ML20205A831

Contract: Study on Training & Experience Criteria for Personnel Involved in Medical Use of Byproduct Matl, Awarded to Sc&A,Inc

ML20205A831
Person / Time
Issue date:	09/30/1988
From:	Wiggins E NRC OFFICE OF ADMINISTRATION & RESOURCES MANAGEMENT (ARM), SC&A, INC.
To:
Shared Package
ML20205A802	List: ML20205A797 ML20205A831
References
CON-NRC-02-88-004, CON-NRC-2-88-4 NUDOCS 8810260110
Download: ML20205A831 (134)

Text

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ii AWARO/ 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 NO. 3. EFFECTIVE DATE 4. REQUISITION / PROJECT NO.

NRC-02-88-004 September 30, 1988 5, ISSUE 0 BY Code: 6. ADMINISTERED BY Code:

(If other than Item 5)

U.S. Nuclear Regulatory Commission U.S. Nuclear Regulatory Commission Div. of Contracts & Property Mgmt. Div of Contracts & Property Mget.

Mail Stop P-841 Contract Administration Branch Washington, DC 20555 Washington, DC 20555

7. NAME AND A00RESS OF CONTRACT 0it 8. DELIVERY SC&A, Inc. ( ) F00 ORIGIN .

t 820Q Riding Ridge Place ( ) OTHER '

McLean, VA 22102 (See Section F)

9. DISCOUNT FOR PROMPT PAYMENT N/A Duns Code: 07-116-7910 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 Division of Accounting and Finance See Section F GOV /CCN Accounting Section Washington, DC 20555 '

Code:

13. AUTHCRITY FOR USING OTHER THAM FULL AND OPEN COMPETITION

( ) 10 U.S.C. 2304(c)( ) ( ) 41 U.S.C. 253(c) (1)

14. ACCOLNTING AND APPROPRIATION DATA FIN M069 8; B&R: 50-19-01-02; M N: UX07,00.9Cd; CBLIG.TED $141,7:,d 15A.1 TEM 159. SUPPLIES / 15C. QUANT;TY 150. UNIT ISE. UNIT I5F. AMOUNT NO. SERVICES PRICE The Contractor shall conduct a study to obtain information on training and experience criteria for personnel involved in the medical use of byproduct material in accordance with SC&A's technical .

proposal dated 5/5/83, as revised on 9/21/83, all of which are hereby incorporated by reference.

ISG. TOTAL AMOUNT OF CONTRACT 5141,748 r APPROVE 0 BY GSA/0IRM 6/85 STANDARD FORM 26 (Rev. 4-85)

FAR(48 CFR) 53.214(a)

G810260110 800930 PDR CONTF.

NRC-02.-88-004 PDC

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AWARO/ CONTRACT

16. TABLE OF CONTENTS

( PART/SECTION DESCRIPTION PART I - THE SCHEDULE A SOLICITATION / CONTRACT FORM

- B SUPPLIES OR SERVICES AND PRICES / COSTS p C DESCRIPTION / SPECIFICATIONS / WORK STATEMENT

. O 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 OOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS J LIST OF ATTACHMENTS PART IV - REPRESENTATIONS AND INSTRUCTIONS t K REPRESENTAf!ONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFER 0RS CONTRACTING OFFICER WILL COMPLETE ITEM 17 OR 18 AS APPLICA8LE

17. ( ) CONTRACTOR'S NEGOTIATED AGREEMENT (Contractor is required to sign this document and return 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, represer:tations, certifications, and specifications as are attached or incorporated 'y o reference ,

herein. (Attachments are listed herein.)

18. (X) AWAWD (Contractor is not required to sign this document.) Ycur offer on Solicitation Number RS-NMS-88-004, includtHg 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 docunnts: (a) the Government's solicitation and your offer, and (b) this award / contract. No farther contractual dc ;ument is necessary.

i

19A. NAME AND T!iLE OF SIGNSR 20A. NAME OF CONTRACTING OFFICER (Typo or print)

Elots Wiggins 198. NAME OF CONTRACTOR 208. UNITED STATES OF AMERICA

' by by M (Signature of person authorized to sign) (Signature of Cap & acting Officer) 19C. DATE SIGNED 20C. DATE SIGNED 6%r EXCEPTION TO STANDARD FORM 26 ADPROVED BY GSA/0!RM 6/85 i

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1 j NRC-02-88-004 ,

i TABLE OF C.,iTENTS PAGE  !

1 4

i AWARO/ CONTRACT . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 .

SECTION 8 - SUPPLIES OR SERVICES AND PRICE / COSTS . . . . . . . . . . . . 5 l 2.1 CONSIDERATION AND OBLIGATION--COST PLUS FIXED FEE . . . . . . . 5 l (MAR 1987) i k

1 .

.1 SECTION F - DELIVERIES OR PERFORMANCE. . . . . . . . . . . . . . . . . . 6  !

F.5 PLACE OF DELIVERY--REPORTS (MAR 1987) . . . . . . . . . . . . . 6

> F.S DURATION OF CONTRACT PERIOD (MAR 1987) . . . . . . . . . . . . . 6 l F.7 REPORTING REQUIREMENTS. . . . . . . . . . . . . . . . . . . . . 7 i I

SECTION G - CONTRACT ADMINISTRATION DATA . . . . . . . . . . . . . . . . 8 i G.1 INDIRECT RATES (MAR 1987) . . . . . . . . . . . . . . . . . . . 8 ,

G.2 PROJECT OFFICER AUTHORITY (MAR 1987). . . . . . . . . . . . . . 8  ;

10

. G.3 TRAVEL REIMBURSEMENT (MAR 1987) . . . . . . . . . . . . . . .

SECTION H - SPECIAL CONTRACT REQUIREMENTS .......... . . 11 H.1 XEY PERSONNEL (MAR 1987) . . . . . . . . . . . . . . . . . . 11 i

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I The following clauses are deleted in their entirety from the

' solicitation and are replaced by *.he following clauses; i

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. NRC-02-88-004 Section 0 e

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SECTION 8 - SUPPLIES OR SERVICES AND PRICE / COSTS r

. B.1 CONSIDERATION AND OBLIGATION--COST PLUS FIXED FEE (MAR 1987) 1

a. It is estimated that the total cost to the Government for h full performance of this contract will be $141,748.00, of which the sum of $130.044.00 represents the estimated reimbursable costs, and of which $11,704.00 represents the fixed fee.

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h. There shall be no adjustment in the amount of the Contractor's fixed fee by reason of differences between any estimate of cost for performance of the work under this contract and the actual cost performance of that work. ,

c. The amount presently obligated by the Government with respect to t.iis contract is $141,748.00.

(End of Clause)

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SECTION F - DELIVERIES OR PERFORMANCE 3 .

F.5 PLACE OF DEL 1VERY--REPORTS (MAR 1987)

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

a. Project Officer (3 copter) i

$ U.S. Nuclear Regulatory Commission ,

Contract Number: NRC-02-88-004 Office of Nuclear Material Safety and Safeguar '.s

,' Division of Fuel Cycle, Medical Academic & Cc m'l Use Safety l

- Mail Stop: 6-H-3

!. Washington, D.C. 20555 ,

, b. Contracting Officer (1 copy) ,

l.S. Nuclear Regulatory Commission 1 Contract Number: NRC-02-88-004 s- Division of Contracts and Property Management Contract Administration Branch Mail Stop: P-841 Washington, D.C. 20555 (End of Clause)

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F.6 0URATION OF CONTRACT PERIOD (MAR 1982) [

This contract shall cammence on 09/30/88 and will expire on

. 10/29/89.- t (End of Clause)

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' F.7 Reporting Requirements i F.7.1 Drafts and Final Technical Letter Report Within 8 months of contract award, the contractor shall provide .

three copies of the draft report, with thoroughly documented

! findings and problem areas associated with the survey performed in accordance with item C.1.3 above (Scope of Work). The distribution is as follows:

NRC Project Officer,1 copy -

, (See Section F.5 above)

Contracting Officer,1 copy

, (See Section F.5 above)

U. S. Nuclear Regulatory Commission Chief, Medical, Academic & Com'l Use Branch Div. of Fuel Cycle, Medical, Academic & Com'l Use Safety Mail Stop 6-H-3 ,

Washington, DC 20555 l (I copy)

The NRC Project Officer will furnish written comments on the draf t report to the contractor within 4 weeks after receipt of the draft. Based on these comments the contractor shall revise the first draf t and submit the second draf t of the final report in three copies to the NRC Project Of ficer and one to the Division of t Contracts and Property Management not later than 11 months after the effective date of this centract.

Upon completion of the second draft report, the contractor shall brief the report to NMSS staff of the NRC, in Rockville Maryland.

The NRC Project Officer will furnish comments provided by the NMSS staff to the contractor within 4 weeks after receipt of the second draft. Based on these comments, the contractor shall revise the second draft and submit the final report wt th 10 co91es to the NRC l Project Officer, and one to the Division of Contracts and Property Management, not later than 13 months after the effective date of the contract. i The report shall be in the format specified for formal contractor documents in NRC Manual Appendix 3202 "Technical Letter i Reports " and (Attachment 3) and shall document the work l accomplished under this contract.

(End of Clause) j l

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SECTION G - CONTRACT ADMINISTRATION DATA q

G.1 INDIRECT RATES (MAR 1987)

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

CATEGORY RATE (%) COST BASE APPLICABLE PERICO r

Overhead 24.9% Direct Labor 9/30/88 - 10/29/89 Fringe Benefits N/A N/A N/A G&A N/A N/A N/A

b. The Contracting Officer may adjust the above rates as appropriate during the term af the contract upon acceptance of any revisions proposed by the Contracto*. 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 estabitshed cost or funding limitations.

(End of Clause)

G.2 PRCUECT OFFICER AUTHORITY (MAR 1987)

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

Name: Harriet Karagiannis Address: U.S. Nuclear Regulatory Commission Div.of Fuel Cycle, Medical, Academic & Com'1 Use Safety NMSS Mail Stop 6-H-3 Washington, DC 20555 Telephone Number: (301) 492-0633

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 shif ts work emphasis between areas of work or tasks, fills in details or o+.herwise serves to accomplish the contractual statement of work.

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NRC-02-88-004 PAGE 9 SCction G o

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2) Providing advice and guidance to the Contractor in the

~j preparation of drawings, specifications or technical portions of the >

work description.

1

. 3) Review and, where required by the contract, approval i of technical reports, drawings, specifications and technical

information to be delivered by the Contractor to the Governmer

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 j .

the general scope of the contract.

l 2) Constitutes a change as defined in the "Changes" clause of this contract, t

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 iny 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 after 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 directier.s 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 cae 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, 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

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Project Officer may result in an unnecessary delay in the Contractor's performance, and may even result in the Contractor t 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 a

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:

i 1) Monitoring the Contractor's technical progress, including surveillance and assess.nent of performance, and i recommending to the Contracting Officer changes in reautrements.

2) Assisting the Contractor ir. 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 $12,139.00 without the pHor appreval of the Contracting Officer.

b. The Contractor will be reimbursed for reasonable domestic travel costs incurred directly and specifically in the performance of this contract. The cost limitations for travel costs are determined by the Federal Travel Regulations that are in effect on the date of the trip. These Regulations spicify the daily maximum per diem ' rates for specific localities within the Contarminous United States (CONUS), the standard CONUS rate, the allowance for meals 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,

c. When the Government changes the Fvderal Travel Regulations, it is the responsibility of the Contractor to notify the Contracting Officer in accordance with the Limitation o. Cost clause of this contract if the Contractor will be unable to ma,'* all of the approved trips and remain within the cost and fee limitat.'ns of this contract,

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 Dies Allowances For Foreign Areas". Copies of this publication may be obtained from U.S. Government printing Office, Washington, D.C. 20802.

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]., NRC-02-88-004 Secticn H ,

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. SECTION H - SPECIAL CONTRACT REQUIREMENTS J

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1 j H.1 KEY PERSONNEL (MAR 1987) a

<! a. The following individuals are considared to be essential

to the successful performance of the work hereunder.

1 Mr. Joel I. Chen 3 Dr. Allen Brodsky ,

Or. Jerrold T. Bushberg Dr. Darrell McIndoe Ms. Dolores Thomas The Contractor agrees that such personnel shall not be removed from the contract work or replaced without compliance with paragraphs b and c herecf.

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 Contracter 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 substanti.11y equal ability and

qualifications.

. . c. All requests for approval of substitutions hersunder must be in writing and provide a detailed explanation of the (

circumstances necessitating the proposed substitutions. They l contain a complete resume for the proposed substitute, and other i

information requested by the Contracting Offif.er to approve or F disapprove the proposed substitution. The Contracting Officer will evaluate such requests and promptly notify the Contractor of hir/her .

approval or disapproval thereof ir writing. l

d. If the Contracting Officer determines that:

I,

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

2) That the resultant reduction of effort would be so } '

substantial as to impair the successful completion $f the contract or the service order, the contract may be terminateo by the Contracting Officer for default or for the convenience of the Government, as appropriate. If the Contracting Officer finds the ,

Contractor at tault for the condition, the contract price or fixed '

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! HC-02-88-004 Section H . -

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fee may be equitably adjusted downward to compensate the Government .' t

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1 SOLICITATION, urFER AND AWARD i 3 ,

OMB No. 0505-0005 .;

Expiration Date: 05/31/88

1. TITLE: Study on Training and Experience Criteria for Personnel Involved in the Medical Use of Byproduct Material

2. CONTRACT NO. 3. SOLICITATION NO. 4. TYPE OF SOLICITATION RS-NMS-88-004 Negotiated (RFP)

5. DATE ISSUED 6. REQUISITION / PURCHASE NO.

i July 6, 1988 NMS-88-004

7. !$5UED BY 8. ADORESS OFFER TO All proposals should be addressed U.S. Nuclear hgulatory Commission as indicated in Block 7, however.  :

Div. of Contracts & Property Mget. handcarried proposals.(including ,

Mail Stop AR 2223 Express Mail) must be delivered

.' Washington, DC 20555 to the address in Block 9.

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

SOLICITATION

9. Sealed offers in original and 1 signed copies for furnishing the suppites or

{' services in the Schedule will be received at the place specified in Item 7, or if handcarried, tr. the depository located in Room 2223. Second Floor, 4550

. Montgcmery Avenue, Bethesda, Md. 20814, until 2:00 P.M. local time on 08/05/88 . CAUTION-LATE Submissions, Modifications, and Withdrawals: See Section L, Provision No. 52.214-7 or 52.215-10. All offers are subject to all terms and canditions contained in this solicitation.

10. FOR INFORMATION CALL: A. NAME: Teresa McLearen B. TELEPHONE NO.: (301) 492-4290 (No Collect Calls)

11. TABLE OF CONTENTS PART/SECTION DESCRIPTION F PART I - THE SCHEDULE A SOLICITATION / CONTRACT FORM l B SUPPLIES OR SERVICES AND PRICES / COSTS i C DESCRIPTION / SPECIFICATIONS / WORK STATEMENT 0 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 00CUMENTS, EUlIBITS AND OTHER ATTACHMENTS J LIST OF ATTACHMENTS  ;

PART IV - REPRESENTATIONS AND INSTRUCTIONS

• K REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS L INSTRUCTIONS. CONDITIONS, AND NOTICES TO OFFER 0RS M EVALUATION FACTORS FOR AWARD (

EXCEPTION TO STANDARD FORM 33 STANDARD FORM 33(REV-4-85)

APPROVED BY GSA/0IRM 6/85 FAR(48 CFR) 23.214(C)

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". PAGE 2 5 SOLICITATION, OFFER AND AWARD I n OFFER (Must be fully completed by offeror)

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

12. In r:omoltance ylth the above, the undersigned agrees, if this offer is

accepted within 'su calendar days (60 calendar days unless a different period is inserted by the offeror) from the dato for receipt of offers specified i, 1 above, to furnish My or all items upon which prices are offered at the price i set opposite each item, delivered at the designated point (s), within the time Jpecified in the schedule.

'! 13. DISCOUNT FOR PROMPT PAYMENT (See Section . Clause No. 52.232-8) 10 Calendar days 20 Calendar days 30 Calendar days Calendar days j  % 5  % 4 t

, 14. ACKNOWLEDGEMENT OF AMEN 0MENTS (The offeror acknowledges receipt of -

(

) amendments to the SOLICITATION for offerors and related documents numbered and '

dated:

AMEN 0 RENT NO DATE MENOMENT NO DATE 1 7/21/88 i 15A. NAME AND ADORESS OF OFFER 0R 16. NAME AND TITLE OF PERSON DUNS Code: Facility: SCAA, INC. AUTHORIZED TO SIGN OFFER

, 07-116-7910 8200 Riding Ridge ? lace Sanford Cohen, President

, McLean, Virginia 22402 (Type or Print) 158. TELEPHONE NO. (Include Area Code) (703)893-6592 ,

15C. ( ) CHECK IF REMITTANCE ADDRESS IS OlFFERENT FROM ABOVE--ENTER SUCH ADOPESS IN SCHEDULE

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17. SIGWAT C ya 18. OFFER DATE:

August 5, 1988

' // / ' AWARD (To be completed by Government)

,j 19. ACCEPTED A5 T0 1TEMS / NUMBERED 20. AMOUNT 21. ACCOUNTING AND APDROPRIATION g 22. AUTHORITY FOR USING OTHER THAN FULL ANO OPEN COMPETITION

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

. 23. SUBMIT INVOICES TO A00RESS SHOWN IN ITEM 25:  !

(4 copies unless otherwise specified)

24. ADMINISTERFD BY 25. PAYMENT WILL BE MADE BY l .- (If other than Item 7)

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

. 26. NAME OF CONTRACTING OFFICER 27. UNITED STATES OF AMERICA 28. AWARD DATE (Type or Print)

(Signature of Contracting Officer) i IMPORTANT - Award will be'made on this Form or on Standard Form 26,

- or by other authorized official written notice.

