ML20151R768

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Contract: Technical Support for NDE Van, Awarded to Tet,Inc
ML20151R768
Person / Time
Issue date: 04/15/1988
From: Payne D, Thompson R
NRC OFFICE OF ADMINISTRATION & RESOURCES MANAGEMENT (ARM), TET, INC.
To:
Shared Package
ML20151R714 List:
References
CON-FIN-B-8370, CON-NRC-28-88-269 NUDOCS 8804280087
Download: ML20151R768 (146)


Text

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. AWARD / CONTRACT OMB No. 0505-0005 Expiration Date: 05/31/88

1. THIS CONTRACT IS A RATED ORDER UNDER OPAS (15 CFR 350)
1. RATING: N/A
2. CONTRACT N0. 3. EFFECTIVE DATE 4. REQUISITION / PROJECT NO.

NRC- 28-88-269 04/15/88 RG1-88-269

5. ISSUED BY Code: 6. ADMINISTERED BY Code:

(If other than Item 5)

U.S. Nuclear Regulatory Commission U.S. Nuclear Regulatory Commission Divistor of Contracts Division of Contracts (AR-2223)

Mail Stop AR-2223 Contract Administration Branch Washington, DC 20555 Washington, DC 20555

7. NAME AND ADDRESS OF CONTRACTOR 8. DELIVERY TET, Inc. ( ) F08 ORIGIN 4234 Halls Mill Road ( ) OTHER Mobile Alabama 36609 (See Section F)
9. DISCOUNT FOR PROMPT PAYMENT N/A Duns Code: N/A Facility Code:
10. SUBMIT INVOICES (4 copies unless otherwise specified) TO THE ADDRESS SHOWN IN ITEM: 12
11. SHIP T0/ MARK FOR 12. PAYMENT WILL BE MADE BY Code: U.S. Nuclear Regulatory Commission -

If applicable, Division of Accounting and Finance see Section D GOV /COM Accounting Section of the Schedule Washington, DC 20555 Code:

13. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION

( ) 10 U.S.C. 2304(c)( ) (X) 41 U.S.C. 253(c) (5 )

14. ACCOUNTING AND APPROPRIATION DATA Appro. 31X0200.918 B&R No. 91-19-20-01-4 Fin. No. B8370 15A. ITEM ISB. SUPPLIES / 15C. QUANTITY 150. UNIT ISE. UNIT 15F. AMOUNT NO. SFRVICES PRICE Your proposals dated December 28, 1987 and as amended i on February 22, 1988 and as further revised on March  !

11, 1988 is hereby incoporated by this reference into this cost plus-fixed-fee task ordering type contract, 1

$ 198,700.28

( 15G. TOTAL AMOUNT OF CONTRACT APPROVED BY GSA/0!RM 6/85 STANDARD FORM 26 (Rev. 4-85) i FAR(48 CFR) 53.214(a) 8804280087 880415 PDR C ONTR l NRC-28-88-269 PDR L

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. AWARD / CONTRACT

16. TABLE OF CONTENTS PART/SECTION DESCRIPTION PART I - THE SCHEDULE 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 PERFORMANCE 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 OFFERORS CONTRACTING OFFICER WILL COMPLETE ITEM 17 OR 18 AS APPLICABLE
17. (X) CONTRACTOR'S NEGOTIATED AGREEMENT (Contractor is required to sign this document and return 2 copies to issuing office.) Contractor agrees to furnish and deliver all items or perform all the services set forth or otherwise identified above and on any continuation sheets for the consideration stated herein. The rights and obligations of the parties to this contract shall be subject to and governed by the following documents: (a) this award / contract, (b) the solicitation, if any, and (c) such provisions, representations, certifications, and specifications as are attached or incorporated by reference herein. (Attachments are listed herein.)
18. () AWARD (Contractor is not required to sign this document.) Your offer on Solicitation Number , including the additions or changes made by you which additions or changes are set forth in full above, is hereby accepted as to the items listed above and on any continuation sheets. This award consummates the contract which consists of the following documents: (a) the Government's solicitation and your offer, and (b) this award / contract. No further contractual document is necessary.

to.vid F. Ibvrg. Sr. V- P 19A. NAME AND TITLE OF SIGNER 20A. NAME OF CONTRACTING 0FFICER (Type or print)

Ronald D. Thompson TE_l. 1 60 198 NAME OF CONT R 20B ~ TED STATE OF AMERICA by ( a . b WIN ~

LTD2 (Signature of person auth rized to sign) (STg,ni,tureffCcntradfingOfficer) 19C. DATE SIGNED 20C DATE SIGNED V'\ ' M Q,L \( l4 W~~

I EXCEPTION TO STANDARD FORM 26 APPROVED BY GSA/0IRM 6/85

6 i TABLE OF CONTENTS PAGE 3 SOLICITATION, OFFER AND AWARD. . . . . . . . . . . . . . . . . . . . 1 TABLE OF CONTENTS. . . . . . . . . . . . . . . . . . . . . . . . . . 3 SECTION B - SUPPLIES OR SERVICES AND PRICE / COSTS . . . . . . . . . . 6 8.1 BRIEF DESCRIPTION OF WORK (MAR 1987). . . . . . . . . . . . 6 ALTERNATE I (MAR 1987) 8.2 CONSIDERATION AND OBLIGATION--TASK ORDERS (MAR 1987). . . . 6 SECTION C - DESCRIPTION / SPECIFICATION. . . . . . . . . . . . . . . . 8

/ WORK STATEMENT C.1 STATEMENT OF WORK (MAR 1987). . . . . . . . . . . . . . . . 8 C.2 T RAV E L ( MAR 19 87 ) . . . . . . . . . . . . . . . . . . . . . 14 4 SECTION D - PACKAGING AND MARKING. . . . . . . . . . . . . . . . . . 15 0.1 PACKAGING AND MARKING (MAR 1987). . . . . . . . . . . . . . 15 SECTION E - INSPECTION AND ACCEPTANCE. . . . . . . . . . . . . . . . 16 E.1 CLAUSES INCORPORATED BY REFERENCE ............ 16 (FAR 52.252-2) (APR 1984)

SECTION F - DELIVERIES OR PERFORMANCE. . . . . . . . . . . . . . . . 17 F.1 CLAUSES INCORPORATED BY REFERENCE . . . . . . . . . . . . . 17 (FAR 52.252-2) (APR 1984)

F.2 PREPARATION OF TECHNICAL REPORTS (MAR 1987) . . . . . . . . 17 F. 3 TECHNICAL PROGRESS REPORT (MAR 1987). . . . . . . . . . . . 17 .

F.4 FINANCI AL STATUS REPORT (MAR 1987). . . . . . . . . . . . . 18 F.5 PLACE OF DELIVERY--REPORTS (MAR 1987) . . . . . . . . . . . 18 F.6 DURATION OF CONTRACT PERIOD (MAR 1987) . . . . . . . . . . 19 ALTERNATE I (MAR 1987)

F.7 TECHNICAL REPORTS . . . . . . . , . . . . . . . . . . . . . 19 F.8 BUSINESS REPORTS. . . . . . . . . . . . . . . . . . . . . . 19 F.9 10 CFR PART 170 FEE RECOVERY REPORTING REQUIREMENT . . . . . 20 SECTION G - CONTRACT ADMINISTRATION DATA ............. 21 G.1 INDIRECT RATES (MAR 1987) . ..... . . . . . . . . . . 21 G.2 PROJECT OFFICER AUTHORITY (MAR 1987). . . . . . . . . . . . 21 G.3 TRAVEL REIMBURSEMENT (MAR 1987) . . . . . . . . . . . . . . 23 l G.4 REMITTANCE ADDRESS (MAR 1987) . . . . . . . . . . . . . . . 24 G.5 TASK ORDER PROCEDURES (MAR 1987). . . . . . . . . . . . . . 24 G.6 ACCELERATED TASK ORDER PROCEDURES (MAR 1987). . . . . . . . 25 i

SECTION H - SPECIAL CONTRACT REQUIREMENTS. . . . . . . . . . . . . . 27 H.1 KEY PERSONNEL (MAR 1987). . . . . . . .......... 27 H.2 SAFETY, HEALTH, AND FIRE PROTECTION (MAR 1987). . . . . . . 28 l H.3 DISSEMINATION OF CONTRACT INFORMATION (MAR 1987). . . . . . 28 H.4 PRIVATE USE OF CONTRACT INFORMATION AND DATA (MAR 1987) . . 28 H.5 DRAWINGS, DESIGNS, AND SPECIFICATIONS (MAR 1987). . . . . . 28 H.6 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST . . . . . . 29 (OMB CLEARANCE NUMBER 3150-0112) (MAR 1987)

H7 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY (MAR 1987). . . . . 31 l PART II - CON TRACT C LAUS ES . . . . . . . . . . . . . . . . . . . . . 32 l

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t n TABLE OF CONTENTS PAGE 4 SECTION I -

CONTRACT CLAUSES . . . . . . . . . . . . . . . . . . . 32

. I.1 CLAUSES INCORPORATED BY REFERENCE . . . . . . . . . . . . 32 (FAR 52.252-2) (APR 1984)

I.2 ANTI-KICKBACK PROCEDURES (FAR 52.203-7) . . . . . . . . . . 33 I.3 ORDERING (FAR 52.216-18) (APR 1984) . . . . . . . . . . . . 35 I.4 DELIVERY-0RDER LIMITATIONS. . . . . . . . . . . . . . . . . 35 (FAR 52.216-19) (APR 1984)

I.5 INDEFINITE QUANTITY (FAR 52.216-22) (APR 1984). . . . . . . 36 I.6 PAYMENT FOR OVERTIME PREMIUMS . . . . . . . . . . . . . . . 37 (FAR 52.222-2) (APR 1984)

I.7 PROMPT PAYMENT (52.232-25) (FEB 1988) . . . . . . . . . . . 37 ALTERNATE II (FEB 1988)

PART III - LIST OF DOCUMENTS, EXHIBITS . . . . . . . . . . . . . . . 43 AND OTHER ATTACHMENTS SECTION J - LIST OF ATTACHMENTS. . . . . . . . . . . . . . . . . . . 43 J.1 ATTACHMENTS (MAR 1987) . . . . . . . . . . . . . . . . . . . 43 l

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. NRC-28-88-269 Secticn B ib s

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

ALTERNATE f (MAR 1987)

a. Brief description of work:

Technical Support of Region 1 Non-Destructive Examination Van. On a task order basis, the Contractor shall provide personnel with expertise in the field of non-destructive examination and a radiographic isotope source to perform field non-destructive examinations at nuclear power plants under construction or in operation anywhere in the United States,

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 provisions of this contract shall govern all task orders issued hereunder.

(End of Clause)

B.2 CONSIDERATION AND OBLIGATION--TASK ORDERS (MAR 1987)

a. The total estimated amount of this contract (ceiling) for the products / services ordered, delivered, and accepted under this contract is $198,700.28. 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 contract is $100,000.00. 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 obligsted amount shall, at no time, exceed the contract ceiling as specified in paragraph A above. When and if the amount (s) paid and payable to the Contractor hereunder shall equal the obligated amount, the Contractor shall not be obligated to continue performance of the work unless and until the Contracting Officer shall increase the amount obligated with respect to this contract. Any work undertaken by the Contractor in excess of the obligated amount specified above is done so at the Contractor's sole risk.

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PAGE 7 NRC-28-88-269 Section B

c. A total estimated cost and fee, if any, will be negotiated for each task order and will be incorporated as a ceiling in the resultant task order. The Contractor shall comply with the provisions of 52.232 Limitation of Cost for fully funded task orders and 52.232 Limitation of Funds for incrementally funded task orders, issued hereunder.

(End of Clause) i I

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'PAGE 8 NRC-28-88-269 Section C SECTION C - DESCRIPTION / SPECIFICATION

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

C.1.1. Introduction The Nuclear Regulatory Commission (NRC) has a continuing need to examine programs and policies that enhance its primary mission to protect public health and safety, safeguard nuclear materials, maintain environmental quality and ensure conformance with antitrust laws; all as related to the peaceful uses of atomic energy by organizations over which the t!RC has jurisdiction. The NRC Region I office (King of Prussia, Pennsylvania) requires the services of a non-destructive (NDE) contractor to support the NRC activities of the independent measurements inspection program for NDE.

C.1.2. Background The NRC performs routine inspectior.s at nuclear power facilities--which are operating or under construction--to assess safety in accordance with NRC regulations. As part of this program, the NRC has established a direct i'ispection verification program, using r.on-destructive examinations of selected components at these facilities. This program includes both a routine random selection and examination of components and piping and reactive examinations of areas where piping defects or other component failures have occurred, materials alleged to be defective and controversial areas where independent reexamination is needed to resolve problems.

The NRC has purchased and equipped a van to perform non-destructive examinations at licensee's facilities. The van has a dark room for hand processing and interpreting radiographic film. The van is equipped with X ray film, cassettes, penetrameters, lead shielding,

isotope storage cabinet and all items necessary to perform

! radiography except for an isotope source and camera. The van includes a prod method - P90 Magnaflux machine and two Y-5 and Y-6 yxes to perform visible dye, solvent removable and fluorescent liquid penetrant examinations and all required equipment to perform ultrasonic examinations, t The van is outfitted with water storage, water heater, cooler and l necessary holding tanks for the rad agraphic needs. It is equipped l with a 6.5KW generator to operate all of the equipment, including necessary heating and coolino of the van.

PAGE 9 NRC-28-88-269 Section C

- The examinations are done following detailed NRC work procedures (supplied to the contractor by NRC prior to each inspection) in coordination with NRC inspectors who have the authority and ,

responsibility for performing the inspection activity. NRC inspectors coordinate the examinations with the facility licensee and his architect / engineers or contractors. NRC makes arrangements with the facility licensee for contractor employees' authorized access to the site. The contractor personnel must meet the requirements outlined in Enclosure 1 to this Section C. NRC personnel will be responsible for all transportation of the van and equipment to support the inspection, except the isotope and camera.

Contractor personnel will have no responsibility for driving the van. NRC issues the inspection report to the facility license holder.

C.1.3. Contract Objectives On a task order basis, the contractor shall provide services basti on technical expertise in the fields of non-destructive examinition.

The contractor must have the flexibility and capability of accepting work assignments on short notice, must have a good understanding of the issue from a brief task order provided by NRC, shall complete assigned tasks on a timely basis, and provide clear, concise oral and written reports cf work accomplished. The non-destructive examination requirements include ultrasonic testing (UT), liquid penetrant (PT), magnetic particle (MT), and radiographic testing (RT) to demonstrate corformance with the American Society of Mechanical Engineers (ASME) Bciler and Pressure Vessel Code and the American Welding Society's (AWS) Structural Welding Code, D1.1.

C.1.4. Scope of work This is a task order contract under which all task orders will be issued at the sole option of the NRC Contracting Officer. Refer to Section G for task. order procedures.

l The contractor shall supply technically trained personnel and a radiographic isotope source to perform field non-destructive examinations at nuclear power plants under construction or in operation anywhere in the United States. These examinations will be cerformed in accordance with industry recognized codes as directed by the NRC.

Normally, these examinations will be scheduled one to two months in advance. Upon occasion, there will be a reactive effort, i.e., an unplanned inspection performed spontaneously in response to an incident. For those, the site location, time of examination and extent of reactive examinations may be supplied as few as five (5) work days before inspection is to commence.

l t C.1.4.1. Equipment Requirements The coetractor shall supply a licensed Iridium-192 isotope source with udiographic camera. The source shall have a nominal activity of 100 curies, + 5 curies, strength with an effective focal size no

PAGE 10 NRC-28-88-269 Section C greater than .1 inches by .1 inches. The contractor shall possess a valid license for possession, handling and transport of the source pursuant to 10 CFR Part 34. The contractor retains the responsibility for the safe control of the source and its use in accordance with state and federal regulations.

The contractor is responsible for shipment of the source to the designated inspection site, for receist and handling of the source at the site. Title of the source shall vest in the contractor following completion of each inspection activity. In consideration of said transfer title, the contractor will utilize its own parts and equipment for use and performance under the contract. Safe storage of the source during non-use at the site will be provided by the NRC in a safe in the van.

The contractor will make the necessary arrangements to comply with licensee insurance and liability requirements. The contractor is responsible for compliance with local tax, employment regulations and licensing use of isotope.

C.1.4.2. Personnel Requirements and Qualifications The contractor shall supply a team of non-destructive examination technicians, nominally composed of two qualified individuals. One of the two technicians shall be a Licensed Radiographer qualified to transport and expose the source. The Radiographer must also be qualified to expose film, develop filn, and interpret the radiographic results, using the van ard NRC supplied equipment (except the isotope source which is tc be provided by the contractor) and must be qualified currently as a Level II SNT-TC-1A*

in the following methods: RT-PT-MT (it is preferable that this

. individual have five years or more or current experience). The Radiographer shall be thoroughly trained in radiation safety practices as prescribed by 10 CFR 34 of the Code of Federal Regulations and shall be capable of making ASME III, V, and XI Code acceptable radiographs.

The second NDE technician shall be trained and qualified to perform magnetic particle, liquid penetrant, aad visual examinations. This individual shall have the necessary training to perform visual weld examinations and shall be certified as an AWS Welding inspector or equivalent. (Minimum qualification of Level II SNT-TC-1A (Society for Non-Destructive Testing) in the RT-PT-MT methods with preferably five years or more of current experience).

The contractor is responsible for assuring that the above two technicians report to the designated site on the date and at the time specified in each individual Task Order.

The contractor shall be capable of replacing the aforementioned technicians, one or both, with one or two technicians capable of performing ultrasonic examinations in accordance with the ASME III, V and XI Codes or the AWS 01.1 Code. These technicians shall be qualified SNT-TC-1A, Level II.

, a PAGE 11 NRC-28-88-269 Section C The contractor shall assure that there are no existing or past

. agreements between any employee and the licensee for which as issue exists that might infer a real or apparent conflict of interest (See Section J for a list of Attachments to this contract).

Technicians performing under this contract will be required to have an annual physical examination and to provide certification from a physician that they are fit for duty, including a statement from the physician that the technician has been found mentally able to wear respiratory equipment. Technicians will be subject to licensee fitness for duty programs, including testing for drug use, including testing for drug use and all other licensee access requirements established as a condition for unescorted access to the facility to be inspected. In addition, the contractor shall certify to the NRC for each technician performing under this contract, that to the contractor's knowledge the technician does not possess adverse character traits or any indication of aberrant behavior and that trustworthiness has been determined by review of the technicians employment record.

C.1.4.3 Work Requirements The isotope source and the qualified individuals cited in C.1.4.1 and 0.1.4.2 a' cove shall be provided at the site specified in each task order. As stated above, examinati9ns are expected to be scheduled by the NRC 1 to 2 months in advance. However, on occasion, the technicians with isotope source shall be required to report to the NRC location on-site as few as five (5) days after notification. The technicians should be prepared to work in an operating nuclear power facility or at a construction facility. The work hours may vary from 8 to 12 hours1.388889e-4 days <br />0.00333 hours <br />1.984127e-5 weeks <br />4.566e-6 months <br /> a day, on any shif t, and on weekends. The technicians may also be required to work in contaminated and/or radiation controlled areas in nuclear power facilities. Contractor personnel must meet all requirements outlined in Enclosure 1 to this Section C.

