Standard Form 26, or by other authorized official written notice. EXCEPTION TO STANDARD FORM 33 APPROVED BY GSA/0!RM 6/85 i t

e TABLE OF CONTENTS PAGE SOLICITATION, OFFER AND AWARD.................... 1 TABLE OF CONTENTS................. 3 SECTION B - SUPPLIES OR SERVICES AND PRICE / COSTS 7 B.1 BRIEF DESCRIPTION OF WORK (MAR 1987)............ 7 ALTERNATE I (MAR 1987) B.2 CONSIDERATION AND OBLIGATION--DELIVERY ORDERS....... 7 (MAR 1987) B.3 SUPPLIES OR SERVICES AND PRICE / COSTS............ 8 SECTION C - DESCRIPTION / SPECIFICATION................ 9 / WORK STATEMENT C.1 STATEMENT OF WORK (MAR 1987)................ 9 SECTION D - PACKAGING AND MARKING.................. 16 0.1 PACKAGING AND MARKING (MAR 1987).............. 16 SECTION E - INSPECTION AND ACCEPTANCE................ 17 E.1 CLAUSES INCORPORATED BY REFERENCE............. 17 (FAR 52.252-2) (APR 1984) E.2 PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987)....... 17 SECTION F - DELIVERIES OR PERFORMANCE................ 18 F.1 CLAUSE > INCORPORATED BY REFERENCE,.......... 18 (FAR 52.252-2) (APR 1984) F.2 DURATION OF CONTPACT PERIOD (MAR 1987)........... 18 ALTERNATE II (MAR 1987) F. 3 REPORTS, DOCUMENTATION AND OTHER DELIVERABLE END ITEMS... 18 SECTION G - CONTRACT ADMINISTRATION DATA.............. 20 G.1 PROJECT OFFICER AUTHORITY (MAR 1987)............ 20 ALTERNATE I (MAR 1987) G.2 METHOD OF PAYMENT (MAR 1987)............... 20 G.3 PAYMFNT DUE DATE (MAR 1987) ALTERNATE I (MAR 1987) 22 G4 INTEREST ON OVERDUE PAYMENTS (MAR 1987).......... 22 ALTERNATE I (MAR 1987) G.5 REMITTANCE ADDRESS (MAR 1987)............... 23 SECTION H - SPECIAL CONTRACT REQUIREMENTS.............. 24 H.1 KEY PERSONNEL (MAR 1987).................. 24 H.2 PRIVATE USE OF CONTRACT INFORMATION AND DATA (MAR 1987).. 25 H.3 DRAWINGS, DESIGNS, AND SPECIFICATIONS (MAR 1987)...... 25 H.4 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST...... 25 (OMB CLEARANCE NUMBER 3150-0112) (MAR 1987) H.5 GOVERNMENT FURNISHED MATERIAL,.............. 27 H.6 PROPRIETARY DATA AND CONFIDENTIAL INFORMATION....... 28 PART II - CONTRACT CLAUSES..................... 29 SECTION I CONTRACT CLAUSES.................. 29 I.1 CLAUSES INCORPORATED BY REFERENCE 29 (FAR 52.252-2) ( APR 1984) 1.2 ANTI-K!CKBACK PROCEDURES (FAR 52.203-7).......... 30

TABLE OF CONTENTS PAGE I.3 ORDERING (FAR 52.216-18) (APR 1984)............ 32 1.4 del.IVERY-ORDER LIMITATIONS............... '.' 32 (FAR 52.216-19) (APR 1984) 1.5 INDEFINITE QUANTITY (FAR 52.216-22) (APR 1984)....... 33 I.6 OPTION TO EXTEND THE TERM OF THE CONTRACT--SERVICES ... 34 (FAR 52.217-9) ( APR 1984) PART III - LIST OF DOCUMENTS, EXHIBITS....... 35 AND OTHER ATTACHMENTS SECTION J - LIST OF ATTACHMENTS................... 35 J.1 ATTACHMENTS (MAR 1987)................... 35 PART IV REPRESENTATIONS AND IWSTRUCTIONS............ 36 SECTION K - REPRESENTATIONS, CERTIFICATIONS AND.......... 36 OTHER STATEMENTS OF OFFER 0R$ K.1 CERTIFICATE OF INDEPENDENT PRICE.............. 36 DETERMINATION (FAR 52.203-2) (APR 1985) K.2 CONTINGENT FEE REPRESENTATION AND............. 37 AGREEMENT (FAR 52.203-4) (APR 1984) K.3 TYPE OF BUSINESS ORGANIZATION (FAR 52.215-6) (JUL 1987).. 38 K.4 AUTHORIZED NEGOTIATORS (FAR 52.215-11) (APR 1984)..... 38 K.5 SMALL BUSINESS CONCERN REPRESENTATION........... 38 (FAR 52.219-1) (MAY 1986) K.6 SMALL DISADVANTAGED BUSINESS CONCERN............ 38 REPRESENTATION (FAR 52.219-2) ( APR 1984) K.7 WOMEN-0VNED SMALL BUSINESS REPRESENTATION......... 39 (FAR 52.219-3) (APR 1984) K.8 PREFERENCE FOR LABOR SURPLUS AREA CONCERNS......... 40 (FAR 52.220-1) ( APR 1984) K.9 CiRTIFICATION OF NONSEGREGATED FACILITIES......... 40 (FAR 52.222-21) ( APR 1984) K.10 PREVIOUS CONTRACTS AND COMPLIANCE REPORTS......... 41 (FAR 52.222-22) (APR 1984) K 11 AFFIRMATIVE ACTION COMPLIANCE............... 41 (FAR 52.222-25) ( APR 1984) K.12 ORGANIZATIONAL CONFLICTS OF INTEREST (MAR 1987)...... 42 SECTION L - INSTRUCTIONS, CONDITIONS, AND NOTICES.......... 44 TO OFFER 0RS L.1 SOLICITATION PROVISIONS INCORPORATED BY.......... 44 REFERENCE (FAR 52.252-1) (APR 1984) L.2 TYPE OF CONTRACT (FAR 52.216-1) (APR 1984)......... 44 L.3 SERVICE OF PROTEST (FAR 52.233-2) (JAN 1985)........ 45 L.4 ACCEPTANCE PERIOD (MAR 1987)................ 45 L.5 SMALL BUSINESS SIZE STANDARD AND PRODUCT CLASSIFICATION,. 45 (MAR 1987) ALTERNATC I (MAR 1987) L.6 AWARD NOTIFICATION AND COMMITMENT OF PUBLIC FUNDS (KAR 1987) 45 L.7 DISPOSITION OF PROPOSALS (MAR 1987)............ 46 L.8 NONDISCRIMINATION BECAUSE OF AGE (FAR 22.901) (HAR 1987).. 46 L.9 DATA UNIVERSAL NUMBERING SYSTEM (DUNS) NUMBER (MAR 1987). 47 SECTION M - EVALUATION FACTORS FOR AWARD.,............ 48 M.1 SOLICITATION PROVISIONS INCORPORATED BY.......... 48 i 4

j TABLE OF CONTENTS PAGE REFERENCE (FAR 52.252-1) (APR 1984) M.2 EVALUATION OF OPTIONS................... 48 (FAR 52.217-5) ( APR 1984) M.3 CONTRACT AWARD AND EVALVATION OF PROPOSALS. (MAR 1987)... 48 M.4 EVALVATION CRITERIA (MAR 1987)............... 49 e l 1 i 1

PAGE C OFFER 0RS/BIODERS PLEASE NOTE: An (*) means the information is to be incorporated into any resultant contract.

PAGE 7 RS-PER-88-365 Section B i SECTION B - SUPPLIES OR SERVICES AND PRICE / COSTS B.1 BRIEF DESCRIPTION OF WORK (MAR 1987) ALTERNATE I (MAR 1987) l a. Brief description of work: The purpose of this contract is to continue to meet the NRC's need for training in its regulatory processes through a two-day course, to update and improve the training through contracted support, and to ensure that the objectives of the training are met. b. Orders will be issued for work required by the NRC in accordance with 52.216 Ordering. The NRC reserves the right to withdraw a proposed order at any time prior to its formal award. Only Contracting Officers of the NRC or other individuals specifically authorized under this contract may authorize the initiation of work under this contract. The t. wisions of this contract shall govern a11 task orders issued. t <4 Jnder. l (End of Clause) i B.2 CONSIDERATION AND OBLIGATION--DELIVERY ORDERS (MAR 1987) The total estimated amount of this contract (ceiling) for a. the products / services ordered, delivered, and accepted under this contract is ___*___. The Contracting Officer or other individual specifically authorized under this contract may unilaterally increase this amount as necessary for completion of orders placed with the contractor during the contract period provided such orders are within any maximum ordering limitation prescribed under this contract. b. The amount presently obligated with respect to this 1 contract is ___*___. The Contracting Officer may issue orders for work up to amount presently obligated. This obligated amount may be unilaterally increased from time to time by the Contracting Officer by written modification to this contract. The obligated amount shall, at no time, exceed the contract ceiling as specified in paragraph A above, When and if the amount (s) paid and payable to the Contractor hereunder shall equal the obligated amount, the Contractor shall not. be oblicated to continue performance of the work unless and unti1~the Contracting Officer shall increase the amount obligated with respect to this contract. Any work undertaken by the Contractor in excess of the obligated ] amount specified above is done so at the Contractor's sola risk, i

PAGE 8 RS-PER-88-365 Section B i (End of Clause) 8.3 SUPPLIES OR SERVICES AND PRICE / COSTS UNIT i BASIC YEAR QUANTITY UNIT PRICE AMOUNT The Contractor shall present the U.S. Nuclear Regulatory , Commission's (NRC) two-day course entitled "The Regulatory Process" for a minimum of once the first year, and a maximum of fourteen times during the life of the contract to NRC employees. EST. MAX. Fixed Price per Course Session 14 EA OPTION YEAR The contract will be in effect for a two-year period. The term of this contract may be extended at the option of the Government for an additional one year period, During this option year the i Contractor shall present the two-day course entitled "The Regulatory i Process" a minimum of two times and a maximum of five times. EST. MAX. Fixed Price per Course Session 5 EA TOTAL AMOUNT a i j 1 d 1 0 1 l

PAGE 9 RS-PER-88-365 Section C i l SECTION C - DESCRIPTION / SPECIFICATION 4 / WORK STATENENT t C.1 STATEMENT OF WORK (MAR 1987) I i C.I.1

Background

Since 1981, the Nuclear Regulatery Commission (NRC) has offered its staff a two-day course entitled "The Regulatory Process." The purpose of this course is to improve NRC employees' understanding of the role they and the NRC play in assuring the public's safety and health. Originally intended for the new NRC employee who had been "on board" for approximately six months, the course helped employees participate in NRC regulatory processes by explaining and providing i examples of the agency's functions. Now the course is attended by employees of all levels and years of NRC experience, r The success of this course is heavily dependent on contractor support. Since its beginning, knowledgeable contractor personnel have gathered and developed information for the course and conducted the training. The NRC needs to contract for these services in order to continue to meet its training requirements. The NRC is a small, independent regulatory agency of the Federal Government created by enactment of the Energy Reorganization Act of 1974. The NRC's mission is to assure that the commercial uses of nuclear facilities and materials in the U.S. are carried out with l proper regard for protection of the public health and safety, common j defense and security, and the environment. The NRC licenses. regulates and inspects the possession and use of nuclear power I plants and nuclear materials, including the safeguarding of nuclear 1 materials and facilities from theft and sabotage, and the disposal ) of nuclear wastes. The NRC accomplishes its mission through i licensing, rulemaking, inspection and enforcement. The processes follcwed and the decisions made are complex, involving numerous people inside and outside the NRC and requiring adherence to numerous legal requirements. 4 The subject matter for "The Regulatory Process" course has many sources. Because there is no central point of information on the NRC, the contractor must draw on his/her own knowledge of Federal Government regulatory procedures and policies and NRC's regulatory = ~ processes. The contractor must also have the ability to learn new information about the NRC from diverse and changing sources. Developments that affect the subject matter of the course often occur within hours of a scheduled session of "The Regulatory Process," and participants in the training may offer new 1 4

\\ PAGE 10 RS-PER-88-365 Section C i Information. The instructor needs to be able to understand and incorporate this information during conduct cf that :ession or 4 within the training schedule. Typically, the NRC has required the conduct of five of six sessions of "The Regulatory Process" course annually in its training rooms in Bethesda, Maryland. Attendance is voluntary, so the NRC schedule:. the courses approximately every six months based on a projection of 4he number of sessions needed. Several documents are availabie for use in instructing "The Regulatory Process." These materials offer guidelines for the course content and instruction; however, due to variations in the subject matter and in the participants, the instructor's n.aterials do not stand alone. Successful teaching of this course depends on experienced trainers /facilitators who are knowledgeable in the subject matter to assure the objectives are met and the course is j tailored to the type and level of participation in the classroom. C.I.2 Contract Objective By offering "The Regulatory Precess" course, the NRC seeks to inform its employees of how this Federal Government agency works. At a minimum, the individual student is expected to be able to: o Deu ~ m the F 's place in the Federal Government and the author). ixerted by other governmen'. entitles. o Identify NRC's organizational structures in relation to its primary functions, goals, and products, o Describe the processes for rulemaking in NRC. e Describe statutory and court roles in NRC rulemaking, Describe licensing in NRC and its relationship to rulemaking. o c De*,cribe the purposes, procedures, participants, and products of the NRC licensing processes, both currently and historically, o Describe the NRC's inspection, evaluation and enforcement functions and their significance, o Discuss the evaluation of NRC's processes and products in light. of current and historical events, and the NRC's technical and legal responsibilities, i C.1.3 Scope of Work The NRC will provide training rooms and equipment, located at 8120 4 Woodmont Avenue, Bethesda, Maryland, or a comparable site in the l Bethesda/Rockville, Maryland area, for the contractor's use in the j perforrhance of this contract. A. Course Instruction j l l

PAGE 11 RS-PER-88 065 Section C (1) The contractor shall provide qualified instructors to teach a customized two-day "Regulatory Process" course at the NRC's Bethasda/Rockville, Maryland training facility. Students will include NRC managers and professional personnel who the Project Officer schedules to attend the course. Instructors shall be knowledgeable in nuclear regulatory policies and processes, NRt; organizational units involved in regulatory processes, and

administrative law.

Instructors shall also be qualified to conduct the course for classes of up to 27 adult professional students. (2j The NRC may include selected guest speakers from its staff to present all or portions of the training. In this event, the Contractor shall coordinate points of instruction with the speakers and be prepared to fill in and present for speakers who do not appear as scheduled. (3) Course material shall be in accordance with the NRC provided materials described in Section H, Government-Furnished Material, and the instructor's professional knowledge in evaluating and enha;cing learning through impro'nptu examples, current events, and group-dynamic techniquits within the schedule and objectives of this course. B. Maintenance of Instructor knowledge Instructors shall be responsible for maintaining their currency in the subject matter of.this training. Instructors shall be prepared to teach the course sessions and r5all recommend timely changes to the course materials, including the Instructor's Guide. To accomplish this task the contractor shall: (1) Read and understand all course materials. (2) Meet with and interview up to 10 NRC resource people who the Project Officer will designate. (3) Read and understand printed information on the NRC, such as news releases, Commissioner's speeches, and miscellaneous documents that the Project Officer will provide approximately once a week. Instructors shall accomplish this task prior to conducting the first training session. Thereafter, the contractor shall contact the NRC resources by phone once t month for update information and shall read the printed information that the Project Officer provides. The contractor shall be instructed by the Project Officer to meet with NRC people twice or three times each year as the need occurs. The contractor shall recommend to the Project Officer timely changes to the course materials to keep each course session current and relevant. The contractor shall not make any modifications to the training materials except at the direction of the Contracting Of ficer (see paragraph F below). C. Course Paterials

PAGE 12 RS-PER-88-365 Section C The contractor shall reproduce and furnish copies of the student course book entitled "ReSulatory Process," described in the Government-Furni hed Material Section (Section H), in one-and-a-half inch three-ring binders identified with the NRC logo, title and cover art. The contractor shall provide these copies of the student coursebook for each of up to 27 students per course session. D. Course Session Administration The contractor shall deliver all course materials to the designated NRC training site in Bethesda/Rockville, Maryland prior to the start of each training session and set up the training facility, arranging furniature as necessary, laying out student materials, and preparing equipment and instructor aids. During the training session, the contractor shall account for student attendance by assuring the completion of NRC registration forms. The contractor shall be responsible for preparing (by typing student names and completion dates) and distributing Course Ccmpletion Certificates to all students who complete two-thirds or more of the course. The NRC will supply the Contractor with printed Course Completion Certificates. Immediately following each session, the contractor shall leave the training facility neat with trash stowed in the trash cans and any extra student materials boxed and placed in the back of the room or delivered to a nearby NRC office. The Project Officer shall determine the location for storage or delivery of excess student materials prior to completion of each session. E. Evaluation Questionnaire (1) The contractor shall prepare a course evaluation questionnaire to be completed by all students at the end of each course. The questionnaire shall be designed to elicit student comments on the value of the material taught, the quality of the instructor's changes and any recommended additions to the course material. The contractor shall furnish the proposed questionnaire for the Project Officer's approval within 30 days af ter award of the contract and shall incorporate any changes or revisions that the Project Officer directs. In addition, any changes or revisions that the Project Officer may direct from time to time the contractor shall incorporate for use in subsequent course sessions. (2) Within 15 days after the completion of each course session, the contractor shall submit to the Project Officer copies of all student questionnaires together with the contractor's assessment of any student comments and recommendations for possible changes to the Course. F. Course Modification (1) Minor Revisions The contractor may be required, from time to time, to provide minor revision to the training material upon the request of the NRC Project Officer. During the contract period it is anticipated that approximately 80 man-hours per year will be t a e

PAGE 13 RS-PER-88-365 Section C required for these revisions. Each revision would affect up to 20% of the total course material and there would be approximately five minor revisions per year. The cost for the minor revisions should be included in the fixed price for course presentation. NOTE: The estimate of the man hours reflected for the minor revisions is information which is advisory only and is not to be considered as the sole basis for the development of a proposal.

Sufficient detail of the proposed approach to task accomplishment must be reflected in the proposal.

(2) Major Course Modifications l In addition, the NRC may have a requirement for a major course modification on the same subject matter. In this event the contractor may be requested to modify the course material accordingly and to provide instructors to teach the modified course. No changes involving additional cost to the Government shall be made without prior consent of the Contracting Officer through modification tc the contract. Any major revision affecting more than 20% of the course material will be handled pursuant to the Changes Clause. G. Course Time and Places (1) The NRC anticipates that the contractor will conduct between four and seven courses each year under this contract. The NRC anticipates that the contractor will hold all courses in Bethesda, Maryland in NRC provided facilities. (2) The contractor shall conduct courses at the times and places that the Project Officer designates in writing. The Project Officer will give notice of the times and places for the courses at the earliest possible time but not later than 45 days prior to the beginning of each course. To the extent practicable, the Project Officer will consider and accommodate the contractor's other commitments at the time of scheduling. (3) The NRC shall make every effort to schedule on the number of courses it needs during the life of this contract. However, no less than 16 days prior to the time the NRC has scheduled a course to begin, the NRC may cancel the course without obligation to the government if the NRC determines that the need is { insufficient to conduct the training. H. Related Work In addition to the work required in Paragraphs A through F above, the NRC may require a specialized course on the same subject matter. In this event, the NRC may request the contractor to modify the course material accordingly and to provide instructors to teach the modified course. The contractor shall not perform any work under this provision unless the Contracting Officer so directs pursuant to the Changes Clause of this contract and the contreet is modified to

PAGE 14 RS-PER-88-365 Section C incorporate any such changes. I. Contractor Furnished Material The NRC Project Officer will review the contractor furnished materials for each course session for quality and accuracy. If there are any errors or omissions in the materials, such problems of collation, legibility, and packaging, that the contractor has caused, the NRC Project Officer will reject the material. The contractor shall co'rrect all errors prior to the beginning of each course session, at no additional cost to the government. The contractor shall deliver one copy of these materials to the NRC Project Officer for review, 15 days prior to the first day of each course session. The contractor shall deliver this copy to: Delivery.\\ddress: U.S. Nuclear Regulatory Commission Office of Personnel W-500 8210 Woodmont Avenue Bethesda, MD 20814 Mailing AdCress: U.S. Nuclear Regulatory Commission Office of Personnel W-500 Washington, DC 20555 The NRC Project Officer will comment on quality and accuracy of the materials no later than 10 days before the course. session is schtiuled to start. C.2 Meetings and Travel C.2.1 The contractor shall meet with the Project Officer five times a year, or as the Project Officer shall schedule, regarding updating or modification of instructional materials. However, the contractor shall not make any changes involving additional cost to the Government unless authorized by the Contracting Officer pursuant to the Changes Claute of this contract. C.2.2 The NRC may also have a requirement to have the contractor conduct the course at NRC's Regional Offices, located as follows: Region I - 475 Allendale Road Kir.g of Prussia, PA 19406 Pegion II - 101 Marietta Street, Suite 3100 Atlanta, GA 30303 Region III - 799 Roosevelt Road Glenn Ellyn, IL 60137 Region IV - 611 Ryan Flaza Drive, Suite 1000 Arlington, TX 76011 l i

PAGE 15 RS-PER-88-365 Section C Region V - 1450 Mari Lane, Suite 210 Walnut Creak, CA 94596 In the event such.a requirement occurs, the Contracting Officer will notify the contractor pursuant to the Changes Clause and an equitable adjustment to the contract amount will be , negotiated and the contract will be modified accordingly. C.3 Quality Control The contractor shall assure that the quality of instruction and course materials employed fully satisfies the requirements of the Statement of Work. In performance of this contract the contractor shall: A. Control the learning time so that the presentation of information remains organized, course objectives are ret, breaks are provided within the overall course schedule and discussions are relevant (e.g., questions that are of minimal interest to the class as a whole should be answered later individually). B. Observe the effect of the instruction on the class and reasonably attempt to clarify, provide examples or modify the course to correct probicms and enhance the students' understanding within the overall course schedule. C. Involve the students in sufficient practice with the subject j matter to reinforce their understanding and recall of information. j 1 D. Correct any errors or other problems that may arist aring the training session. (End of Clause)

PAGE 16 RS-PER-88-365 Section 0 SECTION O - PACKAGING AND MARKING 0.1 PACKAGING AND MARKING (MAR 1987) The Contractor shall package material for shipment to the NRC in such a manner that will insure acceptance by common carrier and safe delivery at destination. Containers and closures shall comply with the Interstate Commerce Commission Regulations, Uniform Freight Classification Rules, or regulations of other carriers as applicable to the mode of transportation. On the front of the package, the Contractor shall clearly identify the contract number under which the product is being provided. (End of Clause) l l y s -m

PAGE 17 RS-PER-88-365 Section E SECTION E - INSPECTION AND ACCEPTANCE E.1 CLAUSES INCORPORATED BY REFERENCE (FAR 52.252-2) (APR 1984) This contract incorporates the following clauses by reference. These clauses have the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES CLAUSE NUMBER DATE TITLE 52.246-4 APR 1984. INSPECTION OF SERVICES -- FIXED-PRICE 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) j i

L -4 PAGE 18 RS-PER-88-365 Section F SECTION F - DELIVERIES OR PERFORMANCE F.1 CLAUSES INCORPORATED BY REFERENCE (FAR 52.252-2) (APR 1984) This contract incorporate _ ' lowing clauses by reference. These clauses have the same affect as if they were given in full text. Upon request. .racting Officer will make their full text available. I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES CLAUSE NUMBER DATE TITLE 52.212-13 APR 1984 STOP-WORK ORDER F.2 DURATION OF CONTRACT PERIOD (MAR 1987) ALTERNATE II (MAR 1987) This contract shall commence on and will expire on The term of this contract may be extended at the option of the Government for an additional 1 year period. (End of Clause) F.3 REPORTS, DOCUMENTATION AND OTHER DELIVERABLE END ITEMS All documentation and other deliverable end items shall be provided as described under Section C.I.3, Scope of Work. Upon expiration of this contract, the contractor shall furnish the NRC Project Officer with a complete master set of all current-version course materials, lesson plans and visual aids during the course in camera-ready, reproducible form. The items to be furnished hereunder shall be delivered, with all transportation charges paid by the Contractor, to: U.S. Nuclear Regulatory Commission Attn: Office of Division of Mail Stop: Washington, D.C. 205S5

Project Of ficer (5 copies) l

i PAGE 19 RS-PER-88-365 Section F Division of Contracts (1 copy) l 1 l \\ e

PAGE 20 RS-PER-88-365 Section G SECTION G - CONTRACT ADMINISTRATION DATA 'G.1 PROJECT OFFICER AUTHORITY (MAR 1987) Al. TERNATE I (MAR 1987) a. The Contracting Office *'s authorized representative hereinafter refered to as the Project Officer for this contract is: Name: Address: __ Telephone Number: b. The Project Officer is responsible for:

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

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

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

4) Reviewing all Contractor invoices / vouchers requesting payment for products / services provided under the contract and making recommendations for approval, disapproval, or suspension.

c. The Project Officer is not authorized to make changes to the express terms and conditions of this contract. (End of Clause) G.2 METH00 0F PAYMENT (MAR 1987) a. Payment under this contract will be made by wire transfer j through the Treasury Financial Communications System for each individual payment in excess of $25,000 and by Treasury check for each individual payment of $25,000 or less, b. In the event that the Contractor's financial institution has access to the Federal Reserve Communications System, the Contractor shall forward the following information in writing to the Contracting Officer within seven days after the effective date of the contract.