EXCEPTION TO STANDAp0 FORM 33

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APPROVED BY GSA/0iRM 6/85 9

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. I TABLE OF CONTENTS PAGE r

i s SOLICITATION, OFFER AND AWARD. . . . . . . . . . . . . . . . . . . . 1 I

. j TAB LE OF CONTENTS . . . . . . . . . . . . . . . . . . . . . . . . . . 3  ;

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SECTION B - SUPPLIES OR SERVICES AND PRICE / COSTS . . . . . . . . . . 7 B.1 BRIEF DESCRIPTION OF WORK (MAR 1987). . . . . . . . * . . . 7 B.2 CONSIDERATION AND O6 LIGATION--COST PLUS FIXED FEE . . . . . 7 (MAR 1987)

SECTION C - DESCRIPTION / SPECIFICATION. . . . . . . . . . . . . . . . 8

/ WORK STATEMENT C.1 STATEMENT OF WORK (MAR 1987). . . . . . . . . . . . . . . . 8 C.2 T RAV E L ( MAR 198 7 ) . . . . . . . . . . . . . . . . . . . . . 13 i SECTION O - PACKAGING AND MARKING . . . . . . . . . . . . . . . . . 14 i D.1 PACKAGING AND MARKING (MAR 1987). . . . . . . . . . . . . . 14  ;

SECTION E - INSPECTION AND ACCEPTANCE. . . . . . . . . . . . . . . . 15 I

E.1 CLAUSES INCORPORATED BY REFERENCE . . . . . . . . . . . . . 15 -

(FAR 52.252-2) (APR 1984)

. E.2 PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987) . . . . . . . 15 SECTION F - DELIVERIES OR PERFORMANCE. . . . . . . . . . . . . . . . 16 F.1 CLAUSES INCORPORATED BY REFERENCE , . . . . . . . . . . . 16 (FAR 52.252-2) (APR 1984)

F.2 PREPARATION OF TECHNICAL REPORTS (MAR 1987) . . . . . . . . 16 F.3 TECHNICAL PROGRESS REPORT (MAR 1937). . . . . . . . . . . . 16 F.4 FINANCIAL STATUS REPORT (MAR 1987). . . . . . . . . . . . . 17 F.5 PLACE OF DELIVERY--REPORTS (MAR 1987) . . . . . . . . . . . 17 F.6 00ftATION OF CONTRACT PERIDO (MAR 1987). . . . . . . . . . . 18 F.2 Reporting Requirements . . . . . . . . . . . . . . . . . . . 18 SECTION G - CONTRACT ADMINISTRATION DATA . . . . . . . . . . . . . . 19 G.1 INDIRECT RATES (MAR 1987) . . . . . . . . . . . . . . . . . 19 G.2 PROJECT OFFICER AUTHORITY (MAR 1987). . . . . . . . . . . . 19 G.3 TRAVEL REIMBURSEMENT (MAR 1987) . . . . . . . . . . . . . . 21 G. 4' REMITTANCE ADORESS (MAR 1987) . . . . . . . . . . . . . . . 22 G.5 PROMPT PAYMENT (52.232-25) (FEB 1983) . . . . . . . . . . . 22 ALTERNATE II (FEB 1988)

SECTION H - SPECIAL CONTRACT REQUIREMENTS . . . . . . . . . . . . . 28 H.1 KEY P ER SONNEL ( MAR 1987 ) . . . . . . . . . . . . . . . . . . 28 H.2 SAFETY, HEALTH, AND FIRE PROTECTION (MAR 1987). . . . . . . 29

. H.3 OISSEMINATION OF CONTRACT INFORMATION (MAR 1987). . . . . . 29 H.4 PRIVATE USE OF CONTRACT INFORMATION AND DATA (MAR 1987) . . 29 N.5 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST . . . . . 29

, (OMB CLEARANCE NUMBER 3150-0112) (MAR 1987) -

H.6 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED . . 31 (MAR 19. ')

PART II - CONTRACT CLAUSES. . . . . . . . . . . . . . . . . . . . . 32 SECTION I -

CONTRACT C'.AUSES . . . . . . . . . . . . . . . . . . . 32 1.1 CLAUSES INCORPORATED BY REFERENCE . . . . . . . . . . . . 32

4 .n ., :- . 9 .. ...:. x . .. J..  :. - - . .-

....u . . . . . . L .

. ...a v. J

}*

TABLE OF CONTENTS PAGE ,

] (FAR 52.252-2) (APR W 4) 1 I.2 ANTI-KICKBACK PROCEDURE 5 (FAR 52.203-7) . . . . . . . . . . 33 2

) I.3 PAYMENT FOR OVERTIME PREMIUMS . . . . . . . . . . . . . . . 35 4 i (FAR 52.222-2) (APR 1984) {

I i

PART III - LIST OF DOCUMENTS, EXHIBITS . . . . . . . . . . . . . . 37 l q AND OTHER ATTACHMENTS SECTION J - LIST OF ATTACHMENTS. . . . . . . . . . . . . . . . . . . 37

. J.1 ATTACHMENTS (MAR 1987). . . . . . . . . . . . . . . . . . . 37 i PAR 1 IV -

REPRESENTATIONS AND INSTRUCTIONS . . . . . . . . . . . . 38 i

SECTION K - REPRESENTATIONS, CERTIFICATIONS ANO . . . . . . . . . 38 OTHER STATEMENTS OF 0FFERORS i

• K.1 CONTINGENT FEE REPRESENTATION ANO . . . . . . . . . . . . . 38 1' AGREEMENT (FAR 52.203-4) (APR 1984) -

. K.2 TYPE OF BUSINESS ORGANIZATION (FAR 52.215-6) (JUL 1987) . . 38 . }

. K.3 AUTHORIZED NEGOTIATORS (FAR 52.215-11) (APR 1984) . . . . . 39 j

4 K.4 '

PLACE OF PERFO%4ANCE (FAR 52.215-20) ( APR 1984) . . . . . . 39 i K.5 SMAL' BUSINESS CONCERN REPRESENTATION . . . . . . . . . . . 39  ;

. (FAR 52.219-1) (MAY 1986)

K6 SMALL DISA0 VANTAGE 0 BUSINESS CONCERN. . . . . . . . . . . . 40 REPRESENTATION (FAR 52.219-2) (APR 1984)

K.7 WOMEN-0WNED SMALL BUSINESS REPRESENTATION . . . . . . . . . 41 (FAR 52.219-3) ( APR 1984)

K.8 PREFERENCE FOR LABOR SURPLUS AREA CONCERNS. . . . . . . . . 41 (FAR 52.220-1) (APR 1984)

K.9 CERTIFICATION OF NONSEGREGATED FACILITIES . . . . . . . . . 41 (FAR 52.222-21) (APR 1984)

K.10 PREVIOUS CONTRACTS AND COMPLIANCE REPORTS . . . . . . . . . 42 (FAR 52.222-22) (APR 1984)

K.11 AFFIRMATIVE ACTION COMPLIANCE , . . . . . . . . . . . . . . 43 (FAR 52.222-25) (APR 1984)

K.12 CLEAN AIR AND WATER CERTIFICATION . . . . . . . . . . . . 43 (FAR 52.223-1) (APR 1984)

K.13 COST ACCOUNTING STANDA.'105 NOTICES ANO . . . . . . . . . . . 43

._ CERTIFICATION (NONOEFENSE)

(FAR 52.230-2) (APR 1984)

K.14 ORGANIZATIONAL CONFLICTS OF INTEREST (MAR 1987) . . . . 45 K.15 Current /Former Agency Employee Involvement. . . . . . . . . 46 SECTION L - INSTRUCTIONS, CONDITIONS, AND NOTICES. . . . . . . . . . 47 TO OFFERORS L.1 SOLICITATION PROVISIONS INCORPORATED BY , . . . . . . . . . 47 1 REFERENCE (FAR 52.252-1) (APR 1984) 4 L2 TYPE OF CONTRACT (FAR 52.216-1) (APR 1984). . . . . . . . . 47 L.3 SERVICE OF PROTEST (FAR 52.233-2) (JAN 1985). . . . . . . . 48 L4 LEVEL OF EFFORT (MAR 1987). . . . . . . . . . . . . . . . . 48 L.5 ESTIMATED OURATION (MAR 1987) . . . . . . . . . . . . . . . 48 L.6 ACCEPTANCE PERIOD (MAR 1987). . . . . . . . . . . . . . . . 48 L. 7 SMALL BUSINESS SIZE STANDARD AND PRODUCT CLAS$1FICATION . . 49 (MAR 1987) ALTERNATE I (MAR 1987)

L.8 AWARD NOTIFICATI0tl AND COMMITMENT OF PUBLIC FUN 05 (MAR 1987) 49 L.9 DISPOSITION OF PROPOSALS (MAR 1987) . . . . . . . . . . . . 49 9

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. TA8LE OF CCNTENTS PAGE 1 .

d

! L.10 PROPOSAL PRESENTATION AND FORMAT (MAR 1987) . . . . . . . . 50

't L.11 NON0!SCRIMINATION BECAUSE OF AGE (FAR 22.901) (MAR 1987). . 52 i'j L.12 OATA UNIVERSAL NUMBERING SYSTEM (OUNS) NUMBER (MAR 1987). . 52 ,

SECTION M - EVALUATION FACTORS FOR AWARO . . . . . . . . . . . . . . 53 (

.I M.1 SOLICITATION PROVISIONS INCORPORATED BY . . . . . . . . . . 53  !

REFERENCE (FAR 52.252-1) (APR 1984)

D M.2 CONTRACT AWARD AND EVALUATION OF PROPOSALS. (MAR 1987). . . 53 M.3 EVALUATION CRITERIA (MAR 1987). . . . . . . . . . . . . . . 54 f

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y PAGE 7

' U e' R$-NMS-48-004 Sectica B j -

3.:-

SECTION 8 - SUPPLIES OR SERVICES AND PRICUCOSTS j 4

i i

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! B.1 BRIEF CESCRIPTION OF WORK (MAR 1987) 1 The Contractor shall conduct a study to obtain

' information on training and experience criteria

! for personnel involved in the medical use of

. byproduct material. ,

(End of Clause) a .

O.2 CON 51DERATION ANO 08 LIGATION--COST PLUS FIXE 0 FEE t!

(MAR 1987)

I l 1 *l

4. It is estimated that the total cost to the Government for  !!

full performance of this contract will be of

• _* ,,,_, of which the sua

_ represents the estimated reimbursable costs, and of which

'[

• represents the fixed fee. j I

,' b. There shall be no adjustment in the amount of the

, Contractor's fixed fee by reason of differences between any estimate ,

of cost for performance of the work under this contract and the  ;

a actual cost performance of that work. l

c. The amount presently obitgated by the Government with L respect to this contract is .,,,_* _ .

(End of Clause) f I

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• PAGE 8 -

j . RS-NMS-88-004 Sectica C [

V, i 7

.! l j *

'j SECTION C - DESCRIPTION / SPECIFICATION  ;

/ WORK STATEMENT  ;

a J

l C.1 STATEMENT OF WORK (MAR 1987) i j C.1.1 Background .

b For several years, the Nuclear Regulatory Commission (NRC) had training and

} experience criteria for physicians who wanted to use byproduct materials for '

i medical purposes. These criteria were comprised of the training generally i necessary for a physician to use byproduct materials safely, and to protect j workers, patients, and the pubite from unnecessary radiation exposure. The f evolution of the training and experience criteria is more fully described in a i Federal Register Notice (FRN) published on December 2, 1982 (47 FR 54376).

Generally, physicians demonstrate their training and expertuce by being

, certified by an appropriate medical specialty board or by completing a program integrates basic classroom training, supervised handling experience, and clinical experience. Such a program is usually completed as a part of the physician's residency program that is spent learning a medical specialty.

, In response to the development of new nuclear medicine clinical procedures, NRC staff prepared revised training and experience criteria for physicians who want to perform diagnostic clinical procedures. The Commission stated that the trainin>

and experience criteria for all individuals, not just physicians, should be studted. The Commission believes that the patient's best radiation protection comes form individuals who delivar the highest quality of nuclear medicine and

. radiotherapy service and that a key factor in reducing the chances.of misadministrations and protecting the patient from unnecessary or excessive

. exposure is training.

The Commission directed the staff to conduct a study to assess training

• received by individuals, such as nuclear medicine technologists, radiation j technologists, and dosimetrists, and to use the study in the development of

, training criteria for individuals involved in all uses of byproduct naturtal. NRC

,l staff has prepared a paper that provides an Advance Notice of Proposed Rulemaking

. (ANPR) to request public comment on training and experience criteria for all 1 individuals who participate in any type of medical use of byproduct materfal.

, C.1.2 Contract Objective The NRC plans to conduct a study to obtain information on training and 6 experience criteria for personnel involved in the medical use of byproduct material. The study shall provide NRC with information that includes thi following:

, o Duties and responsibilities of applicable personnel as specified in C.1.3.1 0

, .: , .8,w u........ .. .... ~. a. 1 . .....a.. . . L - -

. .a m: wh PAGE 9 RS-NMS-88-004 Section C 1 v.

I below that are involved in the medical use of byproduct material d 5

I o Standards and regulations that organizations impose on training programs

, o Evaluations f the implementation of these standards and regulations i The NRC may Jse this informition in conjuction with other information, to revise NRC medit s1 licensee requirements on training and experience, and to prepare a guidance docus int for NRC licensing staff, t

C.1.3 Scope o' Work The contractot shall search literature and conduct interviews with hospital, i free-standing clinic, and nuclear pharmacy personnel, in Agreement and non-Agreement States, collect, analyze, identify, and summarize information and prepare a report for Items C.1.3.1 - C.1.3.5, below. The report shall include verbal data, as well as charts, as deemed necessary, to provide NRC with a complete understanding of the collected information. Specifically, the contractor shall

j. provide NRC with a report that includes the following:

a C.1.3.1 Identify duties and responsibilities, in particular, those related to health and safety of the worker, the public, and the patient (in both hospitals and free-standing clinics) for physicians, and allied health personnel with specialties listed below:

(a) Physicians' Specialties (1) Nuclear medicine uptake, dilution, excretion, imaging, and localization studies (2) Nuclear medicine cardiovascular clinical procedures (3) Therapeutic use of radiopharmaceuticals (4) Treatment of hyperthyroidism (5) Use of sealed sources for nuclear medicine diagnostic (6) Teletherapy (7) Bra:hytherapy (b) Allied Health Personnel Specialties

. (1) Physicists

a. Teletherapy

b. Brachytherapy

, (2) Dosimetrists

a. Teletherapy ,,

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.- PAGE 10 j

. RS-lms-88-004 Sectio 3 C r; ,

e ti 9i

b. Brachytherapy

).  ?

} (3) Radiopharmactsts ,

1 4

a. Hospitals and free-standing citnic-(nuclear medicines).-

ll 1 b. Nuclear Pharmacies ,

i; (4) Technologists '

I

a. Nuclear medtcine uptake, dilution, excretion, imaging, localization procedures 2

b. Diagnostic procedures using sealed sources  ;

c. Radiopharmaceutical therapy ,

g d. T.i. thera,y

]

e. Orachytherapy  !)

i s!

(5) Technicians 'r i

a. Assist nuclear medicine technologists j

b. Assist radiation therapy technologists  ;

t p (6) Nurses j

't p a. Nuclear medicine imaging and localization procedures  !

b. Radiation therapy C.1.3.2 Collect and summarize standards, guidelines, and regulations that organt:ations and hospital administrations impose on training programs fer ,

) physicians and allied health personnel listed in Item C.1.3.1., above, l-Such organfrations may include the following:  !

l- o Federal agencies (e.g., Food and Drug Administration (FDA); Social l Security /Jainistration (SSA); Joint Commission on Accrediation of

, Healthcare Organtaations (JCAHO)).

t-  ;

I; o State Health Derartments (representatives Agreement State and i j non-Agreement State personnel) , j u -

L o Peer Groups (e.g., The Society of Nuclear Medicine; the American  !

a Board of Radiology; the American Association of Physicists in [

l- Medicine; the Health Phystes Society; the American Society of (

Hospital Pharmacists; and the American National Standards In.titut :. '

I

! f Hospital Administrators o  !

• 9 C.1.3.3 Identify overlaps and gaps in standards, guidelines and regulations '

that organizations Itsted in Item C.1.3.2., above, impose on available a

4 s

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PAGE 11 * .

M

> . RS-NMS-CC-004 5ection C '-

/

training programs. The information for this Item shall be presented in i readily useable foruat, e.g., a table (see format as outlined in Table ,

below) with topics on: manufacture and distribution; possession and .!

disposal of byproduct materials, in relation to the following areas of ,c y concern:  ;

o Radiation health and safety of the patient  ;

, o RSdiation health and safety of the public '

o Radiation health and safety of the workers

? C.I.3.4 Describe the oversight program that each organization uses to ensure implementation and compliance with the standards, guidelines, and '

i regulations it imposes on training programs. Summarize each i

'i organization's oversight findings, and deferibe the action each ,,

} organization takes on items of nos-compliance. .  ;

}

i C.1 3 5 Assess the extent to which the standards, guidelines, cid regulations  ;

described in Ites C.1.3.2, above, (in both hospitals and free-standtnc i clinics) for specialties listed in Ites C.1.3.1, aboys, are taught in training programs and covered in certification exams tailored for these specialties.

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- . RS-FMS-88-004 Section C

. i l TA8LE 1 1-

. IDENTIFIED OVERLAPS, GAPS, IN STANDARDS AND REGULATIONS i; THAT ORGANJZATIONS IMPOSE ON TRAINING PROGRAMS  !

OY SPECIFIC AREAS OF CONCERN l' Areas of Concern Organization

. PEER AGREEMENT STATE FDA JCAHO $$A GROUP STATES HEALTH I

1. MANUFACTURE & OISTRIBUTION A. RA0!ATION HEALTH AND SAFETY t OF WORKERS  !

8. RADIATION HEALTH ANO SAFETY I

. OF P'JSLIC

c. RA0!ATION HEALTH AND SAFETY . ,!

0F PATIENT ,u

2. POSSESSION & USE 4 A. RADIATION HEALTH AND SAFETY OF WORKERS B. RADIATION HEALTH AND SAFETY OF PUBLIC C. RADIATION HEALTH AND SAFETY OF PATIENT

3. O!$POSAL OF RADI0 ACTIVE MATERIAL A. RADIATION HEALTH AND SAFITY  !

0F WORKERS B. RA0!ATION HEALTH AND SAFETY OF PUBLIC

. t

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PAGE 13 -

R$-NMS-88-004 Sectioa C n

1 a C.2 hetings _j j If necessary, the contractor shall visit the organizations to obtain j findings. Additionally, the contractor shall meet with the NRC Project

? Officer and other NRC individuals, as applicable, af ter completion of the second draft of the final report. These meetings shall be of one-day duration and shall be held at the NRC Office in Rockville, Maryland.

]

C.3 NRC-Furnished Material ,

1 The NRC will furnish, when requested by the contractor, copies of the j Federal Register Notices and NRC regulations needed to obtain further 1 information about C.1,1, above (Background). , ,

ll C4 Quality Assurance ,i

]

All drafts and reports must be reviewed by the contractor's management and l

be approved by two signatures. One of these approval signatures must be f y from the contractor's management, at a level above the program manager.  !

y >

When revisions of those drafts and reports are issued, a section must be included in the revision to document dates, reasons, and the scope of all ,

changes made since the issuance of the original contractor's approved i

! report. i l

NRC has the option of appointing a Peer Group to review the drafts and {

final report and make changes to the final report. The contractor may i recommend candidates for the Peer Group, for approval by the NRC Project l

l. Officer. In the event of dissent, in the content of the final report, I dissenting party will have the option of stating his viewpoints and I l- findings in a section of the report.  :

(End of Clause) ,

C.2 TRAVEL (MAR 1987)

a. All domestic travel requires the prior approval of the r Project Of ficer.

(

b. All foreign travel must be approved in advance by the NRC  ;

on NRC Form 445 and shall be in complance with 52.247-63 Preference .

,' For U.S. Flag Air Carriers. l (End of Clause) l I

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PAGE 14 '

i

• RS-NMS-88-004 Section 0

\,

.t t 5 SECTION O - 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 cosmon 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 appitcable , ,

to the mode of transportation. On the front of the package, the Contractor shall clearly identify the contract number under which i

the product is being provided. '

(End of Clause)  !

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R$-NMS-88-004 Section E e '!

l 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 j~

full text available.

'  !. FEDERAL ACQUI51 TION REGULATION (48 CFR CHAPTER 1) CLAUSES CLAUSE NUMBER DATE TITLE 4

52.246-5 APR 1984 INSPECTION OF SERVICES--

COST-REIMBURSEMENT E. 2 PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987)

- Insrection and acceptance of the deliverable items to be furnished hereunde? shall be made by the Project Officer at the destination.

(End of Clause) 0 4

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'. R5-NMS-88-004 5ection F $

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. 1!

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F.1 CLAUSES If ~aRPORATED BY REFERENCE .  !

(FAR 52.252-2) (APR 1984) ,

t

',, This contract incorporates the following clauses by reference.  ;

j These clauses have the same force and effect as if they were given  ;

4 in full text. Upon nquest, the Contracting Officer will make their .