C.1.4.4 Inspection Effort The isotope source and the qualified personnel cited in C.I.4.1 and C.1,4.2 are to be supplied for approximately 7 inspections per year.

Each inspection requires approximately twelve consecutive days on-site.

The contractor shall be capable of performing anywhere in the contiguous United States at construction and operating nuclear power plants under the jurisdiction of the NRC. (See Enclosure 2 of this Section C).

C.1.4.5 Public Hearing Testimony The contractor may, at the NRC's discretion and upon issuance of a task order, be required to travel to hearings and provide testimony as an expert witness in conjunction with inspection activities performed. The contractor must specify how employment agreements are structured to provide for this requirement particularly in the

PAGE 12 NRC-28-88-269 Section C event that an employee needed for testimony has terminated service in the interim.

C.2 Meetings and Travel Prior to any trips taken during the period of performance under this contract, the contracter shall obtain verbal or written approval of the NRC Project Officer.

C.2.1 Contract Orientation Meeting The contractor shall meet with the NRC Project Officer, and other NRC personnel at the NRC. Project Officer's discretion, at the NRC facility in King of Prussia, Pennsylvania for a one-day orientation conference within 14 days after the effective date of this contract.

C.2.2. Travel Each Task Order will specify all locations required for performance of work as detailed in eac5 Task Order.

C.3 NRC Furnished Equipment and Material / Proprietary Information The NRC will provide use of its equipped non-destructive examination vari as detailed in Section C.1.2 of this contract.

The NRC will furnish copies of basic non-destructive examination procedures to the contractor at the orientation meeting (see Section C.2). Supplements to the basic procedures containing plant specific procedures will be made available prior to each inspection and will be posted in the van. All materials, reports, procedurer, drawings or other material supplicd by the NRC or the licensee are considered proprietary and may not be copied or released without written permission of the NRC Project Office. All proprietary materials (including reproduced copies) acquired during the course of each inspection will be returned to the NRC Project Officer and will be retained by NRC Region I for back-up information and proprietary review.

C.4 Quality Assurance Program All work performed under this contract shall be in accordance with the Contractor's quality assurance program which shall be required to meet the applicable requirements of 10 CFR 50, Appendix B, Quality Assurance.

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PAGE 13 NRC-28-88-269 Section C ENCLOSURE 1 to SECTION C Access to the facilities identified in Enclosure 2 is controlled by the policy of the owner organization. To facilitate access, the following is required for each. contractor participant:

1. A valid license authorizing radiography at temporary job site.
2. An Operating and Emergency Procedure Manual.
3. NDE Certification records with copy of current eye examination.
4. Though some radiation exposure is expected, the contractors will l be limited to 1.250 rem per quarter. A current NRC Form 3 and Form l 4 for each contractor should be made available to the NRC Project Officer prior to commencement of work on this project.
5. A description of the radiographic exposure device (s) and the receipt record and record of the most recent leak test for the sealed source (s) contained therein.
6. A description of the survey instrument (s) and a record of its l

most recent calibration.

! 7. Certification that radiographers and assistants have completed site Radiation Protection Training prior to commencing radiography.

l It will be required at most facilities that the technicians be trained, qualified and tested by each licensee before entry is granted to the plant site.

8. A written statement from the radiographers as to total pocket dosimeter reading since last film Sadge reading.
9. Record of Annual Physical Examination Statement certifying j technician's physical ability to woar respiratory equipment.

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10. Plant access letter (prepared by NRC).

Upon receipt of evidence of all of these specifications, the NRC Project Officer will request authorized access to the facilities indicated in Enclosure 2.

Contractor personnel must adhere to all security and safety procedures and practices implemented by the owner organization.

(End of Clause) 1

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. NRC-28-88-269 Section C C.2 TRAVEL (MAR 1987)

a. ~All domestic travel requires the prior approval of the ~

Project Off.icer.

b. All foreign travel must be approved in advance by the NRC on NRC Form 445 and,shall be in compliance with 52.247-63 Preference .

For U.S. Flag Air Carriers.

(End of Clause) 2 W

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PAGE 15 NRC-28-88-269 Section D SECTION D - PACKAGING AND MARKING D.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) 4

- ,,w--%- - ,e -, - - --,we-

' PAGE 16 NRC-28-88-269 Section E 4

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

This contract incorporates the following clauses by reference. '

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

I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES CLAUSE NUMBER DATE TITLE 52.246-5 APR 1984 INSPECTION OF SERVICES--

COST-REIMBURSEMENT 4

l l

l l

.PAGE 17

'NRC-28-88-269 Section F SECTION F - DELIVERIES OR PERFORMANCE

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

This contract incorporates the following clauses by reference.

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

I. FEDERAL ACQUISITION REGblATION (48 CFR CHAPTER 1) CLAUSES CLAUSE NUMBER DATE TITLE 52.212-13 APR 1984 STOP-WORK ORDER ALTERNATE I (APR 1984)

F.2 PREPARATION OF TECHNICAL REPORTS (MAR 1987)

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

(End of Clause)

F.3 TECHNICAL PROGRESS REPORT (MAR 1987)

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

a. A listing of the efforts completed dJring the period; milestones reached or, if missed, an explanation provided; l b. Any problems or delays encountered or anticipated and

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

[

l

[

L.

PAGE 18 NRC-28-88-269 Section F

c. A summary of progress to date; and
d. Plans for the next reporting period.

(End of Clause)

F.4 FINANCIAL STATUS REPORT (MAR 1987)

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

>nall include-the following for each discrete task:

a. Provide total estimated cost (value) of the project as reflected in the contract, the amount of funds available in the contract to date, and the balance of funds required to complete the work as follows:
1) Total Estimated Contract Amount.
2) Total Funds Obligated To Date.
3) Total Costs Incurred This Reporting Period.
4) Total Costs Incurred To Date.
5) Balance of Obligations Remaining.
6) Balance of Funds Required To Complete Contract,
b. Detail of all direct and indirect costs incurred during the reporting period for each task.
c. Update the approved Spending Plan.

(End of Clause)

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

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

a. Project Officer (2 copies)

U.S. Nuclear Regulatory Commission Contract Number: NRC-28-08-269 Office of

  • Division of Reactor Safety - Region I Mail Stop: 475 Allendale Road King of Prussia Washington, D.C. 20555
b. Contracting Officer (1 copy)

U.S. Nuclear Regulatory Commission Contract Number: NRC-28-88-269 Division of Contracts Contract Administration Branch

v- 'L PAGE 19 NRC-28-88-269 Section F Mail Stop: AR-2223 Washington, D.C. 20555 (End of Clause)

F.6 DURATION OF CONTRACT PERIOD (MAR 1987)

ALTERNATE I (MAR 1987)

.The ordering period for this contract shall commence on 04/15/88 and will expire on 04/14/90. Any orders issued during this period shall be-completed within the time specified in the order, unless otherwise specified herein. (See 52.216 Ordering).

(End of Clause)

F.7 TECHNICAL REPORTS The contractor shall provide one (1) copy of the following technical reports for each inspection (reports may be handwritten but must be legible) to the NRC Site Representative:

(1) Daily progress report of inspection findings -- the technicians shall prepare a joint report covering all inspection activities performed during the daily shift and present it to the NRC site representative at the end of each work shift.

(2) A report containing final examination results for all requested examinations is to be supplied to the NRC site representative before contractor technicians depart the site -- the technicians shall prepare a joint report using'a format similar to the examples in Enclosure 1 to this Section F.

The NRC shall prepare the final inspection report; it may be necessary on occasion for NRC to consult with contractor personnel for clarification of final examination results during this preparation period.

(End of Clause)

F.8 BUSINESS REPORTS (1) One copy of a letter report shall be submitted no later than ten days af ter each inspection task is completed to the NRC Project Officer, NRC Contracting Officer, and NRC-Region I Contract Specialist. As a minimum, the letter report shall include:

(a) Direct Labor costs (broken down by labor categories, hours and rates)

(b) Travel expenses (itemized)

(c) Indirect costs (d) Other direct costs

~. - . __. . _ -

PAGE 20 NRC-28-88-269 Section F (e) Inspection problem areas and suggestions for improvement.

(End of Clause)_

F.9 10 CFR pART 170 FEE RECOVERY REPORTING REQUIREMENT The inspection effort outlined above is a technical support effort that is. subject to the provisions of 10 CFR Part 170 on which NRC must keep records of the actual contractor costs in order to recover such costs from the licensee. Enclosure 2 to this Section F provides the format-for the contractor's use in reporting fee-recoverable activities. The contractor shall maintain plant specific records, with costs broken down for each facility (unit),

particularly if inspections are conducted at more that one unit of a multi-unit site. NRC shall provide the Facility Docket Number and Report Number fore each plant / unit.

The Fee Recovery Report shall be submitted no-later that ten days following each inspection task. Distribution requirements for the Fee Recovery cost status report shall be the same as the requirements for Business Reports in F.1.2 above.

(End of Clause)

PAGE 21 l NRC-28-88-269 Section G l l

SECTION G - CONTRACT ADMINISTRATION DATA G.1 INDIRECT RATES (MAR 1987)

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

CATEGORY RATE (%) COST BASE APPLICABLE PERIOD Overhead Fringe Benefits G&A Overhead

b. The Contracting Officer may adjust the above rates as appropriate during the term of the contract upon acceptance of any revisions proposed by the Contractor. It is the Contractor's responsibility to notify the Contracting Officer in accordance with 52.232 Limitation.of Cost or 52.232 Limitation of Funds ,

as applicable, if such change (s) affect (s) performance of work within the established cost or funding limitations.

(End of Clause)

G.2 PROJECT OFFICER AUTHORITY (MAR 1987)

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

l Name: Jack Strosnider

! Address: VS Nuclear Regulatory Commission Division of Reactor Safety - RG1 kf!g^of*0fus!i!$*hennsylvania 19406 Telephone Number: (215) 337-5198 e -- _ _* , -- - _-r. ---,w_* y - .

PAGE 22 )

NRC-28-88-269 Section G 1

b. Performance of the work under this contract shall be subject to the technical direction of the NRC Project Officer. The term "Technical Direction" is defined to include the following:
1) Technical direction to the' Contractor which shifts work emphasis between areas of work or tasks, fills in details or otherwise serves to accomplish the contractual statement of work.
2) Providing advice and guidance to the Contractor in the preparation of drawings, specifications or technical portions of the work description.
3) Review and, where required by the contract, approval of technical reports, drawings, specifications and technical information to be delivered by the Contractor to the Government under the contract,
c. Technical direction must be within the general statement of work stated in the contract. The Project Officer does not have the authority to and may not issue any technical direction which:
1) Constitutes an assignment of additional work outside the general scope of the contract.
2) Constitutes a change as defined in the "Changes" clause of this contract.
3) In any way causes an increase or decrease in the total estimated contract cost, the fixed fee, if any, or the time required for contract performance.
4) Changes any of the expressed terms, conditions or specifications of the contract.
5) Terminates the contract or settles any claim or dispute arising under the contract, or issue any unilateral directive whatever.
d. All technical directions shall be issued in writing by the Project Officer or shall be confirmed by such person in writing within ten (10) working days af ter verbal issuance. A copy of said written direction shall be submitted to the Contracting Officer.
e. The Contractor shall proceed promptly with the performance of technical directions duly issued by the Project Officer in the manner prescribed by this clause and within such person's authority under the provisions of this clause.
f. If, in the opinion of the Contractor, any instruction or direction issued by the Project Officer is within one of the categories as defined in c above, the Contractor shall not proceed but shall notify the Contracting Officer in writing within five (5) working days after the receipt of any such instruction or direction and shall request the Contracting Officer to modify the contract accordingly. Upon receiving such notification from the Contractor,

PAGE 23 NRC-28-88-269 Section G the Contracting Officer shall issue an appropriate contract modification or advise the Contractor in writing that, in the Contracting Officer's opinion, the technical direction is within the scope of this article and does not constitute a change under the Changes Clause,

g. Any unauthorized commitment or direction issued by the Project Officer may result in an unnecessary delay in the Contractor's performance, and may even result in the Contractor expending funds for unallowable costs under the contract.
h. A failure of the parties to agree upon the nature of the instruction or direction or upon the contract action to be taken with respect thereto shall be subject to 52.233 Disputes.
1. In addition to providing technical direction as defined above, the Project Officer is responsible for:
1) Monitoring the Contracter's technical progress, including surveillance and assessment of performance, and recommending to the Contracting Officer changes in requirements.
2) Assisting the Contractor in the resolution of technical problems encountered during performance.
3) Reviewing all costs requested for reimbursement by Contractor and submitting to the Contracting Officer recommendations for approval, disapproval, or suspension of payment for supplies and services required under this contract.

(End of Clause)

G.3 TRAVEL REIMBURSEMENT (MAR 1987)

a. Total expenditure for domestic travel shall not exceed

$45,000 wit M t the prior approval of the Contracting Officer.

! b. The Contractor will be reimbursed for reasonable domestic travel costs incurred directly and specifically in the performance l of this contract. The cost limitations for travel costs are l determined by the Federal Travel Regulations that are in effect on

the date of the trip. These Regulations specify the daily maximum

! per diem rates for specific localities within the Conterminous United States (CONUS), the standard CONUS rate, the allowance for mesis and incidental expenses (M&IE), the cost of travel by privately owned automobile, and the items which require receipts.

The Contractor can obtain the Regulations from the Superintendent of Documents, Government Printing Office, Washington, DC 20402.

l c. When the Government changes the Federal Travel Regulations, it is the responsibility of the Contractor to notify the Contracting Officer in accordance with the Limitation of Cost clause of this contract if the Contractor will be unable to make all of the approved trips and remain within the cost and fee limitations of this contract.

l

- ' PAGE 24 NRC-28-88-269 Section G

d. The rates for-foreign travel are established by the U.S.

' Department of State and are listed in a. publication entitled "Maximum Travel Per Diem Allowances For Foreign Areas". Copies of this publication may be obtained from U.S. Government Printing Office, Washington, D.C. 20402.

(End of Claus.e)

G.4 REMITTANCE ADDRESS (MAR 1987)

If item 15C. of the Standard Form 33 has been checked, enter the remittance address below.

Name:

Address:

(End of Clause)

G.5 TASK ORDER PROCEDURES (MAR 1987)

a. Task Order Request for Proposal When a requirement within the scope of work for this contract is identified, the Contracting Officer will transmit to the Contractor a Task Order Request for Proposal which will include the following, as appropriate:
1) Scope of Work / Meetings / Travel and Deliverables.
2) Reporting Requirements.
3) Period of Performance - Place of Performance.
4) Applicable Special Provisions.
5) Technical Skills Required.
6) Estimated Level of Effort,
b. Task Order Proposal By the date specified in the Task Order Request for Proposal, the Contractor shall deliver to the Contracting Officer a written Task Order Proposal that provides the following technical and cost information, as appropriate:
1) Technical Proposal Content.

a) A discussion of the scope of work requirements to substantiate the Contractor's understanding of the requirements of the Task Order and the Contractor's proposed method of approach to meet the objective of the order.

PAGE 25 NRC-28-88-269 Section G b) Resumes for professional personnel proposed to be utilized in the performance of any resulting task order. Include educational background, specific pertinent work experience and a list of any pertinent publications authored by the individual.

c) Identification of administrative support personnel and/or facilities that are needed to assist the professional personnel in completing work on the task order.

d) Identification of "Key Personnel" and the number of staff hours that will be committed to completion of work on the Task Order.

2) Cost Proposal.

The Contractor's cost proposal for each Task Order shall be prepared using the Standard Form 1411, Contract Pricing Proposal cover sheet. A copy of the form and instructions are attached to this contract. Each Task Order cost proposal shall be fully supported by cost and pricing data adequate to establish the reasonableness of the proposed amounts. When the Contractor's estimated cost for the proposed Task Order exceeds $100,000 and the period of performance exceeds six months, the Contractor is required to submit a Spending Plan as part of its cost proposal. Guidance for completing the Spending Plan will be provided with the Task Order Request for Proposal.

c. Task Order Award The Contractor shall perform all work described in definitized Task Orders issued by the Contracting Officer.

Definitized Task Orders will include the following:

1) Statement of Work / Meetings / Travel and Deliverables.
2) Reporting Requirements.
3) Period of Performance.
4) Key Personnel.
5) Applicable Special Provisions.
6) Total Task Order amount.

(End of Clause)

G.6 ACCELERATED TASK ORDER PROCEDURES (MAR 1987)

a. The NRC may require the Contractor to commence work before receipt of a definitized Task Order from the Contracting Officer.

Accordingly, when the Contracting Officer verbally authorizes, the Contractor shall proceed with performance of the Task Order subject to monetary limitation established for the Task Order by the Contracting Officer.

b. When this accelerated procedure is employed by the NRC, the Contractor agrees to begin promptly negotiating with the Contracting Officer the terms of a definitive Task Order and agrees

' PAGE 26 NRC-28-88-269 Section G to submit a cost proposal with supporting cost or-pricing data. If agreement on a definitized Task Order is not reached by the target date mutually agreed upon by the Contractor and Contracting Officer, the Contracting Officer may determine a reasonable price and/or fee in accordance with Subpart 15.8 and Part'31 of the FAR, subject to Contractor appeal as provided in 52.233 Disputes. In any event, the Contractor shall proceed with completion ef-the Task Order, subject only to the monetary limitation established by the Contracting Officer and the terms and conditions of the basic contract.-

(End of Clause) l l

I I

l l

l

  • O PAGE 27 NRC-28-88-269 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.

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

b. If one or more of the key personnel for whatever reason becomes, or is expected to become, unavailable for work under this contract for a continuous period exceeding 30 work days, or is expected to devote substantially less effort to the work than indicated in the proposal or initially anticipated, the Contractor shall immediately notify the Contracting Officer and shall, subject to the concurrence of the Contracting Officer, promptly replace such personnel with personnel of at least substantially equal ability and qualifications.
c. All requests for approval of substitutions hereunder must be in writing and provide a detailed explanation of the circumstances necessitating the proposed substitutions. They contain a complete resume for the proposed substitute, and other information requested by the Contracting Officer to approve or disapprove the proposed substitution. The Contracting Officer will evaluate such requests and promptly notify the Contractor of his/her approval or disapproval thereof in writing.
d. If the Contracting Officer determines that:
1) Suitable and timely replacement of key personnel who have been reassigned, terminated or have otherwise become unavailable for the contract work is not reasonably forthcoming; or
2) That the resultant reduction of effort would be so substantial as to impair the successful completion of the contract or the service order, the contract may be terminated by the Contracting Officer for default or for the convenience of the Government, as appropriate. If the Contracting Officer finds the Contractor at fault for the condition, the contract price or fixed

, -- +

PAGE 28 NRC-28-88-269 Section H fee may be equitably adjusted downward to compensate the Government for any resultant delay, loss or damage.

(End of Clause)

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

The Contractor shall take all reasonable precautions in the performence of the work under this contract to protect the health and safety of employees and of members of the public and to minimize danger from all hazards to life and property and shall comply with all applicable health, safety, and fire protection regulations and requirements (including reporting requirements) of the Commission and the Department of Labor. In the event that the Contractor fails to comply with said regulations or requirements, the Contracting Officer, may, without prejudice to any other legal or contractual rights of the Commission, issue an order stopping all or any part of the work; thereafter, a start order for rasumption of work may be issued at the discretion of the Contracting Officer. The Contractor shall make no claim for an extension of time or for compensation or damages by reason of or in conner. tion with such work stoppage.