PAGE 21 RS-PER-88-365 Section G

1) Name and address of organization.

2) Contact person and telephone number.

3) Name and address of financial institution.

4) Contractor's financial institution's 9-digit ABA

. identifying number for routing transfer of funds.

5) Telegraphic abbreviation of Contractor's financial institution.

6) Account number at Contractor's financial institution.

7) Signature and title of person supplying this information.

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

1) Name and address of organization.

2) Contact person and telephone number.

3) Name and address of financial institution.

4) Telegraphic abbreviation of Contractor's finar c'al institution.

5) Account number at Contractor's financial institutlcn.

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

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

8) Telegraphic abbreviation of correspondent finaricial institution.

9) Signature and title of person supplying this information.

d. Any changes to the information furnished under this clause shall be furnished to the Contracting Officer in writing. It is the Contractor's responsibility to furnish these changes promptly to avoid payments to erroneous bank accounts. (End of Clause) r

PAGE 22 RS-PER-88-365 Section G G.3 PAYMENT DUE DATE (MAR 1987) ALTERNATE I (MAR 1987) a. Payments under this contract will be due 30 calendar days after the later of: 1. The date of actual receipt of a proper invoice in accordance with the attached "Billing Instructions" (See Sectior J ,for List of Attachments), or 2. The date the supplies / services are accepted by the Government. b. For the purpose of determining the due date for payment and for no other purpose, acceptance will be deemed to occur 30 calendar days after the date of delivery of these supplies or performance of the services in accordance with the terms of the contract. c. If the supplies / services are rejected for failure to conform to the technical requirements of the contract, or for damage in the transit or otherwise, the provisions in paragraph b of this clause will apply to the new delivery of replacement supplies or performance of the services. d. The riate of payment by wire transfer through the Treasury Financial Coneunications System shall be considered the date payment is made for individual payments exceeding $25,000. The date a check is issued shall be considered the date payment is made for individual payments of $25,000 or less. (End of Clause) G.4 INTEREST ON OVERDUE PAYMENTS (MAR 1987) ALTERNATE I (MAR 1987) a. The Prompt Payment Act, Public Law 97-177 (96 STAT. 85, 31 USC 1801) is applicable to payments under this contract and requires the payment of interest to Contractors on overdue payments and improperly taken discounts, b. Determinations of interest due will be made in accordance with the provisions of the Prompt Payment Act and Office of Management and Budget Circular A-125, Vol. 47 Federal Register 37321, August 25, 1982. Among other considerations, OMB Circular A-125 provides that:

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

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

Interest will be computed from the day after the due date through the payment date, j (End of Clause)

=...- PAGE 23 RS-PER-88-365 Section G G.5 REMITTANCE AOCRESS (MAR 1987)- If iterr. 15C. of the Standard Form 33 has been checked, enter the remittance address below, i Name: Address: (End of Clause) l i l l l I I l t - ) 4 7 y,t m- -m-e t,c e y--wm w wv e y - --m-+r--'

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PAGE 24 RS-PER-88-365 Section H SECTION H - SPECIAL CONTRACT REQUIREMENTS H.1 KEY PERSONNEL (MAR 1987) a. The following individuals are considered to be essential to the successful performance of the work hereunder. e The Contractor agrees that such personnel shall not be removed from the contract work or replaced without compliance with paragraphs b and c hereof, b. If one or more of the key personnel for whatever reason becomes, or is expected to become, unavailable for work under this contract for a continuous period exceeding 30 work days, or is expected to devote substantially less effort to the work than indicated in the proposal or initially anticipated, the-Contractor shall immediately notify the Contracting Officer and shall, subject to the concurrence of +he Contracting Officer, -promptly replace such personnel with personnel of at least substantially equal ability and qualifications. c. All requests for approval of substitutions hereunder must be in writing and provide a detailed explanation of the circumstances necessitating the proposed substitutions. They contain a complete resume for the proposed substitute, and other information requested by the Cor.tracting Officer to approve or disapprove the proposed substitution. The Contracting Officer will evaluate such requests and promptly notify the Contractor of his/her approval or disapproval thereof in writing. d. If the Contracting Officer determines that:

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

2) That the resultant reduction of effort would be so substantial as to impair the successful completion of the contract or the service order, the contract may be terminated by the Contracting Officer for default or for the convenience of the Government, as appropriate. If the Contracting Officer finds the Contractor at fault for the condition, the contract price or fixed 4

PAGE 25 RS-PER-88-365 Section H fee may be equitably adjusted downward to compensate the Government for any resultant delay, loss or damage. (End of Clause) H.2 PRIVATE USE OF CONTRACT INFORMATION AND DATA (MAR 1987) Except as specifically authorized by this contract, or as otherwise approved by the Contracting Officer, information and other data developed or acquired by or furnished the Contractor in the performance of this contract, shall be used only in connection with the work under this contract. (End of Clause) H.3 DRAWINGS, DESIGNS, AND SPECIFICATIONS (MAR 1987) All drawings, sketches, designs, design data, specifications, i notebooks, technical and scientific data, and all photographs, negatives, reports, findings, recommendations, data and memoranda of every description relating thereto, as well as all copies of the foregoing relating to the work or any part thereto, shall be subject to inspection by the Commission at all reasonable times (for which inspection the proper facilities shall be afforded the Commission by the Contractor and its subcontractors), shall be the property of the Government and may be used by the Government for any purpose whatsoever without any claim on the part of the Contractor and its subcontractors and vendors for additional compensation and shall, subject to the right of the Contractor to retain a copy of said material for its own use, be delivered to the Government, or otherwise disposed of by the Contractor either as the Contracting Officer may from time to time direct during the progress of the work or in any event as the Contracting Officer shall direct upon completion or termination of this contract. The Contractor's right of retention and use shall be subject to the security, patent, and use of information provisions, if any, of this contract. (End of Clause) H.4 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST (OMB CLEARANCE NUMBER 3150-0112) (MAR 1987) a. Purpose. The primary purpose of this clause is to aid in ensuring that the Contractor:

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

2) Does not obtain an unfair competitive advantage over l

other parties by virtue of its performance of this contract. b. Scope. The restrictions described herein shall apply to performance or participation by the Contractor as defined in 41 CFR 20-1.5402(f) in the activities covered by this clause. 1

PAGE 26 RS-PER-88-365 Section H c. Work for Others. Notwithstanding any other provision of this contract, during the term of this contract, the Contractor agrees to forgo entering into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to conflict of interest with respect to the work being performed under this contract. The Contractor shall ensure that-all employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause. If the Contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the Contractor shall obtain the written approval of the Contracting Of ficer prior to execution of such contractual arrangement. d. Disclosure after award.

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

2) The Contractor agrees that if after award it discovers organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the Contracting Officer. This statement shall include a description of the action which the Contractor has taken or proposes to take to avoid or mitigate such conflicts.

The NRC may, however, terminate the contract for convenience if it deems such termination to be in the best interest of the Government. e. Access to and use of information.

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

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

PAGE 27 RS-PER-88-365 Section H

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

i

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

Subcontracts. Except as provided in 41 CFR 20-1.5402(h), the Contractor shall include this clause, including this paragraph, in subcontracts of any tier. The terms "contract," "Contractor," and "Contracting Officer," shall be appropriately modified to i preserve the Government's rights, g. Remedies. For breach of any of the above prescriptions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations as necessarily imply bad faith, the Government may terminate the contract for default, disqualify the Contractor from subsequent contractual efforts, and pursue other remedies as may be permitted by law.or this contract. h. Waiver. A request for waiver under this clause shall be directed in writing through the Contracting Officer to the Executive Director for Operations (EDO) in accordance with the procedures outlined in 20-1.5411. (End of Clause) P H.S GOVERNMENT FURNISHED MATERIAL The NRC will make available to the contractor the camera-ready masters of the following current course materials: i The Instructor's Guide lists the course objectives and outlines a. a basic set of instructor's notes. This Guide provides a backbone for the course of instruction. It is 100 pages of single-sided text and packaged in a 1 and 1/2 inch three-ring binder with 12 numerical tabs. b. The Instructor's Visual Aids are 20 large paper charts for display on easels. The charts support portions of the training course and are neatly hand drawn in colored felt pens. The coursebook, entitled "The Regulatory Process," is the c. student's document for in-class exercises and future reference. It is 200 pages with 12 numerical tabs and is packaged in a 1 and 1/2 inch three-ring covered binder, i The NRC also makes available some exhibits in the classroom for

PAGE 28 RS-PER-88-365 Section g students to examine the instructor's reference. The exhibits are a small collection of miscellaneous documents. The material listed above is subject to the provisions of the Government Property clause under this contract. All other equipment / property required in performance of the contract shall be furnished by the Contractor. 'Facsimilies of each of the materials listed above are available for pre proposal inspection in the NRC Public Document Room, 1717 H Street, N.W., Washington, D.C. H6 PROPRIETARY DATA AND CONFIDENTIAL INFORMATION In connection with the performance of the work under this contract, the Contractor may be furnished, or may develop or acquire, proprietary data (trade secrets) or confidential or priviledged technical, business, or financial information, including Commission plans, policies, reports, financial plans, internal data protected by the Privacy Act of 1974 (P.L. 93-579), or other information which has not been released to the public or has been determined by the Commission to be otherwise exempt from disclosure to the public. Contractor agrees to hold such information in confidence and not to directly or indirectly duplicate, disseminate, or disclose such information in whole or in part to any other person or organization except as may be necessary to perform the work under this contract. Contractor agrees to return such information to the Commissi'on or otherwise dispose of it either as the Contracting Offi:er may from time to tirce direct during the progress of the work or in any event as the Contracting Officer shall direct upon completion or termination of this contract. Failure to comply with this clause shall be grounds for termination of this contract. \\

PAGE 29 RS-PER-88-365 Section I PART II - CONTRACT CLAUSES SECTION I CONTRACT CLAUSES I.1 CLAUSES INCORPORATED BY REFERENCE (FAR.52.252-2) ( APR 1984) This contract incorporates the following clauses by reference. These clauses have the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES CLAUSE NUMBER DATE TITLE 52.202-1 APR 1984 DEFINITIONS 52.203-1 APR 1984 0FFICIALS NOT TO BENEFIT 52.203-3 APR 1984 GRATUITIES 52.203-5 APR 1984 COVENANT AGAINST' CONTINGENT FEES 52.203-6 JUL 1985 RESTRICTIONS ON SUBCONTRACTOR SALES TO THE GOVERNMENT 52.215-1 APR 1984 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL 52.215-2 APR 1984 AUDIT -- NEGOTIATION 52.215-22 APR 1984 PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA 52.215-23 APR 1985 PRICE REDUCTION FOR DEFECTIVE COST OR i PRICING DATA -- MODIFICATIONS 52.215-24 APR 1985 SUBCONTRACTOR COST OR PRICING DATA 52.215-25 APR 1985 SUBCONTRACTOR COST OR PRICING DATA -- MODIFICATIONS 52.215-26 JUL 1986 INTEGRITY OF UNIT PRICES ALTERNATE I (JUN 1985) 52.215-33 JAN 1986 ORDER OF PRECEDENCE 52.219-6 APR 1984 NOTICE OF TOTAL SMALL BUSINESS SET-ASIDE 4 52.219-8 JUN 1985 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL DISADVANTAGE 0 BUSINESS CONCERNS 52.219-13 AUG 1986 UTILIZATION OF WOMEN-OWNED SMALL BUSINESSES 52.220-3 APR 1984 UTILIZATION OF LABOR 1 i

PAGE 30 RS-PER-88-365 Section 1 SURPLUS AREA CONCERNS 52.220-4 APR 1984 LABOR SURPLUS AREA SUBCONTRACTING PROGRAM 52.222-3 APR 1984 CONVICT LABOR 52.222-26 APR 1984 EQUAL OPPORTUNITY 52.222-35 APR 1984 AFFIRMATIVE ACTION FOR SPECIAL-DISABLED AND VIETNAM ERA VETERANS 52.222-36 APR 1984 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS 52.227-1 APR 1984 AUTHORIZATION AND CONSENT 52.227-2 APR 1984 NOTICE AND ASSISTANCE REGARDING PATENT AND COPYRIGHT INFRINGEMENT 52.228-5 APR 1984 INSURANCE -- WORK ON A GOVERNMENT INSTALLATION 52.229-5 APR 1984 TAXES -- CONTRACTS PERFORMED IN U.S. POSSESSIONS OR PUERTO RICO 52.232-1 APR 1984 PAYMENTS 52.232-8 JUL 1985 DISCOUNTS FOR PROMPT PAYMENT 52.232-11 APR 1984 EXTRAS 52.232-17 APR 1984 INTEREST 52.232-23 JAN 1986 ASSIGNMENT OF CLAIMS 52.233-1 APR 1984 DISPUTES ALTERNATE I (APR 1984) 52.233-3 JUN 1985 PROTEST AFTER AWAR.D 52.237-2 APR 1984 PROTECTION OF GOVERNMENT BUILDINGS, EQUIFMENT, AND VEGETATION 52.243-1 APR 1984 CHANGES -- FIXED PRICE ALTERNATE I (APR 1984) 52.244-5 APR 1984 COMPETITION IN SUBCONTRACTING 52.245-1 APR 1984 PROPERTY RECORDS 52.245-2 APR 1984 GOVERNMENT PROPERTY (FIXED-PRICE CONTRACTS) 52.245-19 APR 1984 GOVERNMENT PROPERTY FURNISHED "As IS" 52.249-1 APR 1984 TERMINATION FOR CONVENIENCE OF THE GOVERNMENT (FIXED-PRICE) (SHORT FORM) 52.249-8 APR 1984 DEFAULT (FIXED-PRICE SUPPLY AND SERVICE) 1.2 ANTI-KICKBACK PROCEDURES (FAR 52.203-7) (a) Definitions. "Kickback," as used in this clause, means any money, fee, commission, credit, gift, gratuity, thing of value, or compensation of any kind which is provided, directly or indirectly, to any prime Contractor, prime Contractor employee, subcontractor, or subcontractor employee for the purpose of improperly obtaining or rewarding favorable treatment in connection with a prime contract or in connection with a subcontract relating to a prime contract. "Person," as used in this clause, means a corporation, partnership, business association of any kind, trust, joint-stock company, or individual.

PAGE 31 RS-PEP.-88-365 Section I "Prime con *ract," as used in this clause, means a contract or contractual action entered into by the United States for the purposes of obtaining supplies, materials, equipment, or-services of any kind. "prime Contractor employee," as used in this clause, means any officer, partner, employee, or agent of a prime Contractor. "Subcontract," as used in this clause, means a contract or contractual action entered into by a prime Contractor or subcontractor for the purpose of obtaining supplies, materials, equipment, or services of any kind under a prime contract. "Subcontractor," as used in this clause, (1) means any person, other than the prime Contractor, who offers to furnish or furcishes any supplies, materials, equipment, or services of any kind under a prime contract or subcontract entered into in connection with any such prime contract, and (2) includes any person who offers to furnish or furnishes supplies to the prime Contractor or a higher tier subcontractor. "Subcontractor employee," as used in this clause, means any officer, partner, employee, or agent of a subcontractor. (b) The Anti-kickback Act of 1986 (41 U.S.C. 51-58) (the Act), prohibits any person from-- (1) Providing or attempting to provide or offering.to provide any kickback; or (2) Soliciting, accepting, or attempting to accept any kickback; or (3) Including, directly or indirectly the amount of any kickback in the contract price charged by the prime Contractor to the United States or in the contract price charged by a subcontractor to a prime Contractor or a higher tier subcontractor. (c)(1) The Contractor shall have in place and follow reasonable procedures designed to prevent and detect possible violations described in paragraph (b) of this clause in its own operations and direct business relationships. (2) When the Contractor has reasonable grounds to believe that a violation described in paragraph (b) of this clause may have occurred, the Contractor shall promptly report in writing the possible violation. Such reports shall be made to the inspector general of the contracting agency, the head of the contracting agency if the agency does not have an inspector general, or the Department of Justice. (3) The Contractor shall cooperate fully with any Federal agency investigating a possible violation described in paragraph (b) of this clause.

PAGE 32 RS-PER-88-365 Section 1 (4) Regardless of the contract tier at which a kickback was provided, accepted or charged under the contract in violation of paragraph (b) of this clause, the Contracting Officer may-- (i) Off set the amount of the kickback againist any monies owed by the United States under this contract and/or (ii) direct that the Contractor withhold from sums owed the subcontractor, the amount of kickback. The Contracting Officer may order that monies withheld 'under subdivision (c)(4)(ii) of this clause be paid over to the Government unless the Government has already offstt those monies under subdivision (c)(4)(1) of this clause. In the latter case, the contractor shall notify the Contracting Officer when monies are witheld. (5) The Contractor agrees to incorporate the substance of this clause, including this subparagraph (c)(5), in all subcontracts under this contract. (End of Clause) 1.3 ORDERING (FAR 52.216-18) (APR 1984) (a) Any supplies and services to be furnished under this contract shall be ordered by issuance of delivery orders by the individuals or activities designated in the Schedule. Such orders may be issued from the effective date of the contract through 30 days prior to the end of the effective period. (b) All delivery orders are subject to the terms and conditions of t.11 s contract. In the event of conflict between a delivery order and this contract, the contract shall control. (c) If mailed, a delivery order is considered "issued" when the Government deposits the order in the mail. Orders may be issued orally or by written telecommunications only if authorized in the Schedule. (End of Clause) I.4 DELIVERY-ORDER LIMITATIONS (FAR 52.216-19) (APR 1984) (a) Minimum order. When the Government requires supplies or services covered by this contract in an amount of less than the Government is not obligated to purchase, nor is the Contractor obligated to furnish, those supplies or services under the contract. (b) Maximum order. The Contractor is not obligated to honor-- (1) Any order for a single item in excess of (2) Any order for a combination of items in excess of (3) A series of orders from the same ordering office within

PAGE 33 RS-PER-88-365 Section I days that together call for quantities exceiding the limitation in subparagraph (1) or (2) above. (c) If this is a requirements contract (i.e., includes the Requirements clause at subsection 52.216-21 of the Federal Acquisition Regulation (FAR)), the Government is not required to order a part of any one requirement from the Contractor if that . requirement exceeds the maximum-order limitations in paragraph (b) above. (d) Notwithstanding paragraphs (b) and (c) above, the Contractor shall honor any order exceeding the maximum order limitations in paragraph (b), unless that order (or orders) is returned to the ordering office within days af ter issuance, with written notice stating the Contractor's intent not to ship the item (or items) called for and the reasons. Upon receiving this notice, the Government may acquire the supplies or services from another source. (End of Clause) I.5 INDEFINITE QUANTITY (FAR 52.216-22)(ApR1984) (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 specified in the Schedule are estimates only and are not purchased by this contract. (b) Delivery or performance shall be made only as authorized by orders issued in accordance with tha Ordering clause. The Contractor shall furnish to the Government, when and if ordered, the supplies or services specified in the 5:hedule 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 Delivery-Order Limitations clause or in the Schedule, there is no limit on the number of orders that may be issued. The Government may issue orders requiring delivery to multiple 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 contract shall govern the Contractor's and Government's rights 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 one months beyond the effective period of the contract. (End of Clause)

PAGE 34 RS-PER-88-365 Section I I.6 OPTION TO EXTEND THE TERM OF THE CONTRACT--SERVICES (FAR 52.217-9) ( APR 1984) (a) The Government may extend the term of this contract by written notice to the Contractor within the time specified in the Schedule; provided, that the Government shall give the Contractor a preliminary written notice of its intent to extend at least 60 days ,before the contract expires. The preliminary notice does not commit the Government to an extension. (b) If the Government exercises this option, the extended contract shall be considered to include this option provision. (c) The total duration of this contract, including the exercise of any options under this clause, shall not exceed 3 years. (End of Clause)

PAGE 35 RS-PER-88-365 Section J PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS i SECTION J - LIST OF ATTACHMENTS i I J.1 ATTACHMENTS (MAR 1987) Attachment Number Title i i 1 NRC Contractor Organizational Conflicts s? Interest (41 CFR Part 20) 2 Billing Instructions 3 NRC Manual Chapter 3202 4 Standard Form 1411 with Instructions i i I l _ _. _.. _ - _ _ _ _. ~,., _ _ _. _