4 full text available.

3 .

{

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

?

1 CLAUSE  :

gt NUMBER DATE TITLE 52.212-13 APR 1984 STOP-WORKORDERALTERNATEI(APR1984)

F.2 PREPARATION OF TECHNICAL REPORTS (MAR 1987) l l All technical reports required by Section C and all Technical e 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 appitcable to the Spending Plan and the [

Financial Status Report (See Section J for List of Attachments). ,,

(End of Clause)

F.3 TECHNICAL PROGRESS REPORT (MAR 1987) ,

The Contractor shall provide a monthly Technical Progress Report to the Project Of ficer and the Contracting Officer. The npert is due within 15 calendar days after the end of the nport ,

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  !

mport shall include the following: j

( a. A listing of the efforts completed during the period;  !

i milestones reached or, if missed, an explanation provided; j

b. Any problems or delays encountered or anticipated and

'; I recommendations for resolution; (if the recommended resolutton l

'.. involves a contract modification, e.g., change in work requirements. [

,~

level of effort (cost) or schedule delay, the Contractor shall submit a separate letter to.the Centracting Officer identifying the

, required change and estimated cost impact).

i e'

3

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• PAGE 17 r

. RS-NMS-88-004 Section F y,

.i .,

c. A summary of progress to date; and .

I; d. Plans for the next reporting period. 1,

, (End of Clause) i 2 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 i

{ 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 i:

of performance, and the period covered by the report. Each. report i shall include the following for each discrete task:

, e f

j

a. Provide total estimated cost (value) of the project as reflected in the contract, the amount of funds available in the l:I

contract to date, and the balance of funds required to complete the ,

work as follows* t

1) Total Estimated Contract Amount.  :

2) Total Funds Obitgated To Date. '

3) Total Costs Incurred This Reporting Period. i

- 4 Total Costs Incurred To Date.

5 Balance of Obitgations 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 the Contractor, to:

a. Project Officer (3 copies)

, U.S. Nuclear Regulatory Commtssion Contract Number: , , , , , . , _ , ,

,- Office of

• 01yision of

• Mai1 Stop:

• Washington, D.C. 20555 j b. Contracting Officer (1 copy)

U.S. Nuclear Regulatory Comission Contract Number: , , . , _

Olvision of Contracts Contract Administration Branch

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j F Q~ Mail Stop: AR-2223 k

Washington. 0.C. 20555 _

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, (End of Clause) a i u F. 6 00RATIONOFCONTRACTPER100(MAR 1987) ri L This contract shall commence on _* _,and will empire on y .

l (End of Clause) j F7 Reporting Requirements is K F.7.1 Orafts and Final Technical Letter Report 4

h Within 4 months of contract award, the contractor shall provide .

3, three copies of the draft report, with thoroughly documented lj findings and probles areas associated with the survey performed in

l. accordance with item C.1.3 above (Scope of Work). The distribution t

is as follows:

NRC Project Officer, NMS$ (1 copy)

Contracting Officer, NRC Divtsion of Contracts &

Property Management (1 copy)

Section Chief, IMA8, IMNS, NMS$ (1 copy)

The NRC Project Officer will furnish written comments on the draft report to the contractor within 4 weeks after receipt of the draft. Based on these coements the contractor shall revise the first draft and submit the second draf t if the final report in three copies to the NRC Project Officer and one to the Olvision of Contracts and Property Management not later than 11 months af ter the effective date of this contract.

Upon' completion of the second draft report, the centractor shall

. brief the report to MM$$ staff of the NRC, in Rockville, Maryland.

The NRC Project Officer will furnish comments provided by the NMS$

staff to the contractor within 4 weeks af ter receipt of the second draft. Based on these comments, the contractor shall revise the second draf t and submit the final report with 10 copies to the NRC Project Officer, and one to the Otvision of Contracts and Property Management, not later than 13 months after the effective date of the contract.

The report shall be in the format specified for formal contractor documents in NRC Manual Appendix 3202, "Technical Letter Reports," and (Attachment 3) and shall document the work

', accomplished under this contract.

(End of Clause)

• I e

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. PAGE 19 R$4'MS-88-004 Section G

) .

4 1 i SECTION G - CONTRACT ADMINISTRATION DATA i

. G.1 INDIRECT RATES (MAR 1987) [

a. Pending the establishment of final indirect rates which i shall be negotiated based on audit of actual costs, the Contractor P

shall be reimbursed for allowable indirect costs as follows:

, t i CATEGORY RATE (%) COST BASE APPLICA8LE PER100  :

Oyerhead * *

• Fringe Benefits

• Gu -

l

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 Contrac. tor's responsibility to notify the Contracting Officer in accordance with 52.232 Limitstion 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) l G.2 PROJECT OFFICER AUTHORITY (MAR 1987)  !

t

a. The Contracting Officer's authorized representative  ;

hereinaf ter referred to as the Project Of ficer for this contract is:

. i

. Name

, Address: _ l 3 __

__ l Te1ephone Number:  !

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-t

1) Technical direction to the Contractor which shif ts  !

work emphasis between areas of work or tasks fills in details or otherwise serves to accomplish the contractual statement of work.  ;

i i

1

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. PAGE 20

• RS-NMS-C^-004 Section G j!

. ,3 a *

! 2) Providing advice and guidance to the Contractor 1.i the -

j preparation of drawings, specifications or technical portions of the j work description. }*

1; i n

j 3) Review and, where required by the contract, approval [

. of technical reports, drawings, specifications and technical i information to be delivered by the Contracter to the Goverr, ment (

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 l

'j authority to and may not issue any technical direction which: j I

1) Constitutes an assignment of additional work outside i!

i the general scope of the contract. j;

2) Constitutes a change as defined in the "Cha'nges" l clause of this contract. fl i

6

} 3) In any way causes an increase or oecrease in the total ;l estimated contract cost, the fixed fee, if any, or the tiase required [

. for contract performance.  ;

4) Changes any of the expressed terms, conditions or l

+ lifications of the contract.  :

5) Terminates the contract or settles any claim or  !

dispute arising under the contract, or issue any untiateral i directive whatever. J

d. All technical directions shall be issued in writing by the

, Project Officer or shall be contirmed by such person in writing  !

within ten (10) working days after verbal issuance. A copy of said k written direction shal' be subettted to the Contracting Officer.  !

l

.e. The Contractor shall proceed promptly with the performance l of technical directions duly issued by the Project Officer in the t manner prescribed by this clause and within such person's authority under the provisions of this clause. l t

f. If, in ths opinion of the Contractor, O i instruction or i directts , issued by the Project Officer is withis 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)  !

workinn days af ter the receipt of any such instruction or direction l and shall request the Contracting Officer to modify the contract  !

accordingly. Upon receiving such notification from the Contractor,  !

the Contracting Officer shall issue an appropriate contract modification or advise the Contractor in writing that, in the  !

Contracting Officer's opinion, the technical direction is within the ,

scope of this article and does not constitute a change under the >

Changes Clause. l l

Any unauthorized commitment or direction issued by the g.

i b

_ , , , _ . , . . _._._____________-__f

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PAGE 21 -

RS-NMS-88-004 , Sectica G '!

s  !!

^

Project Officer may result in an unnecessary delay in, tt.a 4!

. Contractor's performance, and may even result in the Contractor ,t expending funds for unallowable costs under the contract.

'l

] h. A failure of tho' 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.

l

1. In addition to providing technical direction as defined above, the Project Officer is responsible for: i

1) Monitoring the Contractor's technical progress. I including surveillance and assessment of performance, and  !

recommending to the Contracting Officer changes in requirements.

[

2) Assisting the Contractor in the resolution of I j technical problems encountered during performance. .

1. .

1: 3) Reviewing all costs requested for reimbursement by t

, Contractor and submitting to the Contracting Officer recommendations  !

J' for approval, disapproval, or suspension of payment for supplies and i services required under this contract. [

j (End of Clause) l G.3 TRAVEL REIMBURSEMENT (MAR 1987)  !

) -

a. Total expenditure for domestic travel shall not suceed S ~~

• l l* without the prior approval of the Contracting Officer.

, b. The Contractor will be reimbursed for reasonable dernestic 4

travel costs incurred directly and specifically in the performance r

,, of this contract. The cost limitations for travel costs are  ;

determined b> the Federal Travel Regulations that are in effect on  !

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

per dies rates for specific localities within the Conterminous t United States (CONUS), the standard CONUS rate, the allowance for  :

meals 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 24402. {

c. When the Government changes the Federal Travel  !

}. Regulations, it is the responsibility of the Contractor to notify  !

4 the Contracting Officer in accordanca with the Limitation c.f Cost ,

4 clause o' this contract if the Contractor will be unable to make all

! of the approved trips and remain within the cost and fee limitations i

)

o of this contract. l

[' d. The rates for foreign travel are estabitshed by the U.S. I

. Department of State and are listed in a pubitcation entitled (

) "Maximum Travel Per Dies Allowances For Foreign Areas". Copies of [

this publication may be obtained from U.S. Government Printing i

Office, Washington, D.C. 20402.

j

i

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,- 'R$-NMS-88-004 Section G

^

)4 (End of Clause) j a G.4 REMITTANCE ADORER,5 (MAR 1987) 4 i

If item $*?

' - Standard Form 33 has been checked, enter 4

the remittsnct '- slow.

1 Name:____ .

C Address:

II li 1 <

v.

x -

S .

1 (End of Clause) 2 1 G.5 PROMPT PAYMENT (52.232-25) (FEB 1988) j' ALTERNATE II (FEB 1988)

J Notwithstanding any other payment clause in this contract, the

r. Government will make invoice payments and contract financing O payments under the terms and conditions specified in this clause, j Payment shall be considered as being made on the day a check is dated or an electronic funds transfer is made. Definitions of pertinent terms are set forth in 32.902. All days referred to in this clause are calendar days, unless otherwise specified.

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

(2) E.tcept as 1.cdicated in subparagraph (a)(3) of this clause,

, the due date for making invoice payments by the designated payment 1 office shall be the later of the fo11 cuing two events:

e (1) The 30th day after the designaird billing office hat received a proper invoice from the Contractor.

(11) The 30th day after Government acceptance of supplies delivered or services pcrformed by the Contractor. On a final c invoice where the payment amount is subject to contract settlement 1 actions, acceptance shall be deemed to have occurred on the effective date of the contract settlement, t,

(3) The due date on contracts for meat and meat food products, contracts for perishe.ble agricultural ecmmodities, and contracts not

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,- RS-NMS-88-004 Section G ij

, requiring submission of an invoice shall be as follows: 4

-s e r (f) The due date 'or meat and meat food products, as defined in i l 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, '

f poultry products, eggs, and egg products, will be as close as l possible to, but not later than, the 7th day after product delivery.

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

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

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

. defect within 15 days after rectript of the invoics at the designated billing office (3 days for meat and meat food products and 5 days for perisheble agricultural commodities). Untimely notification wi'l

- be taken into account in the computation of any interest penalty p owed the Contractor in the manner described in subparagrpah (a)(6) of this clause.

(i) Name and address of the Contractor.

(ii) Invoice date.

l

_ (iii) Contract number or other authorization for supolies delivered or services performed (including order number and contract line item numbor). (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) 81'l of lading number and weight of shipment will be shown for shipments on Government bills of lading.

(vi) Name er.d address of Contractor official to whom payment is to be sent (must be the same as that in the contract os 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 e

a- m

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. . - . ... ~ n t PAGE 24

}. RS-NMS-88-004 Section G 2

3 requirements of the contrac.t (such as evidence of shipment). !j (5) An interest penalty shall be paid automatically by the 3

'. Government, without request from the Contractor, if payment is not l made within 15 days after the due date (3 days for meat and meat I 4 food products and 5 days for perishable Jgricultural commodities) -

y 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 3

or condition.

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

- the Contractor for supplies delivered or services performed, the _

amount was not subject t.o further contract settlement actions  ;

} between the Government and the Contractor. '

f (6) The interest penalty shall be the rate established by the j Secretary of the Treasury under Section 12 of the Contract 01sputes J 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

Federal Register semiannually on or about January 1 and July 1. The ll interest penalty shall accrue daily on the invoice payment amount L approved by the Government and be compounded in 30-day increments i! inclusive from the first day after the due date through the payment l* date. That is, interest accrued at the end of any 30-day period will L 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

defective invoice within the periods prescribed in paragraph (a)(4) of this clause, then the due date on the corrected invoice will be f-- adjusted by subtracting the number of days taken beyond the prescribed notification of defects period. Any interest penalty owed she Contractor will be based on this adjusted due date. Adjustments will be made by the designated N yment office for errors in

, calculating interest penalties, if requested by the Contractor.

(1) 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 J not, however, compel Government officials to accept supplies or services, perform contract administration functions, or make payment prior to fulfilling their responsibilities.

e t

___________1_.________:__r._______.

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, PAGE 25  ;;

.~ ', RS-NMS-88-004 Section G I 1 (11) The following periods of time will not be included in the a determination of an interest penalty: M f 3 ii (A) The period taken to notify the Contractor of defects in l invoices submitted to the Government, but this may not exceed 15 l days (3 days for meat and meat food products and 5 days for perishable agricultural cosmodities).

(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 1 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  ;

-i temporarily withheld or retained in accordance with the terms of the  ;

contract. Claims involving disputes, and any interest that may be payable, will be resolved in accordance with the Disputes clause.

(7) An interest penalty shall also be paid automatically by the

, designated payment office, without request from the contractor, if

• an improperly taken discount for prompt payment was not corrected within 15 days 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 i 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" l- means a Government disbursement of monies to a Contractor under a L

contract clause or other authorization prior to acceptance of supplies or services by the Government. Contract financing payments include advance payments, progress payments based on cost under the

(, clause a*. 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 F hed-Price

! Construction Contracts, or the clause at 52.232-10, Payments Under l,

I-Fixed-Price Architect-Engineer Contracts, and interim payments on cost type contracts.

i! (2) For contracts that provide for contract financing, requests (4 for payment shall be submitted to the designated billing office as ll specified in this contract or as directed by the Contracting l

Officer. Contract financing payments shall be made on the (insert

[, day as prescribed by Agency head; if not prescribed, insert 30th I

day) day after receipt of a proper contract financing request by'the l designated billing office. In the event that an audit or other t

i.

i

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• PAGE 26 7

, RS-NMS-88-004 Section G J 3s

~..

, review of a specific financing request is required to ensure R q compliance with the terms and conditions of the contract, the 1 3 designated payment office is not compelled to make payment by the r due date specified.

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

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

. (c) Electronic Funds Transfer.

Payments under this contract will be made by the Government either 1 i by check or electronic funds transfer (through the Treasury i Financial Communications System (TFCS) or the Automated Clearing .

, House (ACH)), at the option of the Government. After award, but no ',

i later than 14 days before an invoice or contract financing request i j is submitted, the contractor shall designate a financial institution for receipt of electronic funds transfer payments. The Contractor shall sut~ nit this designation to the Contracting Officer or other Government official, as directed.

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

q (1) Name, address, and telegraphic abbreviation of the financial e institution receiving payment.

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

(iii) Payee's account number at the financial institution where 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 identifying number for

~ the correspondent institution.

)

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

1 (1) Routing transit numbers of the financial institution receiving payment (same as American Bankers Association identifying

,' number used for TFCS).

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

O 4

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PAGE 27 .

'!<. . . RS-NMS-88-004 Section G l  ?!

. (iii)' Type of depositor account ("C" for checking, "S" for 1-savings).

(iv) If the Contractor is a new enrollee to the ACH system, a  :

'; "Payment Information Form," TFS 3881, must be completed before i i payment can be processed.

I (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

't procedures, notification of such change 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 j effective.

, (4) The documents furnishing the information required in this

paragraph (c) must be dated and contain the signature, title, and -

telephone number of the Contractor official authorized to provide

.j it, as well as the Contractor's name and contract number.

(5) Contractor failure to properly des (gnate a financial institution or to provide appropriate payee bank account information r

may delay payments of amounts otherwise properly due.

, (End of clause) s 9

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• . . PAGE 28 9

RS-NMS-88-004 Section H T

1. . '?. $

6h j'

1

$ . SECTION H - SPECIAL CONTRACT REQUIREMENTS a i.

fi H

i

. H.1 XEY PERSONNEL (MAR 1987) 1

a. Th9 following individuals are considered to be essential y to the successful performance of the work hereunder.  ;,

1 _

j 1

1 1 __

The Contractor agrees that such personnel shall not be l

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 ret. son becomes, or is expected to become, unavailable for work under this contract for a continuous period exceeding 30 work days, or is expucted 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 provida a detailed explanation of the circumstances necessit&t,ng 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:

i; 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 f

., Contractor at fault for the condition, the contract price or fixed I !. ,

e .

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+

RS-NMS-88-004 Section H

,' c s

. w fee may be equitably adjusted downward to compensate the Government '

e

, for any resultant delay, loss or damage. O I

i (End of Clause)

H.2 SAFETY, HEALTH, AND FIRE PROTECTION (MAR 1987) 9 The Contractor shall take all reasonable precan' mu in the

. performance of the work under this contract to proten the health 0 and safety of employees and of members of the public and to minimize

+ danger from all hazards to life and n operty and shall comply with

• i all applicable health, safety, and n ew 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 i

. rights of the Commission, issue an order stopping all or any part of -

i

the work; thereafter, a start order for resumption of work may be j

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 connection with such work stoppage. '

(End of Clause)

H.3 OISSEMINATION OF CONTRACT INFORMATION (MAR 1987)

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

(End of Clause)

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

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

! (End of Clause)

H.5 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST (OM8 CLEARANCE NUMBER 3150-0112) (MAR 1987) a 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 en 4

e p.. . -

. '.. s..:. . c ~,. .... . s.  : .. - h : . . . ~ . . n.. . .<.h PAGE 30 y RS-NMS-88-004 Section H 'i 4

) 2) Does not obtain an unfair competitive advantage over  ;

other parties by virt'ue of its perfo-mance of this contract.

q l b. Scope. The restrictions described herein shall apply to

.i performance or participation by the Contractor as defined in 41 CFR )

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

e c. Work for Others. Notwithstanding any other provision of this contract, during the term of this contract, the Contractor agrees to forgo entering into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to conflict of interest with respect to the work being performed under this contract. The Contractor shall ensure that all

. employees who are employed full t'me under this coetract 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 conf 1'ets of interest, as defined in 41 CFR 20-1.5402(a).

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

e. Access to and use of information.

1) If the Contractor in the performance of this contract obtains access to information, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the privacy Act

. of 1974 (Pub. L.93-579), or data which has not been released to the

, public, the Contractor agrees not to:

(1). Use such information for any private purpose j untti the information has been released to the pubitc;

, (11) Compete for work for the Commiss' based on such information for a period of six (6) months after either tho

.- completion of this contract or the release of such information to the public, whichever is first; (iii) Submit an unsolicited proposal to the 9

4

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. PAGE 31 RS-NMS-88-004 Section H

?

g

, 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 a

previously been released to the public by the NRC.

2) In addition, the Contractor agrees that to the extent it receives or is given access to proprietary data, data protected

. by the Privacy Act of 1974 (Pub. L.93-579), or other confidential or privileged technical, business, or financial information under this contract, the Contractor shall t'est 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 20-1.5402(h),

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

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

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

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

(End of Clause)

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

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

(End of Clause) e

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, PAGE 32 3" RS-NMS-88-004 Section I

' ;i 4

N I

' .j PART II - CONTRACT CLAUSES

}_

SECTION I -

CONTRACT CLAUSES A

.j s

i i

'i

. 1.1 CLAUSES INC0kPORATED BY REFERENCE  !