(End of Clause)

H.3 DISSEMINATION 0F CONTRACT INFORMATION (MAR 1987)

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

(End of Clause)

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

Except as specifically authorized by this contr1ct, 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.

l (End of Clause)

H.5 DRAWINGS, DESIGNS, AND SPECIFICATIONS (MAR 1987) l l

All drawings, sketches, designs, design data, specif' cations, l

notebooks, technical and scientific data, and all photographs, i 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

PAGE 29 NRC-28-88-269 Section H 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.6 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 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,
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 live rise to conflict of interest with respect to the work being performed under this contract. The Contractor shall ensure that all employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause. If the Contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the Contractor shall obtain the written approval of the Contracting Officer prior to execution of such contractual arrangement.
d. Disclosure after award.
1) The Contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest, as defined in 41 CFR 20-1.5402(a).
2) The Contractor agrees that if after award it discovers i organizational conflicts of interest with res.nect to this contract,

1 PAGE 30 l NRC-28-88-269 Section H it shall make an immediate and full disclosure in writing to the l Contracting Officer. This statement shall include a description of i the action which the Contractor has taken or proposes to take to l The NRC may, however, terminate avoid or mitigate such conflicts.

the contract for convenience if it deems' such termination to be in the best interest of the Government.

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

(1) 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 suci; information until one year after the release of such information to the public, or (iv) Release the information without prior written approvel by the Contracting Officer unless such information has previst. sly been released to the public by the NRC.

l 2) In addition, the Contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L.93-579), or other confidentici 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 l data it produces under this contract for private purposes provided i that all requirements of this contract have been met.

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

l the Contractor shall include this clause, including this paragraph, in subcontracts of any tier. The terms "contract," "Contractor,"

l and "Contracting Officer," shall be appropriately modified to I preserve the Government's rights.

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

l l

  • '- PAGE 31 NRC-28-88-269 Section H 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 (E00) in accordance with the procedures outlined in 20-1.5411.

(End of Clause)

H.7 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY (MAR 1987)

a. The NRC will provide the contractor with the following items for use under this contract:

-ITEM DESCRIPTION QUANTITY SCHEDULE NDE VAN

b. Only the equipment / property listed above in the quantities shown will be provided by the Government. This property 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.

(End of Clause)

PAGE 32 NRC-28-88-269 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) CLAU3ES CLAUSE NUMBER DATE TITLE 52.202-1 APR 1984 OEFINITIONS 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 OATA 52.215-24 APR 1985 SUBLONTRACTOR COST OR PRICING DATA 52.215-26 APR 1987 INTEGRITY OF UNIT PRICES ALTERNATE I (JUN 1985) 52.215-31 SEP 1987 WAIVER OF FACILITIES l CAPITAL COST OF MONEY 52.215-33 JAN 1986 ORDER OF PRECEDENCE 52.216-7 APR 1984 ALLOWABLE COST AND PAYMENT 52.216-8 APR 1984 FIXED FEE 52.219-6 APR 1984 NOTICE OF TOTAL SMALL BUSINESS SET-ASIDE 52.219-8 JUN 1985 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL DISADVANTAGED BUSINESS CONCERNS l 52.219-13 AUG 1986 UTILIZATION OF WOMEN-

' OWNED SMALL BUSINESSES i 52.220-3 APR 1984 UTILIZATION OF LABOR l 52.21?.14 0CT 1987 LIMITATION ON SUBCONTRACTING i

F PAGE 33 NRC-28-88-269 Section I 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 OPPOP.TUNITY 52.222-35 APR 1984 AFFIRMATIVE ACTION FOR SPECIAL DISABLED AND VIETNAM ERA VETERANS 52.222-36 APR 1984 AFFIRHATIVE ACTION FOR HANDICAPPED WORKERS 52.223-2 APR 1984 CLEAN AIR AND WATER 52.223-3 APR 1984 HAZARD 0US MATERIAL IDENTIFICATION AND M/3ERIAL SAFETY DATA 52.227-1 APR 1984 AUTHORIZATION AND CONSENT 52.227-2 APR 1984 NOTICE AND ASSISTANCE REGARDING PATENT AND COPYRIGHT INFRINGEMENT 52.228-7 APR 1984 INSURANCE -- LIABILITY TO THIRD PERSONS 52.232-17 APR 1984 INTEREST 52.232-22 APR 1984 LIMITATION OF FUNDS 52.232-23 JAN 1986 ASSIGNMENT OF CLAIMS ALTERNATE I (APR 1984) 52.233-1 APR 1984 DISPUTES ALTERNATE I (APR 1984) 52.233-3 JUN 1985 PROTEST AFTER AWARD ALTERNATE I (JUN 1985) 52.242-1 APR 1984 NOTICE OF INTENT TO DISALLOW COSTS 52.243-2 AUG 1987 CHANGES -- COST-REIMBURSEMENT 52.244-2 JUL 1985 SUBCONTRACTS UNDER COST-REIMBURSEMENT AND LETTER CONTRACTS 52.244-5 APR 1984 COMPETITION IN SURCONTRACTING 52.245-1 APR 1984 PROPERTY RECORDS 52.245-5 JAN 1986 GOVERNMENT PROPERTY (COST-REIM-BURSEMENT, TIME-AND-MATERIALS, OR LABOR-HOUR CONTRACTS) 52.245-18 APR 1984 SPECIAL TEST EQUIPMENT 52.245-19 APR 1984 GOVERNMENT PROPERTY FURNISHED "AS IS" 52.249-6 MAY 1986 TERMINATION (C0ST-REIMBURSEMENT) 52.249-14 APR 1984 EXCUSABLE DELAYS I.2 ANTI-KICKBACK PROCEDURES (FAR 52.203-7)

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

"Person," as used in this clause, means a corporation,

PAGE 34 NRC-28-88-269 Section I partnership, business association of any kind, trust, joint-stock company, or individual.

"Prime contract," as used in this clause, means a contract or contractual action entered into by the Unitt.d 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, materiais, equipment, or services of any kind under a prime contract.

"Subcontractor," as used in this clause, (1) means any person, other than the prime Contractor, who offers to furnish or furnishes any supplies, materials, equipment, or services of any kind under a prime contract or subcontract entered into in conne:: tion 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 af 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 Justico.

(3) The Contractor shall cooperate fully with any Fedaral

PAGE 35 NRC-28-88-269 Section 1 agency investigating a possible violation described in paragraph (b) of this clause.

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

(1) Offset the amount of the kickback againist any monies owed by the L'atted 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 withhelt' undee subdivision (c)(4)(ii) of this clause be paid over to the Government anless the Government has already offset those monies under subdiv W on (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 contrar.t.

(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

.r activities designated in the Schedule. Such orJers may be issued from the effective date of the contract through the end of the effective period.

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

(c) If mailed, a delivery order is considered "issued" when the Governm nt 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 DELIVEhY-0RDER LIMITATIONS (FAR 51.216-19) (APR 1984)

(a) Minimum ord'i E en the Government requires supplies or services cuverad u. ;his cow.'ct in an amount of less than -0 , the Government is +11 gate d e chase, nor is the Contractor I

obligated to 4

% 90se , , ' is or services under the contract.

(b) Maximt.- 0 i- e .or is not obligated to honor--

(1) Any orr' 3 item in excess of -0 ;

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PAGE 36 NRC-28-88 sv9 Sec?. ion I

, (2) Any order for a combination of items in excess of -0 ;

(3) A series of orders from the same ordering office within days that together call for quantities exceeding 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) 1.5 INDEFINITE QUANTITY (FAR 52.216-22) (APR 1984)

(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 purchase.:d by this contract.

(b) Delivery or performance shall be made only as authorized by orders issued in accordance with the Ordering clause. The Contractor shall furnish to tiie Government, when and if ordered, the supplies or services specified in the Schedule up to and including the quantity designated in the Schedule as the "maximum." The Government shall order at least the quantity of supplies or services  :

designated in the Schedule as the "minimum."

(c) Except for any limitations on quantities in the 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 specified per task months beyond the effective period of the contract.

4 PAGE 37 NRC-28-88-269 Section I (End of Clause)

I.6 PAYMENT FOR OVERTIME PREMIUMS (FAR 52.222-2) (APR 1984)

(a) The use af overtime is authorized under this contract if the overtime premium cost does not exceed $15,000.00. In addition to this dollar ceiling, overtime is permitted only for work--

(1) Hecessary to cope with emergencies such as those resulting from accidents, natural disasters, breakdowns of production equipment, or occasional production bottlenecks of a sporadic nature; (2) By indirect-labor employees such as those performing duties in connection with administration, protection, transportation, maintenance, standby plant protection, operation of utilities, or acc.ounting; (3) To perform tests, industrial processes, laboratory procedures, loading or unloading of transportation conveyances, and operations in flight or afloat that are continuous in nature and cannot reasonably be interrupted or completed otherwise; or (4) That will result in lower overall costs to the Government.

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

(1) Identify the work unit; e.g., department or section in which the requested overtime will be used, together with present workload, staffing, and other data of the affected unit sufficient to permit the Contracting Officer to evaluate the necessity for the overtime; (2) Demonstrate the effect that denial of the request will have on the contract delivery or perforr.ance schedule; (3) Identify the extent to which approval of overtime would affect the performance or payments in connection with other Government contracts, together with identification of each affected contract; and (4) Provide reasons why the required work cannot be performed by using multishift operations or by employing additional personnel.

(End of Clause) 1.7 PROMPT PAYMENT (52.232-25) (FEB 1988)

A'.TERNAfli II (FEB 1988) 110twithstanding 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.

PAGE 38

'NRC-28-88-269 Section I 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 otnerwise specified.

(a) Invoice Payments (1) For purposes of this clause, "inycice payment" means a Government disbursement of monies to a Contractor under a contract or other authorization for suppli2s or services accepted by the Government. This includes payments for partial deliveries that have been accepted by the Government and final cost or fee papents 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:

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

(ii) The 30th day after Government acceptance of supplies delivered or services performed by the Contractor. On a final invoice where the payment amount is subject ta contract settlement actions, acceptance shall be deemed to have oc:urred on the effective 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 requiring submission of an invoice shall be as followr:

(1) The due date for meat and meat food products, as defined in Section 2(a)(3) of the Packers and Stockyard Act of 1921 (7 U.S.C.

182(3)) and further-defined in Pub. 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.

(ii) The due date for perishable agricultural coenodities, 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 after product delivery, unless another date is specified in the contract, l

(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.

i (4) An invoice is the Contractor's bill or written request for payment under the contract for supplies delivered or services performed. An invoice shall be prepared and submitted to the l designated billing officer specified in the contract. A proper invoice must include the items listed in subdivisions (a)(4)(1) l through (a)(4)(viii) of this clause. If the invoice does not comply

! with these requirements, then the Contractor will be notified of the i

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PAGE 39 NRC-28-88-269 Section I defect within 15 days after receipt of the invoice at the designated billing office (3 days for meat and meat food products and 5 days for perishable agricultural commodities). Untimely notification will be taken into account in the computation of any interest penalty owed the Contractor in the manner described in subparagrpah (a)(6) of this clause.

(i) Name and address of the Contractor.

(ii) Invoice date.

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

(v) Shipping and payment terms (e.g., shipment number and date of shipment, prompt payment discount terms). Bil; 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 defective invoice.

(viii) Any other information or documentation required by other 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 after the due date (3 days for meat and meat fed 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 firial 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 authority. This rate is referred to as the "Renegotiation Board Interest Rate," and it is published in the y y , --

PAGE 40 NRC-28-88-269 Section I 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 after 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 office failed to notify the contractor of a 1 defective invoice within the periods prescribed in paragraph (a)(4) of this clause, then the due date on the corrected invoice will be I 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 errers 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 acceptance shall be deemed to have occurred constructively on the 5th working day after the Contractor delivered the supplies or performed the services in accordance with the terms and conditions of the contract, unless there is a disagreement over quantity, quality, or contractor compliance with a contract provision. In the event that actual acceptance occurs within the constructive acceptance period, the determination of an interest penalty shall be based on the actual date of acceptance. The constructive acceptance requirement does not, however, compel Government of ficials to accept supplies or services, perform contract administration functions, or make payment prior to fulfilling their responsibilities.

(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).

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

(iii) Interest penalties will not continue to accrue after the filing of a claim for such penalties under the Disputes 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 auiomatically by the designated payment officc, without request from the contractor, if

PAGE 41 NRC-28-88-269 Section I an improperly taken discount for prompt payment was not corrected within 15 days after 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 after 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 accep+ance of supplies or services by the Government. Contract finar.cing 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, Payments Under Fixed-Price Construction Contracts, or the clause at 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 specified in this contract or as directed by the Contracting Officer. Contract financing payments shall be made on the (insert oay as prescribed by Agency head; if not prescribed, insert 30th day) day after receipt of a proper contract finarcing requast by the designated billing office. In the event that an audit or other review of a specific financing request is required to ensure compliance with the terms and conditions of the contract, the designated payment office is not compelled to make payment by the due date specified.

(3) For advance payments, loans, or other arrangements that do noc 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) F.lectronic Funds Transfer.

Payments under this contract will be made by the Government either i

by check or electronic funds transfer (through the Treasury l Financial Communications System (TFCS) or the Automated Clearing l House (ACH)), at the option of the Government. After awaid, but no later than 14 days before an invoice or contract financing request l 1s submitted, the contractor shall designate a financial institution l

for receipt of electronic funds transfer payments. The Contractor shall submit this designation to the Contracting Officer or other Government official, as directed.

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PAGE 42 NRC-28-88-269 Ssction I (1) For payment through TFCS, the Contractor shall provide the following information:

(1) 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 tue institution has access to the Federal Reserve Communications System.

(iii) Payee's account number at the financial institution where funds 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 abbreviation and American Bankers Association ident.ifying number for the correspondent institution.

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

(1) 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.

(iii) Type of depositor account ("C" for checking, "S" for savings).

(iv) If the Contractor is a new enrollee to the ACH system, a "Payment Information Form," TFS 3881, must be completed before payment can be processed.

(3) In the event the Contractor, during the performance of this contract, elects to designate a different financial institution for the receipt of any payment made using electronic funds transfer procedures, ne"ification of such changa and the required information specified above must be received by the appropriate Government official 30 days prior to the date such change is to'become effective.

(4) The documents furnishing the in'ormation required in this paragraph (c) must be dated and contain the signature, title, and telephone number of the Contractor official authorized to provide it, as well as the Contractor's name and contract number.

(5) Contractor failun to oroperly designate a financiai institution or to provide appropriate payee bank account information may delay payments of amounts otherwise properly due.

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(End of clause)

PAGE 43 (g -

NRC-28-88-269 Section J T

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

'J.1 ATTACHMENTS (MAR 1987)

Attachment Number Title 1 NRC Contractor Organizational Conflicts of Interest '(41 CFR Part 20) 2- Biliing Instructions 3 NRC Manual Chapter 3202 4 Standard Form 1411 with Instructions 4

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PAGE 43 NRC-28-88-269 Section J PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS SECTION J - LIST OF ATTACHMENTS J.1 ATTACHMENTS (MAR 1987)

Attachment Number Title 1 NRC Contractor Organizational Conflicts of interest (41 CFR Part 20) 2 Biliing Instructions 3 NRC Manual Chapter 3202 4 Standard Form 1411 with Instructions l

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ATTACHMENT 1

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

20-1.5401 Scope and policy.

20-1.5402 Defini tions.

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

20-1.5404 Representation.

20-1.5405 Contract clauses.

20-1.5405 1 General contract clause.

20-1.5405-2 Special contract provisions.

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

20-1.5407 Conflicts identified after award.

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

1 20-1.5411 Waiver.

20-1.5412 Remedies.

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

(b) Contractor conflict of interest determinations cannot be made ,

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

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

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

520-1.5402 Definitions (a) "Organizational conflicts of interest" means that a relationship exists whereby a contractor er 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 cnalysis, 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 fomulation or administration of its programs, projects, or policies which nomally require the contractor to be given access to information which has not been made available to the public or proprietary infomation. Scch services typically include assistance in the preparation of program plans; and preparation of preliminary designs, specifications, or i statements of work.

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

(f) "Contractor" means any person, fim, unincorporated association, joint venture, co-sponsor, partnership, corporation, affiliates thereof, or their successors in interest, including their chief executives, directors, key personnel (identified in the contract), proposed c9nsultants 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)).

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

(i) "Prospective contractor" or "offeror" means any person, firm, unincorporated association, joint venture, partnership, corporation, or affiliates thereof, including its chief executive, directors, key personnel (identifird in the proposal), proposed consultants, or subcontractors, submitting a bid or proposal, solicited er ursolicited, to the NRC to l

obtain a contract.

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(j) "Potential conflict of interest" means that a factual situation exists that suggests (indicates) that an &ctual ccaflict of interest may i arise from award of a proposed contract. The tem "potential conflict I 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 c.ust be . reported to the contracting officer for investigation if they arise during contract perfomance. j l20-1.5403 Criteria for recognizing contractor organizational conflicts of interest (a) General. Two questions will be asked in detennining whether actual or potential organizational conflicts of interest exist: (1) Are there conflicting roles which might bias a contractor's judgment in relation to its work for the NRC7 (2) May the contractor be given an unfair competitive advantage based on the perfonnance of the contract?

! The ultiste detennination by NRC as to whether organizational conflicts of interest exist will be made in light of conmon sense and good business judgment based upon the relevant facts disclosed and the work to be performed. While it is difficult to identify and to prescribe in advance a specific method fer ) voiding all of the various situations or relationshiM 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 groundworn for the NRC's decisions on regulatory activities, future procurements, and research programs.

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

(i) Where the offeror or contractor provides advice and recommendatioh l 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 l any organization regulated by the NRC.

l (iii) Where the offeror or contrr.ctor evaluates its own products er services, or the products or services of another entity where the offeror or contractor has been substantially involved in their development or marketing.

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

3

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

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

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

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

(iv) Where the offeror or contractor is granted access to proprietary infomation 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 DC or ray 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 uadertake 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 nory. ally 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 A8C Corp., in response to a RFP, proposes to perfom certain analyses of a reactor componer.t which are unique to one l type of advanced rest or. As is the case with other technically qualified companies responding to the PFP, the ABC Corp. is performing various projects for several different utility clients. None of the ABC Corp.

projects havn 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.

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759000)

An NRC contract normally could be awarded to the ABC Guidance.

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 perfurmance of similar work for the company developing the advanced reactor mentioned in the example.

(3) Example. As a result of operating problems in a certain type of 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 company has a definite interest in any NRC decisions that might result from the data produced because those decitions affect tht 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 ?ts work for NRC.

Since the nature of the work required is vitally important in terms of NRC's responsibilities and no reasonable alternative existi, a waiver of the policy may be warranted. Any such waiver shaP 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 oi developing scandards 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.

Guidaner 4 contract could be awarded to the ABC Co. provided th3t the contract .ipulates that no information produced under the contract will be used in the contractor's private act*vities unless such informatior has been reported to NRC. Information which is reported to NRC by contractot.

will normally be disseminated by NRC to others so as to preclude an unfair compet'.the advantage that might otherwise accrue. When NRC furnishes information to the contractor for the performance of contract work, it shall not be used in the contractor's private activities unless <

such information is generally available to others. Further, the contract will stipulate that the contractor will inform the NRC contracting officer of all situations in which the infonnation developed under the contract is proposed to be used.