PAGE 36 RS-PER-88-365 Section K a PART IV - REPRESENTATIONS AND INSTRUCTIONS SECTION K - REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFER 0RS K.I CERTIFICATE OF INDEPENDENT PRICE DETERMINATION (FAR 52.203-2) (APR 1985) (a) The offeror certifies that-- (I) The prices in this offer have been arrived at independently, without, for the purpose of restricting competition, any consultation, communication, or agreement with any other offeror or competitor relating to (i) those prices, (ii) the intention to submit an offer, or (iii) the methods or factors used to calculate the prices offered; (2) The prices in this offer have not been and will not be knowingly disclosed by the offeror, directly or indirectly, to any other offeror or competitor before bid opening (in the case of a sealed bid solicitation) or contract award (in the case of a negotiated solicitation) unless otherwise required by law; and (3) No attempt has been made or will be made by the offeror to i induce any other concern to submit or not to submit an offtr for the purpose of restricting competition. (b) Each signature on the offer is considered to be a certification by the signatory that the signatory-- (1) Is the person in the offeror's organization responsible for determining the prices being offered in this bid or proposal, and that the signatory has not participated and will not participate in any action contrary to subparagraphs (a)(1) through (a)(3) above; or (2) (i) Has been authorized, in writing, to act as agent for the following principals in certifying that those principais have not participated, and will not participate in any action contrary to subparagraphs (a)(1) through (a)(3) above (Insert full name of person (s) in the offeror's organization responsible for determining the prices offered in the bid or proposal, and the title of his or her position in the offeror's organization); l

PAGE 37 RS-PER-88-365 Section K (ii) As an authorized agent, does certify that the principals named in subdivision (b)(2)(1) above have not participated, and will not participate, in any action contrary to subparagraphs (a)(1) through (a)(3) above; and (iii) As an agent, has not personally participated, and will ,not participate, in any action contrary to subparagraphs (a)(1) through (a)(3) above. (c) If the offeror deletes or modifies subparagraph (a)(2) above, the offeror must furnish with its offer a signed statement setting forth in detail the circumstances of the disclosure. (End of Provision) K.2 CONTINGENT FEE REPRESENTATION AND AGREEMENT (FAR 52.203-4) (APR 1984) (a) Representation. The offeror represents that, except for full-time bona fide employees working solely for the offeror, the offeror-- (Note The of feror must check the appropriate boxes. For interpretation of the representation, including the term "bona fide employee," see Subpart 3.4 of the Federal Acquisition Regulation.) l l (1) ( ) has, ( ) has not employed or retained any person or f company to solicit or obtain this contract; and (2) ( ) has, ( ) has not paid or agreed to pay to any person or company employed or retained to solicit or obtain this contract any commission, percentage, brokerage, or other fee contingent upon or resulting from the award of this contract. (b) Agreement. The offeror agrees to provide informaticn relating to the above Representation as requested by the Contracting Of ficer and, when subparagraph (a)(1) or (a)(2) is answered affirmatively, to promptly submit to the Contracting Officer-- j (1) A completed Standard Form 119, Statement of Contingent or Other Fees, (SF 119); or i (2) A signed statement indicating that the SF 119 was previously submitted to the same contracting office, including the date and applicable solicitation or contract number, and representing that the prior SF 119 applies to this offer or quotation. (End of Provision)

PAGE 38 RS-PER-88-365 Section K K.3 TYPE OF BUSINESS ORGANIZATION (FAR 52.215-6) (JUL Ic87) The offeror or quoter, by checking the applicable box, represents that-- (a) It operates as ( ) a corporation incorporated under the laws of the State of , ( ) an individual, ( ) a

partnership, ( ) a nonprofit organization, or ( ) a joint venture; or (b) If the offeror or quoter is a foreign entity, it operates as

( ) an individual, ( ) a partnership, ( ) a nonprofit organization, ( ) a joint venture, or ( ) a corporation, registered for business in (country). (End of Provision) K.4 AUTHORIZED NEGOTIATORS (FAR 52.215-11) (APR 1980 The offeror or quoter represents that the following persons are authorized to negotiate on its behalf with the Government in connection with this request for proposals or quotations: (list names, titles, and telephone numbers of the authorized negotiators). (End of Provision) K.5 SMALL BUSINESS CONCERN REPRESENTATION (FAR 52.219-1) (MAY 1985) The offeror represents and certifies as part of its offer that it ( ) is, ( ) is not a small business concern and that ( ) all, ( ) not all end items to be furnished will be manufactured or produced by a small business concern in the United States, its territories or possessions, Puerto Rico, or the Trust Territory of the Pacific Islands. "Small business concern," as used in this provision, means a concern, including its affiliates, that is independently owned and operated, not dominant in the field of operation in which it is bidding on Government contracts, and qualified as a small business under the size standards in this solicitation. (End of Provision) K.6 SMALL DISADVANTAGED BUSINESS CONCERN REPRESENTATION (FAR 52.219-2) (APR 1984) (a) Representation. The offeror represents that it ( ) is, ( ) is not a small disadvantaged business concern. 1 (b) Definitions. j

PAGE 39 RS-PER 88-365 Section K "Asian-Indian American," as used in this provision, means a United States citizen whose origins are in India, Pakistan, or Bangladesh. "Asian-Pacific American," as used in this provision, means a United States citizen whose origins are in Japan, China, the Philippines, Vietnam, Korea, Samoa, Guam, the U.S. Trust Territory of the Pacific Islands, the Northern Mariana Islands, Laos, Cambodia, or Taiwan. "Native Americans," at used in this provision, means American Indians, Eskimos, Aleuts, and native Hawaiians. "Small business concern," as used in this provision, means a conct.rn, including its affilistes, that is independently owned and operated, not dominant in the field of operation in which it is biiding on Government contracts, and qualified as a small business under the criteria and size standards in 13 CFR 121. "Small disadvantaged business concern," as used in this provision, means a small business concern that (1) is at least 51 percent owned by one or more individuals who are both socially and economically disadvantaged, or a publicly owned business having at least 51 percent of its stock owned by one or more socially and economically disadvantaged individuals and (2 business controlled by one or mor)e such individuals.has its management and daily (c) Qualified groups. The offeror shall presume that socially and economically disadvantaged individuals include Black Americans, Hispanic Americans, t.'ative Americans, Asian-Pacific Americans, Asian-Indian Americans, and other individuals found to be qualified by the SBA under 13 CFR 124.1. (End of Provision) K.7 WOMEN-0WNED SMALL BUSINESS REPRESENTATION (FAR 52.?19-3) (APR 1984) (a) Representation. The offeror represents that it ( ) is, ( ) is not a women-owned small business concern. (b) Definition * "Small business concern," as used in this provision, means a concern, including its affiliates, that is independently owned and operated, not dominate in the field of operation in which it is bidding on Government contracts, and qualified as a small business under the criteria and size standards in 13 CFR 121. "Women-owned," as used in this provision, means a small business that is at least 51 percent owned by a woman or women who are U.S. citizens and who also control and operate the business. (End of Provision) a i i

PAGE 40 RS-PER-88-365 Section K K.8 PREFERENCE FOR LABOR SURPLUS AREA CONCERNS (FAR 52.220-1) (APR 1984) (a) This acquisition is not a set aside for labor surplus area (LSA) concerns. However, the offeror's status as such a concern may. affect (1) entitlement to award in case of tie offers or (2) offer evaluation in accordance with the Buy American Act clause of this

solicitation.

In order to determine whether the offeror is entitled to a preference under (1) or (2) above, the offeror must identify, below, the LSA in which the costs to be incurred on account of manufacturing or production (by the offeror or the first-tier subcontractors) amount to more than 50 percent of the contract price. (b) Failure to identify the locations as specified above will preclude consideration of the offeror as an LSA concern. If the offerot is awarded a contract as an LSA concern and would not have otherwise qualified for award, the offeror shall perform the contract or cause the contract to be performed in accordance with the obligations of an LSA concern. (End of Provision) K.9 CERTIFICATION OF NONSEGREGATED FACILITIES (FAR 52.22?-21) (AFR 1984) (a) "Segregated facilities," as used in this provision, means any waiting rooms, work areas, rest rooms and wash rooms, restaurants and other eating areas, time clocks, locker rooms and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees, that are segregated by explicit directive or are in fact segregated on the basis of race, color, religion, or national origin because of habit, local custom, or otherwise. (b) By the submission of this offer, the offeror certifies that it does not and will not maintain or provide for its employees any segregated facilities at any of its establishments, and that it does not and will not permit its employees to perform their services at any location under its control where segregated facilities are maintained. The offeror agrees that a breach of this certification is a violation of the Equal Opportunity clause in the contract. (c) The offeror further agrees that (excel' where it has obtained identical certifications from proposed subcu. tractors for specific time periods) it will-- (1) Obtain identical certifications from proposed subcontractors before the award of subcontracts under which the subcontractor will l

PAGE 41 RS-PER-88-365 Section K be subject to the Equal Opportunity clause; (2) Retain the certifications in the files; and (3) Forward the following notice to the proposed subcontractors (except if the proposed subcontractors have submitted identical certifications for specific time periods): NOTICE TO PROSPECTIVE SUBCONTRACTORS OF REQUIREMENT FOR CERTIFICATIONS OF NONSEGREGATED FACILITIES A Certification of Nonsegregated Facilities must be submitted s before the award of a subco;; tract under which the subcontractor will be subject to the Equal Opportunity clause. The certification may be submitted either for each subcontract or for all subcontracts. i during a period (i.e., quarterly, semiannually, or annually). NOTE: The penalty for making false statements in offers is prescribed in 18 U.S.C. 1001. (End of Provision) K.10 PREVIOUS CONTRACTS AND COMPLIANCE REFORTS (FAR 52.222-22) (APR 1984) The offeror represents that-- (a) It ( ) has, ( ) has not participated in a previous contract or subcontract subject either to the Equal Opportunity clause of this solicitation, the clause originally contained in Section 310 of Executive Order No. 10925, or the clause contained in Sectior 201 of Executive Order No.11114; (b) It ( ) has, ( ) has not filed all required compliance reports; and (c) Representations indicating submission of required compliance reports, signed by proposed subcontractors, will be obtained before subcontract awards. (End of Provision) K.11 AFFIRMATIVE ACTION COMPLIANCE (FAR 52.222-25) (APR 1984) t The offeror represents that-- (a) It ( ) has developed and has on file, ( ) has not developed and does not have on file, at each establishment, affirmative action programs required by the rules and regulations of the Secretary of Labor (41 CFR 60-1 and 60-2), or (b) It ( ) has not previously had contracts subject to the written affirmative action programs requirement of the rules and regulations of the Secretary of Labor. i

PAGE 42 RS-pER-82-365 Section K (End of Provision) K 12 ORGANIZATIONAL CONFLICTS OF INTEREST (MAR 1987) I represent to the best of my knowledge and belief that: The award to of a contract or the modification of an existing contract does / / or does not / / involve situations or relationships of the type set forth'in 41 CFR 20-1.5403(b)(1). Instructions to offerors. The following shall be included in all NRC solicitations: (1) If the representation as completed indicates that situations or relationships of the type set forth in 41 CFR 20-1.5403(b)(1) are involved or the Contracting Officer otherwise determines that potential organizational conflicts exist, the offeror shall provide a statement in writing which describes in a concise manner all relevant factors bearing on his representation to the Contracting Officer. If the Contracting Officer determines that organizational conflicts exist, the following actions may be taken: (i) Impose appropriate conditions which avoid such conflicts, (ii) Disqualify the offeror, or (iii) Determine that it is otherwise in the best interest of the Unitej States to seek award of the contract under the waiver provisions of 20-1.5411. (2) The refusal to provide the representation required by 20-1.5404(b) or upon request of the Contracting Officer the facts required by 20-1.5404(c), shall result in disqualification of the offeror for award. The nondisclosure or misrepresentation of any relevant interest may also result in the disqualification of the offeror for award; or if such nondisclosure or misrepresentation is discovered af ter award, the resulting contract may be terminated. The offeror may also be disqualified from subsequent related NRC contracts and be suoject to such other remedial actions provided by law or the resulting contract. The offeror may, because of actual or potential organizational conflicts of interest, propose to exclude specific kinds of work from the statements of work contained in an RFP unless the RFP specifically prohibits such exclusion. Any such proposed exclusion by an offeror will be considered by the NRC in the evaluation of proposals. If the NRC considers the proposed excluded work to be an essential or integral part of the required work and its exclusion would work to the detriment of the competitive posture of the other offerors, the proposal must be rejected as unacceptable. The offeror's failure to execute the representation required t

-j l PAGE 43 RS-PER-88-365 ..Section X j l by subsection (b) above with respect to invitation for bids wi,11 be 4 considered to be a minor informality, and the offeror will be permitted to correct the omission, a el (End of Provision) 1 I s i i l i l i 4 I I \\ l 4 4 q 1 'l ) ,i i l i _. _. _,., _, _ _ _ _ _ _.. _,, -.,. _ _ _..,.. _. _. _. _ _ _.. ~..

PAGE 44 RS-PER-88-365 Section L-SECTION L - INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFER 0R$ l L.1 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE (FAR 52.252-1) (APR 1984) This solicitation incorporates the following provisions by reference. These provisions have the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) SOLICITATION PROVISIONS PROVISION NUMBER DATE TITLE 52.215-5 JUL 1967 SOLICITATION DEFINITIONS 52.215-7 APR 1984 UNNECESSARILY ELABORATE PROPOSALS OR OVOTATIONS 52.215-8 APR 1984 ACKNOVLEDGEMENT OF AMENDMENTS TO SOLICITATIONS 52.215 9 APR 1984 SUBMISSION OF OFFERS 52.215-10 APR 1984 LATE SUBMISSIONS, MODIFICATIONS, AND WITHORAWALS OF PROPOSALS 52.215-12 APR 1984 RESTRICTION ON DISCLOSURE AND USE OF DATA 52.215-13 APR 1984 PREPARATION OF OFFERS 52.215-14 APR 1984 EXPLANATION TO PROSPECTIVE OFFER 0RS 52.215-15 APR 1984 FAILURE TO SUBMIT OFFER I 52.215-16 APR 1985 CONTRACT AWARD 52.232-13 APR 1984 NOTICE OF PROGRESS PAYMENTS f L.2 TYPE OF CONTRACT (FAR 52.216-1) (APR 1984) \\ The Government contemplates award of a firm fixed ' rice contract { p resulting from this solicitation. (End of Provision) d

PAGE 45 RS-PER-88-365 Section L L.3 SERVICE OF PROTEST (FAR 52.233-2) (JAN 1985) Protests, as defined in Section 33.101 of the Federal Acquisition Regulation, shall be served on the Contracting Officer by obtaining written and dated acknowledgement of receipt from: Ronald O. Thompson Hand-Carried Adc; ss: U.S. Nuclear Regulatory Commission Division of Contracts Mail Stop AR-2223 Washington, DC 20555 Mailing Address: All proposals should be addressed as indicated in Block 7, however, handcarried proposals (including Express Mail) must be delivered (End of Provision) L.4 ACCEPTANCE PERIOD (MAR 1987) Because of the time required by the Government to evaluate proposals and make an award, offerors are instructed to specify on the SF-33 a proposal acceptance period of not less than 90 days. (End of Provision) L. 5 SMALL BUSINESS SIZE STANDAD.D AND PRODUCT CLASSIFICATION (MAR 1987) ALTERNATE I (MAR 1987) The Standard Industrial Classification for the supplies / services described herein is 7389. The small business standard is average annual receipts of $3,500,000.00 over the pas't three (3) years. (End of Provision) L.6 AWARD NOTIFICATION AND COMMITMENT OF PUBLIC FUNDS (MAR 1987) All offerers will be notified of their selection or nonselection as soon as possible. Formal notification of 1 nonselection for unrestricted awards will not be made until a contract has been awarded. Pursuant to the requirements of Section 15.1001(b)(2) of the Federal Acquisition Regulation, preliminary notification will be provided prior to award for small business set-aside procurements. It is also brought to your attention that the Contracting Officer is the only individual who can legally commit the Government l I

PAGE 46 RS-PER-88-365 Section L (i.e., the NRC) to expenditure of public funds in connection with this procurement. This means that unless provided in a contract document or specifically authorized by the Contracting Officer, NRC technical personnel cannot issue contract modifications, give informal contractual commitments or otherwise bind, commit, or obligate the NRC contractually. Informal contractual commitments include such actions as: a. Encouraging a potential Contractor to incur costs prior to receiving a contract, b. Requesting or requiring a Contractor to make changes under a contract without fermal contract modifications, c. Encouraging a Contractor to incur cests' under a cost-reimbursable contract in excess of those costs contractually allowable, and d. Committing the Government to a-course of action with regard to a potential contract, contract change, claim, or dispute. (End of Provision) L.7 DISPOSITION.OF PROPOSALS (MAR 1987) After award of contract, one (1) copy of each unsuccessful proposal will be retained by NRC's Division of Contracts. Unless return of proposals is requested by the offeror Upon submission of proposal, all other copies will be destroyed. This request should appear in any cover letter accompanying the proposal. (End of Provision) I L.8 NONDISCRIMINATION BECAUSE OF AGE (FAR 22.901) (MAR 1987) It is the policy of the Executive Branch of the Government that (a) Contractors and Subcontractors engaged in the performance of Federal contracts shall not, in connection with the employment, advancement, or discharge of employees or in connection with the terms, conditions, or privileges of their employment, discriminate against persons because of their age except upon the basis of a bonafide occupational qualification, retirement plan, or statutory requirement, ard (b) that Contractors and Subcontractors, or persons acting on their behalf, shall not specify, in solicitations or advertisements for employees to work on Government contracts, a maximun age limit for such employment unless the specified maximum age limit is based upon a bonafide occupational qualification, retirement plan, or statutory requirement. (End of Provision)

PAGE 47 i RS-PER-88-365 Section L L.9 DATA UNIVERSAL NUMBERING SYSTEM (DUNS) NUMBER (MAR 1987) d All offerors are requested to provide their DUNS number code in the box marked "code" in item 15A of SF 33. In the event the code is unknown, enter "N.A.". (End of Provision) e P i l l l I 1

PAGE 48 RS-PER-88-365 Section M SECTION M - EVALVATION FACTORS FOR AWARD s M.1 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE (FAR 52.252-1)(APR1984) This solicitation incorporates the following provisions by reference. These provisions have the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) SOLICITATION PROVISIONS PROVISION NUMBER DATE TITLE None by reference M.2 EVALUATION OF OPTIONS (FAR 52.217-5) ( APR 1984) (a) The Government will evaluate offers for award purposes by adding the total price for all options to the total price for the basic requirement. Evaluation of options will not obligate the Government to exercise the option (s). (b) The Government may reject an offer as nonresponsive if it is materially unbalanced as to prices for the basic requirement and the option quantities. An offer is unbalanced when it is based on prices significantly less than cost for some work and prices which are significantly overstated for other work. (End of Provision) M.3 CONTRACT AWARD AND EVALUATION OF PROPOSALS. (MAR 1987) a. By use of numerical and narrative scoring techniques, proposals will be evaluated against the evaluation factors specified in the paragraph below. These factors are listed in their relative order of impot tance. Award will be made to the offeror (1) whose proposal is technically acceptable and (2) whose technical / cost relationship is most advantageous to the Government; and who is i considered to be responsible within the meaning of Federal acquisition kegulation Part 9.1. 1

PAGE 49 RS-PER-88-365 Section M b. Although cost will be a factor in the evaluation of proposals, technical merit in the evaluation criteria set forth below will be a more significant factor in the selection of a Contractor. Further, to be selected for an award, the proposed cost must be realistic and reasonable, c. The Government may: 1). Reject any or all offers if such action is in the public interest. 2). Accept other than the lowest offer. 3). Waive informalities and minor irregularitiet in offers

received, d.

The Government may award a contract on the basis of initial offers received, without discussions. Therefore, each initial offer should contain the offeror's best terms from a cost or price and technical standpoint. A separate cost analysis will be performed on each cos'. e. proposal. To provide a common base for evaluation of cost proposals, the level of effort data shall be expressed in staff

hours, f.