(FAR 52.252-2) (APR 1984) i This contract incorporstes the following clauses by reference. -

l] These clauses have the same force and effect as if they were given  ;

E; in full text. Upon request, the Contracting Officer will make their  ;

'j full text available.

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

I CLAUSE I NUMBER DATE TITLE 52.202-1 APR 1984 DEFINITIONS 52.203-1 APR 1984 0FFICIALS NOT TO BENEFIT 52.203-3 APR 1984 GRATUITIES 52.203-5 APR 1984 COVENANT AGAINST CONTINGENT FEES 52.203-6 JUL 1985 RESTRICTIONS ON SUBCONTRACTOR SALES TO THE GOVERNMENT 52.215-1 APR 1984 EXAMINATION OF REC 0x0S BY COMPTROLLER GENERAL 52.215-2 APR 1984 AUDIT -- NEGOTIATION 52.215-22 APR 1984 PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA 52.215-23 APR 1985 PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA -- M00!FICATIONS 52.215-24 APR 1985 SUBCONTRACTOR COST OR PRICING OATA 52.215-25 APR 1985 $UBCONTRACTOR COST OR FRICING DATA -- M00!FICATIONS 52.215-26 JUL 1986 INTEGRITY OF UNIT PRICES

. 52.215-30 APR 1984 FACILITIES CAPITAL COST 0F MONEY

, 52.215-21 APR 1984 WAIVER OF FACILITIES CAPITAL COST OF MONEY 52.215-33 JAN 1986 ORDER OF ORECEDENCE

• 52.216-7 APR 1984 ALLOWABLE COST AND PAYMENT 52.216-8 IPR 1984 FIXE 0 FEE 52.219-8 JJN 1985 UTILIZATION OF SKALL BUSINESS CONCERNS AND SMALL DISADVANTAGED 52.222-37 JAN 1988 EMPLOYMENT REPORTS '(Xi SPECIAL DISABLED VETERANS AND VETERANS OF THE VIETNAM EARA i -

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- RS-NMS-88-004 Section I BUSINESS CONCERNS  ;

52.219-13 AUG 1986 UTILIZATION OF WOMEN-F OWNED SMALL BUSINESSES 52.220-3 APR 1984 UTILIZATION OF LABOR SURPLUS AREA CONCERNS

. 52.220-4 APR 1984 LABOR SURPLUS AREA SUBCONTRACTING PROGRAM 52.222-3 APR 1984 CONVICT LA80R 52.222-26 APR 1984 EQUAL OPPORTUNITY 52.222-35 APR 1984 AFFIRMATIVE ACTION FOR SPECIAL DISABLED AND VIETNAM ERA VETERANS 52.222-36 APR 1984 AFFIRMATIVE ACTION FOR HAN0! CAPPED WORKERS

, 52.223-2 APR 1984 CLEAN AIR AND WATER 52.227-1 APR 1984 AUTH011ZATION AND CONSENT 52.227-2 APR 1984 NOTILE AND ASSISTANCE REGARDING PATENT AND COPYRIGHT INFRINGEMENT . .

52.228-7 APR 1984 INSURANCE -- LIABILITY TO THIRD PERSONS 52.230-3 AUG 1986 COST ACCOUNTING STANDARC*

52.230-4 APR 1984 ADMINISTRATION OF COST ACCOUNTING STANDARDS 52.230-5 AUG 1986 DISCLOSURE AND CONSISTENCY OF COST ACCOUNTING PRACTICES 52.232-17 APR 1984 INTEREST 52.232-20 APR 1984 LIMITATION OF COST 52.232-23 JAN 1986 ASSIGNMENT OF CLAIMS 52.233-1 APR 1984 DISPUTES 1 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 APR 1984 CHANGES -- COST-REIMBURSEMENT ALTERNATE I (APR 1984) 52.244-2 JUL 1985 SU8 CONTRACTS UNDER COST-REIM8URSEMENT AND LETTER CONTRACTS ALTERNATE I

~ (APR 1984) 52.244-5 APR 1984 COMPETITION IN SU8 CONTRACTING 52.249-6 MAY 1986 TERMINATION (COST-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 lue, or compensation of any kind which is provided, directly or indirectly, to any prime Contractor, prime Contractor employee, subcontractor, or subcontractor employee for the purpose of improperly obtaining or rewarding favorable treatment in connection with a prime contract or in connection with a subcontract relating to a prime contract.

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

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, I

a

! "Prime contract," as used in this clause, means a contract or 'l contractual action entered into by the United States for the  !

purposes of obtaining supplies, materials, equipment, or services of I any kind.

"Prime Contractor employee," as used in this clause, means any 1 officer, partner, employee, or agent of a prime Contractor.

u "Subcontract," ru used in this clause, means a contract or contractual action entered into by a prime Contractor or

. subcontractor for the purpose of obtaining supplies, materials, equipment, or services of any kind under a prime contract.

"Subcontractor," as used in this clause, (1) means any person, other than the prime Contractor, who offers to furnish or furnishes any supplies, materials, equipment, or services of any kind under a . -

prime contract or subcontract entered into in connection with any ,

such prime contract, and (2) includes any person who offers to

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

, tier subcontractor.

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

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

prohibits any person from--

(1) Providing or attempting to provide or offering to provide any kickback; or (2) Soliciting, accepting, or attempting to accept any kickback; or

.. (3) Including, directly or indirectly the amount of any kickback in the contract price charged by the prime Contractor to

. the United States or in the contract price charged by a subcontractor to a prime Contractor or a higher tier subcontractor.

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

. direct business relationships.

(2) When the Contractor has reasonable grounds to believe that

a violation described in paragraph (b) of thi.s clause may have occurred, the Contractor shall promptly report in writing the rossible violation. Such reports shall be made to the inspector gertral of the contracting agency, the head of the contracting agency if the agency does not have an inspector general, or the Department of Justice.

}.

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

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.i PAGE 35 .  !

RS-NHS-88-004 Section I

9l (4) Regardless of the contract tier at which a kickback was '

j provided, accepted 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 United States under this contract and/or (ii) direct that the Contractor withhold from sums owed the subcontractor, the amount of kickback. The Contracting Officer may order that montes withheld under subdivision (c)(4)(ii) of this clause be paid over to the Government unless the Government has already offset those monies under subdivision (c)(4)(1) of this clause. In the latter case, the contractor shall notify *he Contracting Officer when monies are witheld.

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

(End of Clause) l 1.3 PAYMENT FOR OVERTIME PREMIUMS (FAR 52.222-2) (APR 1984)

(a) The use of overtime is authorized under this contract if the overtime premium cost does not exceed $0. In addition to this dollar ceiling, overtime is permitted only for work--

(1) Necessary to cope with emergencies such as those resulting from accidents, natural disasters, breakdowns of production equipmer',, or occasional production bottlenecks of a sporadic nature; (2) By indirect-labor employees such as those performing duties in connection with administration, protection, transportation, J maintenance, standby plant protection, operation of utilities, or accounting; (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; ,

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= RS-NMS-88-004 Section I 't

. (2) Demonstrate the effect that denial of the request will have fj

. on the contract delivery or performance schedule; q

.?

(3) Identify the extent to which approval of overtime would 'j affect the performance or payments in connection with other {

i 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.

I (End of Clause) 4 2

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r RS-NMS-88-004 Section J .

I Nl

,:q PART III - LIST OF DOCUMENTS, EXHIBITS 4 AND OTHER ATTACHMENTS 7l.

t.

': SECTION J - LIST OF ATTACHMENTS la e

1 I J.1 ATTACHMENTS (MAR 1987) )

s Attachment Number Title t

.] .

1 i

-i i! 1 NRC Contractor Organizational Conflicts of j

?

Interest (41 CFR Part 20) j 2 Billing I;istructions 'i 3 NRC Manual Chapter 3202 4 Standard Form 1411 with Instructions i

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ATTACHMENT 1

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PART 20-1 -- GENEPAL f

Subpart 201.54--Contractor'Organi:ational Conflicts of Interest

, Sec.

. 20-1.5401 Scope and policy.

• 3 20-1.5402 De.finitions.

20-1.540.3 Criteria for recognizing contractor organi:aticral conflicts of interest.

20-1.5404 Representation.

1 20.l.5405 Contract clauses.

20-1.5405-1 General contract clause.

4 20-1.5405'2 Special contract provisions. .

l 20-1.5406 .

Evaluation, findings, and contract award.. 3

. 20-1.5407 20-1.5408 Conflicts identified after award.

M (Reserved) '

20-1.5409 (Reserved) 20-l'.5410 .~ -

,- Subcontractors.'

20-1.5411 Waiver. -

20-1.5412 Remedies.

AUTHORITY: Sec. 8, Pub. L.95-601, adding Sec.170A to Pub. L.83-703, 68 Stat. 919, as amended (42 U.S.C. ch.14) 120-1.5401 Scope and Policy (NRC)(a)'It is the policy of the U.S. Nuclear Re ulatory Comission of interest. to avoid, eliminate or neutrali:e contractor organi:ational conflicts 1 The NRC achieves this objective by requiring all prospective contractors to submit infor..ation describing relationships, if any, with organi:ations or persons (including those regulated by NRC) which may give rise to actual or potential conflicts of interest in the event of contract award.

(b)

! Contractor conflict of interest determinations cannot be made 5 automatically or routinely; the apo11 cation of sound judgment on virtually a case-by-case basis is necessary if the policy is to be applied so as J

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 policy be alert to other situations which may warrant application of this guidance.

. The ultimate test is: Hight the contractor, if awarded the contract, be placed in, a position where its judgment may be biased. ,

or where it may have an unfair competitive advantage?

(c) The conflict of interest rule contained in this subpart applies to contractors and offerers only.

Individuals or firms who have other

. relat'ionships covered with by this NRC (e.g., parties to a licensing proceeding) are not regulation. This rule does not apply to the acquisition ,

of consulting services through the personnel appointment orocess, NRC

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i, 7590-01 ,.

j agreements with other government agencies, internationa'i organi:& ,

k'

. or state, local or foreign governments; separat .

c 520 ,1.5402 Definitions .

-(a) exists whereby a contractor or prospective contrac planned contract which: interests 1

related to the work to be performed under an . .

sound, objective a(ss)istance and advice or may othe biased work competitive product, or (2) may cesult in its being advantage. unfait.

given an i

. _ - - - - - - . . . . . - i (b) theoretical analysis, exploration, or experimentation"Rese t

h. (c) Evaluation ac of a technology, process,tivities" means any effort invoGg the appraisal product, or policy.

(d) internal assistance to a component of the NRC in the f"Tech administration of. its pregrams, projects,omulation or policies or which nomally require the contractor to be given access to infor ution which has not been made available to the public or proprietary information . Such plans; and preparation of preliminary, ordesigns, specif statements of work.

(e) with the NRC except as provided in See:1on 20-15401(c) . .

. ( f)

• joint venture"Contractor" means any person, fim, unincorporated association ,

or their succe,ssors in interest, including their chief executives directors, key personnel (identified in the contract) ,

proposed consultants or subcontractors, which is a party to a contrac: ,

with the NRC.

(g) each other "Affiliates" when either means directlybusiness or indirectly concerns one concern which are affiliates o or individual

• controls or has the power to control another, or when a third part controls or has the power to control both (41 CFR Il-1,606-1(e)). y

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

(1) unincorporated association, joint venture, partnership, cor affiliates thereof, includin , or (identified in the proposal)g its chief executive, directors, key personnel

, submitting obtain a contract. a bid or proposal, solicited or unsolicited, to the NRC topropose 2

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. 'I 7590-01 (j) 1 "Potential conflict of interest" means tha; a fac:ual situation arise from award of a proposedThe contract. exists that suggests (indicat tem "potential conflict

' of interest" is used to signify those situations which merit investigation prior to contract award in order to ascertain whether award would give rise to an actual conflict or which must be reported to the contracting officer for investigation if they arise during contract perfomance.

120-1.5403 conflicts of interestCriteria for recognizing contractor organi:ational

' ~ (a) '

actual or potential organizational conflicts of (1) interest Are exist: Gener relation to its work for the NRC7there conflicting roles which might bias a -

(2) May the contractor be given an e unfair competitive advantage based on the performance of_.t.he contract?

The ultimate determination by NRC as to whether organizatTdhal conflicts of interest exist will be made in light of comon sense and good business

, judgment based upon the relevant facts disclosed and the work to be perfomed.

While it is difficult to identify and to prescribe in advance which might involve potential organizational, NRC conflicts of interes which call for the rendering of advice, consulta: ion or evaluatio NRC's research programs.

decisions on regulatory activities, future procurements (b) conflicts of interest. Situations or relationships which c.sy give rise :o organi:ational infor-ation concernin (1) The offeror or centractor shall disclose conflicts of in:eres:g relationships which may give rise to organi:ational under the following circumstances:

(1) l-

} to the NRC in a technical area in which it is also providing con 1 assistance in the same arec to any organization regulated by :he NRC.

(ii) Where the offeror or contractor provides advice ;o the NRC on

ne same or similar rat:er in which it is also providing assistance to any organi:stion regulated by the NRC.

1 (iii) Where the offeror or contractor evaluates its own products or services, or the products or services of another entity where the offeror or contractor ma rke ting. has been substantially involved in : heir oevelopment or 4

(iv) Where the' aware of a contract would otherwise result in placing the offeror or contractor in a conflicting role in which its juegment :r.ay be diased in relation to its -on for the NRC or may c:herwise result in an unfair competitive a vantage for the offeror or contracter.

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(2)

,i The contracting officer may request specific information from anprovided as offererinor contractor or may require special contract provisions s20-1.5405-2 in the following circumstances:

(i) are to be used in competitive procurements of produ covered by such specifications.

(11) Where the offeror or contractor prepares plans for specific .

approaches or methodologies that are to be incorporated into comp procurements using such approaches or methodologies.

t not available to the public concerning NRC plans on (111)

.. which could form the basis for a later precuremen,t actionpolicies, or program

.cc. .

infomation of its competitors.(iv) Where the offeror or contractor is eWto proprietary (v) the offerer or contractor in a conflicting role in which u gment may be biased ir. relation to its work for the NRC o .

(c) Policy applica'tfon guidance.

i illustrative centractor or only and are not intended to identify andThe following examples The XYZ Corp.gani:ational conflict of interest situations. resolve all undertake RFP. The XYZ Corp.certain analyses of a reactor component as well qualified.

In response to the inquiry in the RFP, the XYZ advises manu that fac turer. it is currently perfoming similar analyses for the reactor

- Guidance.

not be awarded to the XYZ Corp. because it woulo be p in which its judgment could be biased in relationship to it on NRC.

Since there are other well-quallfied companies savailable work for

, there

• would be no reason for considering a waiver of the policy .

(2) Example. The ABC Corp.

in response to a RFP, proposes to type of advanced reactor.perfom certain analyses of aoreac, cne tor compor.en companies responding to the RFP, the ABC Corp.As is the case with other te projects for several different utility clients. is perfoming various on the NRC evaluation, the ABC Corp. projects. Based have any relations Company to perfom the work outlined in'the RFPis considered to be the best qualified 4.

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- ~ Guidance.

An NRC contract normally could be awarded to the ASC '

Corp.respect with because no conflict to the work. of interest exists which would motivate bias 6 An appropriate clause would be included in I, the contract to preclude the ABC Corp. from subsequently contracting for 74 work during the perfomance of the NRC contract with the private sector which could create a conflict. For example, ABC Corp. would be precluded

]3 from the performance of similar work for the company developing the advanced. reactor mentioned in the example.

5 (3 Example.

k. of conne)rcialAsnuclear a result of operating problems in a certain type facility, it is imperative that NRC data on various operational aspects of that type of. plant so as to has extensive experience with that type of plant. assure adequa Consequently, that

, company is the only one with whom NRC can contract which can develop and

., Q. conduct time. the testing programs required to obtain the data in reasonable

.~

That company has a definite interest in any NRC-hcisions that

. might result from the data produced because those dec'fiions affect the reactor's design and thus the company's costs.

' - ~~

Guidance. This situation would place the manufacturer in a role in

..

• which its judgment could be biased in relationship to its work for NRC.

Since the nature of the work required is vitally important in tems of NRC's responsibilities and no reasonable alternative exists, a waiver vf ,

t.,

the policy may be warranted. Any such waiver shall be fully documented l

with particular attention to the establishment of protective to guard against bias.

(4) Example.

The ABC Co. submits a proposal for a new system for evaluating a specific reactor cemponent's perfomance for the purpose of developing standards that are important to the NRC program. The ABC Co.

!. has advised NRC that it intends to sell the new system to industry ence L

its practicability has been demonstrated. Other companies in this business are using older systems for evaluation of the specific reactor component.

Guidance. A contract could be awarded to the ABC Co. provided that

. the contract stipulates that no information produced under the contract will be used in the contractor's private activities unless such infor .ation

' will nomally be disseminated by NRC to others so as to prec

'*- unfair competitive advantage that might otherwise accrue. When NRC furnishes infomation to the contractor for the perfomance of contract work, it shall not be used in the contractor's private activities unless

'such infomation is generally available to others. Further, the centract will stipulate that the centractor will infor i the NRC contracting

• officer of all situations in which the infomacion developed under the contract is proposed to be used.

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. 7590-01 (5) Example.

The ABC Corp., in response to a RFP ' proposes to assemble fold belt. a map showine certain seis..ological feetures of the Aepalachian l 120-1.5403 In accordance with the representation in the RFP and l

doing sefsne(b)(1)(1), ABC Corp. infoms the t<RC that it is States by the NRC but none of the sites are within the geographic area contemplated study.

Guidance.

The contracting officer would nomally conclude that - ,l where its judgment might be biased. award of a contract would not place i

The work for others clause of 120-of the NRC contract which could create a conflict of intere (d) Other considerations. R and later avoid, eliminate, or neutralize any potential organizational (1) The conflicts arising from the perfomance of a contract is not~ relevant to ..

a contract.

a determination of ih'e existence of such conflicts prior to the award of (2) y It is not relevant that the' contractor has the professional

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

520-1.5404 Representation p

f, officer.in determining whether situations or relationships ex nly constitute organi:ational conflicts of interest with respect to a particular offeror or contractor.

b, (b) Representation procedure.

The following organi:ational

?

Solicitations and unsolicited proposals for:confitets of interest represen activities; (2) technical consulting and management support services;(1) Evaluation conflicts of interest. provisions are noted in the solicitation be included in tae resulting contract.

i shall also apply to all modifications for additional effort under theThis representation contract except those issued under the "changes" clause.

Where, however, a statement of the type required by the organi:stional conflicts o shall be required. regard to the contract being modified, only an updating of such statemen ,

6-

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4 7590-01  : '

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,i l ,

ORGANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION .

n I represent to the best of my knowledge and belief that:

The award to_

j of a contract or the modification of an

? existing contract does ( ) or does not ( ) involve situations or relationships

,- of the type set forth in 41 CFR f 20-1.5403(b)(1).

l (c) .

C} Instructions to offerors. The following shall be included in

., all NRC. solicitations:-(-lFIf-the* representation as completed indic'ates that situations or relationships of the type set forth in 41 CFR i20-1.5403(b)(1) are involved, or the contracting officer otherwise L detemines that potential organi:ational conflicts exist, the offeror i shall provide a statement in writing which describes in 1-4cncise manner

~

all relevant facts bearing on his representation to the fontracting officer. If the contracting officer detemines that organizational 1

conflicts exist, the following actions ma be taken: (1) Impose appropriate conditions which avoid such conflicts (i ) 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 '

f20-1.5411.