3

I 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

$ 20-1.5403(b)(1)(i), ABC Corp. informs the NRC that it is presently doing seisnelog'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 normally conclude that

& ward of a contract would not place ABC Corp. in a conflicting role where its judgment might be biased. The work for others clause of 8 20-1.5405-1(c) would preclude ABC Corp. from accepting work tiuring the tann of the NRC contract which could create a conflict of interest.

(d) Other considerations. (1) The fact that the NRC can identify and later avoid, eliminate, or neutralize any potential organizational conflicts arising from the perfonnance of a contract is not relevant to a deter;nination of the existence of such conflicts prior to the award of a contract.

(2) It is not relevant that the contractor has the professional l reputation of being able to resist temptations which arise from organizational ~

[ conflicts of interest, or that a follow-on procurtment is not involved, or that a contract is awarded on a competitive or a sole source basis.

120-1.5404 Representation (a) The following procedures are designed to assist the NRC contracting officer in determining whether situations or relationships exist which may constitute organizational conflicts of interut with respect to a l particular offeror or contractor.

(b) Representation procedure. The following oroanizational conflicts of interest representation pro /ision shall be inc!uded in all solicitations and unsolicited proposals for: (1)Evaluationservicesor activities; (2) te-hnical consulting and management support services; (3) research; and (4) other contractual situations where special organizational conflicts of int 3 rest provisions are noted in the solicitation and would be included in tM resulting contract. This representation requirement shall also apply to all modifications for additional effort under the contract except those issued under the "changes" clause. Where, however, a statement of the type required by the organizational conflicts of interest representation provision has previously been submitted with regard to the contract being modified, only an updating of such statement shall be required.

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7590 01 ORGANilAT10NAL CONFLICTS OF INTNST REPRESENTATION

! represent to the best o my knowledge and belief that:

The award to of a contract or the modification of an existing contract coes ( ) or ooes not ( ) involve situations or relationship <

of the type set forth in 41 CFR'l20-1.5403(b)(1).

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

(2) The refusal to provide the representation required by i20-1.5404(b) or upon request of the contracting officer the f acts 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 terminated. The offeror may also be disqualified from subsequent related NRC contracts and be subject to such other remedial actions provided by law or the resulting contract.

(d) The offerer raay, because of actual or potential organizational conflicts of interest, propose to exclude specific kinds of work from the statements of work contained in a RFP unless the RFP specifically prohibits such exclusion. Any such proposed exclusion by an offeror will be considered by the NRC in the evaluation of proposals, if the NRC considers the proposed excluded work to be an essential or integral part of the required work and its exclusion would work to the detriment of the competitive posture of the other offerors, the proposal must be rejected as unacceptable.

(e) The offeror's f ailure to execute the representation required by subsection (b) above with respect to invitation for bids will be considered to be a minor infortnality, 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

1

l 7590-01 l

l All contracts of the types set forth in i 20-1.5404(b) shall include

! the following clauses:

(a) Purpose.

l ensuring that the contractor: The primary1) (purpose 1s not placed of this clause is to aid in in a conflicting role because of current or planned interest (financial, contractual, organizational,

' or otherwise) which relate to the work under this contract, and (2) does not obtain an unfair competitive advantage over other parties by virtue of its perfomance of this contract.

(b) Scope. The restrictions described herein shall apply to performance or participation by the contractor as defined in 41 CFR 120-1.5402(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 in u consulting or other contractual arrangements with j

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 c",ntract abide by the provision of this clause If the contractor believes with respect to itself or any such employei that any proposed consultant or other contractual arrangement with any tim or organization may involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting officer prior to execution of such contractual arrangement.

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

(2) The contractor agrees that if after award it discovers organizationai cr.nfikts of interest with respect to this contract, it shall make an i

imediate and full disclosure in writing to the contracting officer.

This statement shall include a description of the action which the contractor has taken or proposes to take to avoid or mitigat.e such conflicts. The NRC may, however, teminate the co' tract 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 i the perfomance of this. contract obtains access to information, such as

- NRC pistns, 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 jo: (i) Use such released infomation for any(private to the public; ii) compete ourpose untilfor for work thethe infomation Comission has been based

.n.

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,* I' 7590-01 i

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

(2) In eddition, the contractor agrees that to the extent it receives or 15 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 infomation under this contract, the contractor shall treat such information in accordance with restrictions placed on use of the information.

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

(f) Subcontracts. Except as provided in 41 CFR 520-1.5402(h), the contractor shall include this clause, including this paragraph, in subcontracts of any tier. The terms "contract," "contractor," and "contracting officer,"'shall be appropriately modified to preserve the government's rights.

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

l l (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 in120-1.5411.

I20-1.5405-2 Special contract provisions.

(a) If it is determined from the nature of the proposed contract that organizational conflicts of interest exist, the contracting officer I may determine that such conflict can be avoided or after obtaining a l

waiver in accordance with 520-1.5411, neutralized through the use of an l appropriate special contract provision. If appropriate, the offeror may negotiate the tems and conditions of these clauses, including the

^

I l extent and time period of any such restriction. These provisions include l but are net limited to:

l

.g.

l . . - . _ ._ -

7590-01 (1) Hardware exclusion clauses which prohibit the acceptance of proouction contracts following a related nonproduction contract previously performed by the contractor; (2) Software exclusion clauses; (3) Clauses which require the contractor (and certain of his key personnel) to avoid certain organizational conflicts of interest; and (4) Clauses which provide for protection of confidential data and guard against its unauthorized use.

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

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

(3) Nothing in this caragraph shall preclude the contractor from offering or selling its standard comercial items to the government.

1 20-1.5406 Evaluation, findings, and contract award The contracting officer will evaluate all relevant facts submitted by an of,'eror pursuant to the representation requirements of 120 1.5404(b) and other relevant information. Af ter evaluating this information agains't tne criteria of 320-1.5403, a finding will be made by the contracting officer whether organizational conflicts of interest exist with respect to a particular offeror. lf it has oeen determined tnat conflicts of interest exist, tnen the contracting officer snali eitner:

(a) Disqualify,tne offeror from award.

, 10

a. 6 7590 01 t

(t) Avoid or eliminat? Such conflicts by appropriate measures; or (c) Award the contract under the waiver provision of I20-1.5411.

I20-1.5407 Conflicts identified af ter award, if potential organizational conflicts of interest are identified af ter award with respect to a particular contractor, the contracting officer determines that such conflicts do, in fact, exist and that it would not be in the best interests of the government to terminate the contract as provided in the clauses required by 620-1.5405, the contracting officer will teke every reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with 120-1.5411, neutralize the effects of the identified conflict.

520-1.5408 (Reserved) 20-1.5409 (Reserved) 120-1.5410 Subcontracts The contracting officer shall require offerors and contractors to submit a representation statement in accordance with ! 20-1.5404(b) from subcontractor: and consultants. The contracting of ficer shall require the contractor to include contract clauses in accordance with 120-1.5405 in consultant agreements or subcontracts involving performance of work under a prime contract covered by this subsection.

I20-1.5411 Waiver in the first instance, determination with respect to the need to seek a waiver for specific contract awards shall be made by the contracting officer with tne advice and concurrence of the program office director and the Office of Executive Legal Director. Upon the recommendation of the contracting officer, and af ter consultation with the Office of the General Counsel, the EDO may waive the policy in specific cases if i.e determines that it is in the best interest of the United States to do so.

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

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

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l 7590001 620-1. 5412 Remedies in addition to such other remedies as may be permitted by law or contract for a breach of the restrictions in this subpart or for any intentional misrepresentation or intentional nondisclosure of any relevant interest required

  • to be provided for this section, the NRC may debar the contractor from subsequent NRC contracts.

Dated at Washinoton. 0. C Ibi s 27th day of March 1979.

For the Nuclear Regulatory Comission S

CCCau d%

Samuel . Chilk L%k '

Secretary of the Comission 1

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c_ . ._ __ _ _ _ _ _ _ _ . _ _ _ _ _ _ _ . _ _ _ _ _ -. _ . . , _ __

.. t ATTACHMENT 2 (REVISED . 4/87)

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

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

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

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

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

Currency. Billings may be expressed in the currency norwally used by the contractor in maintaining his accounting records; payments will be made in that currency. However, the U. S. dollsr equivalent for all invoices paid under the contract may not exceed the total U. S. dollars authorized in the contract.

4 Supersession. These instructions supersede all previous billing instructions, i

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INSTRUCTIONS FOR PREPARING COST INFORMATION FOR NRC (DNTRACTS Preparation and Itemization of the Voucher._ The contractor shall furnish the infonnation set forth in the explanatory notes below. These notes are keyed to the entries on the sample voucher.

Payor's Name and Address. (1) Address the original voucher (with 2 ripics) to:

U.S. Nuclear Regulatory Comission, Division of Accounting and Finance. ATIN: GCv/CEM Accounts Section, Washington, DC 20555 Any questions regarding vouchers yet to be paid by the NRC should be addressed to Division of Accounting (301-492-M10). Any questions regarding you:hers for which payment has been received (either in full or partially with suspensions or disallowances) should be ad-dressed to the Contracting Officer.

Payee's Name and Address. Show the name of the contractor as it appears in the contract and its correct address; except when an approved assign-ment has been made by the contractor, or a different payee or addressee has been designated, then insert the name and address of the payee.

Indicate the individuhl responsible for answering any questions NRC may have reoarding the invoice (name and phone nuder).

(a) Contract Nuder - Insert the NRC contract nuder.

(b) Title of Project - List the full title of the project being perfomed under this contract.

(c) Voucher Number - Insert the appropriate serial number of the voucher beginning with 001 for this contract. Contractors may also include individual internal accounting numbers in addition to the three digit number.

(d) Date of Voucher - Insert the date the voucher is prepared.

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

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

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

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

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

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

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

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

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

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

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

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

Da te Traveler Destina tion Purpose Cost From To From To

1. Airfare
2. Rental Car
3. Local Travel
4. Per Diem Days 9 =
5. Meal s :
  • Date Breakfast Lunch Dinner
  • If not included in Per Diem.
6. Tips, Misc.

(Itemize if more than 510,00)

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

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

(9) Other - List all other direct costs by cost elements and dollar amount se pa ra tely.

(i) Indirect Costs ;0verhead - Cite the formula (rate and base) in effect during the time the cost was incurred and for which reimbursement is claimed.

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

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

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

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

(m) Total Amounts Claim'ed - Insert the total amounts claimed for the current and cumulative periods.  !

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

(o) Grand Totals i

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VWCNERS FOR PURCllASLS AND SLRVICES OTHER litAN PERSONAL SAMPLE VOUCHER

" " ~ ~

  • IeU lear Re u tory Comission (b) TitleofProject
  • Study of Nuclear Waste Olvision of Accounting and Finance Concepts" Attenticin: COV/CIM Acets Section Washincton, DC 20555 (c) Voucher Number 003 Payee's __Name and Address ABC CORPORATIOh The National Bank (d) Cate Voucher Prepared 10/18/82 100 Main Street or Anywhere. U.S.A. ,

Assignee for ABC CORP. (e) Total Estimated Cost of Contract Anywhere, U.S.A.

Anywhere. U.S.A. $350.000.00 (When Payments Assigned)

(f) Total Fixed-Fee Indiividual to Contract 517.500.00 Regarding This Voucner:

,Name: Harry Murphy "

'Tel. No.: 215-321-8654 1(9) inis voucher represents reimburseable costs from 3/1/82 thru 3/30/82 Amount Billed (1) Inception to Date (k) Current Period l(h) Direct Costs $2.400 $6.800 (1) Direct Labor *

. (2) Fringe Benefit's 016.5 .

(if computed as percentace) 600 1.200 ~

l (3) Direct 5.000 8.000 Eauipment * -

(4) haterials. Supplies and 4.000

Other Expendable items
  • 2.000 100 150 (5) Eremium Pay 100 100

! (6) Consultants

  • 200 200
(7) Travel - Domestic
  • 1 Foreton
  • 200

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200

! (8) Subcontract

  • 3.000 9.000" j (9) Other Costs
  • l(i) Ifl0lRECT COSTS I A) Overnead700 0 of Total Direct Costs 513.600 $29.650 (Indicate Base)

Subtotal $27.200 559.300 l 3.264 B) General A Administrative Expense "'6.450 12 0 of Cost Elements Nos.1-9. A $65.750 iotal Losts $ 30.464 1,523 3.400 (j) FIXED FEE EARNED (Femula)

$31.987 569. p.o (m) Total Amounts Claimed (n) Adjustments 1.700 1.700 outstandin9 Suspensions *

$3n.m7 $r,7.4So (o) rrand intale.

  • (Ri tTJlRES SUN'OR11NG INf 0rJtA110N. )

(SIC AlitCllCD.) _ . . . _

./R' DC 3 5

' '!PLE SUPPORTING INFORMATION

1) Direct Labor - $2400 Labor Labor Hours Hours Cumulative Category Negotiated Billed Rate Total _ Hours Billed Senior Engineer 1 2400 100 $14.00 $1400 975 Engiiieer 1500 50 $10.00 $500 465 Computer Analyst 700 100 $5.00 500 320
3) Direct Equipment Spectrometer - General Electric (as approved in Pmperty Schedule) $5.000
4) Materials, Supplies & Other Expendable Items 10 Radon Tubes 9 $110.00 = $1100.00 6 Pairs Electrostatic Gloves 9 $150.00 '

= $900.00 52000.00

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

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

7) Travel l

Date Traveler Destination Purpose Costs l

I From 3 From M 3/1/82 3/6/82 William King Chicago. Wash., Heeting with 1) Airfare $80.00 Il DC Project 2) Rental Car $15.00 Officer 4) Per Diem - 2 Days l 9 $50.00 = $100.00

6) Tips, Misc. $5.00 l

TOTAL: $200 1

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8)' _ Subcontracts XYZ CORP, (CPFF)

Direct Labor: - 80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br /> 9 $20.00 per hour = $1600.00 9 50% = $800.00 0/H =

Travel - 2 Trips - Wash., DC 9 $200 $400.00 to Boston, MA

= $200.00 Profit 9 7%

TOTAL: 53000.00 (j) Fixed-Fee _ (Fomula)_

(5%)

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

$27,200 X 5% = $1360 Fee Billed for this Period (n) Adjustments

$1700 - Indicates amount withheld from voucher f001, now approved by Contracting Officer letter 3/10/82.

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ATTACHitENT 3 Form NRC 489 (1 76)

U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL TRANSMITTAL NOTICE CHAPIER NRC-3202 PUBLICATION OF TECHNICAL FIPORTS PEPARED BY IBC CONTRACTOPS, INCLUDING PEPORTS PEFAED UNDER OR PURSUA!TP TO I?1ERAGENCY N1PFDE7PS SUPERSEDED: TRANSMITTED:

Number Date Number Date TN 3200-21 NRC-3202 4/29/82 Chapter NRC-3202 8/29/84 Chapter Page Page l

Appendix ?BC-3202 i/29/82 Appendix !aC-3202 8/29/84 REMARKS:

'1his revision of 01 apter 3202 expands the chapter fmm coverace of unclassific4 reports to include the rarkirE and handlirc of sensitive unclassified inferration (Official Use Only and Lirr.ited Official Use Inforraticn, Safeguards Inforration, Proprietary Inforration) and i

classified inferration (Tcp Secret, Secret, and Ccnfidential). A l section has also been added to set forth procedums for the handlirr l

of unclassified reports en 120 cooperative progra~s with foreign goverwents and citanizaticns and with U.S. industry.

l

4 U.S. NUCLEAR REGULATORY CO51 MISSION NRC MANUAL Volume: 3000 Information and Foreign Activities Part : 3200 Technical Information and Document Control ADM Cil APTER 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 , basic requiremen ts , standards and procedures for the documentation, production and dissemination of technical reports prepared by NRC consultants and grantees and by NRC contractors and their subcontractors, including reports prepared under or pursuant to interagency agreements or memorandums of un derstanding . These reports are hereafter referred to as contractor re-ports . This chapter does not cover NRC s taff-generated documen ts , NRC docket material, or the documents generated by NRC boards, pan els ,

advisory committees and Offices that report to the Commission.

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

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

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

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

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

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

a. develops and main tains , in consultation with Directors of Offices and Divisions and Regional Administrators, NRC standards, proce-dures and guides for the production and dissemination of technical contr6ctor reports.

Approved : August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCLUDING REPORTS PREPARED NRC-3202-032 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS b, periodically surveys report activities throughout NRC to ascertain that the provisions of this chapter are adequate and are being implemented; makes any changes needed.

032 The Director, Division of 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.
b. develops and maintains guides and s:andards for the documentation, format tin g , prin tin g , dissemination , and public sale of unclassified contractor reports,
c. assures that a system exists for review of unclassified contractor reports for adherence to patent, copyright and disclosure policies prior to dissemination
d. establishes and administers interagency agreements necessary for the dissemination and public sale of unclassified contractor reports and controls duplication and printing of contractor reports to assure adherence to the Government Printing and Binding Regulations issued by the Joint Committee on Printing (JCP), Congress of the United States.
e. in response to reque3ts of Directors of Offices and Regional Administrators, establishes distribution data banks, maintains official standard distribution lists for automatic distribution of unclassified contractor reports, and controls distribution to assure adherence to the Government Printing and Binding Regulations, the Privacy Act, and the Freedom of information Act.

033 Directors of Offices and Regional Administrators:

a. establish the contract or Standard Order for Work
  • provisions ,

including those required by this chapter and its appendix; Chapter N R C-3203, Distribution of Unclassified NRC Staff- and Contractor-Generated Documents and its appendix; Chapter NRC-0260, Prin t -

in g , Copyin g , Graphics and Photography and it s appendix; and Chapter N R C-Il02, 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 dis t ribution . 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-Il02.

Approved : August 29, 1984

. . j  :

, .iPUBLICATION OF TECliNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED

< lTNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-034 (2) provide for the reviews necessary to insure that the national '

security , patent rights , copyrights , proprietary rights and rights in other sensitive unclassified information are not ,

compromised by the release or dissemination of the reports.

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

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

appendix.

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

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

(6) establish the number of copies the contractor may retain or request for internal and external distribution and charge against NRC. Written justification must be provided , and approval obtained of the NRC JCP r apresentative (the Direc. tor, Division of Technical Information and Document Control) wPen the number exceeds the 50 copies authorized by JCP tar -

unclassified reports.

('i) assure the protection of classified and sensitive unclassified

information , if any, in contractor reports (see Appendix, Part V).
b. assure adherence to instructions and authorizations regarding the  !

reproduction and distribution of reports.

i

c. recommend standard distribution category (ies) for contractor reports ,

~

to the Division of Technical Information and Document Cont rol .

d provide changes to the official standard distribution lists to the d.

Division of Technical Information and Document Control.

, e. establish procedures for review of contractor's oroposed press and other media releases, t

034 The Office of the Executive Inga_1 Director provides legal 3

review and advice to NRC staff on questions regarding inventions, patents, 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-3202-036 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 036 The Director, Division of Security:

a. administers the overall information security program which includes management of the secur,ty classification program and other programs for the protection of ser.sitive unclassified information, b, advises staff of NRC Offices and Regions on the preparation and handling of reports co'.taining classified, proprietary and other sen-sitive unclassified infre mation.

037 The Director, Divisicn of Contracts:

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

1 i 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 con t racts , should include statements requiring contractor compliance with Chapters NRC-3202, 3207, and 3210 and the Government Printing and Binding Regulations.

l.