In making the above determinatien, an analysis will be performed taking into consideration the results of the technical evaluation, cost analysis, and ability to complete the work within the Govenrment's required schedule. (End of Provision) M.4 EVAL.UATION CRITERIA (MAR 1987) The following criteria and weight factors will be used to evaluate the technical preposals submitted by offerors. WEIGHT (Based on 100 Points) A. Qualifications of Contractor Personnel 75 1. Knowledge of the subject matter (based, in part, on formal training and education and specific work experiences identified and described. Knowledge of the full range of (25) a. nuclear regulatory policies and administrative law, b. Knowledge of the NRC's functional (15) offices and the purposes behind the NRC's functional organizational y - -+ w-,-- ru m-y-

PAGE 50 RS-PER-88-365 Section M structure. 2. Training experience (based, in part, on on resumes, specific jobs (identified and described), and references, a. Quantity and quality of directly (15) related teaching experience as an instructor of adult professionals. (Experience must include teaching regulatory information to Government employees.) b. Demonstrated experience in assimilating (20) new rubject matter and developing a customized program of instruction, ine'auding training objectives, student exorcises, course materials, and visually supported classroom presentation. B. Project Management 15 Adequacy and completeness of management proposal for quality assurance, scheduling and problem resolution to assure delivery and approval of all services required in the Statement of Work. C. Technical Approach 5 Adequacy and completeness of the technical approach (methods used to develop training, enhance learning, produce and reproduce materials) demon ~strating understanding of the responsiveness to the Statement of Work. O. Experience of the Offeror's Firm 5 Demonstrated past experience of the firm in providing similar services to other Government agencies and commercial firms. (End of Provision) i e.__,

', t ? 1 1 PART 20-1 -- GENERAL l Subpart 20-1.54--Contractor Organizational Conflicts of Interest Sec. I 20-1.5401 Scope and policy. 20-1.5402 De.fini tions, i

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

20-1.5404 Representation. 20-1.5405 Contract clauses. 20-1.5405-1 General contract clause. 20-1.5405-2 Special contract provisions. 20-1.5406 Evaluation, findings, and contract award. 20-1.5407 Conflicts identified after award. 20-1.5408 (Reserved) 1 20-1.5409 (Reserved) 20 1.5410 Subcontractors. 20-1.5411 Waiver. 20-1.5412 Remedies. AUTHORITY: Sec. 8, Pub. L. 95-601, adding Sec.170A to Pub. L. 83-703.-68 Stat. 919, as amended (42 U.S.C. ch. 14) 120-1.5401 Secpe and Policy (NRC)(a) It is the policy of the U.S. Nuclear Regulatory Comissionto avoij, of interest. The NRC achieves this objective by requiring all prospective contractors te submit infomation describing relatic-ships, if any, with organizatiers or persons (including those regulatec ey NRC) which may give rise to actual or potential conflicts of interest in the event of contract award. (b) Contractor conflict of interest deterininations cannot be made automatically or routinely; the application of sound judgment on virtually a case-by-case basis is necessary if the policy is to be applied so as to satisfy the overall public interest. It is not possible to prescribe in advance a specific method or set of criteria which would serve to identify and resolve all of the contractor conflict of interest situations which might arise; however, examples are provided in these regulations to guide application of the policy. NRC contracting and program officials must be alert to other situations which may warrant application of this policy guidance. The ultimate test is: Might the contractor, if awarded the coniract, be placed in a position where its judgment may be biased, or where it may have an unfair competitive advantage? (c) The conflict of interest rule contained in this subpart applies ter contractors and offerers only. Individuals or fims who have other relationships with NRC (e.g., parties to a licensing proceeding) are not ccvered by this regulatica. This rule does not apply to the acquisition j of consulting services through the personnel appointment process. NRC -1

7590-01 agreements with other government agencies, international organizations, or state, local or foreign governments; separate procedures for avoiding conflicts of interest will be employed in such agreements, as appropriate. 120-1.5402 Definitions (a) "Organizational conflicts of interest" means that a relationship exists whereby a contractor or prospective contractor has present or planned interests related to the work to be performed under an NRC contract which: (1) May diminish its capacity to give impartial, technically sound, objective assistance and advice or may otherwise result in a biased work product, or (2) may result in its being given an unfair competitive advantage. (b) "Research" means any scientific or technical work involving theoretical analysis, exploration, or experimentation. (c) ' Evaluation activities" means any effort involving the appraisal of a technology, process, product, or policy. (d) "Technical consulting and management support services" means internal assistance to a component of the NRC in the formulation or acministration of its programs, projects, or policies which nonnally require the contractor to be given access to information which has not been made available to the public or proprietary information. Such services typically include assistance in the preparation of program plans; and preparation of preliminary designs, specificattorJ: or statements of work. (e) "Contract" means any contract, agreement, or other arrangement with the NRC except as provided in Section 20-1. 5401 ( c ). (f) "Contractor" means any person, firm, unincorporated asso:iation, joint venture, co-sponsor, partnership, corporation, affiliates thereof, or their successors in interest, ichdng sneir chief executives, directors, key personnel (identified in the contract), proposed consultants or subcontractors, which is a party to a contract with the NRC. (g) "Affiliates" means business concerns which are affiliates of each other when either directly or indirectly one concern or individual controls or has the power to control another, or when a third party controls or has the power to control both (41 CFR I1-1.606-1(e)). (h) "Subcontractor" means any subcontractor of any tier which performs work under a contract with tne NRC except subcontracts for supplies and subcontracts in amounts cf $10,000 or less. l (i) "prospective contractor" or "offeror" means any person, firm, unincorporated association, joint venture, partnership, corporation, or j affiliates thereof, including its chief executive, directors, key personnel i (icentified in the proposal), prooosed consultants, or subcontractors, l submitting a bid or proposal, V Atted or unsolicited, to the NRC to obtain a contract. -2 t

I 4 i 7590-01 f (j) "Potential conflict of interest" means that a factual situation j exists that suggests (indicates) that an actual conflict of interest may l arise from award of a proposed contract. The tem "potential conflict t of interest" is used to signify those situations which merit investigation prior to contract award in order to ascertain whether award would give rise to an actual conflict or which must be reported to the contracting officer for investigation if they arise during contract perfomance. J I 20-1.5403 Criteria for recognizing contractor organizational conflicts of interest (a) General. Two questions will be asked in determining whether actual or potential organizational conflicts of interest exist: (1) Are j there conflicting roles which might bias a contractor's judgment in relation to its work for the NRC7 (2) May the contractor be given an unfair competitive advantage based on the performance of the contract? The ultimate determination by NRC as to whether organizational conflicts i of interest exist will be made in light of comnon sense and good business judgment based upon the relevant facts disclosed and the work to be perfonned. While it is difficult to identify and to prescribe in advance a specific method for avoiding all of the various situations or relationship which might involve potential organizational conflicts of interest, NRC personnel will pay particular attention to proposed contractual requirements which call for the rendering of advice, consultation or evaluation activities, or similar activities that lay direct groundwork for the NRC's decisions on regulatory activities, future procurements, and research programs. (b) Situations or relationships which may give rise to organizational (1) The offeror or contractor shall disclose conflicts of interest. infonnation concerning relationships which may give rise to organizational conflicts of interect under the following circumstances: (i) Where the offeror or contractor provides advice and recomendation: to the NRC in a technical area in which it is also providing consulting assistance in the same arec to any organization regulated by the NRC. (ii) Where the offeror or contractor provides advice to the NRC on the same or similar matter in which it is also providing assistance to any organization regulated by the NRC. (iii) Where the offeror or contractor evaluates its own products or services, or the products or services of another entity where the offeror or contr6ctor has been substantially involved in their development or marketing. (iv) Where the award of a contract would otherwise result in placing the offerer or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC or may otherwise result in an unf air competitive advantage for the offeror or centractor.,

l 7590-01 l (2) The contracting officer may request specific information from an offeror or contractor or may require special contract provisions such as provided in 120-1.5405-2 in the following circumstances: (1) Where the offeror or contractor prepares specifications which are to be used in competitive procurements of products or services covered by such specifications. (ii) Where the offeror or contractor prepares plans for specific approaches or methodologies that are to be incorporated into competitive procurements using such approaches or methodologies. (iii) Where the offeror or contractor is granted access to information not available to the public concerning NRC plans, policies, or programs which could form the basis for a later procurement action. (iv) Where the offeror or contractor is granted access to proprietary information of its competitors. (v) Where the award of a contract might otherwise result in placing the offeror or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC or may otherwise result in an unfair competitive advantage for the offeror or contractor. (c) Policy application guidance. The following examples are illustrative only and are not intended to identify and resolve all contractor organizational conflict of interest situations. (1) Example. The XYZ Corp., in response to a request for proposal (RFP), proposes to undertake certain analyses of a reactor component as called for in the RFP, The XYZ Corp. is one of several companies considered to be technically well qualified. In response to the inquiry in the RFP, the XYZ Corp. advises that it is currently performing similar analyses for the reactor manufacturer. Guidance. An NRC contract for that particular work norpully would not be awarded to the XYZ Corp. because it would be placed in a position in which its judgment could be biased in relationship to its work for NRC. Since there are other well-qualified companies available, there would be no reason for considering a waiver of the policy. (2) Example. The ABC Corp., in response to a RFP, proposes to perform certain analyses of a reactor component which are unique to one type of advanced reactor. As is the case with other technically qualified companies responding to the RFP, the ABC Corp is performing various projects for several different utility clients. None of the ABC Corp. projects have any relationship to the work called for in the RFP. Based on the NRC evaluation, the ABC Corp. is considered to be the best qualified company to perform the work outlined in the RFP. 4 e y

7590-01 i Guidance. An NRC cor. tract normally could be awarded to the ABC Corp. because no conflict of interest exists which would motivate bias with respect to the work. An appropriate clause would be included in the contract to preclude the ABC Corp. from subsequently contracting for work during the performance of the NRC contract with the private sector which could create a conflict. For example, ABC Corp, would be precluded from the perfomance of similar work for the company developing the advanced reactor mentioned in the example. (3) Example. As a result of cperating problems in a certain type of comercial nuclear facility, it is imperative that NRC secure specific data on various. operational aspects of that type of plant so as to assure adequate safety protection of the public. Only one manufacturer has extensive experience with that type of plant. Consequently, that company is the only one with whom NRC can contract which can develop and conduct the testing programs required to obtain the data in reasonable time. That compcny has a definite interest in any NRC decisions that might result from the data produced because those decitions affect the reactor's design and thus the company's costs. Guidance. This situation would place the manufacturer in a role in which its judgment could be biased in relationship to its work for NRC. Since the nature of the work required is vitally important in tems of NRC's responsibilities and no reasonable alternative exists, a waiver of the policy may be warranted. Any such waiver shall be fully documented and coordinated in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms to guard against bias. (4) Example. The ABC Co. submits a proposa'l for a new system for evaluating a specific reactor component's performance for the purpose of developing standards that are important to the NRC program. The ABC Co. has advised NRC that it intends to sell the new system to industry once its practicability has been demonstrated. Other companies in this business are using older systems for evaluation of the specific reactor component. Guidance. A contract could be awarded to the ABC Co. provided that the contract stipulates that no information produced under the contract will be used in the contractor's private activities unless such information has been reported to NRC. Information which is reported to NRC by contractor s will nomally be disseminated by NRC to others so as to preclude an unfair competitive advantage that might otherwise accrue. When NRC furnishes information to the contractor for the perfonnance of contract work, it shall not be used in the contractor's private activities unless such infomation is generally available to others. Further, the contract will stipulate that the contractor will infom the NRC contracting officer of all situations in which the infonnation developed under the contract is proposed to be used. 5-4

7590-01 (5) Example. The ABC Corp., in response to a RFP proposes to assemble a map showing certain seismological features of the Appalachian fold belt. In accordance with the representation in the RFP and 120-1.5403(b)(1)(1), ABC Corp. infoms the NRC that it is presently doing seismolog'ical studies for several utilities in the Eastern United States but none of the sites are within the geographic area contemplated by the NRC study. Guidance. The contracting officer would nomally conclude that award of a contract would not place ABC Corp. in a conflicting role where its judgment might be biased. The work for others clause of 120-1.5405-1(c) would preclude ABC Corp. from accepting work during the tem of the NRC contract which could create a conflict of interest. (d) Other considerations. (1) The fact that the NRC can identify i and later avoid, climinate, or neutralize any potential organizational conflicts arising from the performance of a contract is not relevant to a detamination of the existence of such conflicts prior to the award of a contract. (2) It is not relevant that the contractor has the professional reputation of being able to resist temptations which arise from organizational confl.icts of interest, or that a follow-on procurement is not involved, or that a contract is awarded on a competitive or a sole source basis. 120-1.5404 Representa tion (a) The following procedures are designed to assist the NRC contracting officer in detemining whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a particular offeror or contractor. (b) Representation procedure. The following organizational conflicts of inteest representation provision shall be included in all solicitations and unsolicited proposals for: (1) Evaluation services or activities; (2) technical consulting and management support services; (3) research; aad (4) other contractual situations where special organizational conflicts of interest provisions are noted in the solicitation and would be included in tM resulting contract. This repres,entation requirement shall also apply to all modifications for additional effort under the contract except those issued under the "changes" clause. Where, however, a statement of the type required by the organizational conflicts of interest representation provision has previously been submitted with regard to the contract being modified, only an updating of such statement shall be required. l. - - * ' ~ "

"'-""*'^ '- """' ~~

75h001 L I ORGANIZATIONAL CONFLICTS OF tNTEREST REPRESENTATION I represent to the bes of my knowledge and belief that: The award to of a contract or the modification of an existing contract does ( ) or does not ( ) involve situations or relationships of the type set forth in 41 CFR'l20-1.5403(b)(1). (c) Instructions to offerors. The following shall be included in i all NRC solicitations: (1) If the representation as completed indicates that situations or relationships of the type set forth in 41 CFR 120-1.5403(b)(1) are involved, or the contracting officer otherwise detemines that potential organizaticaal conflicts exist, the offeror shall provide a statement in writing which describes in a concise manner all relevant facts bearing on his representation to the contracting officer. If the contracting officer deteminn that organizational (1) Impose appropriate conflicts exist, the following actions may)be taken: disqualify the offeror, or conditions which avoid such conflicts, (ii (iii) detemine that it is otherwise in the best interest of tne United StatM to seek award of the contract under the waiver provisions of I20-1.5411. (2) The refusal to provide the representation required by 520-1.5404(b) or upon request of the contracting officer the facts required by 120-1.5404(c), shall result in disqualification of the offeror for award. The nondisclosure or misrepresentation of any relevant interest may also result in the disqualification of the offeror for award; or if such nondisclosure or misrepresentation is discovered after award, the resulting contract may be teminated. The offerer may also be disqualified from subsequent related NRC contracts and be subject to such other remedial actions provided by law or the resulting contract. (d) The offeror may, because of actual or potential organizational conflicts of interest, propose to exclude specific kinds of work from the statements of work contained in a RFP unless the RFP specifically protibits such exclusion. Any such proposed exclusion by an offeror will be considered by the NRC in the evaluation of proposals. If the NRC considers the proposed excluded work to be an essential.or integral part of the required work and its exclusion would work to the detriment of the competitive posture of the other offerers, the proposal must be rejected as unacceptable. (e) The offeror's failure to execute the representation required by subsection (b) above with respect to invitation for bids will be considered to be a minor informality, and the offeror will be -pemitted to correct the omission, i 20-1.5405 Contract clauses i 20-1.5405-1 General contract clause 7

7590-01 All contracts of the types set forth ini 20-1.5404(b) shall include the following clauses: The primary (purpose of this clause is to aid in1) is not place (a) Purpose. ensuring that the contractor: because of current or planned interest (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and (2) does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract. (b) Scope. The restrictions described herein shall apply to perfomance or participation by the contractor as defined ir 41 CFR I 20-1.5402(f) in the actitities covered by this clause. (c) Work for others. Notwithstanding any other provision of this contract, during the term of this contract, the contractor agrees to forego entering into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being perfomed under this contract. The contractor shall ensure that all employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause. If the contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any fim or organization may involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting officer prior to execution of such contractual arrangement. (d) Disclosure af ter award. (1) The contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest, as defined in 41 CFR 120-1.5402(a). (2) The contractor agrees that if (f ter award it discovers organizational conflicts of interest with respect to this contract, it shall make an innediate and full disclosure in writing to the contracting officer. This statement shall include a description of the action which the contractor has taken or proposes to take to avoid or mitigat.e such conflicts. The NRC may, however, terminate the contract for convenience if it deems such temination to be in the best interests of the government. (e) Access to and use of information. (1) If the contractor in the perfomance of this. contract obtains access to infomation, such as NRC plar..; policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub t. 93-579), or data which has not been released to the public, the cohtractor agrees not to: (i) Use such information for any(private purpose until the infomation has been l released to the pub ic; ii) compete for work for the Comission based l l l l .n.

i 7590 01 i I on such information for a period of six (6) months after either the completion of this contract or the release of such information to the public, whichever is first, (iii) submit an unsolicited proposal to the i government based on such information until one year af ter the release of such information to the public, or (iv) release the information without l prior written approval by the contracting officer unless such information has previously been released to the public by the NRC.* (2) In addition, the contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L. 93-579), or other confidential or privileged I technical, business, or financial information under this contract, the contractor shall treat such information in accordance with restrictions l placed on use of the information. i (3) The contractor shall have,.swbject to patent and security provisions of this contract, the fight to use technical data it produces under this contract for private purposes provided that all requirements 1 of this contract have been met. l (f) Subcontracts. Except as provided in 41 CFR 120-1.5402(h), the l contractor shall include this clause, including this paragraph, in subcontracts of any tier. The torms "contract," "contractor," and "contracting of ficer,"*shall be appropriately modified to preserve the L government's rights. i (g) Remedies. For breach of any of the above proscriptions or for l intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous i representations as necessarily imply bad faith, the government may i terminate the contract for default, disqualify the contractor from i subsequent contractual efforts, and pursue other remedies as may be permitted by law or this contract. (h) Waiver. A request for waiver under this clause shall be directed in writing through the contracting officer to the Executive Director for Operations (EDO) in accordance with the procedures outlined ini20-1.5411. I20-1.5405-2 Special contract provisions. (a) If it is deternined from the nature of the proposed contract that organizational conflicts of intcrest exist, the contracting officer may determine that such conflict can be avoided or af ter obtaining a waiver in accordance with 320-1.5411, neutralized through the use of an appropriate special contract provision. If appropriate, the offeror may I negotiate tne tems and conditions of these clauses, including the extent anc time period of any such restriction. These provisions incluce but are not limited to: a 9

7590001 (1) Hardware exclusion clauses which prohibit the acceptance of procuction contracts following a related nonproduction contract previously performed by the contractor; (2) Software exclusion clauses; (3) Cltuses which require the contractor (and certain of his key perpennel) to avoid certain organizational conflicts of interest; and (4) Clauses which provide for protection of confidential data and guard against its unauthorized use. (b) The following additional contract clause may be included as section (i) in the clause set forth in1 20-1.5405-1 when it is determined that award of a follow-on contract would constitute an organizational conflict of interest. (i) Follow-on effort. (1) The contractor shall be ineligible to participate in NP.C contracts, subcontracts, or proposals therefor (solicited or unsolicited) which stem directly from the contractor's performance of work under this contract. Furthermore, unless so directed in writing by the contracting officer, the contractor shall not perfor n 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 oevelopment or marketing of such products or services. (2) If the contractor under this contract prepares a complete or essentially complete statement of work or specifications, the contractor shall be ineligible to perform or participate in the initial contractual effort which is based on such statement of work or specifications. The contractor shall not incorporate its products or services in such statement of work or specifications unless so directed in writing,by the contracting officer, in which case tne restriction in this subparagraph shall not apply. (3) Nothing in this caragraph shall preclude sne contractor from offering or selling its standarc comercial items to the government. 5.20-1.5406 Evaluation, findings, and contract award The contracting officer will evaluate all relevant facts submitted by an offeror pursuant to tne representation requirements of 120-1.5404(b) and other relevant inferination. After evaluar.ing this information agains't tne criteria of i 20-1.5403, a finding will be made by the contracting officer whether organizational conflicts of interest exist with respect to a particular offeror. If it nas oeen determined snat conflicts of interest exist, tnen tne contracting officer snali eitner: (a) Disqualify,tne offeror from award. 10 j

7590-01 (t) Avoid or eliminate such conflicts by appropriatt ressures; or (c) Award the contract uncer the waiver provision of i20-1.5411. 120 1.5407 Conflicts identified after award. If potential organizational conflicts of interest are identified af ter award with respect to a particular contractor, the contracting office determines that such conflicts do, in fact, exist and that it would rsot be in the best interests of the government to terminate the contract as previdee in the clauses required by 120-1.5405, the contracting officer will take every reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with 120-1.541), neutralize the effects of the icentified conflict. 520 1.5403 (Reserved) i 520 1.5409 (Reservec) 620-1.5410 Subcontracts i The centencting officer shall require offerers and contractors to submit a representation statement in accordance with 120-l.5404(b) from subcentractere and consultants. The contracting officer sna11 require the contractor to incluce contract clauses in accordance with i 20-1.5405 in consultant agreements or subcontracts involving performance of work under a prime contract covered by this subsection. i20-1.5411 Vaiver In the first instance, cetermination with respect to the need to seek a waiver for specific contract awards shall be rade by the contracting efficer with tne advice and concurrence of the program office director anc the Office of Executive Legal Director. Upon the recommendation of the contracting of ficer, and af ter consultation with the Office of the General Counsel, the EDO may waive the policy in specific cases if he determines that it is in the best interest of the United States to do so. ) Such action shall be strictly limited to those situations in which: (1) The work to be performed uncer contract is vital to the NRC program; (2) the work cannot be satisfactorily perforned except by a contractor wnose interests give rise to a question of conflict of interest; and (3) l contractual and/or technical review and supervision methods can be employec by NRC to neutralize the conflict. For any such waivers, the j justification and acproval cocuments shall be placed in the Public Document Room. I 7590001 l 620-1. 5412 Remedies l In addition to such other remedies as may be permitted by law or contract for a breach of the restrictions in this subpart or for any intentional misrepresentation or intentional nondisclosure of any rele,vant interest required *to be provided for this section, the NRC may debar the contractor from subsequent NRC contracts. I Dated at Washincton. 0, C thi s_27 th day of Mar:h 1979. For the Nuclear Re9ulatory Commission S. Ub k-Samuel . Chilt Secretary of the Comission 12 e -n-- n., ~.,, -,

e* I l (REVISED - 4/87) BILLING INSTRUCTIONS FOR FIXED PRICE CONTRACT 5 AhD PURCHA5E ORDER 5 , General. The contractor shall submit vouchers or invoices as prescribed herein. Form. Claims shall be submitted on the payee's letterhead, invoice or on the Iovernment's Standard Form 1034 "Public Voucher for Purchases and Services Other Than Personal," and Standard Form 1035 'Public Voucher for Purchases Order Other Than Personal -- Continuation Sheet." These forms are available from the Government Printing Office, 701 North Capitol Street, Washington, DC 20801. Number of Copies and Mailing Address. An original and six copies shall be submitted to hRC offices icentified below. Frequency. The contractor shall submit an invoice or voucher only after hRC's final acceptance for services rendered or products delivered in performance of the contract unless otherwise specified in the contract. Preparation and Itemization of the Voucher. The voucher shall be prepared in ink or typewriter (without strikeovers) and corrected or erasures must be initialized. It must include the following: (a) Payer's name and address. (1)Addresstheoriginalvoucher(with 4 copies) to: U.S. Nuclear Regulatory Commission, Division of Accounting and Finance. ATTN: GOV /COM Accounts Sections. Washington, DC 20555. (ii) Address 2 copies to: U.S. Nuclear Regulatory Commission, ATTN: E. L. Halman, Director. Division of Contracts Washington, DC 20555. (iii) The'ericinal copy of the voucher should indicate that (2) copies have been forwaroec to the Centracting Officer. (b) Voucher number. (c) Date of voucher. (d) Contr1ct number and date. (e) Payee's name and address. (Show the name of the contractor and its correct address, except when an assignment has been made by 4 the contractor or a different payee has been designated, then insert the name and address of the payee.) (f) Descriptier. cf articles or services, quantity, unit price, and total arount. i d a c y- --,---._,,y ,,r.-, - - _., .-.--,--,_.m , - - _ _ = _ - -. - _ - -, - - - - - -, - _ _ _ - - _ _ _. - - -

2 (g) Weight and zone of shipment, if shipped by parcel post. (h) Charges for freight or express shipments, and attached prepaid bill, if shipped by freight or express. ' (i) Instructions to consignee to notify Contacting Officer of receipt of shipment. (j) Final invoice marked: "FINAL INVOICE" Currency. Billings may be expressed in the currency normally used by the contractor in maintaining his accounting records and payments will be made in that currency. However, the U.S. dollar equivalent for all invoices paid under the contract may not exceed the total U.S. dollars authorized in the contract. f n.