Ie

, (2) The refusal to provide the representation required by 120-1.5404(b) or upon request of the contracting officer the facts required by '120-1.5404(c), shall result in disqualification of the offeror for award.

The nondisc]osure 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 resul. ting contract may be terminated. The offeror may also be disqualified fro 1 subsequent related NRC contracts and be subject to such other remedial actions provided by law or the resulting contract.

i (d) The offerer may, because of actual or potential organt:ational 3

conflicts of interest, propose to exclude specific kinds of work from the statements prohibits .of. wor.k_ contained in a RFP unless the RFP specifically such exclusion.

Any such proposed exclusion by an offeror will be considered by the NRC in the evaluation of proposals. If the ,

L

- 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 failure to execute the reoresentation required by subsection (b) above with respect to invitation for bids will be ,

considered to correct thetoomis*,lon.

be a minor informality, and the offerer will be pemitted 1 20-1.5405 Contract clauses s 20-1.5405-1 General contract clause .

t

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r-7590-01

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

the following clauses:All contracts of the types set forth in i 20-1.5404(b) shall inc (a) Purpose.

ensuring that the contractor:The primary purpose of this clause is to aid in i

(1) Is not placed 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) ,

virtue of its perfomance of this contract.does not obtain an unfair com S

' (b) Scope . -

performance or p. The restrictions described herein shall apply to

• 5 20-1.5402(f) in the actitities covered by this clause.articipation by the c '

A

- (c) Work for others. Notwithstanding any otherylglDdsfon of this .

contract, during the term of this contract, the contractor agrees to forego entering into consulting or other contractual arrangements with of interest with respect to the work being perfomed under t a 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 claute. If the proposed consultant or other contractual arrangement with a organization may involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting efficer prior to execution of such contractual arrangement.

M

( (d) Ofsclosure after award.

>> (1) The centractor warrants that to i in~ this interest contract, it does not have any organi:ational conflicts o

, as defined in 41 CFR 120-1.5402(a).

,~

(2) conflicts of interest with respect to this contract, it shall make anT s

imediate and full disclosure in writing to the contracting officer This statement shall include a description of the action wrich the .

contractor conflicts. has taken or proposes to take to avoid or mitigate such The NRC may, however, teminate the contract for convenience if it deems such temination to be in the best interests of the government .

(e) Access to and use of infomation. 1 the perfomance of this contract obtains acces(s)to infomationIf , such as the contractor in NRC plans, policies, reports, studies, financial plans , internal data not been released to the public, the contractor (i) Use agrees not to: pro released to the public; (11) coepete for work for the Comissio

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(

7590-01 i on such information for a perico of sin (6' eenths after either the t

completion of this centract or the release of sucn informa:icn :c the

' public, wnichever is first, (iii) submit an unsc11ci:ed procosal to the

• government based on such infor .ation until one year after the release of such information to the public, or (iv) release the information without prior written approval by the centracting efficer unless such infomation

• has previously been released to the public by the fGC.

,2 i (2)

In addition, the centractor agrees that to the extent it receives er is given access to proprietary data, da:a protected by the Privacy Act of 1974 (Pub. L 93-579), or other confidential or privileg <

technical, business, or financial infomaticn under this contract, the placed on use of the information. contractor shall treat such informa e .

(3) l, The contractor shall have, subject to patW imd security s

provisions of this centract, the right to use technical data it produces

, under of this contract for private purposes provided that all requirements this contrac have been met.

(f) Subcontracts.

i

' contractorofshall subcontracts include this clause, including :his any tier. in paragraph,E The tems "con fact," "COntrac Or," and

, *cuntractingrights.

government's officer." shill be appropriately modified :o preserve the (9) Remedies.

' intentional nondisclosure ce misrecresentation of any relev required to be disclosed concerning this centract or for suen errenec u s

represen

ations as necessarily imoly bad faitn, tne governe.en may

.teminate the contract for default, discualify the contrac:ce fecm per nitted by law or this centract. subsequent contractual efforts, and (h) Waiver.

A request for waiver under this clause shall ~0e direc:ed in writing through the cen:rac:ing officer to the Executive Of rector for Operations (EDO) in accorcance with the procecures cu:line in i20-1.5:11.

I20-1.5405 2 Special cen:rac: previsiens.

(a) If i:

is detemined fecm the nature of :ne precosee cen:rac:

ray oetemine that such. conflict can be avoided or aft waiver in accorcance with 120 1.5411, appropria:e scecial contract provision.neutrali:ed thecugh the use cf an negotiate :he terms and cenditiens of these clauses, in 1uding :heIf aco

• but are nat limited to: extent anc time period of any such res:riction. These provis

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7590-01 .'

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recuction c:n:racts fc1(1) Harevare exclusien clauses unica Or

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Li

ance cf I<

performed by :ne cen:rac:1cwing or; a relatec ncnprecuc: ten c:n:rac: srevicusi

(2) Sof

ware exclusion :iauses;  !

c -

7. ' (3) i a

personnel) to avoic certain organizational  ; and conflict i q (4) Clauses w. -

{

4 guard against its unauthori:ed use.hich provide for protection of confide:

j  ;

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(b) .

'I section (i) in the clause set forth in sThe following additiona 20-1.5405-1 i

e conflic: of interest.that award of a follow-on when it is de:erminec centract would constitu t n :ational 'i x '

(i) Follow-on effort.

) q'--f"" (1) The contrac:ce shiTTEbe ineligible to >

8 j

i or unsolici:ed) wnich stem cirectly frec the work under this centract.

c ec cen -

the cen:racting officer, the contractor shall not consulting er management su:cor:

perform anFurth y tecnnical -

{ under this centract en any of its prcducts or service: ce ht ;rucuc:

or services involved in :heof anctner firm if the contrac:ct cevele;een: been ha:subs:antially  !

,'. or marketing of such produc:s er services.

• (2) essentiallyIfcceplete the cen:rac:cr under this centrac: prepares a c::::e e er sta:emen: ,

sna11 te ineligisle :c perform or sarticipate in :ne initial c:n:ra

'l effer* wniCn is 04sec en sucn sta:ement of work *he or sCec of work or scecificattens unless so cirectec in w

,0fficer, apoly. in which case ne restriction in this sut:aragracn shall no: ,

a (3) ,

offering or selling its stancare ccmmercial 1: ems ::Nothing; r

[ i 20-1.5406

ne governmer. .

Evaluation, fincings, and contrac: aware hi ine contracting o by an offerce pursuan:fficer  : will evaluate all reltvant facts sa:mittec r

. anc other relevant informatten.o :ne representatien recutaements cf !!01.!'C'(3) 1 agains: Af ter evaluating :his informa:'On i

'a I

officer

c a particular wne:ner:organi:aticnal offerer. conflicts of interes: with res:ec*

exis::ne cri e r

f i:

interes: exist, :nen :ne C:

e nas eeen StraC:1ng de:small officer ermined taa c:nflicts of eitne":

j '

(a) Disqualify :ne of'vr r free a= arc, i

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.to. .

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4 I390-01 ,

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a vCi c o r e i ;: . na t e s .,'C""

c r d +-- . s f- a::r:or: :e reasures; er (c) ,b.are the contrac:

uncer :ne watver :e:visicn of f20-1.5c11.

j 120-1.5407 Conflic:t icentifico af ter awara.

y

/. If potential organt:ational ccnflicts of interes are identified a officer cetermines that such conflicts and do,:nat in itfact, exis:af would not be in the best interests of the government :o terminate . -

e

h contract as provided in the clauses requirec by '

120-1.5405, the contrac:ing

>t obtaining a waiver in accordance withofficer will take every reaso of the identified conflict. 120-1.5411, neu:rali:e :he effects

.n::- .

120- 1. 54 C8 (Reservec)

s20-1.5409 (Reservec) 120-1.5410 Subcontrac:s The centracting officer snail recuire ofe ee:r: 3 .: c:n:ra c::.r 3 .

,- su: .it a recresentaticn statement in accorcance wi:n  ! ?0,1.5404(:.1 fece 2 succc.ntrac: ors anc consultants. The TcntTacting of ficer sna11 recuire ne contractor :

in consultant incluce con:ract clauses in accercance ai:n agree <ents ce succentracts invoi;<ing :erformar.ce 20-1 i 5005 of c d under a prime e.cntrac: coverec by this subsec: ten.

I20-1.5411 'a i ve r in :ne firs: ins:ance, cetermina:1cn w1:n res:ect to the need :c officer '=ith the acvice anc Concurrence ofsed a waiver for 5:ecific COn

,, and the Office of Exacutive Legal Direc: Or. toe rogram office direc*0F the contracting officer, anc af ter censultation withOcn :he recc renca:icn Of General Counsel, the Office of the cetermines that i: :he E00 may waive the colicy in s:ecific cases if ne so. 's in the best interest of :he Unitec S a:es to 30 (1) The work :o be cerfornec uncer centracSven action shall te strictly is vital to :ne N:

(2) the work cannot te satisfactorily performec eAcept by a c0ntP&c::P4 :r:;-an; whose interests give rise to a question of ccnflict of interest; anc (3) cor. ftrac e-*DIC ualNEC te by anc/or technicalthe*eview to neutrali:e and sucervision Pe:heds can te conflict.

' For any such waivers, :Ne justifica:ica Doc umen t EcC'"..

aric 40;r0 Val 00 ur'ents shall be placec in :he PuClic ,

11

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I 75ic.01 2 120-1.5 12 pe,,e5,3 i i ,

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a 3

c0ntract for'a Dreach of the restrictions in t i j intentional misrepresentation or intentienal nondisclosure I

> elevant interest required to be provided for this section, tne :  !

I may debar the contractor from subsequent .*JRC contracts .

?

Da ted at liashincton, D.C1 Bis _27th _ day . o f_ Fa r:*

u

._ 1979. I. '

a si

. for the nuclear Regulatory Ccentss<en

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bJL.u (<t i _t,*

Sar.uel O Cn i i k. ~

'.' Secretary ofi n, cemj,g gen .

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1, (REY!$ED 4/87) a

! [1  :

l= l

e 8!LLING INSTRUCTt0NS FOR NRC COST-TYPE CONTRACTS  !

a -

t i i

General. The contractor shall submit vouchers for cost-reimbursecant tj sample voucher. and femat described herein and as illustrated in the in the manner i

l Number of Cocien.. An original and two copies should be mailed to

. i 3 the NRC of fice ' dentified below. '

1 4'

Frequency.

The contractor shall submit claims for reimbursement once I

}

gig month unless otherwise authoriud by the Cortracting Officer. .

1:

n Form.

's Claims shall be subuitted on the Fom DC-3 "Voucher for Purchases I' and Services Other Than Personal." These forms are available from the '

Contracting Officer. (Tiie instructions for preparation and itemization

' of the voucher are shown on the fom.)

4 5

Billing of Costs Afte'r Expiration of Contract. If costs are incurred -

during the contract period and claimed after the centract has expired.

the period during which these costs wen incurred must te cited, 1 t

' Currer.cy. .

Billings may be expressed in the currency nomally used by 4

i the conirector in maintaining his accountiny records; payments will be I

' made in that currency. However, the U. 3. dollar equivaleat for all

'+

invoices paid under the contract may not excead the total U. S. dollars authorized in the contract.

'. l i

• Svoersession. These instructions supersede all previous billing [

instructions. .

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l1 INSTRUCTIONS FOR PREPARING COST l

INFORMATION FOR MRC CONTRACT 5

.i j

j Preparation and Itemization of the Voucher. The contractor shall furnish the S information set forth in the explanetary notes below. These notes are keyed  !

3 to the entries on the sangle voucher.

Payor's _Name and Address.

U.5. Nuclear (1) Addmst the ori ,

i copies) to: Regulatory Commission,ginal voucher (with 2 Division of Accounting and Finance, ATIN: CCV/CCM Accounts Section, Washin6en, DC 20555 1 .

Any questions regarding vouchers yet to be paid by the NRC should be

' addressed to Division of Accounting (301-492-M10). Any questions j regarding vouchers for which payment has been received (either in  :

full or partially with suspensions or disallowances) should be ad-

' dressed to the Contracting Officer.

~

Payeefs Nama and Address. Show the name of the contractor as it appears s

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 f has been designated, then insert the name and address of the payee.  :

Indicate the individual responsible for answering any questions NRC may

'i have reerding the invoice (name and phone number). .

2

(a) Contract .Nueer - Insert the NRC contract number.

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

(c) Voucher Number knsert the appropriate serial nuder of the vous er  ;

3 beginning with 001 for this contract. Contractors may also include 6 w individual internal accounting numbers in addition to the three digit  ;

t j numbe r.

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

l (e) Contract Amount - Insert the total estimated cost of the contract.

. exclusive of fixed-fee. l 4$

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

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

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[

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

4 n

(1) Direct Labor - This consists of salaries and wages paid (or I

accrued) for direct performance of the contract itemized as follows:

h Labor Labor Hours Ca tegory Negotiated Cumulative Hours Billed Ra te Total Hours Billed (2) Frince Benefits - This represents fringe benefits applicable

, to direct labor indicate and Frin the rate. billed as a direct cost. Where a rate is used.

not be identified here. ge benefits included in direct labor should (3) Direct Equi:wnent

- For educational institu-tions liss each ' tem costin ancy of more than one year.g 5500 or more, and having a life expect-For contractors other than educational institutions list each item costin expectancy of more than one year.List g $200 only or those more, andofhaving items equipment a life for which reimbursement is requested. A reference shall M made to

, the following (as appitcable): (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 vi,uchers shall only be required for items having specific limitations set forth in the contract.

(4) Materials. Supplies, and Other Expendable Items - These are consumable ma tra'.sls and supplies and equipment other than that described in (3) abuve.

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

(6) Consultants' Fee - The supporting information must include the name, hourly or daily rate of the consultant and reference the NRC

', approval (if not specifically approved in the original contract).

(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 information for each

. trip taken.

-2

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• All costs a'tociated with each trip must be shown in the following

^

5 format: (Unless the organization's travel policy has been negotiated and approved by NRC)

Date Traveler gstination Purpose Cost Fr08 10 ff!!" 19.

1. Airfare

! 2. Rental Car

.j 3. Local Travel

.i 4 Per Diem Days 9 -

e g

L' *

5. Meais: * '

Date Breakfast Lunch Dinner I

a _

If not included in Per Diem.

6. Tips, Misc.

(Itemize if more than 510,00)

(8) Subcentracts - Include all costs paid to approved subcontractors during btiling 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

', separa tely.

(1) Indiree.t Costs--Overhead - 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 855 of total fee.

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

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1 a (1) cumulative Amount from Inception to Date of this Billing - Insert the +

a cumulative amounts billed for the major cost elements and adjusted .

e amounts claimed during this contract.

(m) Total Amounts Claimed - Insert the total amounts claimed for the current and cumulative periods, t (n) Adjustments - This includes amounts conceded by the contractor, outstand-

ing suspens13ns, and disapprovals subject to appeal.

(o) Grand Totals e

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WuCH(R5 (CR PURCILASL5 AND SLRylCES 01HER lilAN PERSONAL,  !.

e ,

SANPLE V0UCHER i, Payor's Name and AddrpSs (4) Contract Number - NRC-10-81-624 i The U.5. Muclear Regu atory Consrijssion Olvision of Accounting and Finance (b) Title of Project' *$tudy of Nuclear Waste Attention: 00V/CIM Acets Secticn Concepts

• 14ashinem, DC 20555 Payee's __Name and Address (c) Vouc W M r M3 Mc LuegWION The National Bank, (d) Date Voucher Pr% pared 10/14/82

~

. A. As eIf C CORP. (e) Total Estimated Cost of Contract

$350.000.00 i Anywhere. U.S. A.

' (When Payments Ass.igned]

Indiividual to Contract (f) Total Fined-Fee ,

, Regarding This Voucher: 517.500.00

.Name: Harry Murphy

'Tel. No.: 215-321-8654 , , , , ,

l(g) This voucher represents reirburseable costs from 3/1/82 thru 3/30/82 Amount Billed (k) Current Period (1) Inception to Date '

l(h) Direct Costs .

56.800 (1) Direct Labor * $2.400 ~

1 (2) Fringe Benefits P 16.5 '

I (if computed as percentage) 600 1.200 ___

! (3) Direct 5.000 8.000 tquipment * ~

(4) heterials. Supplies and "

Other Expendable items

• 2.000 4.000 100 150 (5) kremum Pav t (6) Consultants

• 100 100

. (7) Travel - Domestic

• 200 200 ,

i Foreign * ~

200 200 i (8) Suocontract

• j (9) Other Costs

• 3.000 9.000 l (i) Ifl0! RECT COSTS 8

A} Overneed700 t of Total Direct Costs $13.600 $29.650 ,

(Indicate Base) _

! subtotal $27.200 $59.20 B ). General A Administrative Expense ,,3.J.61 _, ,,6,. 4 S0 12 L of Cost Elements Nos.19. A  !

Total Costs $30.464 $65.750 (j) FIXt0-Ftt [ARNED (Formula) 1.523 3.400 l

$31.987 If' b l SO

, (m) Total Ancunts Claimed ,

(n) Adjustments Outstanding Suspensions

• 1.700 1.700

(o) 1; rand Total, $v.787 $ rif . 4 5,0

• (RitAllRL5 $Urrt1R11NG INI001A110N.)

(',(( A1TActl[0. )

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,i -

i

) SAMPLE  :!

I'

$UPPORTING INFORMATION .

1) Direct Labor - $2400

' Labor Labor Hours Hours Cumulative

Category Negotiated Billed Rate Tg,t,jl Hours Billed y Senior Engineer ! 2400 100 $14.00 $1400 975

! Engineer 1500 50 $10.00 $500 465 Computer Analyst 700 100 $5.00 g 320

! 3) Direct Eautoment t $pectrometer - General Electric (as approved in Property Schedule) $5.000

4) Materials. Supplies & Other Exoendable Items 10 Radon Tubes 9 $110.00 = $1100.00

, 6 Pairs Electrostatic Gloves,9 $150.00 = $900.00 5Z000.00 l 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 MRC in letter dated 3/6/82.)

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

7) Travel

. Date Traveler Destination Puroose Costs From To, From Tc, 3/1/82 3/6/82 William King Chicago Wash., Meeting with 1) Airfare $80.00 IL DC Project 2) Rental Car 515.00

. Officer 4) Per Diem - 2 Dass 9 $50.00 = 5100.00

6) Tips, Mi sc. $5,00 TOTAL: $200

. _ . o. . : ..% . i ,._ _ , ; . ,. y_ c 3 . - oa

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,, 8) Subcontracts ,

i 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

. 0/H 9 501 = $300,00 Travel - 2 Trips - Wash., DC 9 $200 = $400.00 to 80ston, MA 4 Profit 9 7% = $200.00 TOTAL: Im.00 -

s 4

(j) Fixed-Fee (Formula) '

(51)

" $350,000 X 51 = $17,500 Total Fixed Fee for this Contract

$27,200 X 51 = $1360 Fee Billed for this Period (n)Ad.fustments

$1700 - Indicates aucunt withheld from voucher #001, now approved by Contracting Officer letter 3/10/82.

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Attachment 3

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t i Foem %RC.439 .

(1.?6 - .,'

f .lj(* U. 5. NUCLEAR REGULATORY COMMIS$1ON

{

NRC MANUAL

- TRAN5MITTAL NOTICE i C.-A W .JG;-3212 F32CCC:; CF iTaiNICAL MPCM:5 FFEPAMED BY NFC C0!MCOPS, INC.'L'0ING PEPO *fS PPEFAMED UN:ER OR S'.**."M.'" T DMATO' A0#fDEf?S

. t

' SUPERSEDED: TRAN5MITTED:

Date Number Date Number TN 1200-21 '

A/29/8I Chapter E -3202 5/29/c6 Chapter E -3III Page Page

' '29 'II ~ E'Ai '5*  !