! e, ensures that appropriate clauses are included in contracts regarding i

the private use and protection of classified, proprietary and other sensitive unclassified information.

. 3202-01 DEFlNITIONS*

, 041 camera-ready copy - pages ready for printing by the offset printing

! process. This is a colloquial term used even though the printing process may not involve the so-called copy camera (see also reproducible masters).

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

043 contractor report -

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

Words underscored in definitions are also defined in list.

. Approved: August 29, 1984

4

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

,U.NDER OR PURSUANT TO INTERAGENCY AGREEMENTS N R C_-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" includiq 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 p . author or publisher.

L 045 disseminate - to announce the publication of reports and make them

, available for free distribution, sale or copying.

046 distribute - to dispense reports to specific organizations and indi--

> viduals to assure their participation in the regulatory proce::s and support of research and technological investigations . Such distribution may be accom-plished by the use of standarc' 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 nu nber), date and availability 048 draf t or final material for inclusion in "Safety Evaluation Reports"

, or "Environmental Statements" (ES) - written material requested for input to 5ERs or ESs to be issued as NUREGs. Such material may be edited or modi-fied at the discretion of the NRC staff.

049 formal technical reports - the final product of research, an original investigation , or a significant compilation of information. This product is a l

formal technical report for publication in the NUREG/CR series. For extensive

l. 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.

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

0412 proprietary information - trade secrets; privileged or confidential research, development, commercial or financial information, exempt from manda-tory disclosure under 10 CFR Part 2 (Sections 2.740 and 2.790) and under 1 10 CFR Part 9 (Section 9.5); and other information submitted in confidence I to the NRC by a foreign source and determined to be unclassified by the NRC.

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

4 Approved: August 29, 1984

PUBLICATION OF TECHNICAlo llEPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED N R C-3202-0414 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 0414 reproducible masters -

camera-ready copy which includes (1) origi-nals of line drawings (or prints that can be copied), (2) glossy prints of black and white photographs (colored photographs cannot be reproduced),

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

0415 technical reports - information on the technical aspects of contract work. These may be interim or final technical letter reports, draft or final formal technical reports for publication in the NUREG/CR or NUREG/CP series, or draf t 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-uation of work of others or work to be used by the staff in the licensing and regulation p rocetis . Interim letter reports may include, but are not limited to, informal (interim) progress reports , quick-look reports , data repcrts ,

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

facility certification reports, and test result reports.

0417 unique identification -

NRC identification used on a report and its at tachmen ts , revision s , and supplements that is not used on any other report.

3202-05 BASIC REQUIREMENTS 051 Applicability. The provisions of this chapter and its appendix apply to NRC consultants, grantees, contractors and subcontractors, including those working under interagency agreements, whose contracts require the prepara-tion of technical reports. Because of the unique requirements of NRC boards, panels , advisory committees and Offices which report directly to the Commission , the handling of reports prepared by consultants and contractors to them are governed by the Board or Panel Chairman and, in the case of advisory committees, by the Advisory Committee Management Officer, or the Commission . These exceptions do not preclude the use of the NUREG/CR series designation on reports prepared for these entities that are to be given wide public dissemination.

052 Forms. NRC Form 426A, "Publication Release for Unclassified NRC Contractor and Consultant Repor ts" (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 Apyendix 3202. This appendix contains standards and procedures for the preparation of reporting requirement portions of Statements of Work, and for the documentation, production, and dissemination of technical reports

. prepared by contractors and other government agencies in accordance with contract requirements or interagency agreements.

Approved: August 29, 1984

'l'UBL! CATION OF TECHNICAL REPORTS PREPARED BY  !

NRC CONTRACTORS, JNCLUDING REPORTS PREPARED l UNDER OR PURSUAN'I' TO INTERAGENCY AGREEMENTS NRC-3202-054 054 Preparation Requirements

a. Reports to be Printed by NRC, All contractor reports to be printed by NRC shall be prepared according to Appendix 3202. The repro-ducible masters for the requisite distribution shall be transmitted to the Division of Technical Information and Document Control accom-
panied by completed NRC Form 426A and NRC Form 335.
b. Reports Printed by Authorized Federal Printing Plants. All contrac-tor reports to be printed by the contractor (as specified by the contract, agreement, or standard order for work) shall be prepared according to Appendix 3202, and a reproducible master and suffi-cient copies for standard and incidental distribution shall be sup-plied to the Division of Technical Information and Document Control, accompanied by completed NRC Form 426A, signed by the authorized contractor official. Each such report shall include, as the last pa;;e, a completed NRC Form 335.

055 References. The NRC chapters referenced and NUREG-0794 (ref. j) and NUREG-0650 (ref. i) are available from the Division of Technical Informa-

tion and Document Con t rol . The other publications are available from the l Government Printing Office,
a. Chapter NRC-0260, "Printing, Copying, Graphics and Photography."  ;
b. Chapter and Appendix NRC-2101, "NRC Security Program."
c. Chapter NRC-3203, "Distribution of Unclassified NRC Staff- and Contractor-Generated Documents."
d. Chapter N RC- 1102, "Procedures for Placement of Work with the ,

Department of Energy."

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

f. Chapter NRC-3207, "Conferences and Conference Proceedings . "
g. Title 44, U .S. Code, "Public Printing and Documents." Government Printing Office.

j h. Government Printing and Baading Regulations of the Joint Committee

on Printing, Congress of the United States. No. 24, April 1977 (JCP Regulations), Government Printing Office,
i. Title 5, U.S. Code, "Government Organization and Employees ,"

Government Printing Office.

i i

l Approved: August 29, 1984 l

PUBLICATION OF TECliNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCLUDING REPORTS PREPARED NRC-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," and Appendix 0255, Part V, Annex A.

-Approved: August 29, 1984

hUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTER AGENCY AGREE >lENTS NRC Appendix 3202 CONTENTS PAGE PART I PREPARATION OF REPORTING-REQUIREMENTS PORTIONS OF STATEMENTS OF WORK FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR 00E WORK A. LIST OF TECHNICAL REPORT REQUIREMENTS.... . . . . 1 B. REQUIREMENTS FOR FORMAL REPORTS.. ..... . ..... ... . . 2 C. REQUIREMENTS FOR DRAFT REPORTS. . ... . . . .. 2 D. PUBLISHING UNCLASSIFIED, NON-SENSITlvE INFORMATION IN OPEN LITERATURE AND PRESENTING PAPERS. . . . 3 E. TYP0 GRAPHY. . . . . . .. .... .. . 4 F. REPORTS CONTAINING SENSITIVE UNCLA551FIED AND CLASSIFIED INFORMATION... .. ... .. . . . 4 G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND WORKSHOPS. .. ... . . . 4 H. WRITING AND PUBL15HING UNCLASSIFIED BOOKS. . . 5

1. DISTRIBUTION OF REPORTS TO CONTRACTOR $. . . 5 J. C0 ORDINATION OF PRESS OR OTHER MEDIA RELEASES OF UNCLASSIFIED INFORMATION. . . . 5 7

PART 11 UNCLASSIFIED FORMAL CONTRACTCR REPORTS TO BE PRINTED B) NRC.

7 A. DOCUMENTATION. .

7

1. Applicability. .

F ront Cover and Title Page. 7 2.

3. Availability Information. . 9
4. Visclaimer. . . . 9
5. Previous Reports in Series. 9
6. Abstract. 9
7. References and Bibliographies. 9 Bibliographic Data Sheet. 10
8. . .

10 B. PATENT AND SECURITY REVIEWS.. . .

10 1 Patent Review. .

Security Revie.. 10 2.

i Approved : August 29. 1984

PUBLICATION OF TECliNICAL REPORTS PREPARED BY l NRC CONTR ACTORS, INCLUDING REPORTS ' PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMF.NTS CONTENTS (Continued) i PAGE C. PROCEDURES FOR PRINTING AND DISTRIBUTING...................... 11

1. Printing................................................. 11
2. Reprinting............................................... 11
3. Distribution of Reports.................................. 11 EXHIBITS
1. Sample Cover for Unclassified Formal Contractor-Prepared Reports, Excluding Those Printed by DOE Laboratories with JCP Authorized Federal Printing Plants........................................... 13
2. Sample Title Page for Unclassified Formal Contractor-Prepared Reports, Excluding Those Printed by DOE Laboratories with JCP Authorized Federal Printing P1 ants................................ 14
3. Sample Cover for Unclassified Formal Reports Printed by DOE Laboratories with JCP Authorized Federal Printing Plants.......... 15
4. Sample Title Page for Unclassified Formal Reports Printed by 00E Laboratories with JCP Authorized Federal Frinting P1 ants............................................................ 16 S. NRC Form 426A, Publications Release............................... 17
6. Disclaimer and Availability Statements............................ 18
7. NRC Form 335, Bibliographic Data Sheet................ ........... 19 ,

PART !!! UNCLASSIFIED TECHNICAL LETTER REP 0RTS........................ 21 A. F0RMAT....................................................... 21

1. Applicability.......................... ................ 21
2. Requirements... ........................................ 21  ;

4 B. PATENT AND SECURITY REVIEWS................................. 21

1. Patent Review.......................................... 21 ,
2. Security Review........................................ 22 -

t PART IV UNCLASSIFIE0 FORMAL REPORTS TO BE PRINTED FOR THE OFFICE  !

0F NUCLEAR REGULATORY RESEARCH BY DOE LABORATORIES WITH JCP-AUTHORIZE 0 FEDERAL PRINTING PLANTS...................... 23 A. DOCUMENTATION............................................... 23

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

Approved: August 29. 1984 ii

' s

~ PUBl.lCATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS. . lNCLUDING REPORTS PREPARED

.UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS NRC Appendi.x 3202 CONTENTS (Continued)

PAGE 3 .- Availability and Price Information..................... 25

4. Disclaimer.~............................................ 25
5. Previous Reports in 5eries............................. 25
6. Abstract............................ .................. 25
7. References and Bibliographies... ....................... 26
8. Bibliographic Data 5heet............................... 26 B. PATENT AND SECURITY REVIEW 5................................. 26
1. Patent Review........................................ . 26
2. Security Review......................................... 26 C. PROCEDURES FOR PRINTING AND DISTRIBUTING..... .......... .. 27
1. Printing ........... ........................ ........ . 27
2. Reprinting.......... .................................. 27
3. Distribution of . Reports........ ......... ............. 27 PART V REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMAT10N...................................... 29 A. APPLICABILITY............................................... 29 B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION...... 29 C. PROPRIETARY INFORMAT10N............................ .. ..... 30 D. SAFEGUARDS INFORMATION......... ........ ..... ..... ....... 31 E. CLASSIFIED INFORMAT10N......................... ............ 31 EXHIBITS
8. Sample Cover for a Contractor Report Containing Official Use Only Information...................... ................. .. . .... 33
9. Sample Title Page for a Contractor Report Containing Official Use Only Information.............. ........ ... ... ............. 34
10. Sample Back Cover for a Contractor Report Containing Official Use Only Information.... .... ................................ . 35 ll. 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

PilBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 11NDER OR PliRS11 ANT TO INTER AGENCY AGREE 31ENTS CONTENTS (Continued)

PAGE

13. Sample Back Cover for a Contractor Report Containing Limited Official Use Information.............................. ......... 38
14. Sample Cover for a Contractor Report Containing Proprietary Information Cbtained from a U.S. Organization................. ... 39
15. Sample Cover Page for a Contractor Report Containing Proprietary Information Obtained from a Foreign Source. ..... .. 40
16. Sample Title Page for a Contractor Report Containing Proprietary Information Obtained from a U.S. Organization... ... 41
17. Sample Title Page for a Contractor Report Containing Proprietary Information Obtained from a Foreign Source.. . .. . 42
18. Sample Back Cover for a Contractor Report Containing Proprietary Information..... ... .. ... .. . . .... .. .. .. . 43
19. Cover Sheet for Reports Containing Proprietary Information... ... 44
20. Sample Cover for a Ccotractor Report Containing Unclassified Safeguards Information. ... . .. ... .... . ...... 45
21. Sample Title Page for a Contractor Report Containing Unclassified Safeguards Information.. ... . .. ..... ..... . 46
22. Sample Back Cover for a Contractor Report Containing Unclassified Safeguards Information. ... . . .. . . .. 47
23. Cover Sheet for a Contractor Report Containing Unclassified Safeguards Information. . . .. .... ...... . .. 48 PART VI. HANDLING OF UNCLAS$1rIED INFORMATION ON NRC COOPERATIVE PROGRAMS WITH FORElaN GOVERNMENTS AND ORGANIZATIONS AND WilH INDUSTRY.. ... . .. .. . . . .. . . . .... . . 49 A. PREPARATION OF DRAFT PREllMINARY REPORTS FOR COMMENT. .. 49 B. DISTRIBUTION BY NRC PROJECT MANAGERS... . ..... . . 50 C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT. . 50 D. REPORT IDENTIFIERS. . . . ... ... . .. 50 E. MAILING TO PROGRAM PARTICIPANTS. . . . 51 F. SECURITY. . . . .. . . .. 51 Approved : August 29, 1984 iv

P.UBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202

.t!NDER OR PURSU ANT TO INTER AGENCY AGREEMENTS CONTENTS (Continued)

PAGE EXHIBITS

24. Sample Cover for a Oraft Preliminary Report (Code) for Comment... 52
25. Transmittal letter f rom Contractor to NRC Project Manager for Draft Preliminary Report (Code).... . ............. .............. 53
26. Transmittal Sheet for Requesting Mailing to Cooperative Program Participants....... ....... .............. ...... ....... .... 54 v Approved : August 29. 1984

PUBLICATION OF TECilNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED

,UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART I PREPARATION OF REPORTING REQUIREMENT PORTIONS OF STATEMENTS OF WORK FOR CONTRACTS, GRANTS AND STAND ARD ORDERS FOR DOE WORK A. LIST OF TECllNICAL REPORT REQUIREMENTS List the technical reports required from each project, task or subtask, as applicable. State when and to whom they should be submitted and what they should contain. These reports may be unclassified, sensitive unclassified or classified. Standards for each of these categories are presented in Parts 11 through V. The following definitions describe the types of reports that may be specified:

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

technical letter reports (also called technical evaluation reports) -

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

pre-test predictions , model verifications, experiment safety anal-yses, experiment operating procedu res , 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 information. 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 1 Approved: August 29, 1984

NRC Appendix 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part 1 UNDER OR PURSUANT TO INTERAGENCY AGREE 31ENTS draft or final material for publication or inclusion in SERs, ESs, '

letters, or license amendments - written material requested for use in the NRC licensing process. Such material may be (1) abstracted in a NUREG report or attached to a NUREG report, (2) attached to a letter or an amendment to the license, or (3) abstracted and used as necessary by the NRC staff. NRC requires patent review and full management review of this material by the performing organiza-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. REQUIRE >lENTS FOR FOR>lAL 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 ny the contractor, unless the work is being done for the Office of Nuclear Regulatory Research by a DOE facility or La boratory with a JCP-authorized printing plant . The camera-ready copy is to be prepared in accordance with the provisions of this appen-dix, Parts 11 and V (for contractors other than DOE contractors), or Parts IV and V of this apper Jix and Chapter 1102 (for DOE contrac-tors). A style guide is aLo 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 TechnicalInformation and Document Control, NRC, Washington, D.C. 20555, by first class mail. For handling of sensitive unclassified and classified reports see Part V of this appendix and NRC Appendix 2101.

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

C. REQUIRE 31ENTS FOR DR AFT REPORTS If a draft is desired prior to completion of a final technical letter report, formal technical report, final material for inclusion in an SER or ES, or for comment by participants in cooperative programs with foreign gov-ernments and organizations and with U.S. industry, state that require-ment and the time frame for delivering the final camera-ready copy after receiving NRC and/or participant comments on the draf t. State that all draft material should be submitted to the cognizant project manager.

i When the contractor is to submit draf t material for comment prior to the preparation of the final report , state that if there are NRC program and/or participant comments the contractor will be asked to make changes, if agreement on the changes is reached, the NRC manager will authorize the contractor to prepare the final copy and submit it to the project manager, if it is a letter report or input to an SER or ES, or to the Director, Division of Technical Information and Document Control, if it is

. Approved: August 29, 1984 2

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

, UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 1 camera-ready copy for printing and distribution. This is to be done to assure proper publication, handling, and distribution and, among other thin gs , to preclude further changes that might nullify the agreement. If caveats were agreed to and the project manager wishes to check the final document for their presence, he/she should inform TIDC of that desire, in that case, upon receipt of the camera-ready copy by TIDC, the project manager will be informed and requested to prepare and sign the NRC Form 426A.

Also state that if agreement on changes to a formal technical report to be issued in the NUREG/CR series is not reached, the NRC project manager may request the contractor to prepare the camera-ready copy with , in addition to the standard disclaimer required on all contractor formal reports (see Exhibit G), 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 f ootnotes at appropriate locations within the text.

State that if NRC objections cannot be covered in this manner, NRC can refuse to publish the report. In the case of DOE / National Laboratory report s , the DOE Operations Office Manager responsible for that labora-tory should be informed by the NRC Office Director or Regional Adminis-

trator of the decision and the r'asons therefor, with a copy to the Laboratory Director in the case of another Federal agency, a State, or a private contractcr, the person who executed the contract should simi-larly be informed by the NRC Contracting Officer. The contractor is then free to publish without NRC identification of the report. Project manager or higher level decisions may be appealed to the NHC Executive Director for Operations.

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

add the following statement to the Statement of Work:

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

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

1 The principal investigator (s) may publish the results of this work in

tM open literature instead of submitting a final report and/or pre-j sent papers at public or association meetings at interim stages of the l work, if the article or paper has been reviewed by the NRC project 3 Approved
August 29,19M 1 I

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part I UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS manager in draf t form and agreement has been reached on the con-tent. The applicable procedures set forth in Chapters NRC-3206 or NRC-Il02 must b' 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 cannet be covered in this manner, NRC can refuse to authorize publication in the open litera-ture and/or presentation of papers.

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

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

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

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

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

E TYPOGRAPilY The text of reports must be single spaced on 8\ x ll-in. paper, unless otherwise spectfically authorized. Occasionally, reports with many sym-bois and mathematical expressions may require one and one-half spacing to provide for superscripts and s u b sc ript s . This spacing should be allowed where needed, but should be considered an exception, not the standard.

F REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASS!FIED INFORMAT7N Details of the marking of reports designated Official Use Only, Limited Official Use, Proprietary Information , Safeguards In formation , and classified (Confidential, Secret, and Top Secret) are provided in Part V of this appendix and in NRC Appendix 2101.

G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND WORKSHOPS i NRC publishes or assists in the publication of compilations of papers presented at meetin gs , conferences, and symposiums in which NRC

' Approved : August 29, 1984 4

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPOHTS PREPAPED NRC Appendix 3202

,UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part I participates as a sponsor or cosponsor. Chapter NRC-3207. "Cor.ferences and Conference Proceedings," provides general information and guidance for this. More detailed guidance is available from T!DC upon request.

H. WRITING AND PUllLisli!NG UNCLASS! FLED BOOKS NRC may, under certain circumstances, publish bcoks prepared by grantees or contractors. For general information and guidance on book publishing, see Chapter NRC-3210. "Book Writing and Pablishing."