i [ i I (REY!$ED-4/87) BILLING INSTRUCTIONS FOR FIXED PRICE CONTRACT 5 AhD FURCHASE ORDER 5 ) I . General. The contractor shall submit vouchers or invoices as prescribed

herein, j

Form. Claims shall be submitted on the payee's letterhead, invoice or on tTelovernment's Standard Form 1034 "Public Youcher for Purchases and Services Other Than Personal ' and Standard Form 1035 "Public Voucher for Purchases Order Other Than Personal -- Continuation Sheet." These forms are i available from the Government Printing Office, 701 North Capitc1 Street. l Washington, DC 20801. i Number of Copies and Mailing Address. An original and six copies shall be submitted to hRC offices ioentified below. ) Frequency. The contractor shall submit an invoice et voucher only after { hKC's final acceptance for services rendered or products delivered in performance of the contract unless otherwise specified in the contract. l Preparation and Item 124 tion of the Voucher. The voucher shall be prepared i in ink or typewriter (witnout strikeovers) and corrected or erasures must be initialized. It must include the following: \\ (a) Payer's name and address. (1) Address the original voucher (with 4 copies) to: U.S. Nuclear Regulatory Comission, Division of Accounting and Finance. ATTN: GOV /COM Accounts Sections, i Washington, DC 20555. (ii) Address 2 copies to: U.S. Nuclear Regulatory Comission, ATTN: E. L. Halman, Director, Division of Contracts. Washington, DC 20555. (iii) The*oricinal copy of the voucher should indicate that (2) copies have been forwarcea to the Contracting Officer. (b) Youcher number. (c) Date of voucher. ] (d) Contract number and date. (e) Payee's nacia and address. (Showthenameofthecontractorand its correct address, except when an assignment has been made by { the contractor or a different pavee has been designated, then insert the name and address of tim payee.) d (f) Descriptier. cf articles or services, quantity, unit price, and total amount. l l l

t i 2 (g) Weight and zone of shipment, if shipped by parcel post. (h) Charges for freight or express shipments, and attached prepaid bill, if shipped by freight or express. (i) Instructions to consignee to notify Contacting Officer of receipt of shipment. (j) Final invoice marked: "FINAL INVOICE" Currency. Billings may be expressed in the currency normally used by the contractor in maintainin; his accounting records and payments will be made in that currency. However, the U.S. dollar equivalent for all invoices paid under the contract may not exceed the total U.S. dollars authorized in the contract. )

I I (REVISED-4/87) BILLING INSTRUCTIONS FOR FIXED PRICE CONTRACTS AhD PURCHASE ORDER 5 . General. The contractor shall submit vouchers or invoices as prescribed herein. Form. Claims shall be submitted on the payee's letterhead, invoice or on the Government's Standard Fom 1034 "Public Voucher for Purchases and Services Other Than Personal," and Standard Form 1035 "Public Voucher for Purchases Order Other Than Personal -- Continuation Sheet." These forms are available from the Governrient Printing Office, 701 North Capitol Street, Washington, DC 20801. h per of Copies and Mailing Address. An original and six copies shall be submitted to NRC offices toentified below. Frequency. The contractor shall submit an invoice or voucher only after NRC's final acceptance for services rendered or products delivered in perfomance of the contract unless othemise specified in the contract. Preparation and Itemization of the Youcher. The voucher shall be prepared in ink or typewriter (without strikeovers) and corrected or erasures must be initialized. It must include the following: (a) Payor's name and address. (i) Address the original voucher (with 4 copies) to: U.S. Nuclear Regulatory Comission Division of Accounting and Finance, ATTN: 60V/COM Accounts Sections, Washington, DC 20555. (ii) Address 2 copies to: U.S. Nuclear regulatory Comission, ATTN: E. L. Halman, Director, Division of Contracts Washington, DC 20555 (iii) The* original copy of the ~ voucher should indicate that (2) copies have been fo mardeo to the contracting Officer. (b) Voucher number. (c) Date of voucher. (d) Contract number and date. (e) Payee's name and address. (Show the name of the contractor and its correct address, except when an assignment has been made by the contractor or a different payee has been designated, then insert the name and address of the payee.) (f) Descriptier. cf articles or services, quantity, unit price, and total amount. I

2 (g) Weight and zone of shipment, if shipped by parcel post. (h) Charges for freight or express shipments, and attached prepaid bill, if shipped by freight or express. (i) Instructions to consignee to notify Contacting Officer of receipt of shipment. (j) Final invoice marked: "FINAL INYOICE" Currency. Billings may be expressed in the currency normally used by the contractor in maintaining his accounting records and payments will be made in that currency. However, the U.S. dollar equivalent for all invoices paid under the contract may not exceed the total U.S. dollars authorized in the contract. 4 0 r-+r-

i l (REVISED-4/87) j BILLING INSTRUCTIONS FOR FIXED PRICE .CCNTRACT5 AhD PURCHASE ORDERS i . General. The contractor shall submit vouchers or invoices as prescribed herein. Form. Claims shall be submitted on the payee's letterhead, invoice or on the Government's Standard Form 1034 "Public Voucher for Purchases and Services Other Than Personal," and Standard Fom 1035 "Fublic Youcher for Purchases Order Other Than Personal -- Continuation Sheet." These forms are available from the Government Printing Office, 701 North Capitol Straet, Washington, DC 20801. Number of Copies and Mailing Address. An original and six copies shall be submitted to NRC offices identified below. Frequency. The contractor shall submit an invoice or voucher only after NRC's final acceptance for services rendered or products delivered in perfomance of the contract unless otherwise specified in the contract. Preoaration and Itemization o' the Voucher. The voucher shall be prepared in ink or typewriter (without strikeovers) and corrected or erasures must be initialized. It must include the following: (a) Payor's name and address. (i) Address the original voucher (with 4 copies) to: U.S. Nuclear Regulatory Comission, Division of Accounting and Finance, ATTN: 60V/COM Accounts Sections, Washington, DC 20555. (ii) Address 2 copies to: U.S. Nuclear r Regulatory Comission, ATTN: E. L. Nalman, Director Division of Contracts, Washington, DC 20555. (iii) The* original copy of the voucher should indicate that (2) copies have been forwarded to the Contracting Officer. (b) Voucher number. (c) Date of voucher. (d) Contract number and date. (e) Payee's name and address. (Show the name of the contractor Md its correct address, except when an assignment has been mad: by the contractor or a different payee has been designated, t'ien insert the name and address of the payee.) (f) Descriptier. cf articles or services, quantity, Unit price, and total amount. p--- 4g -,--_--.m 4,, m. -.,,e.w_,. ym.p. .,--.9.y-. _y9my--, y.

i l l 2 (g) Weight and zone of shipment, if shipped by parcel post. (h) Charges for freight or express shipments, and attached prepaid bill, if shipped by freight or express. (i) Instructions to consignee to notify Contacting Officer of receipt of shipment. (j) Final invoice marked: "FINAL INVOICE" Currency. Billings may be expressed in the currency normally used by the contractor in maintaining his accounting records and payments will be made in that currency. However, the U.S. dollar equivalent for all invoices paid under the contract may not exccad the total U.S. dollars authorized in the contract. l e e v --w --.g

ATTACHME!!T 3 Form NRC-489 (1 76) U. S. NUCLE AR REGULATORY COMMISSION NRC MANUAL TRANSMITTAL NOTICE CHAPIT.R NRC-3202 PUBLICATION OF 'IECKtHCAL REPORIS PREPARD BY NRC 03?TfRACIORS, INCWDItc RETORIS PREPARED UNER OR PURSUA*1T TO ItCERAGENCY AGREDD7rs SUPERSEDED: TRANSMITTED: Number Date Number Date TN 3200-21 Chapter NRC-32C2 4/29/82 Chapter NRC-3202 6/29/5e Page Page Appendix ___ EC-3202 U/29/02 Appendi, 2 0-3202 6/29/5-REM ARKS. This revision of Chapter 3202 expaMs the chapter f tm coverage of unclassified reports to include the rarkirs and handling of sensitive un:lassified irtematien (Official Use Only and Lir.ited Official Use Inferratien, Safeguards Inferration, P:tpnietary Infomatien) and classified irlerratien (Tc; Se:Nt, Secret, aM Ccnfider.tia2 } A section has alsc been added to set forth procedu.Ms f0r the handlinc cf unclassified rep:rts en NRC cooperative p:rgrams with foreir governrents and ersanizations and with U.S. irdustry. Wm m.

U.S. NUCLEAR REGULATORY COMMISSION NRC MANUAL Volume: 3000 Information and Foreign Activities Part : 3200 Technical-Information and Doctament Control ADM CHAPTER 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 3202-01 COVERAGE This chapter and its appendix handbook establish responsibilities, basi: requirements, standards and procedu res for the documentation, production and dissemination.of technical reports prepared by NRC consultants and grantees and by NRC contractors and their subcontractors, including reports prepared under or pursuant to interagency agreements or memorandums of understanding. These reports are hereafter referred to as contractor re-ports. This chapter does not cover NRC staff-gen erated. documen ts, NRC docket material, or the documents generated by NRC boards, panels, advisory committees and Office.s that report to the Commission. 3203-02 OBJECTIVES 021 to assure production and dissemination of technical reports as required by the Energy Reorganization Act of 1974 and the Freedom of Infor-mation Act, i 022 to assure that disseminatiori of technical reports is consistent with requirements for public availability of information. 023 tc assure that national security, patent rights, copyrights, proprie-tary rights and rights in other sensitive unclassified information are not compromised by the release, distribution, or dissemination of technical reports from NRC. 024 to assure that formal NRC contractor reports will carry the regis-tered NRC designation NUREG/CR or NUREG/CP as the prime identification. 025 to provide for coordination of press or other media releases. 3202-03 RESPONSIBILITIES AND AUTHORITIES 031 The Director, Office of Administration: a. develops and maintain s, in consultation with Directors of Offices and Divisions and Regional Administrators NRC standards, proce-dures and guides for the production and dissemination of technical contractor reports. Approved: Au gust 29, 1984

PUBLICATION OF TEC'HNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC.3202 032 UNDER OR PURSUANT TO INTERAGENCY _ AGREEMENTS b. periodically surveys report activities throughout NRC to ascertain i that the provisions of this chapter are adequate and are being implemented; makes any changes needed. 032 The Director, Division c.,f Technical Information and Document Control: a. develops and administers a central report control system for identi-f yin g, printing and distributing contractor reports and responding to requests for un:lassified reports. l b. develops and maintains guides and standards for the documentation. formatting, printing, dissemination, and public sale of unclasstfied l contractor reports, l c. assures that a system exists for review of unclassified contractor reports for adherence to patent, copyright and disclosure policies prior to dissemination. d. establishes and administers interagency agreements necessary for the dissemutation and public sale of unclassified contractor reports and contre;5 duplication and printing of contractor reports to assure adherence to the Goverr.me nt Printing and Binding Regulations issued by the Joint Committee on Printing (JCP). Congress of the Une.ed States. e in response to requests of Directors of Offices and Regional Adminisdrators, establishes distribution data banks, maintains official standard distribution lists for automatic distributien of unclassified contractor reports, and controls distribution to assure adherence to the Government Printing and Binding Regulations, the Privacy Act, and the Freedom of Information Act. C33 Directors of Offices and Regional Administrators: a. establish the contract or Standard Order for Work

p rovision s,

tncluding those required by this chapter and its appendix; Chapter NRC-3203, Distribution of Unclassified NRC Staff-and Contractor-Generated Documents and its appendix; Chapter NRC 0260, Print-in g, Copyin g, Graphics and Photography and its appendix; and Chapter NRC-1102, Procedures for Placement of Work with the Department of Energy. In the Statement of Work: (1) specify what reports will be reviewed for policy, management, and legal issues by NRC staff in draf t prior to printing and distribution. If the report is to be reviewed by NRC staff, give the conditions under which the contractor may publish documents in the event of unresolvable differences relative to the draf t, including the type of disclaimer to be used in addi-tion. to the standard government disclaimer (see Exhibit 6).

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

Approved : August 29, 1984 I l l e l

t e PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING P.EPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202 034. (2) provide for the' reviews necessary to inrure that the national secu rity, patent righ ts, copyrights, proprietary rights and rights in other sensitive unclassified inforination are not compromised by the release or dissemination of the reports. If DOE contractors are to be authorized to make the reviews. designate the contractor officials who are authorized to sign NRC Form 426A prior to NRC distribution of reports (see Appendix, Part IV). Assure that sensitive unclassified and classified reports are marked and handled properly (see Appendix, Part V). (3) specify that all formal reports carry NUREG/CR or NUREG/CP numbers as the prime identification, as illu stra ted in the appendix. (4' specify whether formal reports shall be printed by NRC or 'ne contractor if the contractor has a JCP-authorized federa: p rin t - ing plant (see Appendix, Parts 11 and IV). (5) specify that all formal reports required by NRC shad be i distributed by NRC. (6) establish the number of copies the contractor may retain or request fo r' internal and external distribution and charge again s t NRC. Writ t en justification must be p rovide d. and I approval obtained of the NRC JCP representative (the Director. Division of Technical Information and Document Contre!) when the number exceeds the 50 copies authorized by JCP fe r unclassified reports. (7) assure the protection of classified and sensitive unclassified in forma tion, if any, in contractor reports (see Appendix. Part V) 6. assure adherence to instructions and authorizations rega rdin g the reproduction and distribution of reports. recommend standard distribution category (fes) for contractor reports c. to the Division of Technical Information and Document Control d. provide changes to the official standard distribution lists to the Division of Technical Information and Document Control establish procedures for review of contractor's proposed press and e. other media releases. 034 The OfTice er the Executive Le;tal Direete provides legal and advice to NRC staff on questions regarding inventions, pstents, review proprietary information, use of copyrighted material, national security, and other sensitive unclassified and classified information. 035 The Director. Office of Public Affairs, upon request of the project manager, reviews proposed contractor's press or other media releases for appropriateness. Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC 320R-036 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 036 The Director, Division of Security: administers the overall in'for. nation security program which includes a. management of the security classification program and other pn> grams for the protection of sensitive unclassified information. b. advises staff of NRC Offices and Regions on the preparation and handling of reports containing classified, proprietary and other sen-sitive unclassified information. 037 The Director, Division of Contracts: a. coordinates the flow of all reports to and from contractors (other than DOE contractors) where such reports may result in alteratforts in the terms and conditions of applicable contracts as they pertain to report production and distribution, b. advises the contractor as to the source and method for obtaining reports required from the government for performance of the contract. c. provides contractor with copies of NRC Chapters 0260, 3202, 3203, 3207, and 3210, when appropriate. d. determines when requests for proposals and invitations for bids, as well as subsequent contracts, should include statements requiring contractor compliance with Chapters NRC-3202, 3207, and 3210 and the Government Printing and Binding Regulations. e. ensures that appropriate clauses are included in contracts regarding the private use and protection of classified, proprietary and other sensitive unclassified information. j 3202-04 DEFINITIONS

C41 camera-ready copy - pages ready for printing by the offset printing process. This is a colloquial term used even though the printing process may 1

not involve the so-called copy camera (see also reproducible masters). 042 central report control system - means for developing and maintaining the policies, procedures and guides needed to identify and produce regulatory and technical reports and to assure adherence to requirements and standards l for documentation, formatting, printing and distribution. record of work done (a report) prepared in I l 043 contractor report accordance with the provisions of a contract or under or pursuant to an l interagency agreement. ] l "Words underscored in definitions are also defined in list. l Approved: Au gust 29, 1984 { l t

e PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-044 044 copyright - a form of protection provided by the laws of.the United States (Title 17, U.S. Code) to the authors of "original works of authorship" including literary, dramatic, musical, artistic, and certain other intellectual works. This protection is available to both published and unpublished works. ' Copyrighted material may not be reproduced without the permission of the author or publisher. 045 disseminate - to announce the publication of reports and ranke them avaDable for free distribution, sale or copying. 046 distribute - to dispense reports to specific organizations and indi-viduals to assure their participation in the regulatory process and support of research and technologipal investigations. Such distribution may be accom-plished by the use of standard distribution data banks established and main-tained by the Division of Technical Information and Document Control based on the requests of the originating Office or Region. 047 documentation - classification and associated markings required for classified or sensitive unclassified documents, the NRC report number unique to the report, title (and subtitle, if,any), author or correspondent (if any), organization identification and contract number (or FIN number), date and availability. 048. draft or final material for inclusion in "Safety Evaluation Reports" or "Environmental Statements" (ES) - written matertal requested for input to SERs or ESs to be issued as NUREGs. Such instedal may be edited or modi-fied at the discretion of the NRC staff. 049 formal technical reports - the final product of research, an original investigation, or a significant compuation of information. This product is a formal technical report for publication in the NUREG/CR series. For extensive long-term projects, formal monthly, quarterly or semiannual and annual peri-odic technical reports may be required. A draft of the final or periodic report may be requested for comment prior to preparation of the camera-ready copy 0410 NRC project manager - the NRC staff member responsible for the work performed by consultants or contractors and their subcontractors, or for work performed under or pursuant to an interagency agreement. examination by legal staff to assure protection 0411 patent review rights in inventions. 0412 proprietary information - trade secrets; privuered or confidential research, development, commercial or financial infomation, exempt from manda-tory disclosure under 10 CFR Part 2 (Sections 2.740 and 2.790) and under 10 CFR Part 9 (Section 9.5); and other information submitted in confidence to the NRC by a foreign source and determined to be unclassified by the NRC. 0413 publicly avauable documents - information (reports and references) which is avadable in the NRC Publ.ic Document Room (PDR) for public inspec-tion and copying or avauable in the public domain, j Approved: August 29, 1984

1 l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED l N R C03202-0414 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS l 0414 reproducible masters - camera-ready copy which includes (1) origi-nals of line drawings (or prints that can be copied), (2) glossy prints of black and white photographs (colored photographs cannot be reproduced), (3) original typed or prmted text, tables, cover, title page, contents and abstract, or (4) other Ammma of the materials listed in (1), (2) and (3) that a printer can reproduce. 0415 technical reports - information on the technical aspects of contract work. These may be interian or final technical letter reports, draft or final formal technical reports for publication in the NUREG/CR or NUREG/CP senes, or draft or final material for inclusion in SERs or ESs. 0416 technical letter reports (also called technical evaluation reports) - interim or final letters that provide information on the technical aspects of contract work. Interim technical letter reports may be required at various stages of a project. These reports usually are followed by a final technical letter report or a formal technical report. Final technical letter reports are usually specified in situations where the technical work is review and eval-untion of work of others or work to be used by the staff in the licensing and regulation process. Interim letter reports may include, but are not limited to. informal (interim) progress reports, qui'ck-look reports, data reports. status summary reports, project descriptions, pre-tested predictions, model ve rifications. experiment safety analyses, experiment operating procedures. facility certification reports, snd test result reports. 0417 unique identification - NRC identification used on a report and its attachments, revisicns, and supplements that is not used on any other report. 3202 05 B AS1C REQUIREMENTS 0 51 Applicability. The provisions of this chapter and its appendix apply to NRC consultants, grantees, contractors and subcontractors, including those working under interagency agreements, whose contracts require the prepara-tion of technical reports. Because of the unique requirements of NRC boards, pan els, advisory committees and Offices which report directly to the Commission, the handling of reports prepared by consultants and contractors to them are governed by the Board or Panel Chainnan and, in the case of advisory committees, by the Advisory Committee Management Officer, or the Commis sion. These exceptions do not preclude the use of the NUREG/CR series designation on reports prepared for these entities that are to be given wide public dissemination. 052 Forus. NRC Form 426A, "Publication Release for Unclassified NRC Contractor and Consultant Reports" (Exhibit 5), NRC Form 335, "Biblio-graphic Data Sheet" (Exhibit 7), and NRC Form 190, "Cover Sheet for Reports Containing Proprietary Information" (Exhibit 19), shall be used as provided in the appendix, 053 Appendix 32n2. This appendix contains standards and procedures for the preparation of reporting requirement portions of Statements of Work, and for the documentation, production, and dissemination of technical reports prepared by contractors and other government agencies in accordance with contract requirements or interagency agreements. Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-054 1 054 Preparation Requirements Reports to be Printed by NRC. AU contractor reports to be printed a. by NRC shau be prepared according to Appendix 3202. The repro-ducible masters for the requisite distribution shau be transmitted to the Division of Technical Information and Document Control accom-panied by completed NRC Form 426A and NRC Form 135. b. Reports Printed by Authorized Federal Printing Plants. All contrac-tor reports to be printed by the contractor (as specified by the contract, agreement, or standard order for work) shau be prepared according to Appendix 3202, and a reproducible master and suffi-cient copies for, standard and incidental distribution shall be sup-plied to the Division of Technical Information and Document Control, accompanied by completed NRC Form 426A, signed by the autliorired contractor official. Each such report shall include, as the last p,i,,e. a completed NRC Form 335. 055 References. The NRC chapters referenced and NUREC 0794 (rer j) and NUREG-0650 (ref i) are available from the Division of Technical Informa-tion and Document Con t rol. The other publications are available from the Government Printing Office. Chapter NRC-0260. "Printing, Copying. Graphics 'and ' Photography " a. b Chapter and Appendis RC-2101, "NRC Security Program ' e Chapter NRC-3203. Distribution of Unclassified NRC Staff-and Contractor-Generated Documents." d Chapter N R C-1102. "Procedures for Placement of Work with the Department of Energy." ie. Chapter NRC-3206, "NRC Contractor Speeches, Papers and Journal Articles on Regulatory and Technical Subjects." f. Chapter NRC-3207, "Conferences and Conference Proce edin g s. " g. Title 44. U.S. Code, "Public Printing and Documents." Government Printing Office. h. Government Printing and Binding Regulations of the Joint Committee on Printing Congress of the United States, No. 24, April 1977 (JCP Regulations). Government Printing Office. i. Title S. U.S. Code, "Governmen t Organization and Employees," Government Printing Office. Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED 1RC 3202-055 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS j. "Technical Writing Style Guide," A. W. Savolainen et al., compilers, U.S. NRC Report NUREG-0650, November 1979, and Supplement 1. February 1982. k. "Protection of Unclassified Safeguards Information," D. J. Kasun. USNRC Report NUREG-0794 October 1981. 1. Chapter NRC-0255, "Mail Management," ano Appendix 0255, Part V, Annex A. ~ l Approved: Au gust 29, 1984 e e