Appendia E '* 2

Appendia N?'2*32C2 REMARKS: ,

$ ""r.is revisi:r. er Cha;ter 3202 expaMs the chapter from coverare cf f

e.:lassified reper:s :: in:1.rie the rar%1ng and handling of sensitive f r.::.assified 1-id=a:i:n (Cfficial Use Cr.ly and Li.e ted Official Use

' 1rfe:vati:n, Safeguar s Irfe:ratien, Preprietary Infc.Tatien) and classified irle:vati:n (T ; Se:M:, Seent, and Confidential). A se::i:r. has als: teer. addei :: se re-th pmceduns fer the hand 11r.f

' :r z.:lassifie! re;:r:s cr.!.? c:cperative pn:g:ars with f:reir .

g:ve: . .tr .s F1.1 :.7a .izati:r.s ar.d wit *. *.~.S. industry.

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,, _ . _ _ _ _ - N____.. . . . _ _ . _ _ . _ _ _ . _ .

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L V.S. NUCLEAR REGULATORY COMMISSION NRC MANUAL volume: 3000 Information and Foreign Activities AOM Part : 3200 Technical Information and Document Control

' CNAPTER 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 3000 01 COVERAGE This chapter and its appendix handbook establish responsibilities , basic requirements. 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 areements or memorandums of understanding. These reports are hereafter referred to as contractor re-ports. This chapter does not cover NRC staff-generated documents. NRC docket material, or the documents generated by NRC ' boards, panels .

[

- advisory committees and Offices that report to the Commission.

4 J203-02 OBJECTIVES 0 21 to assure production and dissemination of technical reports as required by the Energy Reorganization Act of 1974 and the Freedem of Infor-mation Act 022 to assure that dissemination of technical reports is consistent with

', requirements for public availabthty 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 NURIC/CR or NUREC/CP as the prime identificauen.

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

3202-03 RESPONS!BILITIES AND AUTHOR! TIES r

031 The Director, Office of Administration:

a. develops and maintains, in consultation with Directors of Offihes l ,.

and Divisions and Regional Adm'.ntstrators. NRC standards, proce-( (L. dures and guides for the producuon 'and dissemination of technical contractor reports.

Approved: August 29, 1984 r

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__-_-__.c

,.... . - _ . . . . . . . . m. . .. v . . ______

. fz . , a , . , , ;m n ;. _- . - - , , . , , . .

g _.. , .

. PUBLICATION OF TECHNICAL REPORTS PREPARED BY

- NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-032 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS

b. periodically surveys report activities throughout NRC to ascertam that the provisions of this chapter are adequate and are bemg implemented, makes any changes needed.

032 The Direeter. Division of Technical Information and Document Centrel: .

a. develops and administers a central report control system for identi-fymg. prmting and distributing contractor reports and respondmg to requests for unclassified reports,

b. develops and maintains guides and standards for the documentation.

formatting, printing, dissemination, and public sale of unclassified .

contractor reports. .

c. assures that a system exists for re'. .aw of unclassified contractor reports for adherence to patent, copynght and disclosure pohcies

- pner to dissemmatton.

d. estabbshes and administers interagency agreements necessary for the dissemmation and public sale of unclassified contractor reports anc controls duphcation and prmting of contractor reports to assure adherence to the Government Printing and Bindmg Regulations issued by the Jomt Committee on Pnntmg (JCP), Congress of the United States.

e. m response to requeats of Directors of Offices and Reponal Admmistrators, estabhshes distnbution data banks, mamtains official standard distnbutton lists for automatic distnbutton ~5T' unclassified centracter reports. and controls distnbutton to assure adherence tc the Government Prmtmg and Bmding Regulations. the Pnvacy Act.

and the Freedom of Information Act.

,. 033 Directors of Offices and Rerienal Administraters:

a. establish the contract or Standsrd Order for Work

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

(1) specify what reports wiu be reviewed for policy, r.anagement.

and legal issues by NRC st4f in draft pnor to.prmtmg and distnbution . If the report is to be reviewed by NRC staff.

ove the conditions under which the contractor may pubbsh documents in the event of unresolvable differences relative to the draft, including the type of disclaimer to be used m adds-tion to the standard government disclaimer (see Exhibit 6 )

"In the case of DOE werk, this is NRC Form 173 Standard Order for DOE '

Work .. See Chapter NRC-1102.

Approved: August 29, 1984

. . . . s . . . . . . . . . . ., -.

.,, _ ,,,, _,,,,,-..,;, 7..3_., ,

.,s Pl*BLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED VNDER OR PURSUANT TO INTER AGENCY AGREEMENTS MRC.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 Porm 426A pnor 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 NUREC/CP numbers as the prime identification , as. illustrated in the append 2x.

(41 specify whether formal reports shall be printed by NRC or 'ne contractor if the contractor has a JCP authorized federal pnnt-ing plant (see Appendix. Parts !! and IV).

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

,' - (6e establish the number of copies the contractor may retain or

[ request for internal and external distribution and charge I against NRC. Written justification must be provided, and approval obtained of the NRC JCP representative (the Director, J' Division of Technical Information and Document Control) when the number exceeds the 50 copies authorized by JCP for unclassified reports.

s G; assure the protection of classified and sensitive unclassified information . if any, in . contractor reports (see Appendix .

Part V).

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

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

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

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

provides legal 034 The Office er the Etecutive f en1 Direte review and acvice to NRC staff on questions regarcing snventions, patents, prepnetary information, use of copyrighted matenal, national security, and

{, other sensitive unclassified and classified information.

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

Approved: August 29, 1944 .

• • s **' ** * - * * * " " * ' **'

' . '*...*t.T. '

. . * . - ' . *a k=*' J

.Mai ~* -

o.., .. - .: , , . . . .. .

I Pl*BLICATION OF TECHNICAL REPORTS PREPARED' BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED

> NRC 3202 03C 1*NDER OR PURSt' ANT TO INTER AGENCY AGREEMENTS 036 The Director. Division of Security:

a administers the overall information security gegram which includes management of the security classification program and other programs ,

for the protection of sensitive unclassified information.

b advises staff of NRC Offkes and Regions on the preparation and handhar of reports containing classified, proprietary and other sen-sitive unclassified information.

037 The Director. Division of Contracts:

a. coordmates the flow of all reports to and from contractors Other than DOE contractors) where such reports may result in alterations in the terms and conditions of applicable contracts as they pertam to report production and distribution.

b advises the contractor as to the source and method for obtainmg reperts required frc:r. the government for performance of the .

contract-l c. provides contractor with copies of NRC Chapters 0260, 3202, 3203.

L 3207, and 3210, when appropnate.

i d determmes when requests for proposals and invitations for bids, as I well as subsequent contracts, should include statements requinnt contractor compliance with Chapters NRC-3202. 3207, and 3210 and l ,

the Government Prmtmg and Binding Regulations.

l

t. ensures that appropnate clauses are included m contracts regardmr the pnvate use and protection of classified, proprietary and other

[

l sensttsve unclassified mformation.

L 3 202 04 DEFINITIONS =

041 camera ready eepy - pages ready for printing by the offset prmtmg process. This as a conoquial term used even though the printmg process may not involve the so-called copy camera (see also renroducible masters).

042 central repert control system - means for developing and maintammg the policies, procedures and guices needed to identify and produce regulatory and technical reports and to assure adherer.ce to requirements and standards for documentatien. formatting, prmting and dis,tribution.

043 centraeter report - record of work done (a report) prepared m to an accordance with tne provtstens of a contract or under or pursuant mteragency agreement.

r Words underscored in defmitions are also defined in list.

Approved: August 29, 1984 i

.. . . . . . . . .:. .. .... . w .~... :. n ...... - .. ,.,....... .. ;. . .~. ~ .. . . . . . ..

Pt*BLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED l'NDER OR pt'MSUANT TO INTER AGENCY AGREEMENTS NRC 3202-044 044 copyright - a fonn of protection provided by the laws of the United States (Title 17. 17.S. Code) to the authors of "original works of authorship" including literary, dramatic, musical, artistic, and certain other intellectual works. This protection is available to both published and unpublished works.

Copyrighted material may not be reproduced without the permission of the author or publisher. ,

045 disseminate - to announce the publication of reports and make them available for free distribution, sale or copying.

046 distribute - to dispense reports to specific organizations and indi-viduals to assure their participation in the regulatory process and support of research and technological investigations. Such distribution may be accom-plished by the use of standard distribution data banks established and mam-tained by the Division of Technical Information and Document Control based on the requests of the origmating Office or Region.

047 documentation - classification and associated markings required for classified or sensitive unclassified documen ts, the NRC report number unique to the report, title (and subtttle, if any), author or correspendent (if any). organization identification and contract number (or FIN number), date and availability. . .

draft or final material for inclusien in "Safetv Evaluation Reports"

(

018 - wntten material requested for mput to or Environmental statements" (ES )

SERs or E5s to be issued as NUREGs. Such material may be edited or modi,-

fied at the discreuon of the NRC staff.

049 formal technical reports - the final product of research, an origmal is a investigation. or a signtf acant compilation of informat2on. This product

formal technical report for pubucation m the NUREG/CR senes. For extensive long-term projects, formal monthly, quarterly or semiannual and annual peri-odic technical reports may be required. A draft of the final or periodic report

.* may be requested for comment prior to preparation of the camera ready copy.

0410 NRC profeet manarer - 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.

Mil patent review -

examination by legal staff to assure protection rights in invenuona. - .

secrets; privileged or confidential 0412 prepnetarv mformation - trade research, development, commercial or financial information, exempt from manda.

tory disuosure under 10 CTR Part 2 (Sections 2.740 and 2.790) and under 1

10 CFF. Part 9 (Section 9.$); and other infonnation submitted in confidence i

to the NRC by a foreign source and determined to be unciassified by the NRC l - information (reports and references) 0413 publielv available documents f which is availaole m the NRC Pubbe Document Room (PDR) for public 'mspec.

(

tion and copying or available in the public domain. .

Approved: August 29, 1984 t

,.- .., ..m.o e - ., 2. ... . . . ..3. .. , _ . . . .,._ ..

=

PUBLICATION OF TECHNICAL REPORTS PREPARED BY

. NRC CONTRACTORS. INCLUDING REPORTS PREPARED N R C-3002-0414 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 0414 reproducible masters - esmera ready eepy which includes (1) origt-nals of hne drawmss (or prmts that can be copied), (2) glossy prmts of black and white photographs (colored photographs cannot be reproduced).

(3) original typed or prmted text, tables, cover, title page, contents and abstract, or (4) other foms of the materials hated in (1), (2) and (3) that a prmter can reproduce.

. 0415 technical reports - information on the technical aspects of contract work These may be mterun or final technical letter reports, draft or final femal technical eports for pubucation m the NUREG/CR or NUREG/CP sernes, or draf t or feal matenal for inclusion in SERs or ESs.

0416 technie:1 letter reports (also caDed technical ' evaluation reports)

- interim or fmal letters that provide information on the technical aspects of centract work. Intenm technical letter reports may be required at vanous stages of a project. These reports ususuy are foDowed by a final technical

- letter report or a formal technical report. Final technical letter reports are usuauy specified in situauens where the technical work is review and eval-uation of work of others or work to be used by the staff in the Licensmg and regulation process Interim letter reports may include, but are not hmited l

' to, informal (intenm) progress reports, quick look reports, data reports.

' . status summary reports, project descriptions, pre-tested predictions, modt!

venfications , expenment safety analyses, expenment operstmg procedures, facility certification reports, and test result reports, s 0417 unique identificatien - NRC identification used on a report and its attachments , re vision s , and supplements that is not used on any other report.

3202-05 B ASIC REQUIREMENTS 051 Applienbility . The provisions of this chapter and its appendix apply

.. to NRC consultants, grantees, contractors and subcontractors, includmg those workmg under interager.cy 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 reporta 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 publ.ic dissemination.

052 Feres. NRC Fom 426A, "Publication Release for Unclassified NRC Contractor 7and Consultant Reports" (Exhibit 5). NRC Form 335, "Biblio- .

graphic Data Sheet" (Exhibit i), and NRC Form 190, "Cover Sheet for Reports Contammg Propnetary Information" (Exhibit 19), shall be used as provided m I I the appendix 053 Appendix JN2. This appendix contains standards and procedures ' I for the preparation of reportmg requirement portsons of Statements of Work ,

and for the documentation, producuor and dissemination of technical reports r

prepared by contractors and other government .r..cies in accordance w 'h i contract requirements or interagency agreements, g f.

Approved: August 29, 1984 5

m waaramanim u m b

. c. .o ..-........._....... . . ...... ... .. _ ;_ . ... . .... . . . . . . . . . ;. . .. ... 1

. 1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY - D NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC 3202 051 d UNDER

~

OR PURSUANT TO INTER AGENCY AGREEMENTS .

j 054 Preparation Recuirements

a. Reports to be Printed by NRC. All contractor reports to be printed l by NRC shau be prepared according to Appendix 3202. The repro-ducible masters for the requisite distribution shall be transmitted to .

the Division of Technical Information and Docum'ent. Centrol accom-panied by completed NRC Form 426A and NRC Form 335.

b. Reports Printed by Authorized Federal Printing Plants. All contrac-ter reports to be prmted 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- u cient copies for standard and incidental distribution shall be s_ p-

- plied to the Division of Technical Information and Document Contrel.

accompanied by completed NRC Form 426A. algned by the authorized contractor official. Each such report shat! include, as the last pa,.e.

a completed NRC Form 335.

055 Referenees. The NRC chapters referenced and NUREG-0794 (ref. j) and NUREG-oo50 t ref. is are available from the Division of Technical Informa-tion and Document Control. The other publications are available from the Covernment Prmtmg Office.

5. a. Chhpter NRC 0260. "Printing. Copying. Graphics and Photography.

f -

~

b. Chapter and Appendix NRC-2101. "NRC Security Program."

c. Chapter NRC 3203. "Distnbution of Unclassified NRC Staff- a Contractor-Generated Documents.

- d. Chepter NRC-Il02. "Procedures for Placement of Work with the Department of Energy."

e. Chapter NRC 3006. "NRC Contractor Speeches. Papers and Journal Articles on Regulatory and Technical Subjects."

i s l

f. Chapter NRC 3207 "Conferences and Conference Proceedings . "

l

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

h. Government Printing and Binding Regulations of the Joint Committee

' on Prmting. Congress of the United States. No. 24. April 1977 (JCP Regulations). Government Prmting Office.

- 1 Title 5. U.S. Code. "Government Organization and Employees.'" .

Government Printmg Office.

(

Approved: August 29, 1984 4

)

. - . . . . . - w_.____-__ . _ _ - . _ _ . . .- . . _ _ _ - - .- . ___-_ . .

. ;. . . . . . . . . . .... .  : r. . . :~..u.. .-..~;.... . . . + . . :. . r . . u . . . . ..

l PUBLICATION OF TECHN1 CAL REPORTS PREPARED BY ~

NRC CONTRACTORS. INCLUDING REPORTS PREPARED l

NRC 32*2-055 UNDER OR PUR$t' ANT TO INTER AGENCY AGREEMENTS l .

I j ' Technical Writtng Style Guldt." A. W. Savolainen et al. compilers.

V$ NRC Report NUREG 0650. November 1979, and Supplemem !

Tebruary 1982

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

USNRC Report SUREG 07H. October 1981.

1. Chapter NRC 0255. "Mail Management." and Appendix 0255. Part V.

Annex A.

(

\.

1 l

. l i.

l Approved: August 29, 1944

1-

......a.. w . s . .. . .. . . - ...u. ..-. .u. , . ..--s . .

7 w' .

l PUBLICATION OF TECHNICAL REPORTS PREPARED BY  :

SRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS NRC Aeoendix 3202 c

(- .  ?

I CONTENTS PAGE

/ ART 1 PREPARATION 0F REPORTING REQUIREMENTS PORTIONS OF STATEMENTS 0F WORK FOR CONTRACT 5. GRANTS AND STANDARD ORDERS FOR 00E WORK 1

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

2

8. REQUIREMENT 5 FOR FORMAL REP 0RTS....'...........................

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

~

0, Pul'.15HING UNCLA551FIED. NON-SENSITIVE INFORMATION 3 IN OPEN LITER ATURE AND PRESENTING PAPER 5. . . . . . . . . . . . . . . . . . . . . .

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

F. REPORT 5 CONTAINING SENSITIVE UNCLASSIFIED AND 4 CLASSIFIED INFORMAT10N........................................

G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES 4 AND WORK 5 HOPS.................................................

(

5 800K5.....................

H. WRITING ANG Pull 15NING UNCLAS$1FIED

. 5 5........................

I. 015TRIBUT10N OF REPORTS TO CONTRACTOR .

J. COORDINATION OF PRE 55 OR OTHER MEDIA RELEASE 5 5

" 0F UNliA$31F][D INFORMAT10N...................................

7 PART !! UNCLAS$1FIED FORMAL CONTRACTOR REPORTS T0 SE PRINTED BY NR 7

Ac 00CUMENTAT10N.................................................

7

1. Acolicability............................................ 7

2. Front Cover and Title Page............................... 9 l

3. Availability Inforeetion................................. 9

4. Disc 1stwer...............................................

Previous Reports in 5eries...............................

9

5. 9

6. Abstract.................................................

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

9

7. 10

6. Bibliograpnic Data 5heet.................................

10 PATENT AND SECURITY REVIEW 5...................................

8.

10

1. Patent Review............................................ 10 2 Security Revie=..........................................

i Approved. August C9.1984 e

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e.s u t ... .:.2 :. . s . . . :n n. . . : 4 m. J . . . . c , . . . e': e. . ..

~

Pl*BLICATION OF TECHNICAL REPORTS PREPARED BY '

NRC CONTRACTOR 5. INCLUDING REPORTS PREPARED NRC Accendix 3202 t*NDER OR PUR$UANT TO INTERAGENCY AGREEMENTS }

CONTENTS (Continued)

'MI.

C. PROCEDURES FOR PRINTING AND 015TRIBUTING...................... 11

1. Printing................................................. 11

2. Reprinting............................................... Il

3. Distrieution of Reports.................................. 11 EXHIIITS i 1. Sample Cover for Unclassified Formal Contractor-Prepared Reports. '

l .

Excluding Those Printee by DOE Lateratories with JCP Authorizee . 4 Feceral Printing P1 ants........................................... 13 j

2. Sample Title Dage for Unclassified Formal Contractor-Prepared Report.s. Eac1ucing Those Printed by 00E Laceratories with JCP Authoritto Federal Printing P1 ants................................ 14 j

3. Sancie Cover for Unclassified Formal Reoorts Printed by DOE L40eratories wit.h JCP Authorized Federal Printing Plants. ... . . . . . . 15

4. - Saecie Title Page for Unclassified Formal Reports Printed by DOE Lateratories with JCP Authoritee Feeeral Printing P1 ants............................................................ 16

5. NRC FC m 426A. Publication & Release...........*.................... IT

6. Disclaime" ama Availability 5tatePents............................ 11 .

7. hAC Fore 335, tinliograonic Data Sheet............................ 19 21 t, ART 111 UNC LA551F1tD TECMNICAL LETTER REPORT 5. . . . . . . . . . . . . . . . . . . . . . . .

A. F0RMAT....................................................... 21 21

1. Aeolicast11ty...........................................

• Il I. Re9uir9Aents............................................