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

If fewer than 50 copies are needed, indicate the desired quantity on NRC Form 426A. Single copies for specific individuals in organizations other than the contractor's organization who are not included in the distribution requested by the NRC project manager may be requested on a project basis or on a report-by-report basis. The request with written justifi-cation , should be addressed to the NRC project manager with a copy to N RC/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 tne 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 UNCLASSI-FIED INFORMATION A contractor may request permission to issue a press or other media release on the work being done. Such request shall be made to the project manager, who will consult with his/her management and with the Office of Public Affairs. The contractor may not issue a prest release or.

nonroutine information without this prior coordination. This coordination may be accomplished by telephone, with the NRC project manager respon-sible for expeditious handling. Decisions not to release information or delays in handling by the project manager may be appealed to the NRC Executive Director for Operations.

l 5 Approved: August 29, 1984

,; 3

' FUBLICATION O' F TECHNICAL REPOItTS PREPARED BY ,

- NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 ~l

.UNDEli OR PURSUANT TO INTERAGENCY AGREEMENTS 3 i

i PART 11  !

t UNCLASSIFIED FORMAL CONTRACTOR REPORTS ,

TO BE PRINTED BY NRC .

f A. DOCUMENTATION l t

l. Applicability j
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 Nite except t those DOE laboratories with JCP-authorized printing plants and i then only those reports prepared for NRC's Office of Nue!"ar  !

Regulatory Research. j

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. j I

c. The requirements of this part do' not apply to consultants and '

contractors of the NRC boards, panels, and advisory commit-  ;

tees which report directif L) the Commission, j

2. Front Cover and Title Page {

l t

a. Separate covers and title pages are required (see Exhibits 1 ,

l and 2 for contractor reports and Exhibits 3 and 4 for reports ,

prepared under or pursuant to interagency agreements).* [

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

(1) NRC Report Number Each report shall be identified by an NRC-controlled i 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 (

i 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 i

NRC Form 426A (Exhibit 5) with a request for a number, e

  • t

' Reproducible copy of the cover of the performing organization may be sub- I j

mitted; however, the data elements shown in Exhibit 1 must be included.

I j

l

    • These requirements meet the specifications of American National Standard  !

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

4 7 Approved: August 29, 1984

x L

" 1

~

PUBLICATION OF TECHNICAL REPORTS PREPARED BY  !

NRC AppenMx 3202 NRC CONTRACTORS, INCLUDING REPORTS PRSPARED Part II UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS l I

The NRC identification number will have the form:

NUREG/CR-XXXX or NUREG/CP-XXXX where CP indicates conference proceeding. The contrac- i tor's report number, if any, may be inserted below the  !

NUREG number on the title page and cover, as shown in -

Exhibits 1 through 4, 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, supM at, part or revision designation shall appear imme below the report number. '

(2) Title and Su '

i (a) Use a brief title that indicates clearly the subject  !

matter covered in the report.

t (b) When a report is prepared in mee than one volume, i repeat the primary title on each tm. . [

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

annual report , final report, thesis, etc.) and the 't period covered as part of the subtitle-, f (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 i reports 'which have many contributors, if authors' contri-butions are as editors, compilers, etc. , so indicate on the l title page following the names. In addition, list affiliation ,  !

of each author only if affiliated with an organization other l than the organization generating the document.  !

f (4) Organization Identification j t

on the title page and cover, provide information of the  !

type illustrated in Exhibits 1 through 4.

(5) Basis for Repor'. 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 t

?

I i

+

l e

August 29, 1984

' Approved: 8 r I r o'

  • I

, .. _ _ . __. ~ . _ _ _ ___ __ _

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORStINCLUDING REPORTS PREPARED NRC Appendix 3202 -

UNDER OR PURSUANrT 9, INTERAGENCY AGREEMENTS Part 11

3. Availability Infc 1ation All formal reports will be made available for sale by NRC and by the National Technical Information Service (NTIS). Exhibit 6 will be inserted on the inside of the front cover by the Division of Technical Information and Document Control.
4. Disclaimer The fc11owing notice will be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by an agency of the United States Government. Neither the United States Government nor any agency thereof, or any of their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any information, apparatus , product or process disclosed in this report, or repre-sents that its use by such third party would not infringe privately owned righ ts . " The following additional statement , "The views expressed in this report are not necessarily those of the U.S.

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

5. Previous Reports in Series If the report being prepared is one in an ongoing series, list all previous reports in the series. Include report numbers and issu-ance dates. Place this list on the back of the title page.
6. Abstract An abstract of 200 words or less shall be prepared for each formal report . Within the report, the abstract shall appear on a separate page between the list of previous do'cuments in the series and the contents page.*
7. References and Bibliographies Reports or other documents referenced in text, reference sections, bibliographies, and appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office, at the National Technical Information Service, or at other reference or sales outlets ) or in the NRC Public Document Room. This means that references should not be made to personal communications and interviews , unpublished This preferred positioning of the abstract in the report need not be followed if the style manual of the originating organization requires a different loca tion .

9 Approved : August 29, 1984

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

proprietary , national secu rity , 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 G).

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

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

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

B. PATENT AND SECURITY. REVIEWS

1. Patent Review l

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

DOE laboratories), that government agency should be requested by

the contractor to perform the patent review. The result of such l review shall be reported on NRC Form 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-r ing the contract, the responsible NRC contracting officer shall be l 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 Appli-cable" or "N/A" in the space for the Patent Counsel's signature. If

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

l

2. Secu rity Review In most cases, contractor reports will be unclassified. Should a report of sensitive unclassified or classified work be required ,

I however, the NRC project manager must work with the NRC Division of Security to establish the appropriate procedures and inform the contractor of such procedures through the contracting officer. The standards for marking and handling such reports are j '

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

t l

i Approved : August 29, 1984 10

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED . NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part Il 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 Con trol, accompanied by completed NRC Form 426A
(Exhibit 5). NRC Form 426A must be signed by the NRC project m'anager 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 will review the masters for adherence to the standards set forth in this chapter and appendix and will arrange for printing and distributing the report. Unsatisfactory masters will be reported to the NRC project manager for appropriate contractual action by the contract-ing officer or, in the case of government agency or interagency agreement work, the publications manager of the performin g organization .

2. Reprin ting -

Requests for reprinting any report subsequent to the initial print-ing require approval of the Division of Technical Information and Document Control. Each request shall include a written justification and the project manager's approval for reprinting along with ad-dress labels for the recipients.

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

If any distribution is to be made other than, or in addition to. the standard distribution established for the report, written justification and the project manager's approval for printing additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Con t rol. 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 A pproved : August 29, 1984

PUBLICATION OF TECilNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS 'c' .

EXHIBIT 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 556 Vol., Part, Rev., etc. (if any) Vol.1 u1ie Using Advanced Process Monitoring to Improve Material Control Subtitle and Type of Report Final Report (Annual, Topical, etc.) September 1979 September 1980 Author (s) Prepared by R L Hawkes. R L Lynch, R F Lamb Contractor NUS AC incorporated U S Nv I at Regulatory Commession 13 Approved : August 29, 1984

F TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC Co.. . ../ 7 TORS . INCL.'" ":G REPORTS PREPARED Part 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 2 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL CONTRACTOR.

PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC REPORT No- NUR EG/ CR-1676 Contractor Report No. (if any) NUSAC 556 V I Vol., Part, Rev., etc. (if any)

Distribution Category No. (if any)

Titie Using Advanced Process Monitoring to improve Material Control Subtitle and Type of Report Final Report September 1979 September 1980

( Annual, Topical, etc.)

Report Dates and Bases gay;c;*y , j,. =

Author (s), Editor (s), p ey.co

, , o, Compiler (s), etc.

Contractor Name sg4 7g and Address a,, , a me:

NRC Sponsorship Prepared for Divesson of Safeguards Office of Nuclear Material Safety and Safeguards U S Nuclear Regulatory Commission Washington DC 20555 N RC Contract No. NRC FIN 06437 A.pproved : August 29, 198-1 11 a g

o ,

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NBr Annandiv Mn9 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part '. t EXHIBIT 3 SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No. NUREG/CR 1952 Contractor Report No. SAND 81-0151 Vol., Part, Rev., etc.

LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks Type of Report Independent Verification Testing Program or Subtitle Independent Verification Test 1 s

Author (s), Editor (s) "'** k 'n n eo o;gogd A 8 e et P.RC Cont r act o' Sandes Nahnal Laboratories Sponsorship h'7'E'j[,,',negui,,o,,

Commission 15 Approved: August 29, 1984

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

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHlBIT 4 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No.

Contractor's Report No.

Vol., Part, Rev., etc. rC 1952 Distribution R4 Category Titie LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks Subtitle independent verification Testing Program independent ver fication Test 1 Report Dates eg;.7,, w Author (s), Editor (s) P

, ec

+o Contractor's Sey@*,yga Name and Address NRC Sponsorship Proo

,, ed f,ot , , , p, ,, p , ,

Office of Inspection and Enforcement U $. Nuclear Regulatory Commission Washington. D C. 2o555 NRC FIN No. NRC FIN B3101 4

Approved : August 29. 1984 16

. e PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTOBS, INCLUDING REPORTS PREPARED NRC Annendix 3202 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Part II EXHIBIT 5 NRC FORM 426A, PUBLICATIONS RELEASE FOR UNCLASSIFIED NRC CONTRACTOR AND CONSULTANT REPORTS us =veta.a n u ovt.toav co.maisseo= i .t oo.' s wet . e. l * * - ee,.e . e4-

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NRC CONTR A0 TOR AND CONSULT ANT REPORTS **-~"se see

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17 Approved : August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Pait 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 6 DISCLAIMER AND AVAILABILITY STATEMENTS (BACK OF COVER) l NOTICE This report was prepared as an account of work sponsored by en agency of the United $setse Gowvnent. Nether the United States Government nor any agency thereof, or any of ther emp6cytes, makes any warranty, espreened or implied, or assumes any W Habiltty of re-sponsibility for any therd party's use, or the resalts of eud use, of any information, apparvens, product or process desclosed in then report, or represents that its ves by sue therd party seendd fot intempe prrvetely owned rights.

l i

NOTICE Availability of Reference Materials Cited in NRC Pubicatione Most documents cited in N RC publatons will be seilable from one of the followmg sources:

1 1, The NRC Public Document Room,1717 H Street, N.W.

V.'eshington, DC 20555

2. The N RC/GPO Seles Program, U.S. Nuclear Royalstory Comm<ss+on, Washington, DC 20555 3, The National Technical Informaton Servce, Soringfield, VA 22161 Although the listing that follows represents the maiority of documents cited in NRC publatiors, it is not snanded to be enhevstrve.

Referenced documents available for inspecten and copying for a fee from the NRC Pubhc Doce rnent Room include N RC correspondence and interrei NRC memorands; NRC Off ce of trepection and Enforcement bulletins, circulars, informaton notcos, inspecten and investigaton notices; Licensee E vent Reports, vendor reports and correspondence; Commras on pepers, and apphcent and licersee documents and correspondence.

The follovnng documents in the NUREG series are avaitable.for purchese from the NRC/GPO Senes Progre m: formal NRC staff and contractor reports, NRC-sponsored conference proceedmes, and N RC booklets and brochures. Also available are Repatetory Guides, N RC regulations in the Code of Federal Regulatons, and Nucker Reputerevy Commewon Isewices Documents eveitable from the National Technical information Service include NUREG series reports and technical reports prspored by other federal e(enci.e and reports prepared by the Atomic Energy Commiesson, forerunner egency to the Nuclear Rapatatory Commensson.

Docurrents available from pubhc and special technical libraries irclude all open literature items, asch es books, joumal and periodical articles, and trarsections. Feders/ Repster note, federal and state legislaton, and congressonal reports can usually be obtained from these libraries.

Documents each as theses, dresettatons, fore +gn reports and trerulatons, and non N RC conference proceedegs are avestab6e for purchase from the orgerutaton sconsoring the pubicaton cited.

Single copies of NRC draft reports are eveelable free, to the entent of supply, upon wertten request to the Divison of Technical Informaton and Document Control, U $ Nuctaar Rapalatory Com messon, Wenhengton, DC 20555.

Copies of edustry ccdes and standards used in a substanteve manner in the NRC repatstory proces are maintained at the NRC Library, 7920 Norfolk Avenue Betheade. Merytend, and are evedab6e there for reference use by the pubic. Codes and standards are usually copyrighted ard may be purchseed from the origmating orgerutation or, if they are Amercan Netonal Standerds, from the Amercan Natonal Standards Institute,1430 Brood esy, New York, NY 10018 GPO Peeied copy orce A pproved - A tigii s t 24, 1981 18

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annendix 3202 UNDER OR PURSUANT TO INTERAGFNCY AGREEMENTS a: t :I EXHIBIT 7 NRC FORM 336. BIBLIOGRAPHIC DATA SHEET

. . . . - . . . = , . . . . . - ,

.. .......... . c --

g 7.'J sisuoonAPHK: DATA SHEET

.......,co....

e.og t e ....

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....<i 19 Approved : August 29. 1984

PUBLICATION OF TECHNICAL REPORTS PREPAnED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part II UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 7 (Continued)

BACK OF NRC FORM 335 DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT INSTRUCTIONS NRC FORM 335,818LIOGRAPHIC DATA SHEET. IS BASED ON GulOELINES FOR FORMAT AND PRODUCTION OF SCIENTitlC AND TECHNICAL REPORTS. ANSI 239 13-1974 AVAILABLE FROM AMERICAN N ATION AL STAND AROS INSTITUTE.1430 BROADWAY. NEW YORK. NY 10018 E ACH SEPARATELY SOUND REPORT FOR EX AMPLE. E ACM VOLUME IN A MULTiv0LUME SET-SH ALL HAVE ITS UNIOUE 818LIOGRAPHIC OATA SHEET.

1. REPORT NUMSER. E och indeviewany bowed report shall 10. SPONSORING ORG ANIZ ATION. L si NRC D.v4 ion. OH<e.

carry a wa.ove s'phan umerg oes.gastion INUREGl sea gaed U S Nweiter Regvf atory Comm.ss ca, Wash agtoa. OC 20555 by the Oms.on of Tuhmces laformat.oa ed Docwment Control. ADM, na accordance *> t h Amorice Nat,onei 11. e TYPE OF RE PORT. State draft . bael. oremaerv. top.cei.

Stederd ANSI 239.23 -1974 Techa.ca' Report Nwmber t u h aic a l. r eg estory, overtenv. etc . aad. if oppi<abis.

($TRNL Use wppercase letters, Arab c a raere's, w s'eshes, sad saciws>ve oetes hypheas caly, as in the fonow ag enempses NUR E G4100 NUREG/CP.00t0. NUREG/CR.0100, and NUREG'8R 0010. b. PE RIOD COVE R E O.

F or reports en a ser.es sod V ol .. Swpp . R evis.oa, ead Addeadwm.

  • Men necessary. Add contractor cross <eferetxe 12. SUPPLEME NT ARY NOTES. Enier iaktmat ca act enciwded ideatif. cat.on aw mber 6f savl beion NUREG aumber, e s , e sewaere bwt weef vt. swch as Preoered .6 coopvateoa with .

PN L.X X X X. S A N O X X.X X X X. S Al.X X X X. Presented et coafeteace of To tw owbi.shed . Docest No . Whea a report is rew' sed ead'cate ** ether the aen

2. TITLE AND SUOTITLE. Titie showid .ad.cate cleany sad report supersedes or swpoiemeats the o oer report beshy the swthect (coverage) of the report, eac8wdias say subtetie to the sea,a titie Whea a report is prepared sa more 13. ABSTR ACT. lactwde a be ef (200 words or insi f actwo' sum-then one volvme. repeat the prernary titte. edd volwmeawmbe r mery of the most s ga Aceat enforest ca coate+ed a the sad mciwoe subt.tte for the spec.fic voivme Use wpper and repor t . If the report coate as a s tad.ceat tutN ography or to*e* case istiers. Owt capitshre computer code names Do literstwe e swe ver or mwit.p'e volwmes. meat c s it he's Abstrut not we acroavms sad mit soses in 1: ties res, be odoed sa es to be prepered by awthor or proiect maaeger pereathes's
14. DOCUMENT ANALYSIS
3. LE AVE BL ANK.
s. KEY WORDS/DE SCRIPTORS. Se)ect f rom the Ene>gy 4 DATE REPORT COMPLETED. Eun report saart cort, e date Data Sese Sveint Thesawrv s. DOE / TIC.700R R 5. the ind.cet.ag month and wear protect /tesk compieted proper owthor red to ms that .oentif y the me:or concept of the research and are swf f C'eativ spec'fic sad precise to S. AUTHORISL Give aamelsl em conveatioast order de9.Joka be used es inoes entries f or catskDg'ag A Doe, J Robert Coe) List awthor e aff mat on if et is differ.

eat from the perf orm ag orgamisteoa b. IDENTIFIERS AND OPEN ENDED TERMS. Use ioesti-f.ers for proiect aames, cooe names, eow+pmeat des,enators.

6. DATE R E POR T ISSUED. Each report se a:1 carry a date etc Use opea eaded ikev*ordsi terres er ttea in eescr ptor iad> cat,ag moath and vear pwbbshed form ltdal for those svthuts for wh *C h no descriptor ea#sts sa the thesawrws l

l 7. PERFORMING ORG1 112 ATION N AME AND MAILING ADDRESS. G ve came, street, city, state end ZIP cooe 15. AVAILABILITY STATEMENT. Denote pubs < re;uieb.i.tv.

L,st no more toaa two tevets of an orgsmastecesi h.erarchy. for enampie "wal.mited '. or 8 mitat,oa f or ruscas other l thea secu rety.

O.spie v the name of the o'gemsation eiectiv es fonows f

D e s.oa. Of f.ce, Orgamrat'on or Government egeaev. and eodress

15. SECURITY CLAS$1FICATION. Eater U S Seewr ity C+ns f..

cat on sa accordance with U$ Seew rity Regvet oes te e .

I

3. PROJECT /T ASK/WO R K UNIT NUMSER. Use the protect. wavess,f.edt test sad work wait a w ebers wader *Nem the report *es prepared be sav) 17 NUMOE R OF PAGES. Leave baan (Added by NTIS) t FIN Om GR ANT NUMGER. lesert the FIN or great a mber w 10. PRICE, Leere treat. ( Added by NTiSI wede, *h<h reooti *.s prope,ed l

l l

l

. Approved : Augu st 29, 1984 20 e

i ,' *

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

.UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART 111 UNCLASSIFIED TECHNICAL LETTER REPORTS A. FORMAT

1. Applicability
a. The requirements of this part apply t'o unclassified contractor technical letter reports. (See Part I. A for definition.)
b. The requirements of this part do not apply to consultants and contractors to the NRC boards, panels, and advisory commit-tees which report directly to the Commission.
2. Requirements Technical letter reports are prepared, duplicated and distributed in accordance with the requirements of the Statement of Work in the contract or in the Standard Order for DOE Work. Each such report must be identified with the financial number (FIN) assigned to the project. The number of copies to be prepared and the distribution of those copies will be specified by the project manager. If unclas-sified and non-sensitive, the NRC project manager is responsible for making such reports available in the NRC Public Document Room (PDR) by sending them to the PDR through the NRC Document Control System.

B. PATENT AND SECURITY REVIEWS

1. Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC. If the work being reported is contractually managed through another government agency (e.g. , DOE labora-tories ) , that government agency should be requested by the con-tractor to perform the patent review.

If NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the government agency administer-ing the contract, the responsible NRC contracting officer shall be consulted , and the responsible NRC project manager shall consider the patent implications, if there is a possibility that there is disclosure of developments of an inventive nature, the NRC contracting officer shall request assistance from the NRC Patent Counsel, Office of the Executive Legal Director.

21 Approved: August 29, 1984

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

2. Security Review In most cases, . contractor technical letter reports will be unclassi-fied . Should a report of sensitive unclassifiad 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.

t l

' Approved: August 29, 1984 22 l

i

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  • e

_)

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE NRC OFFICE OF NUCLEAR REGULATORY RESEARCH BY DOE LABORATORIES WITH JCP- AUTHORIZED FEDERAL PRINTING PLANTS A. - DOCUMENT ATION

1. Applicability
a. The requirements of this part apply to NRC staff who are responsible for agreements with DOE Laboratories and their contractors who print regulatory and technical reports re-quired by NRC. (See also Chapter NRC-1102),
b. With respect to sensitive unclassified and classified reports the requirements set forth in Part V of this appendix shall be used in conjunction with NRC Appendix 2101.
c. The requirements of this part do not apply to consultants and contractors to the NRC boards, panels and advisory committees which report directly to the Commission.
2. Front Cover and Title Page
a. Separate covers (of different paper than that of the text) and title page are required.*
b. Items such as those shown in Exhibits 3 and 4 and discussed below shall appear on the front cover and title page, as appro-p ria te . ** While layouts and typefaces need not be exactly the same as in Exhibits 3 and 4, the items shall appear in approxi-mately the locations indicated and with the same relative prominence.

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

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

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

23 Approved: August 29, 1984

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

The NRC identification number will have the form:

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

When a report consists of more than one volume or bind-ing or is issued in more than one edition, an appropriate volume , supplement, part, or revision designation shall appear immediately below the report number (s). NRC r:eport numbers on covers and title pages shall be shown entirely on one line to facilitate computer processing.

(2) Title and Subtitle (a) Use a brief title, which indicates clearly the subiect matter covered in the report.

(b) When a report is prepared in more than one volume, repeat the primary title on each volume.

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

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

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

(a) Authors' names should be given on the title page and cover unless this is impractical, as in the case of annual reports which have many contributors. If authors' contributions are as editors , compilers ,

etc., so indicate on title page and cover following the names. In addition, list affiliation of each author only if affiliated with an organization other than the organization generating the report.

i (b) Authors may be identified on backstrips (spines) of j 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 Commission . "

l Approved: August 29, 1984 24

PIIBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV (b) On the title page, provide information of the type illustrated in Exhibit 4.

(5) Basis for Report Dates (s)

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

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

3. Availability and Price Information All formal reports will be made available for sale by NRC and NTIS.

The statement shown in Exhibit 6 is required on the inside of the front cover.

4. Disclaimer The following notice shall be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by the United States Government.

Neither the United States Government nor any agency thereof, or any of their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any information, apparatus, product or process disclosed, or represents that its use by such third party would not infringe privately owned rights." The follow-ing additional statement, "The views expressed in this report are not 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 I.C.,

Requirements for Draf t Reports).

5. Previous Reports in Series if the report being prepared is one in an ongoing series, list all previous reports in the series. Include report numbers and issuance dates. Place this list on the back of the title page.
6. Abstract An abstract of 200 words or less 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.*
  • This preferred positioning of the abstract in the document need not be fol-lowed if the style manual of the originating organization requires a different location .

25 Approved: August 29, 1984

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

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

proprietary , national secu rity , official use only, etc.). If the uneetrievable 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 . AvailabiMy raay 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. Bibliograpic Data Sheet NRC Form 335 (Exhibit 7) shall be prepared and included in the camera-ready copy as the final right-hand page.

B. PATENT AND SECURITY REVIEWS

1. Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor. The DOE Operations Office responsible for the contractor should perform the patent review.

The results of such review shall be reported by the contractor on NRC Form 426A in item 11 (Exhibit 5).

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

Approved: August 29, 1984 26

.. s PUBLICATION OF TECE s . CAL 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. Printing Contractor reports may be printed only by a JCP-authorized print-ing plant and then only if prepared for the NRC Office of Nuclear Regulatory Research . Reports printed by the contractor and one reproducible master shall be submitted to the Division of Technical Information and Document Control, with completed NRC Form 426A.

The number of copies specified by the Statement of Work for stand-ard and incidental distribution shall be provided. The appropriate identifying number (NUREG/CR _) may be obtained as discussed in Section A . 2.b . (1) .

2. Reprinting Requests for reprinting of any report at NRC expense subsequent to the initial printing requires approval of the Division of Technical Information and Document Control. The request shall include a written justification and the project managers approval for the re-printing, along with address labels for the recipients.
3. Distribution of Reports All copies of unclassified formal contractor reports will be distrib-uted by the Division of Technical Information and Document Control in accordance with instructions on NRC Form 426A (Exhibit 5).

NRC Form 426A must be signed by a contractor official authorized by the project manager. Such authorization shall be reported in -

writing to the Division of Technical Information and Document Con trol, if any distribution is to be made other than, or in addition to, the standard distribution established for the report, written justification and the project manager's approval for printing additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Con t rol . Address labels for the additional distribution must be supplied.

The Division of Technical Information and Document Control will arrange automatic distribution of these reports to the NRC Docu-ment Control System, the NRC Public Document Room, the National Technical Information Service (NTIS), the Government Printing Office and the Depository Library Service.

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

27 Approved : August 29, 1984 .

P'UBLICATION 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 CLASS!FIED 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 Information 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 Security Program and specific provisions for deter-mining when to use the markings exhibited are contained in NRC Appendix 2101.

The reports covered are defined as sensitive unclassified or classified.

Sensitive unclassified information refers to information designated Official Use Only, Limited Official Use, and Proprietary Information .

Sensitive unclassified information also includes Safeguards Information that must be protected from unauthorized disclosure pursuant to 10 CFR 73.21 and Section 147 of the Atomic Energy Act of 1954, as amended, information withheld from public dissemination under the Freedom of Information Act or Privacy Act, and information not to be exported to or disclosed to foreign countries.

Classified information as used in this part includes Restricted Data, Formerly Restricted Data or National Security Information that requires protection in one of the three classification categories described in Executive Order 12356: Top Secret, Secret or Confidential.

The uses of each of the sensitive unclassified and classified categories and the markings required on reports are discussed and exhibited in the following sections. All sensitive unclassified and classified reports are to be sent directly to the project manager.

B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION.

NRC regulations require an Official Use Only marking to be placed on a report only when the originator or other holder believes the marking is 29 Approved : August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS essential to ensure proper handling. Reports designated Official Use Only will contain only . unclassified information originated by or furnished to an NRC contractor which is to be withheld from public disclosure. The report on which the marking appears must be reviewed at the time a request for release is received to determine its releasability. The Official Use Only marking is notice of the originator's determination of the applica-bility of an exemption under the Freedom of Information Act or Privacy Act or both at the time of origination.

Official Use Only NRC contractor reports shall be marked as shown in Exhibits 8 through 10.

Limited Official Use information is 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, protecting, and handling reports containing Official Use Only and Limited Official Use information and removing such reports from those categories are detailed in NRC Appendix 2101.

C. PROPRIETARY INFORMATION Proprietary information is a specific type of Official Use Only informa-tion . Proprietary information includes:

1. trade secrets.
2. privileged or confidential research, developmen t , commercial or financial information exempt from mandatory disclosure under 10 CFR Part 2, "Rules of Practice for Domestic Licensing Proceed-in gs ," Sections 2.740 and 2.790 and under 10 CFR Part 9. "Public Records ," Section 9.5, "Exemptions. "
3. information submitted in confidence to NRC by a foreign sou rce ,

which has been determined by NRC to be unclassified.

Unclassified NRC contractor reports containing proprietary information shall be marked as shown in Exhibits 14 through 18. In each instance, the optional wording that describes the material being presented should be selected.

If a report contains both Official Use Only information and proprietary information , the front cover shall be marked as proprietary information and may also be marked as Official Use Only information, if necessary.

Pages in the report that contain proprietary information may be marked accordingly , including, marginal or other indicators of the specific wording that is proprietary. Similarily, the pages that contain Official Use Only information without proprietary information may be marked Official Use Only

' Approved : August 29, 1984 30

- - - . - _ - - _ , _ , . . . _ ,c._..-.--..._. ._.,.. ._.._.._., , . . _ _ , - . , , , , , , , , _ , . , . , , _ - . .,.,,_.m v --

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 information category are detailed in NRC Appendix 2101. A cover sheet (Exhibit 19) is to be placed on each hard copy of a report containing proprietary information.

D. SAFEGUARDS INFORMATION Safeguards information may be of three types: (1) classified informa-tion , which is marked and handled as indicated in Section E, (2) un-classified information restricted under Section 147 of the' Atomic Energy Act, which is marked and handled as described in this Section, and (3) unclassified information , which is publicly available and handled as indicated in Parts I through IV.

The safeguards information that is to be protected as described here is unclassu'ied information used in a report which specifically identifies certain licensee's or applicant's detailed:

1. security measures for the physical protection of special nuclear material
2. security measures for the physical protection and location of certain plant equipment vital to the safety of production or utilization facilities .

Unclassiriad NRC contractor reports containing safeguards information th9t is to be protected shall be marked as shown in Exhibits 20 through 22.

Procedures for reproducing, transmitting, protecting, and handling safe-guards information reports and removing them from the safeguards information category are detailed in NRC Appendix 2J01. A cover sheet (Exhibit 23) is to be placed on each hard copy of a report containing safeguards information.

E. CLASSIFIED INFORMATION Classified information is limited to Restricted Data, Formerly Restricted Data and National Security Information. The procedures for making classification determinations and for marking, reproducing, transmitting, protecting, and handling reports containing classified information and removing such reports from classified categories are detailed in NRC Appendix 2101. These procedures are too complex for summarizing here.

Classification determinations regarding NRC information may be made solely by authorized classifiers designated by NRC or DOE. Authorized classifiers are responsible for insuring that reports they determine to be classified are marked and protected in accordance with the provisions of NRC Appendix 2101.

31 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS It is important to note that information may not be classified in order to prevent or delay the release of information that does not require protection in the interest of national security. Basic scientific research information not clearly related to national security may not be classified.

r Approved: August 29, 1984 32

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

_.5 - _ . ,

3 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU. ANT TO INTERAGENCY AGREEMENTS Part V EXHIBIT 8 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY NUREGICR XXXX (Si Title Subtitle and Type of Report Eddof f s)

US uclear Regulatory Commission wit **+0t0 f RO48 PvBiaC DtSCLOSupt OFFICIAL USE ONLY 33 Approved : August 29, 1981

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

1 EXHIBIT 9 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY NUREG'CR XXXX (S)

Title Subtitle and Type of Report v.,.we can .a ser.,

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Prepared for Division Office U.S. Nuclear Regulatory Commission Washington, D.C. 20666 NRC FIN No.

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l OFFICIAL USE ONLY l

l l Approved : August 29. 1984 34 l

PUBLICATION OF TECHNICAL REPORT'i PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pr+ V EXHIBIT 10 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY OFFICIAL USE ONLY 35 App roved : August 29, 1981

NRC Appendix 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDFR OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 11 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING L'MITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE NUREG'CR XXXX (S)

Title Subtitle and Type of Report s',05 "*"

u leer Regulatory Commission MIMMOLD f A09 Pv8t< DISCLOSvat r

LIMITED OFFICIAL USE Approved : August 29, 1984 36

f PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS Part V EXHIBIT 12 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE NUREG/CR XXXX (S)

Title Subtitie and Tp of Report

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s uci ug commi.. ion LIMITED OFFICIAL USE 37 Approved : August 29, 1984

PUBLICATION OF TECHNICAI REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 13 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMAT(ON LIMITED OFFICIAL USE l

LIMITED OFFICI AL USE Approved : August 29, 1984 38

- .-. _ - = _ . _ - _ _ . _ _ - _ . . -_

. s PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V EXHIBIT 14 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION I

PROPRIETARY INFORM ATION NUREG CR XXXX (P)

Title Subtitle and Type of Report Authortsi. Eddor(s)

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PROPRIETARY INFOPM ATION 39 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 15 SAMPLE COVER PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE PROPRIETARY INFORMATION NUREG CR XXXX (Pi Title Subtitle and Type of Report Author (s). Eddor(s) >

Contractor Prepared for U.S. Nucleet Regulatory Commission FOREIGN INFORM ATION s N N AC b,

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PROPRIETARY INFORM ATION Approved: August 29, 1984 40 l .* .

I PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUA'NT_ TO INTER AGENCY AGREEMENTS Part V EXHIBIT 16 SAMPi.E TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION PROPRIETARY IN FORM ATION NUREG'CR XXXX (P)

Title Subh e-d Tm of Report

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MTMMOLD f RQM PUBi,C D'5 CLOSURE Sv s.se f itw .nd O"u e. .De'e-t PROPRIETARY INFORM ATION 41 Approved : At.=ast 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTR ACTORS, 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 FOREIGN SOURCE PROPRIETARY INFORM ATION NUREG CR-XXXX (P)

Title Subt@ and Type of Report

^*

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%yave 1 s e er.s C**.ce oro PROPRIETARY INFORM ATION Approved : August 29, 1984 42

PUBLICATION OF TECliNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS _gr - .

EXHIBIT 18 SAMPLE BACK COVER FOR'A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORM ATION PROPRIETARY INFORMATION PROPRIETARY INFORM ATION 13 Approved : August 29. 1981

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 19 COVER SHEET FOR REPORT CONTAINING PROPRIETARY INFORMATION PROPRIETARY INFORM A'ilON NOTICE TME ATT ACHED DOCUMENT CONT AiNS PROPAitT ARY INFOA IN RV T N SM LO S E 04 C 5 10 m AD AV AfLASLI TO ANY PimSON NOT REQutRfNG SVCM INFOavA.

Teos i% TME CONDUCT QF Of fiCIAL gg$'%[$$ AND $ MOULD SE

$T041D TR A%5Franto. AND DeSPost0 08 av EACM agcip ENT IN A mas %(a WM'CM WILL A55U8E THAT 175 CONTENTS ARE NOT MACI Ab A'LA8LI TO UN AUTMom2ED PERSONS COPY.

OOCKET NO.

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PROPRIETARY INFORM ATION Aporoved Doce 10 1980 Approved: August 29, 1984 44

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'P,UBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annandiv 390'/

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V EXHlBIT 20 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORM ATION NUREG'CR XXXX (SG)

Title Subtitle and Type of Report Authortsl. Editor (s)

Contractor

. u leer Regulatory Commission ne og o met a mao.

i .~ o .no,r,.1 no.i.,

Ef2,'*dI 7%%~M" SAFEGU ARDS INFORM ATION 45 Approved: August 29, 1984

E PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTR ACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 21 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORM ATION NUREG-CR-XXXX (SGI Title Subtrue .'.d Type of Report ll77W.7",a '".'.*.;

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. Approved: August 29, 1984 46

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

EXHIBIT 22 SAMPLE BACK COVF.R FOR A CONTRACTOR REPORT CONTAINING UNCLAS'.,lFIED SAFEGUARDS INFORMATION SAFEGU ARDS INFORMATION SAFEG U ARDS IN FORM ATION 47 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 23 COVER SHEET FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION

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~5 LN-s hl, SAFEGU ARDS INFORM ATION w'

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THIS DOCUMENT CONTAINS INFORMATION WHICH MU'iT BE PROTECTED FROM UNAUTHORIZED DISCLOSURE.10 CFR 73.21 AND SECT 4ON 147, ATOMIC ENERGY g

ACT OF 19M APPLY. VIOLATIONS ARE SUBJECT TO C Vil OR CRIMINAL PENALTIES.  ;."

ht- THIS DOCUMENT IS NOT TO BE LEFT UNATTENDED CR ACCESSIBLE TO UNAUTHORIZED h

rp

~' PERSONS. WHEN NOT IN USE. IT MUST BE STORED IN A LOCKED SECURITY STORAGE CONTAINER.

er IT IS YOUR RESPONSIBILITY TO PROTECT THE INF0 4MATION CONTAINED IN THIS DOCUMENT FROM COMPROMISE, THEFT OR UNAU1HORIZED DISCLOSURE.

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Approved : August 29, 1984 48

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

' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART VI HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE  ;

PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS r 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- i nizations . Such involvement includes monetary contributions , information exchange, and comments on program plans and results. This is authorized in 42 U.S.C. 5801. To this end, international and U.S. Industry agreements have been signed that provide for transmitting unclassified information from NRC to participants. These procedures apply only to NRC-managed work not programatically funded by DOE.

The interests of 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 i acco nplished by distribution of "Draft Preliminary Reports (or Codes)" for ,

comnent for a specified period of time, followed by issue as formal NUREG/CR k

repoi ts , with the concurrence of the participants. Specific procedures for i

~

accottplishing these goals and for transmitting information prepared by the NRC and DOE facilities and contractors and their subcontractors working on these programs are presented in the 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. '

j A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT The first issuance of information by a contractor shall be designated "Draft Preliminary Report (or Code)," and shall include the cover sheet  ;

shown in Exhibit 24. .

The following notice is to be printed on the bottom of the cover sheet (Exhibit 24):

NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM j 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- i ten s of this report should neither be disclosed to others nor i rep, 'uced, wholly or partially , unless written permission to l do su has been obtained from the appropriate USNRC office.  !

The recipient is requested to take the necessary action to [

ensure the protection of this report, j 49 Approved: August 29, 1984 7

,ew*t ,-rw--* -vv-+ v,--.,,e... - - , - , - ..,--,,,-,,..z-w tr-"- -- , e

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS This notice has been agreed to by the legal staffs of both NRC and DOE

, and is not to be added to or changed. Any problem in this regard shall be brought to the attention of the NRC project manager, who will consult with the NRC legal staff.

The "Draft Preliminary Report (or Code)" shall be submitted by first class or express mail by .the contractor to the NRC project manager, with the letter shown in Exhibit 25, in the number of copies specified by '

the project manager (in most instances this will be fewer than 20 copies).

The contractor (DOE facility, contractor or subcontractor or other con-tractor) may retain copies only for internal use. DOE facilities and contractors and their subcontractors shall not distribute copies of this draf t report 11 DOE /TIDC. Draf t reports may be distributed to interested DOE program offices. Subsequent issues of the information shall also be

designated "Draf t 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-trioution codes.

i 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. Express Mail, Priority Mail (First Class weighing more than

. 12 ounces)

J

2. International Express Mail ( Air Mail weighing more than
10 ounces)

(See Chapter NRC-0255-058 and NRC Appendix 0255, Part V, Annex A) i

. C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT i A minimum of six months will be allowed for comments and resolution of 3

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. <

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D. REPORT IDENTIFIERS The "Draft Preliminary R9 ports (or Codes)" will be uniquely identified only by the Financial Ir'.entification Number (FIN) assigned by NRC and ,

1 .

. Approved: August 29, 1984 50 4

s' 9

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-i hibit 24). They shall not be given standard report nomenclature until the NRC project manager authorizes publication as a NUREG/CR report.

At that time , the contractor may add its own designation below the NUREG/CR number, as shown in Exhibits 3 and 4.