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 CONTENTS PAGE PART I PREPARATION OF REPORTING-REQUIREMENTS PORTIONS OF STATENENTS j OF WORK FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR 00E WORK A. LIST OF TECHNICAL REPORT REQUIREMENTS......................... 1 8. REQUIREMENTS FOR FORMA'. REP 0RTS............................... 2 C. REQUIREMENTS FOR ORAFT REP 0RTS............................. 2 0. PUBLISHING UNCLASS!FIED, NON-SENSITI/E INFORMATION IN OPEN LITERATURE AND PRESENTING PA)ERS...................... 3 E. TYP0 GRAPHY.......................... 4 F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED !NFORMAT10N............................. 4 G. PUBLISHING UNCLASSIFIED PRO' ?'.0INGS OF CONFERENCES AND WORKSHOPS.................................... 4 H. WRITING AND PUBLISHING UNCLASSIFIE3 B00KS......... S 1. OlSTRIBUTION OF REPORTS TO CONTRACTORS.............. 5 J. COORDINATION OF PRESS OR OTHER MEDIA RELEASES Of UNCLASSIFIED INFORMATION. 5 PART 11 UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC. 7 A. DOCUMENTATION...................................... 7 1. Applicability...................................... 7 2. Front Cover and Title Page........................ 7 3. Availability Information...................... 9 4. Disclaimer........................................ 9 S. Previous Reports in Series............................... 9 6. Abstract........................................'......... 9 7. References and Bibliographies................... 9 8. Bibliographic Data Sheet................................. 10 8. PATENT AND SECURITY REVIEWS................................. 10 1. Patent Review............................................ 10 2. Security Review............................... 10 i Approved August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS CONTENTS (Continued) PAGE ) C. PR')CEDURES FOR PRINTING AND DISTRIBUTING...................... 11 1. Printing................................................. 11 2. Reprinting............................................... 11 3. Distribution of Reports.................................. 11 EXHIBITS 1. Sample Cover for Unclassified Formal Contractor-Prepared Reports, Excluding Those Printed by DOE Laboratories with JCP Authorized Federal Printing Plants...................... 13 2. Sample Title Page for Unclassified Formal Contractor-Prepared Reports, Excluding Those Printed by 00E Laboratories with JCP Authoriz ed Federal Printing P1 ants............................... 14 ~ 3. Sample Cover for Unclassified Formal Reports Printed by 00E Laboratories with JCP Authorized Federal Printing Plants........ 15 4 Sample Title Page for Unclassified Formal Reports Printed by DOE Laboratories with JCP Authorized Federal Prin P1 ants.......................................... ting 16 S. NPC Fors 42$A, Publications Release............................... 17 6. Di sc laimer and Availabili ty Statements........................... 18 7. NRC Form 335, Bibliographic Data Sheet... 19 PARI !!! UNCLASSIFIED TECHNICAL LETTER REPORTS........... 21 A. FORMAT............................................ 21 1. Applicability.......................................... 21 2. Requirements..........................'.................. 21 B. PATENT AND SECURITY REVIEVS................................. 21 1. Patent Review.......................................... 21 Security Review........................................ 22 PART !Y UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE OFFICE OF NUCLEAR REGULATORY RESEARCH BY DOE LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS...................... 23 A. 00CUMENTAT10N.............................. 23 1. Applicability................ 23 2. . Front Cover and Title Page........................... 23 Approved: August 29, 1984 11 l 1 l 1

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO !NTERAGENCY AGREEMENTS NRC Appendix 3202 CONTENTS (Continued) PAGE 3. Availability and Price Information..................... 25 4. Disclaimer............................................. 25 5. Previous Reports in 5eries............................. 25 6. Abstract............................................... 25 7. References and Bibliographies..................... 26 8. Bibliographic Data 5heet............................... 26 8. PATENT AND SECURITY REVIEW5.............................. 26 1. Patent Review........................... 26 2. Security' Review.............................. 26 C. PROCEDURES FOR PRINTING AND DISTRIBUTING.......... 27 1. Printing.. 27 2. Reprinting.............................. 27 3. Distribution of Reports... 27 PART V REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED'INFORMATION............ 29 A. APPLICABILITY............................... 29 8. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION. 29 C. PROPRIETARY INTORMAT10N. 30 D. SAFEGUARDS INFORMATION.. 31 E. CLA55tFIED INFORMATION. 31 EXHIBITS 8. Sample Cover for a Contractor Report Containin O n l y I n f o rma t i o n.............................. g O f f i c i a l U s e 33 9. Sample Title Page for a Contractor Report Containin U s e O n l y I n f o rma t i o n................................g O f f i c i a l 34 10. Sample Back Cover for a Contractor Report Containin Us e Only In f orma t i on............................... g O f f i c i a l 35 11. Sample Cover for a Contractor Report Containing Limited Official Use Information. 36 12. Sample Title Page for a Contractor Report Containing Limited Official Use Information. 37 iii Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS CONTENTS (Continued) PAGE Sample Back Cover for a Contractor Report Containin 13. O f f i c t a l U s e I n f o rma ti on........................... g t. im i t e d 38 14. Sample Cover for a Contractor Report Containing Proprietary Information Obtained from a U.S. Organization..................... 39 15. Sample Cover Page for a Contractor Report Containing Proprietary Information Obtained f rom a Foreign Source............ 40 16. Sample Title Page for a Contractor Report Containing Proprietary Information Obtained f roa a U. S. Organization......... 41 17. Sample Title Page for a Contractor Report Containing Proprietary Information Obtained from a Foreign Source........... 42 18. Sample 5'ack Cover for a Contractor Peport Containing Proprietary Information................ 43 19. Cover Sheet for Reports Containing Proprietary Information...... 44 20. Samole Cover for a Contractor Report Containin Unclas s i fied Sa feguards Inf ormation........... g 45 21. Sample Title Page for a Contractor Report Containin Unclas sifi'ed Sa f eguards Inf ormation................ g 46 22. Samole Back Cover for a Contractor Report Containing Unclassified Safeguards Information......... 47 23-Cover Sheet for a Contractor Report Containing Unciassified Safeguarcs Information.... 48 PART VI. HAN0 LING OF UNCLASSIFIED INFOPMATION ON NRC COOPERATIVE PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITN INDUSTRY.................. 49 A. PREPARATION OF DRAFT PREllM! NARY REPORTS FOR C0HiENT......... 49 B. DISTRIBUTION BY NRC PROJECT MANAGERS......................... 50 C. ComENT PERIOD AND ISSUANCE OF NUREC,'CR REPORT............... 50 0. REPORT 10ENTIFIERS........................................... 50 E. MAILING TO PROGRAM PARTICIPANTS................... 51 F. SECURITY...... 51 Approved: August 29, 1984 iv ~ * -

1 1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Nhc Appendix 3200 CONTENTS (Continued) EE EXHIBITS 24. Sample Cover for a Oraf t Preliminary Report (Code) for Coment.. 52 25. Transmittal Letter from Contractor to NRC Project Manager for Draft Preliminary Report (Code)................................... 53 26. Transmittal Sheet for Requesting Mailing to Cooperative Pro Participants............................................... gram 54 Y^ v Approved : August 29, 1984 i ' ~ ' -

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PARTI PREPARATION OF REPORTING REQUIREMENT PORTIONS OF STATEMENTS OF WORK FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOH DOE WORK A. LIST OF TECHNICAL REPORT REQUIREMENTS List the technical reports required from each project, task or subtask. as appucable. State when and to whom they should be submitted and what they should contain. These reports may be unclassified, sensitive unclassified or classified. Standards for each of these categories are presented in Parts 11 through V. The following definitions describe the types of reports that itay be specified: technical reports - information on the technical aspects of contract work. These may be interim or final technical letter reports, draft or' final formal technical reports for pubbcation in the NUREG/CR or NU REG /Cs~e ries, or draf t or _ final material for inclusion in SERs or ESs (see definitions below). technical letter reports (also called technical evaluation reports) interun or final letters that provide informationon the technical aspects of the contract work. Interim technical letter reports may be required at various stages of a project. These interun letters usually are followed by a final technical letter report or a formal technical report. Final technical letter reports are usually specified in situations where the technical work is review and evaluation of work of others or work to be used by the staff in the licensing and regulation process. Interim letter reports may include, but are not limited to. informal (interim) progress reports. quick-look reports, data reports status summary reportr,. project descriptions, pre-test predictions, model verifications, experiment safety anal-yises. expertment operating procedures. facility certification reports. and test result reports. These reports must be identified with the financial number (FIN) assigned to the project. They are not to be identified with DOE registered report codes. The num-ber of copies to be prepared and the distribution of those copies will be specified by the project manager. formal technical reports - the final product of research, an original investigation, or a significant compilation of infomation. This pro-duct is a formal technical report for publication in the NUREG/CR or NUREG/CP series. For extensive long-term projects, formal monthly, quarterly or semiannual and annual periodic technical reports may be required. A draf t of the final or periodic report may be requested for comment prior to preparation of the camera-ready copy. } Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3208 NRC CONTRACTOR 8, INCLUDING REPORTS PREPARED Part i UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS draf t or final material for publication or inclusion in SERs,

ESs, letters, or License amendments - wntten matenal requested for use in the NRC licensing process. Such material may be (1) abstracted t

in a NUREG report or attached to a NUREG report, (2) attached to a letter or an amendment to the !Jeense, or (3) abstracted and used as necessary by the NRC staff. NRC requires patent review and t full management review of this material by the perforining organiza-tion. This material is to be submitted to NRC as a technical letter report addressed to the project manager and identified by the FIN number. For purposes of this Part, contractor means a private contractor, con-sultant, grantee, another State or Federal Agency working under an interagency agreement, or a DOE / facility or National Laboratory (con-tractor) and subcontractors. B. REQUIREMENTS FOR FORMAL REPORTS If the contractor is to prepare a final formal technical report for publi-cation, state that it will be printed and distributed by NRC from camera-ready copy submitted by the contractor, unless th6 work is being done for the Office of Nuclear Regulatory Research by a DOE facility or Laboratory with a JCP-authorized printing plant. The camera-ready copy is to be prepared in accordance with the provisions of this appen-dix. Parts !! and V (for contractors other than DOE contractors), or Parts IV and V of this appendix and Chapter 1102 (for DOE contrac-tors ). A style guide is also available free, upon request (NUREG-0650). If. the report is to be printed by NRC and it is. unclassified, the camera-ready copy is to be submitted by the contractor to the Director. Division of TechnicalInfortnation and Document Control, NRC, Washington, D.C. 20555, by first class mail. ' For handling of sensitive unclassified and classified reports see Part V of this appendix and NRC Appendix 2101 L'nclassified reports printed for the Office of Nuclear Regulatory Research should be handled in accordance with Parts IV and V of this appendix and/or Chapter 1102. C. REQUIREMENTS FOR DRAFT REPORTS If a draf t is desired prior to completion of a final technical letter report, formal technical report, final material for inclusion in an SER or ES, or for comment by participants in cooperrstive programs with foreign gov-ernments and organizations and with U.S. Industry, state that require-ment and the time frame for delivering the final camera-ready copy af ter receiving NRC and/or participant comments on the draft. State that all draft material should be submitted to the cognizant project manager. When the contractor is to submit draft material for comment prior to the preparation of the final report, state that if there are NRC program and/or participant comments the contractor will be asked to make changes. If agreement on the changes is reached, the NRC manager will authorize i the contractor to prepare the final copy and submit it to the project raanager, it it is a letter report or input to an SER or ES, or to the Director, Division of Technical Information and Document Control, it it is Approved: Au gust 29, 1984 2 f

t PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part I camera-ready copy for printing and distribution. This is to be done to assure proper publication, handling, and distribution and, among other things, to preclude further changes that might nullify the agreement. If caveats were agreed to and the project manager wishes to check the final document for their presence, he/she should infonn TIDC of that desire. In that case, upon receipt of the camera-ready copy by TIDC, the project manager will be informed and requested to prepare and sign the NRC Form 426A. Also state that if agreement on changes to a formal technical report to be issued in the NUREG/CR series is not reached, the NRC project manager may request the contractor to p'ripare the camera-ready copy with, in addition to the standard disclaimer required on all contractor fonnal reports (see Exhibit 6), any caveats deemed necessary to cover NRC objections. Such caveats may range from the "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" to the addition of a preface setting forth the NRC opinion or footnotes at appropriate locations within the text. State that if NRC objections cannot be covered in this manner, NRC can refuse to publish the report. In the case of DOE / National Laborators reports, the DOE Operations Office Manager responsible for that !abora-tory should be infonned by the NRC Office Director or Regio.al Admatis-trator of the decision and the reasons therefor, with a copy to the Laboratory Director. In the case of another Federal age'ney, a State, or a private contractor, the person who executed the contract should sur.i-larly be informed by the NRC Contracting Officer. The contractor is then free to publish without NRC identification of the report Project manager or higher level decisions may be appealed to the NRC Executive Director for Operations. D. PUBLISHING UNCLASSIFIED INFORMATION IN OPEN LITERATURE AND PRESENTING PAPERS If the contractor's principal investigator is to be allowed to pubush in the open literature instead of submitting a final report and/or present papers at public or association meetingt during the course of the work. add the following statement to the Gtatement of Work: The principal investigator (s) may publish the results of this work in the open literature instead of submitting a final report and/or present papers at public or association meetings at interim stages of the work, If the project manager wants to review the paper or journal article prior to presentation or submission for publication, state this in tne Statement of Work, as foDows: The principal investigator (s) may publish the results of this work in the open literature instead of submitting a final report and/or pre-sent papers at public or association meetings at interun stages of the work, if the article or paper has been reviewed by the NRC project 3 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3802 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part ! UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS [ manager in draft form and agreement has been reached on the con-l tent. The applicable procedures set forth in Chapters NRC-3206 or NRC-1102 must be followed. If agreement is not reached. NRC may also ask that the paper include in addition to the standard statement "Work supported by the U.S. Nuclear Regulatory Commission," any caveats deemed necessary to cover NRC objections. If NRC objections cannot be covered in this manner, NRC can refuse to authorize publication in the open litera-ture and/or presentation of papers. In the Jatter case, NRC will inform the contractor of the decision, as stated above for formal reports (see Section C, paragraphs 3 and 4'). The contractor i. then free to publish without NRC identification of the information. This will not affect payment of the contract work costs. Project manager or higher level decisions may be appealed to the NRC Executive Director for Operations. If the contractor proposes to publish in the open literature or present the information at meetings in addition to submitting the required tech-nical reports, approval of the proposed article or presentation should be obtained from the NRC project manager. The NRC project manager shau either approve the material as submitted, approve it subject to NRC-suggested revisions, or disapprove it. In any event, a project manager may disapprove or delay presentation or publication of papers on infor-mation that is subject to Commissioner approval that has not been ruled upon or which has been disapproved. (See Chap'ter 3206 for provisions relating to payment of page charges and travel costs for presentation of papers.) E TYPOGRAPHY The text of reports must be single spaced on 8\\ x ll-in, paper, unless ctherwise specifically authorized. Occasionally. reports with many sym-bois and mathematical expressions may require one and one-half spacing to provide for superscripts and subscripts. This spacing should be allowed where needed, but should be considered an exception, not the standard. F. REPORTS CONTAINING SENSITIVE UNCLASS!FIED AND CLASSIFIED INFORMATION Details of the marking of reports designated Official Use Only Limited Official Use, Proprietary Information, Safeguards Information, and classified (Confidential, Secret, and Top Secret) are provided in Part Y of this appdndix and in NRC Appendix 2101. G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND WORKSHOPS NRC publishes or assists in the publication of compilations of papers presented at me e tin g s, conferences, and symposiums in which NRC i Approved: August 29, 1984 4 l i

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

H.

WRITING AND PUBLISHING UNCLASSIFIED BOOKS NRC may, under certain circumstances, publish books prepared by grantees or contractors. For general information and guidance on book publishing, see Chapter NRC-3210, "Book Writing and Publishing." 1. DISTRIBUTION OF REPORTS TO CONTRACTORS Up to 50 copies of unclassified fonnal technical reports may be retained by or will be bulk shipped to the contractor by NRC for internal use. If fewer than 50 copies are needed, indicate the desired quantity on NRC Fonn 426A. Single copies for specific individuals in organizations other than the contractor's organization who are not included in the distribution requested by the NRC project manager may be requested on a project basis or on a report-by-report basis. The request, with written justif t-cation, should be addressed to the NRC project manager, with a copy to NRC/TIDC. If the additional distribution is approved by the NRC project manager, the contractor shall send these copies (if printing is done by the contractor) and address labels, even if printing is done by NRC. to NRC/TIDC, where the distribution will be made along with the standard distribution. ' Distribution of sensitive unclassified and classi-fied reports will be made by the project manager on a case by-case basis. J COORDINATION OF PRESS OR OTHER MEDI A RELEASES OF UNCLASSl-FIED INFORMATION A contractor may request permission to issue a press or other media release on the work being done. Such request shall be made to the project manager, who wilj consult with his/her management and with the Office of Putlic Affairs. The contractor may not issue a press release on nonroutine information without this prior coordination. This coordination may be accomplished by telephone, with the NRC project manager respon-sible for expeditious handling. Decisions not to release infonr.ation or delays in handhng by the project manager may be appealed to the NRC Executive Director for Operations. 5 Approved: August 29. 1984 r ---w

i PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART 11 UNCLASS!FIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC A. DOCUMENTATION 1. Applicability a. The requirements of this part apply to contractor and inter-agency agreement reports that are to be printed by NRC. Contractors may not print reports prepared for NRC except those DOE'Isboratories with JCP-authorized printing plants. and then only those reports prepared for NRC's Office of Nuet ar Regulatory Research, b. With respect to sensitive unclassified and classified reports. the requirements set forth in Part V of this appendix shall be used.in conjunction with NRC Appendix 2101. c. The requirements of this part do not apply to consultants and contractors of the NRC boards, panels, and advisory commit-Lees which report directly to the Commission. 2. Front Cover and Title Page a. Separate covers and title pages are required (see Exhibits 1 and 2 for centractor reports and Exhibits 3 and 4 for reports prepared under or pursuant to interagency agreements)." b. The items shown in Exhibits 1 through 4 and discussed below shall appear on the title page and cover, as appropriate.*= (1) NRC Repert Number Each report shall be identified by an NRC-centrolled alpha-numeric designation as the prime designation unique to that report. The centralized report control system for unique identification is maintained by the Division of Technical Information and Document Control. Numbers may be obtained by calling the Division of Technical Infor-mation and Document Control or by submitting a copy of NRC Form 426A (Exhibit 5) with a request for a number eReproducible copy of the cover of the performing organization may be sub-mitted; however, the data elements shown in Exhibit I must be included. asThese requirements meet the specifications of American National Standard ANSI 239.18-1974, Guidelines for Format and Production of Setentific and Technical Reports, and ANSI Z39.23-1974, Technical Report Numbers 7 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appsndix 3202 NRC CONTRACTORS, INCLUDING. REPORTS PREPARED Part !! UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS The NRC identification number will have the form: NUREG/CR-XXXX' or NUREG/CP-XXXX where CP indicates conference proceeding. The contrac-tor's report number, if any, may be inserted below th? NUREG number on the title page and cover, as shown in Exhibits 1 through 4, if desired by the contractor. When a report consists of more than one volume or bind-ing or is issued in more than one edition, an appropriate volume, supplement, part or revision designation shall i appear immediately below the report number. (2) Title and Subtitle i (a) Use a brief title that indicates clearly the subject matter covered in the report. (b) When a report is prepared in more than one volume, repeat the prunary title on each volume. (c) If app ropria te, show the type of report (e.g., annual report, final report. thesis, etc. ) and the period covered as part of the subtitle. (3) Personal Author (s)' Name(s) Authors' names should be given on the title page and cover unless this is impractical, as in the case of annual reports which have many contributors. If authors' contri-butions are as editors, compilers, ste.. so indicate on the title page following the names. In addition, last affiliation of each author only if affiliated with an organization other than the organization generating the document. (4) Organization identification On the title page and cover, provide information of the type illustrated in Exhibits 1 through 4. (5) Basis for Report Date(s) (a) The basis for dating may be shown along with the date on the title page. Various bases for dating are possible; e.g., date report completed, date reviews completed, date published, date distributed, etc. (b) More than one date, with the basis for each, may be shown where this is necessary. l Approved: August 29, 1984 8

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part !! 3. A vaBability Information Au formal reports wiD be made avaDable for sale by NRC and by the National Technical Information Service (NTIS). Exhibit 6 wC] j be inserted on the inside of the front cover by the Division of Technical Information and Document Control. 4. Disclaimer The foDowing notice wiD be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of Work sponsored by an agency of the United Sta tes Governmen t. Neither the United States Government nor any agency thereof, or any of their employees, makes any warranty, expr essed or implied, of assumes any legal liability or responsibility for any third party's use, or the results of such use, of any information, apparatus, product or process disclosed in this report, or repre-sents that its use by such third party would not infringe privately i owned righ t s. " The following additional s ta temen t, ""*h e views i expressed in this report are not necessarily those of the US Nuclear Regulatory Commission" will be printed below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed (see Part 1.C., Requirements for Draf t Reports). 5. Previous Reports in Series i 1 if the report being prepared is one in an ongoing series.12:t all previou s reports in the series. Include report numbers and issu-l ance dates. Place this list on the back of the title page 6 A bs trac t An abstract of 200 words or less shall be prepared for each formal report. Within the report, the abstract shall appear on a separate page between the list of previous documents in the series and the contents page.* 7. References and Bibliographies Reports or other documents referenced in text, refer ence sections, bibliographies, and appendixes of unclassified regulatory and technical reports in the NUREG series must be avadable to the public either in the public domain (as in a public library, at the Government Printing Office, at the National Technical information Service, or at other reference or sales outlets) or in the NRC Public Document Room. This means that references should not be made to personal communications and interviews, unpu blishe d This preferred positioning of the abstract in the report need no: % followed if the style manual of the originating organization requires a different location 9 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTOR $, INCLUDING REPORTS PREPARED Part !! UNDER OR PURSUANT TO INTERAGENCY AGREEMENTr2 information and information with restricted distribution (e.g., proprietary, national security, official use only, etc.). If the unretrievable information is important and unrestricted, it can be quoted in the text, in footnotes, or in appendixes. If credit is due to individuals, they can be mentioned in the text or in an acknow-ledgement section. Availabihty may be stated collectively for all entries (see Exhibit 6). Guidelines for developing and preserting reference material are provided in NUREG-0650, "Technical Writing Style G uide," published in November 1979 (see Appendix A, pp. 19-23. for specific guidance) and Supplement 1 dated. February 1982. 8. Bibliorrsphic Data Sheet NRC Form 335 (Exhibit 7) shau be prepared and included in the camera-ready copy as the final right-hand page. B PATENT AND SECURITY REVIEWS 1. Patent Review Patent implications shan be considered prior to approval of reports i for public release so that disclosure will not adversely affect the puent rights of NRC or the contractor. If the work being reported is contractuauy managed through another government agency (e.g., DOE laboratories), that government agency should be requested by the contractor to ' perform the patent review. The result of such review shall be reported on NRC Fors 426A in item 11 (Exhibit 5). If NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the government agency administer-ing the contract, the responsible NRC contracting officer shall be consulted, and the responsible NRC project manager shall consider the patent implications. If there is no need for patent review because of the certainty that the report contains no description of novel technical developments which may be of an inventive nature, NRC Form 426A may be completed with the statement "Not Appil-cable" or "N/A" in the space for the Pate,nt Counsel's signature. If there is a possibility that there is disclosure of developments of an inventive natu re, the contracting officer shau request assistance from the NRC Patent Counsel, Office of the Executive Legal Director. 2. Security Review in most cases, contractor reports wiu be unclassified. Should a report of sensitive unedssified or classified work be required, however, the NRC project manager must work with the NRC Division of Secunty to establish the appropriate procedures and inform the contractor of such procedures through the contracting officer. The standards for marking and handling such reports are given in Part V of this appendix and NRC Appendix 2101. Approved: August 29, 1984 10 i . ~, _,. - -.