8. P AT I NT AND SE CURITY REV1 tW5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 Patent Review.......................................... 21 1.

Securit.y Revie.................. ...................... 22 2.

PART IV UNCLA551FIED FORMAL REPORT 5 TO St PRINTED FOR THE OFFICE 0F NUCLEAR REGULATORY RESEARCH SY 00E LA40RATOR!t5 WITH 23 JCP AUTHORIZED F t0ERAL PRINilhG PLANT S. . . . . . . . . . . . . . . . . . . . . .

23 A. 0 0 C LH E N T A T I C N . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

23

1. Apolicability..........................................

23

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

Approved : August 29. 1984 11 .

. 2-

. - - - ; y ,,,, m m .- m . ,-,,; ,

m-- - ---- , - - , , - ,x- - , ,m --_ _

PUBL! CATION OF TECHNICAL REPORTS PREPARED BY i NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS NRC Accendix 3:02 -

CONTENTS (Continued _1 7' PAGE

3. Availability and Price Information..................... 25 4 25 Disc 1aime*............................................. -

Previous heports in 5eries............................. 25

5. '

25

6. Aestract...............................................

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

Bibliog"aphic Data Sheet............................... 26 8.

26

8. PATENT AND SECURITY REVIEk5.................................

r 26

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

2. Security Revtew........................................ , 25 27 C. PROCEDURE S FOR PRINT ING AND O!5T RIBUTING. . . . . . . . . . . . . . . . . . . .

27

1. Printing ..............................................

27

2. Reprinting.............................................

Di stri cut.i on o f Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 3.

4 PART v REPORTS CONTAINING SENSITIVE UNCLAS$1FIED AND 29 CLA551FIED INFORMATION......................................

29 A. APPLICA811.!TY...............................................

29 B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION......

30 C. PROPRIETARY INFORMATION.....................................

31 C 5AFEGUARDS INFORMATION......................................

31 E. CLAS$1FIED INFORMAT!0N......................................

i

• • EXHIBIT.5 j

8. Samole Cover for a Contractor Report Containing Official Use 33 only Inforsation.................................................. 1

9. Samole Title Page for a Contractor Report Containing official 34 Use only Information.............................................. 1

[

10. Samole Back Cover for a Contractor Report Containing Officia) 35  ;

Use Only Information........:..................................... 1

11. Sample Cover for a Contractor Report Centaining Limited 36  :

Off(cial use Infornation..........................................  !

12. SanDie Title Page for a Contractor Report Containing Limited 37 O f f i c i a l U s e I n f c re a t i o n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

l

' l tii Au(Nst 29.1984 )

I  ;

1 <

.a.v. . .:

. .. . . .n . .t . <. . . . . . . . . ~ -

PUBl.lCATION OF TECHNICA1. REPORTS PREPARED BY NBC CONTRACTORS. INC1.VDING REPORTS PREPARED NRC Appenda 3202 UNDER OR Pl*RSt' ANT TO INTER AGENCY AGREEMENTS ,

CONTENT 5 (Continued)

Fact

13. Samole Back Cover for a Contractor Report Containing Limited 34 O f f i c i a l u s e I n f o rm a t i o n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

14 Sample Cover for a Contractor Report Containing Proprietary Information Cetainee from a U.S. Organization................*.....

39

15. Sample Cover page for a contractor Report Containing 40 Proprietary Inf orestion 00tained f rom a Foreign 50urce. . . . . . . . . . ..

16 Samole Title Page f or a Contractor Report Containing ProDrittery Inf ormation Cetained f rom a U.S. Organization. . . . . . . .. '41

17. Sample Title page for a contractor Report Containing 42 Proprietary Information Cetainec from a Foreign Source............

18. Saecle Each Cove

• for a Contractor Report Containing 43 Proteietary Infctmation...........................................

44

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

20. Samole Cover for a Contractor Report Containing 45 unciaitifiee Safeguarei information...............................

~21. Sam:le Title Page fcr a Contractor Report Containing 46 Unclassifiec Safegua en Inferr.ation ..............................

22. $arole Back Covee for a Co-tractor Recort Containing 47 Unclassifiec Safeguarcs Information...............................

43. Cover Sheet for a Contractor Report Containing Unclassified 48 Safeguares Information............................................

PART VI. NANDLING 0F UNCLA551FIED INFORMATION QM NRC C00PERAtivt PROGR AM5 WITH FOREIGN GOVERNMENT $ AND ORGANIZATIONS 49 AND WITH I N0 0 5 T R Y . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

49 A. PREPARATION OF ORAFT PRELIMINARY REPORT 5 FOR COMMENT......... i 50 l

5. 015t R!luT10N SY NRC P ROJECT MAMAGER5. . . . . . . .'. . . . . . . . . . . . . . . . .

REPORT............... 50 l C. COMMENT PERICO AND 155UANCE OF NUREG/CR 50 D. REPCRT 10ENTIFIER5...........................................

51 E. MAILING TO PROGRAM PARTICIPANTS........................... .

5: i

r. SECuRiTv. . . .. .... ............................. ... . ..

i ,

iv Approved: August C9.1984

. -

. . . . .i . . . . . -

- - .c,,....~..w..... . . . . . . - . .......v....;a,........ ... . ..

+.* .

t .

Pl*B:.! CATION OF TECHNICAL REPORTS PREPARED BY  :

NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Accendix 3202 .

l'NDER OR Pl*R$t' ANT TO INTER AGESCY AGREEMENTS

?

s CCNT[NTS (Continued)

ExHIB:75 52 24 Sample Cover for a Draf t Preliminary Report (Code) for Comment... ,

25.

Transmitta) Letter f rom Contractor to NRC Project Manager for 53 Draft Preliminary Report (Cooe)...................................

26.

Transmittal Sheet for Requesting Mailing to Cooperative Program $k Participants......................................................

z. .

f Approved: August ' .384 v

s . .c.:. . ...., ...n.. r .. . o a . _ . u. _ ,

e .

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED t*NDER OR Pt'RSU ANT TO INTER AGENCY AGREEMENTS NRC Appendix 3002 Y . '

3 PARTI PREPAR ATION OF REPORTING REQUIREMENT PORTIONS OF STATDlINTS OF WORN FOR CONTRACTS. GRANTS AND STANDARD ORDERS FOR DOE WORN A. LIST OF TECHNICAL REPORT REQUIRDlINTS List the technical reports required from each project. task or subtask, as appl.icable . 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 categenes are presented in Parts !! through V. The following definitions describe the types of reports that may be specified:

technie:1 reports - information on the technical aspects of contract work. These may be interun or final technical letter reports, draf t

- or final formal technical reports for pubbcation in the NUREG/CR er NUREG/CP sene s , or draf t or final material for inclusion in SENs or ESS (see definitions below).

technical letter regerts (also called technical evaluation reports) -

interun or final metters that provide information on the technical

( .

aspects of the contract work. Intena technical letter reports may be required at vanous stages of a project. These intenm 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 hcensing and regulation process. Intena letter reports may include, but are not limited to , informal (interim) progress reports , quick lock reports, data repor'.s. status summary reports, project desenptions.

pre test predictions, model verifications, expensent safety anal-expenment operating procedures, facility certification yses, reports, and test result reports. These reports must be identified with the financial number (TIN) 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

' invesugation, or a significant compilation cf infonnation. This pro-duet is a formal technical report for publicat$on in the NUREG/CR or NUREG/CP senes. 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 penodic report may be requested for comment prior to preparation of the camera-ready copy.

1 Approved: August 29,19f4 e

. .. s. . . . . . . . . . w. , . <

x.e a :~ -

PUBLICATIO? W- .ON CAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTR/ L% NLUDING REPORTS PREPARED ,

Part 1 UNDER OR Qi,'<" .O INTER ACENCY AGREEMENT 5 draft er final material for tsublication er inclusien in SERs . Ess.

let t e n er heense amendments - wntten materias requested for une m tne NRC 12censmg process. Such matenal may be (1) abstracted in a NUREG report or attached to a NUREG report. (2) attached te a letter or an amendment .to the license, or (3) abstracted and used as necessary by the NRC staff. NRC requires patent review and l

full management review of this material by the perforumg organiza-I tie n . This material is to be submitted to NRC as a technical letter l

report addressed to the project manager and identified by the PlS l

number.

l l For purposes of this Part, contractor means a private contractor, con-I sultant. grantee. another State or Federal Agency werktTT under an

) mteragency a greement . or a DOE / facility or National Laboratory (con-l tractcr) and subeentractors.

B. REQUIRDfENTS FOR FORMAL REPORTS '

If the contractor is to prepare a final formal technical report for pubit-cation. state that it will be prmted and distnbuted by NRC from camera-

. ready copy submitted by the contractor, unless the work is bemg done j for the Office of Nuclear Regulatory Research by a DOE fac Inty or '

Laboratory with a JCP authorized printing plant. The camera ready copy is to be prepared m accordance with the provisions of this appen-dix. Parts !! and V (for contractors other than DOE contracter* L or Parts lY and V of this appendtx and Chapter !!02 (for DOE contrae.

tors) A style guide is also available free, upon request (NUREG-CEO . If the report is to be printed by NRC and it is unclasstfied, the camera-readv copy is to be submitted by the centractor to the Directc .

Divisten ef Technical *r. formation andFor Document handling Control. NRC. Washmrten.

of sensitive unclassified DC 22555. by first class mat!.

and classtfied reports see Part V of this appendix and NRC Appendix 2101 Unclassified reports prmted for the Office of Nuclear Regulatory Research I

• - should be handled in accordance with Parts IV and V of this appendax l and/or Chapter !!02.

C. REQUIRDIENTS FOR DRATT 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 cooperstave programs with foreign gov-ernments and organizations and with U.S. Industry, state that require-ment and the time frame for delivering the final camers ready copy after receiving NRC and/or participant comments on the draft. State that all draft matenal should be submitted to the cognizant project manager When the contractor is to submit draft material for comment pnor to the preparation of the final report, state that if there are NRC program and/or p.srticipant comments the con'ractor will be asked to make changes If agreement on the changes is rutched. the NRC manage. will authortat 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 Inft reation and Dxument Control, if it as Approved: August 29. 1984 2 i

. .- .. .:..-  :. .- . .. . e . . u ~. . . . . ~ . . .. . . . . . . . . . .. ..

Pt'BLICATION OF TECHNICAL REPORTS PREPARED BY -

NRC CONTRACTORS. TNCLUDING REPORTS PREPARED NRC Appendix 3202 t*NDER OR Pl*RSt' ANT TO INTER AGENCY AGREEMENTS Part 1 1

camera ready copy for printing and distribution. This is to be done to assure proper publication, handling, and distribution and, among other thmgn, to preclude further changes that, might nullify the agreement. If caveats were agreed to rad the project manager wishes to check the final document for their presence. he/she should inform T!DC of that desire. .

In that case, upon receipt of the camera ready copy by TIDC, the project manager will be infonned 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 nE 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 6), any cavesta deemed necessary to cover FRC objections. Such caveats may, range from the "The views expressed l in this report are not necessarily those of the U.S. Nuclear Regulatory ,

Commission" to the addition of a preface setting forth the NRC opinion or footnotes at appropriate locauens 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 /Nauenal Laboratcry l reports, the DOE Operations Office Manager responsible for that labors- '

tory should be informed by the NRC Office Director or Regional Adminis-

.' trator of the decision and the reasons therefor, with a copy to the

(, -

Laboratory Director in the case of another Federal agency a State, or a private contractor, the person who executed the contract should simi-g l larly be informed by the NRC Contracting Officer. The contractor is then free to pubush without NRC identification of the report. Project manager or higher level decisions may be appealed to the NRC Executive Director for Operations.

• i D. PUBLISHING UNCLASSIFIED INFORMATION IN CPEN LITERATURE AND PRESENTING PAPERS

• • If .the contractor's prmespal investigator is to be suowed to publish m i the open literature instead of submitting a final report r.nd/or present papers at public or association meetmgs during the course of the work, add the fouowmg statement to the Statement of Work:

i The principal investigator (s) may publish the results of this work '

in the open Uterature instead of submitting a final report and/or present papers at public or associaden moeungs at interua stages of the work. L If the project manager wants to review the paper or journal article prior to presentauon or submission for publication, state this in the Statement  :

of Work, as follows:

The principal investigator (s) may publir.h the results of this work m the open literature instead of submittmg a final report and/or pre-sent papers at public or association meetmts at interun stages of the

(. work, if the article or paper has been reviewed by the NRC project

. l l

2 Approved: August 29. 1984 l

• ~ - - - - - - - - - - . _ _ . _ _ _ _ _ _ _ _ _ _ __

,[ . .. .. > . . i ..,,...u.c.. m . . . _ . . . .:, , .. ..,. . . . _ , :. . . , . . , . c , ,. .. .

..a e

g

~

o. PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING. REPORTS PREPARED Part I l'NDER OR PURSl' ANT TO INTER AGENCY AGREEMENTS manager m draft form and agreement has been reached on the con-tent The appheable procedures set forth in Chapters NRC 3206 er NP.C IIL must be fouowed.

i if agreement is not reached. NRC may also ask that the paper include m addition to the standard statement "Work supported by the l'.S.

' Nuclear Regulatory Commission." any caveats deemed necessary to cover NRC objections. If NRC objections cannot be covered m this manner. NRC can refuse to authertae pubucatfor. in the*open htern-ture and/or presentation of papers.

. In the latter case. NRC will inform the contractor of the dec!sion. as stated above for fctmal reports (see Section C. paragraphs 3 and 4).

The contractor is then free to pubush without NRC identification of' the information . This will not affect payment of the contract work costs Project manager or higher level decisions may be appealed to the NRC Executive Director for Operations.

If the contractor proposes to pubush in the open Uterature or prasent the mformation at meetmts in addition to submittmg the required tech-nical reports, approval cf the proposed article or presentation should be obtamed from the NRC project manager. The NRC project manager shau either approve the material as submitted, approve it subject to NRC-suggested revisions, or disapprove it. In any event, a project manager may disappro,'e or delay presentation or pubucation of papers on mfor-mation that is subject to Commissioner approval that has not been ruled upon or which has been disapproved.

tSee Chapter 3:06 for provisions relatmg to payment of page charges and travel costs for presentation of papers )

E. TYPOCRAPHY s

• . The text of reports must be smgle spaced on 8% x ll in. paper, unless otherwise specifically authorized. Occasionally reports with many sym-bois and mathematical expressions may require one and one-half spacmg

• to provide for superscripts and subsenpts. This spacing should be suomed where needed but should be considered an exceptaon, not the standard .

T. REPORTS CONTAINING SENSITIVE UNCLA351FIED AND CLASS! TIED INFORMATION Details of the markmg of reports designated ,0fficial Use Only. Limited and Official Use. Propnetary Information . Safeguards Information ,

classtfied (Confidential. Secret, and Top Secret) are provided m Part \

of this appendix and m NRC Appendix 2101 AND C. PUBLISH!NC UNCLASSIFIED PROCEEDINGS OF CONFERENCES i WORKSHOPS NRC pubbshes or assists in the pubbcation of compilations of papers presented at , mettmgs , conferences, and symposiums m which NRC

- l Approved: Au gust 29. 1984 4

7 ; ..  : ; .. _ . . .... _. n.. .__;.,,.y.,,,.,

Pt*BLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix M02 NRC CONTRACTOR 3. INCLt' DING REPORTS PREPARED Part I UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS participates as a sponsor or cosponsor. Chapter NRC 7207. "Conferences

( and Conference Proceedings." provides general information and guidance More detailed guidance is available from TIDC upon request.

for this H WRITING AND PUBLISHING UNCLASSITIED BOOKS NRC may, under certain For circumstances, publish books prepared bv grantees or contractors. general information and guidance on book pubbshing, see Chapter NRC 3210. "Book Writing and Publishmr."

1. DISTRIBt* TION 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 4:6A. Smgle 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 pro}ect basis or on a report by report basis. The request, with wntten justift-cation, should be addressed to the NRC project manager. with a copy to NRC/T!DC. If the additional distribution is approv ed by the NRC

.>- . project manager, the contractor shall send these copies (if printing is done by the contractor) and address labels. even if pnnting is done by NRC. to NRC/TIDC, where the distribution will be made along with the standard distnbution. Distnbution of sensitive unclassified and classi-

~

I fled reports wiu be made by the project manager on a case by case basis.

. J. COORDINATION OF PRESS OR OTHER MEDIA RELEASES OF UNCLASS!-

FIED INFORMATION A contractor may request permission to issue a press or other media relense on the work bemt done. Such request shall be made to the project manager. who will consult with his/her management and with the

• Office of Pubbe Affairs. The contractor may not issue a press release on nonroutme information without this pnor coordination. This coordmation may be accomplished by telephone, with the NRCinproject manager release respon-information or sible for expeditious handbag. Deciatons not delays in handhng by the project sanager may be appealed to the NRC Executive Diretter for Ooerstions. l l

~

(

5 Approved: August 29. 1984

y. :. . . . . . , . .. :. - . . . . . .. a. n . . a . . , . . . .

, . . - . . . ........s..,..F...u ... . . . . . . ~ ,

Pl*BLICATI^N OF TECHNICAL REPORTS PREPARED BY  ;,

NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3:02 .'

t*NDER OR PUR$t' ANT TO INTER AGENCY AGREEMENTS f

• PART!!

UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC A. ~ Oct'MENTAT!ON .

1 Applicability

a. The requirements of this part apply to et,ntractor and inter-agency agreement reports that are ta be pnnted by NRC.

Contractors may not prirt reports prepared for NMC except those DOE laboratories with JCP authorized printing plant, ed

- then only those reports prepared for NRC's Office of'Nuo ar Regulatory Research. -

b. With respect to sensitive unclassified and classuis$ reports.

the requirements set forth in Part V of this appendix shat! be

• used in conjunction with NRC Appendix 2101. .

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

2. Front Cover and Title Pare

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

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 tith page and cover, as appropriate."

r (1) NRC Report Number Each report shall be identified by an NRC controlled alpha-numene designation as the prime designation unique to that report. The centralised report control system for unique identification ta maintained by the Division Numbers of Technical lufonmation and Document Control.

may be obtained by calling the Division of Technical Infor-  ;

nation and Document Control or by submitting a copy of '

NRC Form 4 6A (Exhibit 5) with a request for a number.

s mitted; however. the data elements shown in Exhibit 1 must These requirements meet the specifications of American National Standard

{

i ANSI Z39.18 1974. Guidelines for Format and Production of Scientific Technical Reports and ANSI Z39.231974. Technical Report Numbers.

i 7 Approved: August 29, 1984 e

. e.w . .x_~a. .s . ,, s ...

3 ,v = .~. w . u .d. i . u .. . a .. e ., ,. u t ; v. . . .

a .w , . . . . . . . . . . . . . .

PUBLICATION OF TECHNICAL REPORTS PREPARED BY

'NRC Appends.4 3:02 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 4 The NRC identification number will have the form:

NUREG/CR-XX1Y. or NUREG.'CP-X.X.XX where CP tridicates conference proceeding. T1.e contrac-tor's report number if any, may be inserted below the NUREG number on the title page and cover, as shown in Exhibits 1 Girough 4. if desired by tiie contractor.

When a report consists of more than one volume or bind-irig or is issued in more than one edition. an appropriate volume. aupplement, part or revision designation shall appear immediately below the report number (2) Titto and Subtitle

~

(a) Use a brief title that indicates clearly the subject .

matter covered in the report.

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

repeat the prunary title on each volume.