E. MAILING TO PROGRAM PARTICIPANTS 4

The physical transmission of reports from NRC to program participants shall be handled by the Document Management Branch (DMB), Division of Technical Information and Documen: Control (TIDC), based on address labels of participants supplied by the project manager. The transmittal sheet shown in Exhibit 26 shall be used to transmit the documents and the labels to DMB.

F. SECURITY If information included in the report or code has been determined to be sensitive unclassified or classified information (see statement of work) the procedures of Part V also apply. The report (or code) may not be classified solely for the purpose of limiting distribution to the partici-pants.

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51 Approved: August 29, 1984 f

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 24 SAMPLE COVER FOR A DRAFT PRELIMINARY REPORT (CODE)

FOR COMMENT ORAFT PRELIMINARY REPORT (CODE) FOR COMMENT FIN NO.

Title of Program Subtitle for This Report, Including Appropriate Periodic Notation, If Any (e.g., First Quarter, Issue No. 1)

Prepar.ed by (Name of DOE Facility, Contractor and/or Subcontractors, if any) for U.S. Nuclear Regulatory Commission NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of Corxnission 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

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NBC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED

,UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI EXHIBIT 25 TRANSMITTAL LETTER FROM CONTRACTOR TO NRC PROJECT MANAGER FOR DRAFT PRELIMINARY REPORT T0: NRC Project Manager

SUBJECT:

ORAFT PRELIMINARY REPORT (C00E) ON (PROGRAM TITLE) FOR COMMENT 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 after that period and with concurrence of the cooperative program participants, the NRC Program Manager will authorize publication of this report in the NUREG/CR series under the provisions of NRC Manual Chapter 1102 or 3202.

DOE Facility or Contractor Representative 53 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY

' NRC CONTRACTORS, INCLUDING REPORTS PREPARED - NRC Appendix ~ 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI EXHIBIT 26 TR ANSMITTAL SHEET FOR REQUESTING MAILING TO COOPERATIVE PROGRAM PARTICIPANTS Recipients: Addresses on attached labels Method of Mailing:

/~/ First Class Postal Service to U. S. addresses

/~/ Express mail to U. S. addresses *

/~/ Air mail to foreign addresses

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

THIS MAILING CONTAINS NO PROPRIETARY INFORMATION OR OTHER SENSITIVE UNCLASSIFIED INFORMATION Special Instructions:

Individual Requesting Mailing:

Project Manager or High Authority

Enclosures:

1. Address labels
2. Documents to be mailed
  • 1f premium cost mail services are to be used, a Division Director or compar-able or higher authority must certify to the need on NRC Form 420, "Request for Premium Cost Mail Service," Premium cost mail is:
1. Express Mail, Priority Mail (First Class weighing more than 12 ounces)
2. International Express Mail ( Air Mail weighing more than 10 ounces)

(See Chapter NRC 0255-058 and NRC Appendix 0255 Part V, Annex A) 54 Approved: August 29, 1984 6 O g

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' ATTACHKINT

. STANDARD FORM 1411 WITH INSTRUCil0N5

1. 5I 1411 provides a vehicle for the of feror to submit to the Government a pricing proposal of estirated and/or ircurred costs by contract line item with supporting information, adequately cross-referenced, suitable for detailed analysis, A cost-element breakdown, using the applicable forrat prescribed in 7A, B, or C below, shall be attached for each proposed lint-item and trus t re flec t any specific requirem nts established by the Contracting Officer. Supporting breakdowns enust be furnished for each cost element, consistent with of ferer's cost accounting system.

When enore than one contract line item is proposed, sumary total amounts covering all line itery n/st be furnished for each cost eierrent . If agreement has been reached with Gover nment representatives on use of forward pricing rates / factors, toentify the agreement, include a copy, and descrit>(

its nature. Depending on offeror's system, breakdowns shall t>e provided fer Lk following basic elements of cost, as applicable:

Materials - Provide a consolidated priced surrmary of individual raterial quantities included in the various tasks, orders, or contract line iters betn 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 performed by others in accordance with of feror's design, specifications, or direction and that are applicable only to the prime Contract. For each subcontract over $500,000, the support shoule provide a listing by source, iten. quantity, price, type of subcontract, degree of.cocpetition, and basis for establishing source and reasonableness of price, as well es the results of revie and evaluation of subcontract proposals when required by FAR 15.806.

Standard Comercial items - Consists of items that of fe ror no mal ly fabricates, in whole or in part, and that are generally stocked in Provide an appropriate explanation of the basis for pricing. If i n v e n to ry .

price is based on cost, provide a cost breakdown; if priced at other thar.

cost, provide justification for exemption from sutrnission of cost or pricing data, as required by FAR 15.804-3(e).

Interorganizational Transfer (at other than cost) - Explain pricing methoc used. (See FAB 31.205-26).

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

Provide priced Purchased Parts - Includes material items rrot covered above.

quantities of items required for the proposal.

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

l

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

breakdown of 16bor hours, rates, and cost by appropriate category, and furnish bases for estimates.

Indirect Costs - Indicate how offeror has ccvnputed and applied of feror's indirect costs, including cost breakdowns, and showing trends and buogetary 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 re=ork , anc federal excise tax on finished articles) and provide bases for pricing.

Royalties - If more than 5250, provide the following inforr.ation on separate page for each separate royalty or license fee: nam and address of licensor; date of license agreement; patent nurters , patent application serial nuace rs , or o the r basis on which the royalty is payable; brief gescription (incivding any part or model numbers of each contract item or component on which the royalty is payable); percentage or dollar rate of royalty per unit; unit price of contract itee; nuncer of units; and total dollar amount of royalties, in addition, if specifically requested by the Contracting Of ficer, 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 Nney -

When the of f e ror elects to clair facilities capital cost of money as an allowable cost, the offeror r, s t submit fem CASB-CNF and show the calculation of the proposed a osnt (see TAR 31.205-10),

2. As part of the specific inforration required, the of feror rust subcit with of feror'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 offeror's proposal any in f e rra t ion reasonably required to explain of feror's estir.ating process, including;
a. The judgmental f actors applied and the ratheratical or other rethods used in the estirat,e, including those used in projecting from kno n cata; and
b. The nature and amount of any contingencies included in the proposed prict.
3. There is a clear distinction between subaltting cost or pricing data and merely naking available books, records, and other documents without identification, Jbe requirvapnt for subraission of cost or pricing data is re t 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 repres en ta ti ve. As later i nf orra tion ccces into the o f fe ror's pcssession, it should be prc. ptly submitted to the Contracting Officer. The requi reeent for submission of cost or pricing data continues to the tire of final agreerent en price.

4 l

, O 4 In submitting o f f e ror 's propos al , offeror ru s t include an indes, appropriately referenced, of all the cost or pricing data and informtion accompanying or identified in the p roposa l , in addition, any future addittons and/or revisions, up to the date of agreement on price, cust b(

annotated on a supplemental index.

6. By submitting of feror's proposal, the offeror, if telected for negotiation, grants, the Contracting Officer or an authorized representative the right to examine those books, records, documents, and other supporting data that will pe rr.li t adequate evaluation of the proposed price. This right my be exercised at any tirne before award.

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

7. Seadings for Submission of Line-Item Sumaries:
4. eiew Contracts (including Letter contracts).

Proposed Contract Proposed Contract Cost.Clements Estim te-Total Cost Estim te-Unit Cost Reference (1) (2) (3) (4)

Under Column (1) - Enter appropriate cost elements.

Under Column (?) - Enter those necessary and reasonable costs that 1 r.

o f f e ro r's judg ent will properly be incurred in efficient centract perform nce. When any of the <osts in this colum have already been incurred (e.g. , under a letter contract or unpriced order), cescribt them on an attached supporting schedule. When preproduction or startup costs are significant, or when specifically requested to do so by the Contracting Of ficer, provide a full identification and explanation of them.

Under Colum (3) - Optional, unless required by the Contracting Of ficer.

Under Colum (4) - Identify the attachment in which the inform tion supporting the specific cost element may be found. Attach separate pages as necessary.

l

4 ln subrotting o f fe ro r's p ropos a l , offeror cust incluce an inces, appropriately referenced, of all the cost or pricing data and inforration accompanying or identified in the p roposa l, in addition, any future additions and/or revisions, up to the date of agreement on price, rtst tw annotated on a supplemental index.

5. By submitting of feror's proposa1, the of feror, 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 pemit adequate evaluation of the proposed price. This right may be exercised at any time before award.

63 As soon as practicable af ter final agreement on price, but before the amard resulting from the proposal, the offeror shill, under the conditions statec in JAR 15.804-4, submit a Certificate of Current Cost or Pricing Date.

7. Headings for Submission of line-Item Sumaries:
4. bew Contracts (including letter contracts).

Proposed Contract Proposed Contract Cost Clements Esticate-Total Cost Estimate-Unit Cost Reference (1) (2) (3) (4)

Under Colym (1) - Enter appropriate cost elecents.

Under Column (2) - Enter those necessary and reasonable costs tr.at i r.

o f f e ror 's jud5 ment will properly be irycurred in efficient c er.t ra c t .

pe r f orrance . When any of the <osts in this column have already been incurred (e.g. , undet 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 Colum (3) - Optional, unless required by the Contracting Of ficer.

Under Colurm (4) . Identify the attachment in which the inf orra tion

. supporting the specific cost element may be found. Attach separate Reges as necessary.

  1. 9 g
  • C. Price Revision /Redetemination hurber of hurreer of Fiedetemina-Units Units To Be Contract tion Proposal Cutoff Date Completed Completed Amunt Amount Difference (1) (2) (3) (4) (5) (6)

Incurrec Incurred Incurred Cost- Cost- Cost. Total Estimated Cost Preproduc- Completed Work In incurred Cost To Estimated Elements tion Units Process Cost Complete Total Cost Reference (7) (6) (9) (10) (21) (12) (13) (14) boder Column (1) - Enter the cutoff date required by the contract, if applicable.

Under Colum (2) - Enter the nu:6er of units completed during the period for which experienced costs of production are being submitted.

Under Colum (3) - Enter the nueter of units remaining to be completed under the contract.

Under Colum (4) Enter the cu ulative contract amunt.

Under Colum (5) - Enter the of feror's redetemination proposal amunt.

Under Colum (6) - Enter the dif ference between the contract amunt and the recetemination proposal amount. When this result is negative, place the amunt in parenthesis. Colum (4) less Colum (5) Column (6).

Uncer Column (7) - Enter appropriate cost elements. When residual inventory exists, the final costs established under fixed-price-incentive anc fixed-price-redeteminable arrangements should be net of the f air rarket value of such invento ry, in support of subcontract costs, submit a listing of all subcontracts subject to repricing action, annotated as to their status.

Under Colum (8) - Enter all costs incurred under the contract before starting production and other nonrecurring costs (usually referred to as startup costs) from of fferor's books and records as of the cutoff date.

These include such costs as preproduction engineering, special plant rea rra ngement , training program, and any identifiable nonrecurring costs such as initial rework, spoilage, pilot runs, etc. In the event the amunts are not segregated in or otherwise available from offeror's records, enter in this colum offeror's best e s t ima te s. Explain the basis for each estimate and how the costs are changed on of fe ror's accounting records

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I (e.g., inciuded in productico costs as direct engineering labor, charged to manuf acterring overhead, etc.). Also how the costs enould be allocated to the !

waits at their various states of centract completion, tinder Columns (9) and (10) . Inter in Column (9) the production costs f rcn of feror's books and records (eaclusive of preproduction costs reported in Column (8) of the units Completed as of the cutoff date. Enter in Column (10) the costs of work in process as determined from offeror's records or inventories at the putof f date. When the amounts for work in process are not available in Contractor's records but reliable esticates for them can be made, enter the estimated amounts in Colunn (20) and enter in Colven (9) the dif ferences between the total incurred costs (exclusive of preproduction costs) as of the cutoff date and these estin tes. Explain the basis for the estimates. including identification of any provis ion for esperienced or anticipated allowances, such as shrinkage. rewort, design changes, etc.

Furnsih experienced unit or lot costs (or labor hours) f rom inception of contract to the cutof f date. improvecen t curves, and any other available production cost history pertaining to the item (s) to which offeror's proposal relates.

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

and(10)).

Under Colum (12) - Enter those necessary and reasonable costs that in Coctractor's jud&t will pmperly be incurred in completing the remining work to be perforred under the contract with respect to the item (s) to which Contractor's proposal relates.

Under Colum (13) - Enter total estimated cos t (Total of Colu :ns (11) anc (12)).

UMe r Colum (14) -

Identify the attach-ent in which the in fo nv t ion supporting the specific cost element may be found. Attach separate pages as nece s s a ry.

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'- ATTACHMENT 5 a TABLE I NRC BUILDING LOCATIONS AND ADDRESSES ,

  • Air Rights III Building 4550 Montgomery Ave Bethesda, Maryland East West Towers Complex 4340-4350 East West Highwsy Bethesda, Maryland
  • H Street Building 1717 H St N W.

Washington, D.C. r Maryland National Bank Bldg 7735 Old Georgetown Road Bethesda, Maryland Nicholson Lane Complex 5650 Nicholson Lane Rockville, Maryland One White Flint North 11555 Rockville Pike Rockville, Maryland Phillips Building Complex 7920 Norfolk Avenue Bethesda, Maryland Warehouse 4934 Boiling Brook Pkwy Rockville, Maryland Woodmont Building 8120 Woodmont Avenue f Bethesda, Maryland Region I 631 Park Avenue - King of Prussia, PA 19406 i

Region II 101 Marietta St. Suite 3100, Atlanta, GA 30303 Region III 799 Rossevelt Road, Glen Ellyn, IL 60137 Region IV 611 Ryan Plaza Or, Suite 1000, Arlington, TX 76011 -

Region V 1450 Maria Lane, Suite 210, Walnut Creek, CA 94596  ;

NRC Technical

  • Training Center Osborne Office Center, Suite 200, Chattanooga, TN 37411 Uranium Recovery Field Office 730 Simms Street, Suite 100A, Golden, CO 80401
  • Occupants of these buildings will be moved to One White Flint North or to the Philips Building Complex by 5/88.

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20. Cong=ter Systems Analyst 11 1/ 16.31
21. Congmter Systems Anulyst I 1/ 13.04
22. Exhibits Specialist III 13.60
23. Exhibits Specialist II 11.01
24. Exhibits Specialist I 9.60
25. Illustrator III 13.60
25. Illustrator II 11.01
27. Illiestrator I 9.60
28. 11w;togragher III 13.60
29. 11 otographer II 11.01
30. Ihotogragher I 9.60
31. Tecimical Infonmation Specialist Ill 13.60
32. Tecimical Infonnation Specialist 11 11.01
33. Tecimiical Infonnation Specialist I 9.60
34. Librarian 1 0 . 611
35. Library Technician H.65
36. 1;ileratory Tecimician 7.26
37. Peteorological Teclunician/Weattur Observer 8 .11 7
38. Traiiiing Tecimician (trarning Hesources Center) 7.!!6
39. Tecimical Illustrator 11.15
40. liardware Coordinator 6.86
41. Off-line &guirment Operator 6'.25

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i antares The coatsectlag of fIces shat a sequi e that emy cisee ed eosv4ce l empteyee shach to not 18 at ed bes e t e and which t o t o an. emipa ey ed l s.edes the coats act ( i . e. , the wes ti to be pos t eemed t o not pos-themed 89 any ct ees t r icat l ee l a st ed t o t he wage det esm inet t en) ,

be et eessfied by the contractes se as t o ps ew ide a r ea semeht e

! setettomahto (i.e., oppsepslate t ev el of ek t I 1 compas t een) teetween such cent 1ated et assif Acatiene and a he et meet f 1 cat iens I l at ed in the wage det ese t net t ee. Sects conf essed ct see of l ,i e,ee. e ai i p. i d o e m e t a s , .a,e. and f .s .i et .d a he 1 t s i nge benef it s as ar e det esmissed. Such cont osmang ps ecediss e l s.ha t I be int tiated try atie cent a as t es les i o s ta the periesmance l of coat s act wask by owch easel let ed ct see of ammpt oy ee. A wa i t t se s epos t of the gw eposed cont osa'ner act t oo, tactedia, i mi os met t een

' s egas da esg the age'eeeeesnt es di sage eensent of t lie out hos 8 m ed s epr esent es i.e of s tie emipt o,. .ree invol ved os , whos e these le i no out hos ia ed r epe esent at ive, the eaget ey ees t h em sel w ee, ehet1 l t>e eutan I t t ed asy a he coent s ect es to a tie cent s act ing of f aces one lates than 36 days attes such tan t iat ed cl ass of espl oy ees i pes f osme any coat s act wask. The cent s act ing of f Ices ehetI

aeview t he ps oposed act i oes and ps empt B y subu8 L a aepost of l t he act i on, & oget hes w 11In t Bie eagency*a e ecommendetieen sad

) ata pastiment int es mat i on I act udt og aIne pooltiem of the cem-

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i t s a.ct os and t h e em pl oy ee es, to stie wage and BJous ci v i s t ess, thipt ey meat Et asida s de Ashe ia1 at s at i om, U. S. Depeataent e(

j Lateos , fos saview. ( See sect i on 4.6(b)(2) s,f Reget at.L esne j 29 Cra 48.

I i

j 300 Tan Tine- ele l a n e t s ensi?. ut s lee escreage.it s e ess a set f ees 8 8. lee s c i es .n s e cont .a s ne el j

t ot 8 85 ? S4

  • A ED a s e =* t ess y est (ke eign.s t a e on i . Isoless en.at sense us.n y the olet .a a ese el j t.y re esit .or t s o.3 IIne : A.laen s es e st e .a t e es est W.e.ge- .a u. I Ilou s . U.S. 88cle s e e sacent e.g l 8 aleses . Wslis se.gt esse, ID .C . 20180.

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w titeindiutim gr12SS Okw 3) l 1

me19eene hit-- If employan are regelred to weer analforms la the perfemmenos of l

this meant.reet (etther by the terme of the covermes mt contract, by the employests by stets or leeml Inw, etn.) , the cost of fermishing each taniferano end melm-taimiseg (by launderlag or dry cleasing) each uniforme is en expemec that. eney Diet be herme by an ecployee where such cost reduces the hoearly rate betone

(

{

t. hat required by the wage detersnimation. The Department of Labor will accept,

' payunemt in accordas.co with the following standards as compliastce s i

l i

The contracter or embcontracter is required to farmish all esylayees wa th on adequate massdne i of uniformas twithout cost or to re1minarse employees for the actual coat of the uniforms. In additson, where en=1 forum cleaning ased analatenance le saade the responsibility of the eenployee, all contractere and out contract. ors subject to this wage determination shalt (in the atnence of a bona fide collective targaining agreemeset providing for m different amount, or the f urnishang of cont rary affiarmative proof as to actual cost), reimburse all l

j comployee s for such cIcenang and maintenasice at a rete i

of $3.)5 a week (or di7 cents a day) . Housewer, is l those instances where the uniformas furnished are saad e o f "w a s t= a nd wea r

  • saa t e r l a t s , 72ay be touti:nely washed and dried with other persosnel garm ate, and do not require any special treatsmeant such ce dcy cleaning, d.naly washing, or comenerotal j

l aurde L ing in order to meet the cleanliness er e

appeirance clandarde set tsy the terans of the coverne.ent contr act, by the contracter, by leep, er

! Say the nature of One work, there is no registreament that employees be reimbursed for uniform maintmesses costs.

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