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 320' UNDER OR PURSUANT TO INTERAGINCY AGREEMENTS Part 11 C. PROCEDURES FOR PRINTING AND DISTRIBUTING 1. Printing Reproducible masters prepared in accordance with this appendix shall be transmitted to the Division of Technical Information and Document Control, accompanied by completed NRC Form 426A (Exhibit 5). NRC Form 426A must be signed. by the NRC project manager or a contractor official authorized by the project manager. Such authorization shall be reported in writing to TIDC. The Division of Technical Information and Document Control wiu review the masters for adherence to the standards set forth in this chapter and appendix and will arrange for printing and distributmg the report. ', Unsatisfactory masters will be reported to the NRC project manager for appropriate contractual action by the contract-ing officer or, in the case of government agency or interagency agreement

work, the publications manager of the performm g organization.

2. Reprintin g Requests for reprinting any report subsequent to the initial prmt-ing require approval of the Division of Technical Info:matien and Document Control. Each request shall include a written justification and the project manager's approval for reprinting along with ad-j dress labels for the recipients. 3 Distribution of Reports All copies of unclassified formal contractor reports will be distrib-uted by the Division of Technical Information and Document Control in accordance with instructions on NRC Form 426A (Exhibit 5). The Division of Technical Information and Document Control will also arrange automatic distribution of these reports to the NRC Docu-ment Control System, the NRC Public Document Roem. the National Technical Information Service (NTIS), the Government Prmtmg Office and the Depository Library Service. If any distribution is to be made other than, or in addition to, the standard distribution established for the report, written justification and the project mansger's approval for printing additional copies shall accompany the recroducible masters when submitted to the Division of Technical Information and Document Control. Address labels for the additional distribution must be supplied. Distribution of sensitive unclassified and classified reports will be made by the NRC project manager on a case-by-case basis. 11 Approved . August 29. 1984

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

:i"'

EXHIBIT 1 1. SAMPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No. NUREG/CR.1676 Contractor Report No. (if any) NUSAC 566 Vol., Part, Rev., etc. (if any) Yd I = =. =,. = - - Using Advanced Process Monitoring 1,,ie to improve Material Control Subtnie and Type of Repon Final Report (Annual. Topoul, etc ) September 1979. September 1980 Author (s) p, ,, a 6 %

c. attm aatm Centractor musac w.,,.,u.e e me, mew, 13 Approved :

t 29. 1934

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part il _ UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 2 l SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL CONTRACTOR. PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC REPORT No. NumV.sicm.tgM NVSACH4 Contractet Report No. hf any) "I Vol., Port, Rev., etc. Of anyl Distributen Category No, Of any) Using Advanced Process Monitoring T,no to Imp.'ove Material Control SwDtitie and Type of Report Final mooort Sectember 1979 Sootembe< '900 ( Annual. Topic 41, etc.) Report Ortes and Bates w,ww % _ ism Author (ll, Ed nor(s), e, Comp +4er(s), etc. =vtac 7. no Contractor Name ams and Aderest NRC Spoanorship

eeered see g' g seies...es o'

NRC Contract No. mmc fim tup Approved: August 29. 1984 14 y- .v--

j PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORL, INCLUDING REPORTS PREPARED NP r Annendiv 1?A? UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

'a m I' EXHIBIT 3

[ SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS l 1 NRC Report No. NUREG/CR 1952 Contractor Report No. S AN0810151 Vol., Part. R e v., etc. LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks Type of Reoori indepencent Verification Testing Program or $wbtiti, independent Verification Test 1 Author (s), E ditorm "*" *' L ', ',**,'O,*, ", 'e C,[ J. c" d

d
'* W N coat =or j

s.. ... i u.... & =.......... -~ c ~...... 15 Approved : Augu st 29. 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3808 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part !! UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS, EXHlBli 4 SAMPLE *,lTLE PAGE FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS N R C R eport No. Centeactee's Report No. vei Pwt. ne.., es. ggcg,ssa DistrIDWtleft g4 Catstory LOCA-Simulation Thermal-Shock u. Test of Sliding-Link Terminal Blocks Subtitle Indeoendent Venicaten Testing Progtem Indepeneemt Verifcat.on Test 1 Report Dates y 7,,,,, Avewil. Esttwtil 6, *,6 - a, 67g84 % e a 6.-- t a c-, s.6 8 Contractw's t-== 7p N.m.a Amee. NRC $eenSwde ,7,,,,,,,,,,,, 87*,t l.":T "",0 !==' NRC FIN No. N:74Y t l A pproved : A ugu s t 29. 1984 16 P

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NR(' Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pa:t II EXHIBIT S NRC FORM 426A. PUBLICATIONS RELEASE FOR UNCLASSIFIED NRC CONTRACTOR AND CONSULTANT REPORTS .3 M 6 M gWIL,4 @, _ . e. s. u. h 8,, _ " ' " a s.. M.5LIC.ATCass RILEAtt POR UNCLABIPIID i..........- IsmC Cos(TR ACTOst AMO CoseULTANT REPOAT3 '"e,"."l *! r g........ - - -.. - - p.. ~.... .g.,.,g p i....J. ..ft..........ww.,.-..-.ar. e...e......e...w.......e..g..e...........e.*....e4 e m m.e. ....e.e... ..me a. e,... p. g m.

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.t... ......s .............e.e.... e 9.*.. ..t......... .. s.............. a_.-.~.. 1 ..3.. ..e.*' ~'* *- -... ~.... -. j.... i 17 Approved : August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTOR 5, INCLUDING RF. PORTS PREPARED hi t !! UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 4 DISCLAIMER AND AVAILABILITY STATEMENTS (SACK OF COVER) surftet flu suurt um >==gynd a e mamma ed swt sumsrgd by a espey of to theus has Geerumum. Ibese es ummed tems Gespumuut aar any w gesud, er aug of aus emenegouk mehen ear eartsev, espamme er susismL er ashsame sur W W ed so. umseender ter sur e=W surgy t eso, or en Nest ed ensk tak of emp hamassen, asumman womse e ernemi essasse a one neers. e rarese mas e== w ese See eser uniss act smarungs arousaey emW rWW. NOTICE A.peamsry of Aetowns Myerut Oss a NRC Pehmudese name esacent eries in NaC admastiere aan he setene *wn ese et we tenemog amness

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTO?.S. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART !!! UNCLASSIFIED TECHNICAL LETTER REPORTS A. FORMAT 1. Appucability a. The requirements of this part apply t'o unclassified contractor technical letter reports. (See Part I. A for definition.) b. The requirements of this part do not apply to consultants and contractors to the NRC boards, panels, and advisory commit-tees which report directly to the Commission. 2. Requirements Technical letter reports are prepared, dupUcated and distributed in accordance with the requirements of the Statement of Work in the contract or'in the Standard Order for DOE Work. Each such report must be identified with the financial number (FIN) assigned to the project. The number of copies to be prepared and the distribution of those copies will be specified by the project manliger. If unclas-I sified and non-sensitive, the NRC project manager is responsible for making such reports avaDable in the NRC Pubhc Document Roem (PDR) by sending them to the PDR through the NRC Document Control System. l B. PATENT AND SECURITY REVIEWS 1. Patent Review Patent implications shau be considered prior to approval of reports for public release so that disclosure wul not adversely affect the patent rights of NRC. If the work being reported is contractually managed through another government agtney (e.g., DOE labora-torie s ), that government exency should be requested by the con-tractor to perform the patest review. If NRC directly administers the contract or the contractor is unable i to obtain a patent clearance from the govarnment agency admtnister-ing the contract, the responsible NRC contracting officer shaU be j consulted, and the responsible NRC project manager shall consider the patent implications. If there is a possibility that there is disclosure of developments of an inventive nature, the NRC contracting officer shan request assistance from the NRC Patent Counsel. Office of the Executive Legal Director. 21 Approved: August 29, 1964

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3208 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part !!! UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 2. Security Review I r. most cases, contractor technical letter reports will be unclassi-fied. Should a report of sensitive unclassified or classified work be required, however, the project manager must work with the Division of Security to establish the appropriate security procedures and inform the contractor of such procedures. The standards for marking and handling such reports are given in Part V. of this appendix and NRC Appendix 2101. L i Approved: August 29, 1984 22 j ? I

4 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3200 PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE NRC OFFICE OF NUCLEAR REGULATORY RESEARCH. Y DOE B LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS A. DOCUMENTATION 1. Applicability - a. The requirements of this part apply to NRC staff who are responsible for agreements with DOE Laboratories and their contractors who print regulatory and technical reports re-quired by NRC. (See also Chapter NRC 1102), b. With respect co sensitive unclassified and classified reports the requirements set forth in Part V of this appendix sha!! be ustd in conjunction with NRC Appendix 2101. The requirements of this part do not apply to consultants and c. contractors to the NRC boards., panels and advisory committees which report directly to the Commission. 2 Front Cover and Title Pare a Separate covers (of different paper than that of the text) and title page are required.* b. Items such as those showr. m Exhibits 3 and 4 and discussed below shad appear on the front cover and title page, as appro-praate ** While layouts and typefaces need not be exactly the same as in Exhibits 3 and 4, the ite=s shall appear in approx:- mately the locations indicated and with the same relative prommence. (1) NRC Report Numbel Each report shad bv. identified by an NRC controlled alpha numeric designation as the prime designation unique to that document. The centralized report control system for unique identification is maintained by the Division of Technical Information and Document Control. Numbers may l .The cover stock of the performing organization may be used; however a.t i must include the data elements shown in Exhibit 3. seThese requirements meet the specifications of American National Standard i ANSI Z39.18-1974, "Guidelines for Format and Production of Scientific and 1 Technical heports," and ANSI Z39.23-1974, "Technical Report Nurbers. " 23 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3208 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part IV UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS be obtained by calling the Division of Technical Informa-tion and Document Control or by submitting a copy of NRC Form 426A (Exhlbit 5) with a request for a number. The NRC identification number will have the form: NUREG/CR-XXXX or NUREG/CP-XXXX The contractor's report number, if any, will be inserted below the NUREG number on the title page and cover, as shown in Exhibits 3 and 4, it desired by the contractor. When a report consists of more than one voluma or bind-ing or is issued in more than one edition, an app.opriate volume, supplement, part, or revision designation shall appear immediately below the report number (s). NRC report numbers on covers and title pages shall be shown entirely on one line to facilitate computer processing. (2) Tide and Subtitle (a) Use a brief title, which indicates clearly the subieet matter covered in the report. (b) When a report is prepared in more than one volume, repeat the primary title on each volume. (c) If appropriate, show the type of report (e.g., annual report, final report, etc. ) and the period covered as part of the subtitle. (3) Personal Author (s)' Name(s) l (a) Authors' names should be given on the title page and cover unless this is impractical, as in the case of annual reports which have many contributors. If au thors' contributions are as editors, compilers, etc., so indicate on title page and cover following the names. In addition, list affiliation of each author only if affiliated with an organization other than the organization generating the report. (b) Authors may be identified on backstrips (spines) of bound volumes. (4) Organization Identification (a) On the cover, provide the name of the contractor responsible for preparing the report, followed by "Prepared for the U.S. Nuclear Regulatory Commis sion. " Approved: August 29, 1984 24 \\ l I L l \\

J i PUBLICATION OF TECHNICAL REPORTS PREPARED BY j NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 j UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV i (b) On the title page, provide infomation of the type iBustrated in Exhibit 4. f (5) Basis for Report Dates (s) (a) The basis for dating may be shown along with the date on the title page. Various bases for dating are possible; e.g., date report completed, date reviews completed, date published, date distributed, etc. (b) More than one date, with the basis for each, may be shown where this is necessary. 3. AvaUability and Price Infonnation All fomal reports will be made available for sale by NRC and NTIS. The statement shown in Exhibit 6 is required on the inside of the front cover. 4. Disclaimer The following notice shan be added during the printing st-on the inside front cover (Exhibit 6): "This report was preparec as an account of work sponsored by the United States Cot trnnr.it. .Neither the United States Government nor anv agenc'y thereol, or ~ any of their employees, makes any warra"" cpressed or implied, or assumes any legal liability or respo' -", ar any third ptrty's use, or the results of such use, of ., information, apparatu s. product or process disclosed, or epresents that its use by such third party would not infringe privately owned rights." The follow-ing additional statement, "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" will be printed below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed (see Part 1. C., Requirements for Draf t Reports). 5. Previous Reports in Series If the report being prepared is one in an ongoing series, list au ) previous reports in the series. Include report numbers and issuance dates. Place this list on the back of the title page. 6. Abstract An abstreet of 200 words or less shall be prepared for each formal rsport. Within the report, the abstract shall appear on a separate page between the list of previous documents in the series and the contents page.* mThis preferred positioning of the abstract in the document need not be fol-lowed if the style manual of the originating organization requires a different location. 25 Approved: August 29, IM4

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part IV UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 7. References and Bibuerraphies Reports or other documents referenced in text, reference sections, Nbliographies, and appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office, at the National Technical Information Service, or at other reference or sales outlets) or in the NRC Public Docume.st Room. This means that references should not be made to personal communications and interviews, unpublished information and information with restricted distribution (e.g., proprietary, national security, official use only, etc.). If the unretrievable information is important and unrestricted, it can be quoted in the text, in footnotes, or in appendixes. If credit is due to individuals, they can be mentioned in the text or in an acknow-ledgement section. Availability may be stated collectively for all entries (see Exhibit 6). Guidelines for developing and presenting reference material are provided in NUREG-0650, "Technical Writing Style Guide," pub-lished in November 1979 (see Appendix A, pp.19 23, for specific guidance) and Supplement I dated February 1982. 8 Bibliurrapie Data Sheet P NRC Form 335 (Exhibit 7) shall be prepared and included in the camera-ready copy as the final right-hand page. B PATENT AND SECURITY REVIEWS i 1. Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor. The DOE Operations Office responsible for the contractor should perform the patent review. The results of such review shall be reported by the contractor on NRC Form 426A in item 11 (Exhibit 5). 2. Security Review in most cases, reports will be unclassified. Should a report of sen-sitive unclassified or classified work be required, however, the NRC project manager must work with the Division of Security to establish the appropriate classification procedures and inform the contractor. The standards for marking and handling such reports are given in Part V of this appendix and NRC Atspendix 2101. l Approved : Au gust 29, 1984 26 e h e ammuso ep e 9 ,,,,_.,e n ..---------.m-- ,, - +. -.-

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV C. PROCEDURES FOR PRINTING AND DISTRIBUTING 1. Prin ting Contractor reports may be printed only by a JCP authorized print-ing plant and then only if prepared for the NRC Office of Nuclear Regulatory Research. Reports printed by the contractor and one reproducible mas *~ shall be submitted to the Division of Technical Information and 1 ocument Control, with completed NRC Form 426A. The number of copies specified by the Statement of Work for stand-ard and incidental distribution shall be provided. The appropriate identifying number (NUREG/CR- ) may be obtained as dncussed m Section A.2.b. (1). 2. Reprintin g Requests for reprinting of any report et NRC expense subsequent to the initial printing requires approval of the Division of Technical Information and Document Control. The request shat melude a written justification and the project managers approval for the re-printing, along with address labels for the recipients. 3. Distribution of Reports Au copies of unclassified fomal contractor reports will be distr.b-uted by the Division of Technical Infomation and Document Control m accordance with instructions on NRC Form 426A (Fxhibit 5). NRC Fem 426A must be signed by a contractor official authorized by the project manager. Such authorization shau be reperted m writmg to the Division of Technical Information and Document Con trol. If any distribution is to be made other than, or m addits n to, the standard distribution established for the report, written just:fication and the project manager's approval for printing additional copies shau accompany the reproducible masters when submitted to the Division of Technical Infomation and Document Control. Address labels for the additional distribution must be supplied. The Division of Technical Infomation and Document Control will arrange automatic distribution of these reports to the NRC Docu-ment Control System, the NRC Pubbe Document Room, the National Technical Infomation Service (NTIS), the Government Prmtmg Office and the Depository Library Service. Distribution of sensitive (unclassified) and classified reports wiu be made by the NRC project manager on a case-by-case basis. 27 Approved : August 29, 1984

I PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART V REPORTS CONTAINING SENSITIVE UNCLASS!FIED AND CLASSIFIED INFORMATION A. APPLICABILITY These procedures and exhibits of this part apply to sensitive unclassi-fied and classified reports prepared by NRC contractors. These reports include those designated: Official Use only Limited Official Use Proprietary Infomation Safeguards Information Confidential Secret Top Secret only sufficient information is presented here to aid in the preparation of the properly marked covers, title pages, back covers and text pages. Details of the NRC Securitv Program and specific provisions for deter-mining when to use the markings exhibited ate contained in NRC Appendix 2101. The reports covered are defined as sensitive unclassified or classified. Sensitive unclassified infomation refers to information designated Official Use Only. Limited Officia) Use, and Proprietary Information. Sensitive unclassified information also includes Safeguards Infomation that must be protected from unauthorized disclosure pursuant to 10 CFR 73.21 and Section 147 of the Atomic Energy Act of 1954, as

amended, information withheld fro:n public dissemination under the Freedom of Infomation Act or Privacy Act, and information not to be exported to or disclosed to foreign countries.

Classified infomation as used in this part includes Restricted Da ta. Formerly Restricted Data or National Security Information that requires protection in one of the three classification categories described in Executive Order 12356: Top Secret, Secret or Confidential. The uses of each of the sensitive unclassified and classified categories and the markings required on reports are discussed and exhibited in the foDowing sections. All sensitive unclassified and classified reports are to be sent directly to the project manager. B. OFFICI AL USE ONLY AND LIMITED OFFICIAL USE INFORMATION. NRC regulations require an Official Use Only marking to be placed on a report only when the origmator or other holder believes the marking is 29 Approved: Aug ust y9,1984

PUBLICATION OF TECHN' CAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTOR $, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS essential to ensure proper handling. Reports designated Official Use Only will contam only unclassified information origmated by or furnished to an NRC contractor which.la to be withheld from public disclosure. The report on which the marking appears must be r viewed at the time a request for release ia, received to determine its releacability. The Official Use Only marking is notice of the originator's determination of the applica-bility of an exemption under the Freedom of Information Act or' Privacy Act or both at the time of origination. Offletal Use Only NRC contractor reports shall be marked as shown in Exhibits 8 through 10. Limited Official Use information is information originated by the U.S. Department of State. A report originated by an NRC contractor that contains Limited Official Use information shall be marked as shown in Exhibits 11 through 13. Procedures for reproducing, transmitting, p rotectin g, and handling reports contaming Official Use Only and Limited Official Use infomation and removing such reports from those categories are detailed m NRC Appendix 2101. C. PROPRIETARY INFORMATION Proprietary information is a specific type of Official Use Only tnforma-tien. Proprietary information includes: 1. trade-secrets. 2. privileged or confidential research, development, commercial or financial infomation exempt from mandatory disclosure under 10 CFR Part 2, "Rules of Practice for Domestic Licenstng Proceed-tngs," sections 2.740 and 2.790 and under 10 CFR Part 9. "Public Records," Section 9.5, "Exemptions." 3. infomation submitted in confidence to NRC by a foreign source, which has been detemined by NRC to be unclassified. I Unclassified NRC contractor reports containihr proprietary information shall be marked as shown in Exhibits 14 through 18. In each instance, I the optional wording that describes the material being presented should be selected. If a report contains both Official Use Only information and proprietary information, the front cover shall be marked as proprietary information and may 61so be marked as Official Use Only information, if necessary. Pages in the report that contain proprietary information may be marked accordingly, including, marginal or other indicators of tne specific wording that is proprietary. Similarily, the pages that cogitain Official Use Only information without proprietary information may be marked Official Use Only l Approved: August 29, 1984 30 I

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V Procedures for reproducing, transmitting, protecting and handling pro-prietary information reports and removing them from the proprietary infomation category are detailed in NRC Appendix 2101. A cover sheet (Exhibit 19) is to be placed on each hard copy of a report containing = proprietary information. D. SAFEGUARDS INFORMATION Safeguards information may be of three types: (1) classified informa-tion, which is marked and handled as indicated in Section E (2) un-classified information restricted under Section 147 of the Atomic Energy Act, which is marked and handled es described in this Section, and (3) unclassified information, which is publicly available and handled as indicated in Parts I through IV. The safeguards information that is to be protected as desenbed here is unclassilied information used in a report which specifically identifies certain licensee's or applicant's detailed: 1. security measures for the physi.:al protection of special nuclear material 2. secunty measures for the physical protection and location of certain plant equipment vital to the safety of production or utili::atten f acilities. Unclassified NRC contractor reports containing safeguards information that is to be protected shall be marked as shown in Exhibits 20 through 22 Procedures for reproducing, transmitting, protecting, and handling safe-guards infomation reports and removing them from the safeguards infomation category are detailed in NRC Appendix 2101. A cover sheet (Exhibit 23) is to.be placed on each hard copy of a report containing safeguards information. E. CLASSIFIED INFORMATION Classified information is limited to Restricted Data, Fomerly Restricted Data and National Security Information. The procedures for making classification determinations and for marking, reproducing, transmitting, protecting, and handimg reports containing classified information and removing such reports from classified categories are detailed in NRC Appendix 2101. These procedures are too complex for summaruing here. Classification determinations regarding NRC information may be made solely by authorized classifiers designated by NRC or DOE. Authorized c.lassifiers are responsible for insuring that reports they detemine to be classified are marked and protected in accordance with the provisions of NRC Appendix 2101. 31 Approved: August 29, 1984

PUBUCATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS It is important to note that information may not be classified in order to prevent or delay the release of information that does not require protection in the interest of national security. Basic scientific research information not claarly related to national security may not be classified. s Appmved: August 29,19H 32 i F f

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V EXHlBTT 8 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFP1CIAL USE ONLY j 1 NUREG'CR xxxx (5) Title Subtitle and Type of Report mi.. w,i.i

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3203 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 9 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFMc1AL USS ONLY NUREGICR xxxx ($1 Title s-..~ 1. e a-7% i .Y, 2:~:::OL-

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1.

V l EXHIBIT 10 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OmCIAL USE ONLY l 4 i OmCIAL USE ONLY l 35 Approved: August 29, 1984 _1_

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDFR OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 11 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING UMITED OFFICIAL USE INFORMATION UMMO OMCIAL USS NUREG'CA XMA ($1 Title Subtitle and Type Of Report ws IsNO nem c.-- m aoeo %com m i i l i l l UMmo omCtAL USE 1 l l Approved: August 29, 1964 36 i I i

l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTER AGENCY AGREEK4NTS Pm V .EXHISIT 12 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAIN!NG UMITED OFFICIAL USE INFORMATION UMfftD OMICLAL USE NUREG/CR XXXX (St Trtle Educes rd Twse of Aeoon m E.

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i PUBLICATION OF TECHNICAL RZPORTS PREPARED BY NRC Appendix 3808 NRC CONTRACTORS. IllCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS J i EXHIBIT 13 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFIC;AL USE INFORMATION uuiTao oF71ctAL ust i i I t t u MITan o rm ciAL u st ? Approved: Au gu s t 2's, 1984 33

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pa: t V EXHIBIT 14 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION MOPRIETARY INPORMATION Nunsota.xxxx e j Title Subtitle and Type of Report AnaharW.Senarts) Canvector Meeered kt u.s. w %.r, %.n M l'5f o? O M '!,0 50'8,'* "' W T;- - - XMVi~

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 15 SAMFLE COVER PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREl0N SOURCE P9t0MitTARY INPORM ATION NUREGCR xxxx iPi Title Subtitle and Type Of Report seuens N Regwatery Comm.eason . no., LT=T ~ t w a Ce==e= eg me=o e baaswi Z*~*E."# - -..v eriamuADfIncas W 0.tCL0tulut gm ye c,=. .o, PROPRitTARY INFORM ATION Approved: August 29,19H 40 6 -n-a--- . -,-- - - - -, ~- - - -,, y,___,m,,-,r.,-m-,, - - -,,.. -, - - ,,-r-,.. c

PUBLICATION OF' TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Par. ',' EXHIBIT 18 BAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.1). ORGANIZATION PROPRIETARY INPORMATION NUREGTR XXXX (Pi Title Sutmos art! Type of R.cm 7-,,,,,"','. C '? :*~ ~ i., o o*... v.i n.,... *2...., e....... nae n.. o zum ...t.. C 4eC a De 9 n 4 a e, as t eDe. tg,g. CET-.~a*.R @ *, f g % '.: 1 ".J wrtoucas paces PutoC DuSCL0 gust %rees Ise ye Gmes see, PROPRIET ARY INFO RM ATION 41 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 17 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING } PROPRIETARY INFORMATION OBTAINED FROM A *OREIGN SOURCE PRomufTARY INPORMATION NUREG/CR XXXX (M ) Title sutmoe w Type of Aeort 7-M*,"*r's -m W 684. rig.. 9 m'::::% RO

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l =n n 808In@e erecemaAflose M TaTc ~ c-Q.Q&*,Elk -,,,,- ~ - m - - w .c PROPRIETARY INFORMATION Approved: A ugu s t. 29, 1984 42 ,-..,o .,,,__,,,..,_,_,n, .,,,.,.._,,,..v,_. ,,m_, ...,w_.,,n,__ ,wm _ g. 4

l PUBLICATION OF TECHNICAL REPORTS PREPARED BY i NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 l UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Per y j 1 I EXHIBIT 18 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING 1 PROPRIETARY INFORMATION i i PftDPRIETARY IMPORMADON i l 4 i .l i I 1 1 1 i e i l PROPRIETARY BfP@nMADON i I i i 43 Approved: August 29, 1984

PUBLICATICN OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3808 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO fNTERAGENCY AGREEMENTS EXHIBIT 19 COVkA 3HEET POR REPORT CONTAINING PROPRIETARY INFORMATION PROPRIETANY INFORMATION l 8eCmC4 f U$ swsuoYesuc m vet

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l l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Annandiv 3707 Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT E SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION sAnouAnos uponuATx* NUREG/CR XXXX (SG) Title Subtitle and Type of Report gn~.> Mw-N - a-u er SAMOUARDS IMPORMATION 45 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3203 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 21 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING UNCt.ASSIFIED SAFtGUARDS INFORMATION sAmouAmos mpomuAnoes NUREGIC A.XXXX (SGI Title Succes and Type of Report h " "m M W.e arvn.g Conwnesseen u s. l SAF10UARDS INFORMADON Approved: August 29, 1984 46 l l l l f.

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED WRC Anoendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V EXHIBIT 22 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAMOUAADS IMPORMADON sAmouAnos impORMADON 47 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARXD Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBfT 3 COVER SHEET FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION 4.h k f, SAFEGUARDS INFORMATION s 9 I' p 'e THIS OOCUMENT CONTAINS INFORMATION WHICH MUST 2E PROTECTED FROM l UNAUTHORIZED OfSCLOSURL 10 CFM 73.21 AND SECTION 147. ATOMIC ENERGY ACT OF t994 APPLY. VIOLATONS ARE SUBJECT TO CML CH CRIMINAL PEMALTIES. THIS DOCUMENT IS NOT TO BE LEFT UNATTENDE3 OR ACCESSIBLE TO UNAUTHORlZED { PERSONS. WNEN NOT IN USE. IT MUST BE STORED IN A LOCKED SECURTTY STORAGE 1 CONTAINEM. IT IS YOUR RESPONSIBILITY TO PROTECT THE INFORMATION CONTAINED IN 'uS DOCUMENT FROM COMPROMISE. THEFT OR UNAUTHORIZED DISCLOSURL P 'a ) + t / \\ h l / SAFEGUARDS INFORMATION ~ ) T.~ Approved: August 29, 1984 i;3 1

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NF.C CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART VI HANDLING OF UNCLASS!FIED INFORMATION ON NRC COOPERATIVE-PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGAN 17.ATIONS AND WITH U.S. INDUSTRY The Nuclear Regulatory Commission has requested that its Program Offices establish, to the extent feasible, cooperative nuclear safety research programs that involve either or both U.S. industry and foreign governments and orga-n12ations. Such involvement includes monetary contributions, information exchange, and comments on program plans and results. This is authorized in 42 U.S.C. 5801. To this end, intarnational and U.S. industry agreements have been signed that provide for transmitting unclassified information from NRC to participants. These procedures apply only to NRC-managed work wt programatically funded by DOE. The interests of all NRC cooperative nuclear safety research program partici-pants are served best by early, rapid dissemination for comment of informa-tion on these programs developed for NRC by NRC contractors. This can be accomplished by distribution of "Draft Preliminary Reports (or Codes)" for comment for a specified period of time, followed by issue as form.al NUREG/CR reports, wl:h the concurrence of the participants. Specific procedures for accomplishing these goals and for transmitting information prepared by the NRC and DOE facilities and contractors and their subcontractors workint; on these programs are presented in the following sections. The procedures de-tailed here have been agreed to by DOE and have been provided to the responsible DOE Operations Officers and NRC Program and Project Managers as guidance. A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT The first issuance of information by a contractor shall be designated "Draft Preliminary Report (or Code)," snd shall include the cover sheet shown in Exhibit 24. The following notice is to be printed on the bottom of the cover sheet (Exhibit 24): NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN YHE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of Commission action It has not have received patent review and may con-tain information received in confidence. Therefore, the con-tents of this report should neither be disclosed to others nor reproduced, wholly or partially, unless written permission to do so has been obtained from the appropriate USNRC office. The recipient is requested to take the necessary action to ensure the protection of this report. 49 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3808 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS This notice has been agreed to by the legal staffs of both NRC and DOE and is not to be added to or changed. Any problem in this regard shall be brought to the attention of the NRC project manager, who will consult with the NRC legal staff. The "Draft Preliminary Report (or Code)" shall be submitted by first class or express mail by the contractor to the NRC project manager, .with the letter shown in Exhibit 25, in the number of copies specified by the project manager (in most instances this will be fewer than 20 copies) l The contractor (DOR facility, contractor or subcontractor or other coe j tractor) may retain copies only for internal use. DOE facilities and contractors and their subcontractors shall not distribute copies of this I draft report to DOE /TIDC. Draft reports may be distributed to interested 1 DOE program offices. Subsequent issues of the information shall also be designated "Draft Preliminary Report (or Code)" until the NRC project manager authorizes preparation of a NUREG/CR report. "Draf t Preliminary Reports (or Codes)" shall not be identified as NUREG/CR reports or carry any contractor report number or NRC dis-tribution codes. B. DISTRIBUTION BY NRC PROJECT MANAGERS The NRC project manager will distribute the copies received only to (1) the participants in the program, (2) the NRC staff with a need-to-know, and (3) others authorized by the program or project manager. Trans-mittal to participants shall be by first class or express mail, including air mail to foreign participants. If premium cost mail services are to be used, a Division Director or comparable or higher authority must certify to. the need on NRC Form 420, "Request for Premium Cost Mail S e rvice. " Premium cost mail is: l 1. Express Mail, Priority Mail (First Class weighing more than 12 ounces) 2. International Express Mail (Air Mail weighing more than 10 ounces) (See Chapter NRC-0255-058 and NRC Appendix 0255, Part V, Annex A) C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT A minimum of six months will be allowed for comments and resolution of comments. At the end of the comment period, the NRC project manager shall, with the concurrence of the participants, authorize the contractor to issue the information as a NUREG/CR report in accordance with the provisions of this Chapter. D. REPORT IDENTIFIERS The "Draft Preliminary Reports (or Codes)" will be uniquely identified only by the Financial Identification Number (FIN) assigned by NRC and Approved: August 29, 1984 50

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI the appropriate periodic notation, if any, included in the title (Ex-hibit 24). They shall not be given standard report nomenclature until the NRC project asnarer authorizes publication as a NUREG/CR report. At that time, the contractor may add its own designation below the NUREG/CR number, as shown in Exhibits 3 and 4. E. MAILING TO PROGRAM PARTICIPANTS The physical transmission of reports from NRC to program participants shall be handled by the Document Management Branch (DMB), Division of Technical Information and Document Control (TIDC), besed on address labels of participants supplied by the project manager. The transmittal sheet shown in Exhibit 26 shall be used to transmit the documents and the labels to DMB. F. SECURITY If information included in the report or code has been determined to be sensitive unclassified or classified information (see statement of work) the procedures of Part V also apply. The report (or code) may ng be classified solely for the purpose of limiting distribution to the partici-pants. 51 Approved: August 29, 1984

PUBLICATION OF TECNNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSU ANT TO INTER AGENCY AGREEMF.NTS_ EXHIBIT 24 SAMPLE COVER FOR A DRAFT PRELIMINARY REPORT (CODE) FOR COMMENT ORAIT PRELININARY REPORT (CODE) FOR CO M FIN NO. Title of Program Subtit10 for This Report, Including Appropriatt Periodic Notation, If Any (e.g., Fir;t Quarter, Issue No. 1) Prepared by (Name of DOE Facility, Contractor and/or Subcontractors, if any) for U.S. Nuclear Regulatory Comission l NOTICE THIS DRAFT PRELININARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in conte @lation of Ccanission action. It has not received patent review and may contain informAtion received in confidence. Therefore, the contents of this report should neither be disclosed to others nor reproduced, wholly or partially, unless written permission to do so has been obtained from the appropriate USNRC office. The recipient is requested to take the necessary action to ensure the protection of this report. Approved: August 29, 1984 52 l l

i PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI EXHIBIT 25 TRANSMITTAL LETTER FROM CONTRACTOR TO NRC PROJECT MANAGER FOR DRAFT PRELIMINARY REPORT TO: NRC Project Manager

SUBJECT:

ORAFT PRELIMINARY REPORT (CODE) ON (PROGRAM TITLE) FOR CO$NENT The enclosed "Draf t Preliminary Report (Code)" is being submitted for comment. It is our understanding that the comment period shall extend six months from the date of mailing of the draft to the participants. Upon resolution of the comments af ter that period aad with concurrence of the cooperative program participants, the NRC Program Manager will authorize publication of this report in the NUREG/CR series under the provisions of NRC Manual Chapter 1102 or 3202. DOE Facility or Contractor Representative 53 Approved: August 29, 1984

l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3303 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI EXHIBIT 26 TRANSMITTAL SHEET FOR REQUESTind MAILING TO COOPERATIVE PROGRAM PARTICIPANTS Recipie'nts: Addresses on attached labels Method of Mailing: C/ First Class Postal Service to U. S. addresses I C/ Expre s mail to U. S. addresses

l l

C/ Air mail to foreign addresses

C/ Surface mail to foreign addresses (may require up to three (3) months)

Tl!!S MAILING CONTAINS NO PROPRIETARY INFORMATION OR OTHER SENSITIVE UNCLASSIFIED INFORMATION Special Instructio'ris: Individual R6 questing Mailing:

Enclosures:

1 Address labels 2. Documents to be mailed

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

I 1. Express Mail, Priority Mail (First Class weigting more than 12 ounces) 2. Intenational Express Mail ( Air MaB weighing more than 10 ounces) (See Chapter NRC 0255-058 and NRC Appendix 0255, Part V, Annex A) l l l 9 Approved: August 29, 1984

s s

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8. #aCF sTs F EE C. TOTAL FPI OTMER rseves/s;

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16. N AME A NO T a T LE (Types 16 N A M E O F F i A W 17 SiGNATwag

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IAI[sYC a IIS f tti 1 s

i ATTACHMEhT 4 STANDARD FORM 1411 WITH INSTRUCTIONS 1. SF 1411 provides a vehicle for the offeror to submit to the Government a Pricing proposal of estimated and/or incurred costs by contract line item with supporting in forination, adequately cross-referenced, suitable for detailed analysis. A cost-element breakdown, using the applicable femat prescribed in 7A. 8 or C below, shall be attached for each proposed line item and est reflect any specific requirements established by the s Contracting Officer. Supporting breakdowns must be furnished for each cost element, consistent with offeror's cost accounting system. Idhen more than one contract line item is proposed, summary total amounts covering all line items est be furnished for each cost element. If agreement has been reached with Government representatives on use of fonvard pricing rates / factors, identify the agreement, include a copy, and describe its nature. Depending on offeror's system, breakdowns shall be provided for the following basic etements of cost, as applicable: Materials - Provide a consolidated priced summary of individual material quantities included in the various tasks, orders, or contract line items bein proposed and the basis for pricing (vendor quotes, invoice prices, etc.. Subcontracted Items - Include parts, components, assemblies, and services that are to be produced or perforined by others in accordance with offeror's design, specifications, or direction and that are applicable only to the prime contract. For each subcontract over $500,000, the support should provide a listing by source, item quantity, price, type of subcontract, degree of competition, and basis for establishing source and reasonableness of price, as well as the results of review and evaluation of subcontract proposals when required by FAR 15.806. Standard Connercial Items Consists of items that offerer normally fabricates, in whole or in part, and that are generally stocked in inventory. Provide an appropriate explanation of the basis for prfeing. If price is based on cost, provide a cost breakdown; if priced at other than cost, provide justification for exemption from submission of cost or pricing data, as required by FAR 15.804-3(e). Interorganizational Transfer (at other than cost) - Explain pricing method used. (See FAR 31.205-26). Raw Material - Consists of unterial in a fors or state that requires further processing. Provide priced quantities of items required for'the proposal. Purchased Parts - Includes material items not covered above. Provide priced quantities of items required for the proposal. Interorganizational Transfer (at cost) - Include separate breakdown of cost by element. o (

Direct Labor - Provide a time-phased (e.g., monthly, qua rterly, etc.) breakdown of labor hours, rate *. and cost by appropriate categsry, and furnish bases for estimates. Indirect Costs - Indicate how offeror has computed and applied offeror's indirect costs, including cost breakdowns, and showing trends and budgetary data, to provide a basis for evaluating the reasonableness of proposed rates. Indicate the rates used and provide an appropriate explanation. Other Costs - List all other costs not otherwise included in the categories described above (e.g., special tooling, travel, computer and consultant services, preservation, packaging and packing, spoilage and rework, and federal excise tax on finished articles) and provide bases for pricing. Royalties,- If more than $250, provide the following information on separate page for each separate royalty or license fee: name and address of licensor; date of license agreement; patent numbers, patent application serial nusbers, or other basis on which the royal ty is payable; brief description (including any part or model nusbers of each contract ites or component on which the royalty is payable); percentage or dollar rate of royalty per unit; unit price of contract item; nusber of units; and total dollar amount of royalties. In addition, if specifically requested by the Contracting Officer, provide a copy of the current license agreement and identification of applicable claims of specific patents. (See FAR 27.204 and 31.205-37). facilities Capital Cost of Money When the offeror elects to claim facilities capital cost of money as an allowable cost, the offeror mst submit Forn CAS8-CMF ard show the calculation of the proposed amount (see FAR 31.205-10). 2. As part of the specific information regirired, the offeror must submit with offeror's proposal, and clearly identify as such, cost or pricing data (that is, data that are verifiable and factual and otherwise as defined at FAR 15.801). In addition, submit with of fe-- 's proposal any information reasonably required to explain offeror's estimating process, including; a. The judgmental factors applied and the mathematical or other methods used in the estimate, including those used in projecting from known data; and b. The nature and amount of any contingencie included in the proposed price. 3. There is a clear distinction between submitting cost or pricing data and merely making available books, records, and other documents without identification. The requirement for submission of cost or pricing data is met when all accurate cost or pricing data reasonably available to the offeror have been submitted, either actually or by specific identification, to-the Contracting Officer or an authorized represeM,ative. As later information comes into the offeror's possession, it should be promptly subattted to the Contracting Officer. The requirement for submission of cost or pricing data continues to the time of final agreement on price, i l ...m. _.....,.-_,.,-....,.,,,,y_

e 4. In submitting offeror's proposal, offerer must include an

index, appropriately referenced, of all the cost or pricing data and information accompanying or identified in the proposal.

In addition, any future additions and/or revisions, up to the date of agreesunt on price, eust be annotated on a supplemental index. 4 5. By submitting offeror's proposal, the offeror, if selected for negotiation, grants, the Contracting Officer or an authorized representative the right to examine those books, records, documents, and other supporting data that will permit adequate evaluation of the proposed price. This right may be exercised at any time before award. 6. As soon as practicable after final agreement on price, but before the award resalting from the proposal, the offerer shall, under the conditions stated in FAR 15.804-4, submit a certificate of Current Cost or Pricing Data. 7. Headings for Submission of Line-Ites Summaries: A. New Contracts (inciuding Letter contracts). Proposed Contract Proposed Contract Cost Elements Estimate-Total Cost Estimate-Unit Cost Reference (1) (2) (3) (4) Unde' Column (1) - Enter appropriate cost elements. Urider Column (2) - Enter those necessary and reasonable costs that in offeror's judynent will properly be incurred in efficient contract performance. When any of the costs in this column have already been incurred (e.g., under a letter contract or unpriced order), describe them on an attached supporting schedule. When preproduction or startup costs are significant, or when specifically requested to do so by the Contracting Officer, provide a full identification and explanation of them. Under Column (3) - Optional-unless required by the Contracting Officer. Under Column (4) - Identify the attachment in which the infomation supporting the specific cost element may be found. Attach separate pages as necessary. g I

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

Under Column (1) - Enter appropriate cost elements.

Under Column (2) - Include (i) current estimates of what the cost would l have been to complete deleted work not yet perfonned, and (ii) the cost of deleted work already perfonned. Under Column (3) - Include the incurred cost of deleted work already performed, actually computed if

possible, or estimated in the f

Contractor's accounting rtcords. Attach a detailed inventory of work, naterials,

parts, components, and ha ri..sa re already purchased, manufactured, or perfonned and deleted by the change, indicating the cost and proposed disposition of each line item.

Also, if offeror desires to retain these itees or any portion of them, indicate the I amount offered for them. Under Colum (4) - Enter the net cost to be deleted which is the l estimated cost of all deleted work 12ss the cost of deleted work already perforced. Colum (2) less Column (3) = Column (4). 1 Under Coluirr (5) - Enter the offeror's estimate fo'r cost of work added by the change. When nonrecurring costs a re significant, or when l l specifically requested to do so by the Contracting Officer, provide full l l identification and explanation of them. Under Column (6) - Enter the net cost of change which is the cost of work added, less the net cost to be deleted. When this result is negative, place the amount in parentheses. Column (4) less Colum (5) = colum (6). Under Colum (7) - Identify the attachment,in which the information supporting the specific cost element may be found. Attach separate pages as necessary. 9

i C. Price Revision / Redetermination Number of Number of Redetermina-Units - Units To 8e contract tion Proposal Cutoff Date Completed Completed Amount Amount Difference (1) (2) (3) (4) (5) (6) Incurred Incurred Incuriwd Cost-Cost-Cost-Total Estimated Cost Preproduc-Completed Work In Incurred Cost To Estimated Elements tion Units Process Cost Complete Total Cost Reference (7) (8) (9) (10) (11) (12) (13) (14) Under Column (1) - Enter the cutoff date required by the contract, if applicable. Under Co.lumn (2) - Enter the number of units completed during the period for which experienced costs of production are being submitted. Under Column (3) - Enter the nusber of units remaining to be completed under the contract. Under Colum (4) - Enter the cumulative contract ' amount. Under Column (5) - Enter the offeror's redetermination proposal amunt. Under Column (6) - Enter the difference between the contract amount and the redetermination proposal amount. When this result is negative, place the amount in parenthesis. Column (4) less Column (5) = column (6). Under Column (7) - Enter appropriate cost elements. When residual inventory

exists, the final costs established under fixed-price-incentive and fixed-price-redeterminable arrangements should be net of the fair market value of such inventory.

In support of subcontract costs, submit a listing of all subcontracts subject to repricing action, annotated as to their status. Under Coluem (8) - Enter all costs incurred under the contract before starting production and other nonrecurring costs (usually referred to as i startup costs) from offferor's books and records as of the cutoff date. These include such costs as rearrangement, training propras,preproduction engineering, special plant and any identifiable nonrecurring costs such as initial rwwork, spoilage, pilot runs, etc. In the event the ascunts are not segregated in or otherwise available from offeror's records, enter in this column offerwr's best estimates. Explain the basis for each estimate and how the costs are charged o.. offeror's accounting records

(e.g., included in production costs as direct engineering labor, charged to manufacturing overhead, etc.). Also how the costs would be allocated to the units at their various states of contract completion. Under Colums (9) and (10)' - Enter in Column (9) the production costs from offeror's books and records (exclusive of preproduction costs reported in Colum (8) of the units completed as of the cutoff date. Enter in Column (10) the costs of work in process as determined from offeror's records or inventories at the cutoff date. When the amounts for work in process are not available in contractor's records but reliable estimates for them catrte made, enter the estimated amounts in Colum (10) and enter in Column (9) the differences between the total incurred costs (exclusive of preproduction. costs) as of the cutoff date and these estimates. Explain the basis for the estimates, including identification of any provision for experienced or anticipated allowances, such as shrinkage, rework, design changes, etc. Furnsth experienced unit or lot costs (or labor hours) from inception of contract to the cutoff date, taprovement curves, and any other available production cost history pertaining to the item (s) to which of feror's proposal relates. Under Column (11) - Enter total incurred costs (Total of Colums (8), (9), and (10)). Under Colum (12) - Enter those necessary and reasonable costs that in Contractor's judgment will properly be incurred in completing the remaining work to be performed under the contract with respect to the itee(s) to which Contractor's przposal relates. Under Colum (13) - Enter total estimated cost (Total of Colums (11) and (12)). Under Colum (14) Identify the attachment in which the information supporting the specific cost element may be found. Attach separate pages as necessa ry. i a}}

ML20150B158

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ML20150B158

Text

Background

SUBJECT:

Enclosures:

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