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

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

(3) Personal Author ( s )* Name(s)

Authors' names should be given on the utte page and 4

cover unless this is impractictl. as in the case of annual reports which have many contributors. If authert/ contri-

- t utions are as editors. compilers, ete so indicate on the title page following the names. In addition list affiliation

- of each author only if affiliated with an organization other

. than the organization generating the document.

! (4) Orranization Identiffeation f

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

(5) Basis for Report Date(s) ..

(a) The basis ft.r dating may be shown along with the date on the title page. Vanous 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.

Approved- August 29, 1984 8 J .

4 .

m . .- c a. .~ . . . . .. . . . . . :. . .- .w . . s. .w..~ . m _. . . . . . . . . _..m. ._...m..,:._. ..m... . s PUBLICATION OF. TECHNICAL REPORTS PREPARED BY .

NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 '

' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 11 -

{ 3. Availt.bihtv information' Au formal reports wiu be made available for sale by NRC and by the National Technical Inf rmation Service (NTIS). Exhibit 6 wiu be inserted on the inside of the front cover by the Division of Technical Information and Document Control.

1 Disclaimer The following notice wiu be added during the printing step on the l

inside front cover -(Exhibit 6): "This report was prepared as an account (f work sponsored by an agency of the United States t 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 infomation.

f-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 additjonal statement , "The views expressed in this report are not necessarily those of the U.S.

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

. I 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 :,nd issu-ance dates. Place this list on the back of the title page.

~

I ,

6 Abstract f An abstract of 200 words or less shau be prepared for each formal report . Within the report, the abstract shall appear on a separate page between the list of previous documents in the series and the

[;

contents page.*

7. References and Ribliorrachics Reports or other documenta referenced in text, reference sections, bibliographies, and appendixes of unclassified regulatory and technt:al. reperts in the NUREG series must be available to the public either in the public demain (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 'eterences should not be .made to personal communications and inte views, unpublished

(

• This preferred pos!tioning of the sostract in the s 7.4rt need not be followed ,

j if the style manual of the origmatmg organization requires a different  ;

g location . I 9

Approved: August 29, 1984 b

- ,-- .-- - _ , . - -,___.._--,.--_,,__--n.._ ~_n_._-,,__.,,,--_,- ---.-

' ;. .S a ? '.; *, u.' d.% Ux ' '.U.. %:; c.1 J.w.; . . .:.. : a ;u .. ,, ,., a , .;., g c ,q.. ,. .g3 PUBLICATION OF TECHNICAL REPORTS PREPARED BY I

.NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARID Part 11 .x UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS ,

information and infonnation with restricted distribution (e.g .

proprietary, national security .' official use only, etc.). If the unretrievable infctmation 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 ar. acknow-ledgement section. Availability may be stated coUectively for all entries (see Exhibt'. 6).

Guidelines for developing and presorting reference material are provided in NUREG-0650 "Tichnical Writing Style G uide ."

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

8. Bibliorrachte Data Sheet ,

NRC Term 335 (Exhibit 7) shan 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 offect -

the patent rights of NRC or the contractor. If the work being .eported is contractuauy managed through another government agency (s g .

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

If NRC directly admmisters the contract or the contractor is unable to obtam a patent clearance from the government agency admmister-ing the contract, the responsible NRC contracting officer shau be consulted, and the responsible NRC project manager shan consider

.. the patent implicatens . If there is no need for patent revtew because of the certainty that the report contains no description of  ;

novel technical developments which may be of an inventive nature.

NRC Tonn 426A may be completed with the statement "Not App 1'-

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 inventive nature, the contracting officer shan request assistance from the NRC Patent Counsel. Office of the Executive Legal Dtrector.

2. Security Review ,

In most cases, contractor reports wiu be unclassified. Should a report of sensitive unclassified or classified work be required .

however, the NRC project manager must work with the NRC Division of Security to establish the appropriate procedures and inform the contractor of such procedures through the contractmg officer. The standards for markmg and handling such reports are given in Part V of this appendix and NRC Appendix 2101.

Approved: August 29, 1944 50

..e ,__.c  :... ... . . ._ . ; . . r .. . ; . . . a . .._ . . . .. . . . _ . m ; . ....c... .. ... . -a.

PUBLICATION OF TECHNICAL REPORTS P3EPARED BY NRC Appendix 3202  !

NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part'll -

UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS C. PROCEDURES FOR PRINTING AND DISTRIBUTING .

1. ,P.,r, in tin g Reproducible masters prepared in accordance with this appendix shau be transmitted to the Division of Technical Information and Document Control, accompanied by cour pleted NRC Form 426A (Exhibit 5). NRC Form 426A must be signed by the NRC project manager or a contractor official authorized by the project manager.

Such authorization shall be reported in writing to TIDC.

The Division of Technical Information and Document Control wiu review the masters for adherence to the standards set forth in this chapter and appendix and will arrange for printing and 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 mar.sger of the performing organization .

• , 2. R eprintin t Requests for reprinting any report subsequent to the initial prmt-ing require approval of the Division of Technical Information and Document Control. Each request shnu include a written justification and the project manager's approval for reprinting along with ad-f - dress labels for the recipients.

3. Distribution of Reports ..

. Au copies of unclassified formt1 contractor' reports wiu be distrib-e uted by the Division of TecLiieal Information and Document Contro!

in accordance with instructions on NRC Form 426A (Exhibit Control will also 5). The Dmsion of Technical Information and Document

• • arrange automatic distribution of these reports to the NRC Docu-ment Control System, the NRC Public Document Room, the National Technical Inforir' Jon Service (NTIS), the Government Pratmg Office and the l pository Library Service.

l I

If any distribution is to be made other than, or in addition to. the atandard distribution established for the report, written justification and the project manager s approval for printing additional copies shau acecapany the reproducible masters when submitted to the Control. Address ,

Division of Technical information and Document labels for the additional distribution must be supplied.

l l ' Distribution of sensitive unclassified and classified reports wi]1 be made by the NRC project manager on a case-by casi hasis.

1 11 Approved: August 29, 1984

• - . - -- , , _ . - _ . _ _ _ . .___,___. _ _ _ _ _ _ _ _ . _ _ _ . _ . _ . . _ _ _ _ _ . _ _ _ _ . _ . ~ _ . _ . , _ . _ . _ , _ _ . . , _ _ _ _ , , - , , . _ _ . . , . _ ..

.w. .. . .  : : . .. >. w . ...a..... 1. 2 . - . . ..e. ~ ~. ...4...a.' ... ..... . w. . .. a .'c....:.. u . ... ~i J.

PUBLICATION OF TECHNICAL REPORTS PREPARED BY  :

NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Accendix 3202 .

(*NDER OR Pl*RSl' ANT TO INTER AGENCY AGREEMENTS 'e -

i,

-(;

IXHlBIT T SAMPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR PREPARED DOCUMENTS. EXCLUDING THOSE PREPARED UNDER OR PUR$UANT TO INTERAGENCY AGREEMEN73 NUREG/CR 1676 N2C Report N.. N Centreeter Rem No. (1, any) vUSAC .i 566

. . v .. ,en.... .t o,s.,i se Using Advanced Process Monitoring to Improve Material Control

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'- PUBLICATION OF TECHNICAL AEPORTS PREPARED BY SEC Append:x 3202 NRC CONTR ACTORS. INCLUDING REPORTS PREPARED f Part 11 -

UNDD GR PURSl' ANT TO INTER AGENCY AGREEMENTS EXHIBIT 2 SAMPLE TITLE PAGE FOR UNG'.ASSIFIED FORMAL CONTRACTOR.

PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC REPORT No. esungG Cn:16M Centrast.t H ort No. (if .ay) .

eewSAC906

• I Vol., P.et. Rev.. etc. (if 6ayi

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i Approved: August 29, 1984 14 i

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PUBLICATION OF TECHNICAL REPORTS PREPARED LY ND P anne u iv uno NRC CONTRACTORS. INCLUDING REPORTS PREPAREL

' t*NDER OP._ Pl*RSU ANT TO INTER AGENCY AGREEMENTS

.g..  :.

EXHIBIT 3 SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS I

kne Reno,1 No nypga cp.,gsy coni,6cio, n eoors No 34ygg3,gigj vos. 9ses. Re.. esc i

LOCA-Simulation Thermal-Shock I Test of Sliding-Link Terminal Blocks incemencent venfication Testing Preram

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15 Apprsved: Aurast 29, 1984 9

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Pt'BLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part 11 _

t*NDER OR Pl*RS1* ANT TO INTER AGENCY AGREEMENTS EXHIBIT 4

.- 5 MPLE TITLE PAGE FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS N7.C Resort No.

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Blocks Stettitle .gegepgga, y, wegat4e Test *g Pqrem ineeeeaceat vees *<at.oe Test 1 R99ert Qates ..,..:.,,..., . .,

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PUBl.! CATION OF TECHNICA! REPORTS .*P.EPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NF Annandix 3202 UNDER OR PURS11 ANT TO INTERAGENCY AGREEW.NTS Pa-- !*

EXHIBIT 5 ,

NRC FORM 426A, PUBLICATIONS RELEASE FOR UNCLASSIFIED  :

NRC CONTRACTOR AND CONSULTANT REPORTS

., ,.... ..m...=-- . . . . . . g.: . g musucato.init:As eenv etimi,iee . ...................

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tsAcx 0F covsm) ,

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vem weme ==meinss usme= ,ana == = meseamammeans, L s.,. e met wei sem e e m e === ef eme . sim  !

m me 0=ramen o8 f arause iviw=ussen sie Smassou Campe. Ji 8 muser Asesammy, Ces>

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Approve v1 August 24 1981 13

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Pl*BLICATION OP TECHNICAL REPORTS PREPARED BY NRC Aonsndix 3202 NBC CONTRACTORS. INCLUDING REPORTS PREPARED F a.~. II t'NDER OR PURSU ANT TO INTER AGPNCY ' AGREEMENTS .

EXHIBIT 7 NRC PORM 336. BIBLIOGRAPHIC DATA SHEET

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 320'! .NRC CONTRACTORSe INCLUDING REPORTS PREPARED Part !! UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 7 (Continued)

BACK OF NRC FORM 335 i

l l

l i

00 NOT PRINT THESE INSTRUCTIONS AS A PAQt IN TME NUREG REPORT I

sautovetiees ,

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asse iltaasiCab eleCett asesi 33s ig.igte avaigaggg ee0e8 asete Caso esaf teesa6 staneaeOS ierstitutt te33 secapaae, eigen oces i , teste satu seeseatike 50w*0 eto0*?=80e g saasegg. gasm vegynet in a wwstivo6 west SEva6aakh =avt it8 wesewt tie.iO4easmit Data latti t

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' Cea**e- 60ee a essereease esa admeansa aie .sae. it. a tvet 30 statet. Seee ee t. o. nee. e esen mmes,, samass.

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.non .a mer yee CL Seit eesee? smut 3 tesa . sere one., es , e esse see Wue essa.sease ees =emena wee  ;

ess= steos ear some asessem my sava ao mercie.

ses.aowme mean ene so, emmense men e se somew

?. 04esteessest Deeassetatsens masse aos enastses E Awaabatetfty Stattassset. Domene see e seesese. ..

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accatal 4 amme. massi, ee,. seus one tre seer asummee~. e, assessoa es, sempai esee-es, ename Les as more saea o.e esse s sa e esgua.essenes amper.*, ,

e.m o we e.

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serein

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Approved: August 29. 1984 20 i

1

C..- . . .....t_.. . . . . . m. . : . . . . . .s...._.. .:. .m.

!.o*

l l .

PUBLICATION OF TECHNICAL REPORTS PREPARED BY

- NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

. c a

PART !!!

UNCLASSITIED TECHNICAL LETTER REPORTS A. FORMAT

1. App 1fenbilftv

s. 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 cor..mit-tees which report directly to the Commission.

2. Reoutrements Technical letter reports are prepared, duplicated and distributed in accordance with the recuirements of the Statement of Work in the contract or in the Stand 1rd 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 lg of those copies will be specified by the project manager. If unclas-V

~

sified and non sensitive, the NRC proget manager is responsible for making such reports available in the NRC Public Document Room (PDR) by sendfag them to the PDR through the NRC Decument 4

Control System.

7 B. PATENT AND SECURITY REVIEWS

1. Patent Review Patent implications shall be considered prior to approval of reports for pubile release so that disclosure wiu not adversely affect the patent rights of NRC. If the work being reported is contractuauy 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 clearsace 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 ;,ossibility that there is disclosure of developments of an inventive nature, the NRC contracting officer shnu request assistance from the NRC Patent Counsel Office of the Execuuve

- Legal Director.

21 Approved: August 29, 1964 e

O 8 .

4

- . . .. . . . . .u . : u. . .

._.,;_ . . . . . a.. ,

- i

. *l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part 111 UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS

2. Security Review In most cases, contractor technical letter reports will be unclassi-fle d . Should a report of sensitive unclassified or classified work be required . however, the project manager must work with the Division of Security to establish the appropriate security precedures 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.

6 6

4 ens e 40 e

e 22 Approved: August 29, 1984 A

x. m . . . . n :::

.  :..... . . > ' 1. . ; ^. :. u i. .. . ; '..

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PUBLICATION OF TECHNICAL REPORTS FREPAT.ED .d

, NRC CONTRACTORS, INCLUDING RE; ORTS PREPA'il' UNDER OR PURSUANT T9 INTER AGENT.Y AGREEM*"',.; __ 7. _A1. e-dix 37c2

?ARTIV d.' . TO BE PP' .0ED T ' . THE NRC L .. .*L A S SI F I F.D 't .

OFFICE OF ? Ts . 9V ~ .5..<.3CH vt DO:

t

• AL Tk1FTING %, .T3 LABORATORIES WIP .

3 ' 4- .

A. DOC rn 't -

1. 't 5 0M .-

a 2he 'c .-

i m. :pp1= to NRC staff wt.o are res~ ns..a  : r.' 'dth

. DC, Lancratories and their contrat tor i volatory and technicr1 repor s re-quired by ' s e also Charter NSC-1102).

b. With resne- ' sensitive 1 classified and classified reports

- the r< ,ur set forth in Part V . t. as appendix shall be used i' ~

• wn M NRC Appendix 2101. .

c. The requirements of t is part do not apply to consultants and contractors to the NRC boards, panels and advisory committees which rer i . direedy to the Commisr!cn.

2. Front Cover and Title Pste

.. 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 en the front cover and title page, as appro-p ria te . *= Whue. layouts and typefaces need not be exsetly the same as in Exhibits 3 and 4, the items shall appear in approxi-mately the locations indicated and with the same relative proetnence.

(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 centralised report control system for unique identification is maintained by the Division of Technical laformation and Document Control. Numbers may e

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 National Standard

{. ANS! 139.18-1974, "Guidelines for Format and Production of Scientific and Technical Reports," and ANS! 239.23-1974, ' Technical Report Numbe rs . "

• 23 Approved: August 29, 1984

W . ':,. . *z

. . , :. -  :. . . . .-.: . . . . . . *u..

r . m .: . . .. . g. ,.

4.

PUBL!'ATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS INCLUDING REPORTS PREPARED Part IV UNDER OR PD?SU ANT TO INTERAGENCY AG3EEMENTS be obtained by caUing s.5e Division of Technical Informa-tien and Document Contrst or by submitting a copy of NRC Form 426A (Exhibit 5) with a request for a number.

The NRC identification number wC1 have the fonn:

NUREC/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 consisti of more than one volume or bind-ing or is issued in more than one edition, an appropnate volume , supplement, part , or revision designation shau NRC appear immediately below the report number (s).

report numbers on covers and title pages shau be shown entirely on one line to facilitate computer processing.

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

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

repeat the primary title on each volume.

l (e.g.,

(c) If appropriate, show the type of report i

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

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

(a) Authors' names should be riven 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 , compuers ,

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

- (b) Authors may be identified

• on backstrips (spines) of ,

l bound volumes.

(4) Orranization identiffeatfen (a) On the cover, provide the name of the foUowed 'contracter by responsible for preparing the report, Regulatory "Prepared for the U.S. Nuclear ,

Commis sion." '

l i l

Approved: August 29, 1964 24

. ; . w. :- . ~.

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. . . . . . . . . . . .L .V .  ! . .. : . .. - , . . z. . ,

e* .

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

• (b)' On the title page, provide information Of the type IUustrated in Exhibit 4. .

(5) Basis for Report Dates (s)

(a) The basis for dating may be shown along with the date on the title pagt. 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. AvsDability and Price information AU forleal reports wC1 be made available for sale by NRC and NT!S.

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

4. Disclaimer -

The following notice shau 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 f any of their employees, makes any warranty, expressed or imp! fed, or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any informatice _ apparatus, product or process disclosed, or represents that its The by such third party would not infr:nge privately owned rights." The fouow-

"The views expressed in this report are ing not additional statement.necessaruy those of the U.S. Nuclear Regulatory Commissio wiU 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

!f the report being prepared is one in an ongoing series, Ifst au 6 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 shan be prepared for each formal r report.

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

[ *This preferred positioning of the abstract in the docume location . .

I

' 25 Approved: August 29, 1944 ,

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. l

.i PL'Bl.lCATION OF. TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part IV UNDER OR pVRst' ANT TO INTER AGENCY AGREEMENTS I 1

References and B:tUerraphies Reports or other documents referenced in text, reference sections.

bibhographies. and appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the pubile domain (as in a pubbe library, at the Government Printing Office, at the National Technical Information Service. or at other reference or sales outlets) or in the NBC Pubhc Document Room . This means that references should not be made to personal communir.ations and interviews , unpubbshed (e.g.,

information and information with restricted distribution proprietary , national security , official use only, etc.). If,the ,

unretrievable information is important and unrestricted. it can be quoted m the text. m footnotes, or in appendixes. If credit is due to mdividuals, they can be mentioned in the text or in an acknow-ledgement s ection . Availability may be stated couectively for all

. entries (see Exhibit 6).

Guidelin es for developi.n g and presentin g reference matenal are provided in NUREG 0650, '*"ec.'.a.ical Writing Style Guide." pub-hshed m November 1979- (see Appendix A, pp.19 23 for spec:fic guidance) and Supplement I dated February 1982.

8 Bibliorrapie 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 SECT'RITY REY!EWS 1 Patent Review

• • • Patent impucations shall be considered prior to approval of reports for public release so that disclosure wiU not adversely affect the patent rights of NRC or the contractor. The DOE Operat2ons Office responsible for the contractor should perform the patent revteu .

i i

The results of such review shall be reported by the contractor on  !

NRC Torm 426A in item 11 (Exhibit 5).

2. Security Review l

In most cases, reports wCI be unclassL' fed. Should a report of sen-sita"e unclasstf ted or classified w9rk be required , however, th e work with the Division of Security to i NRC project manager estabbsh the appropriate mustclassification procedurts and inform the l contractor. The standards for markmg and handling such reports are given in Part V of this appendix and NRC Appendix 2101

(

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,  ?

Approved: August 29, 1984 26

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY .j NRC CONTRACTORS.. INCLUDING REPORTS PREPARED NRC Appendix 3202 j UNDER OP. PURSUANT TO INTER AGENCY AGREEMENTS Part IV i b

C. PROCEDURES FOR PRINTING AND DISTRIBUTING

1. Prmtin g .

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 shan be submitted to the Division of Technical Information and Document Control, with completed NRC Term 425A.

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

2 Reprintmr .

Requests for reprinting of any report at NT.C expense subsequent to the initial prmtmg requires approval of the Division of Technical

. Information and Document Control.

The request shan include a written justif2 cation and the project managers approval for the ra-printing, along with address labels for the recipients.

- 3. Distributten of Reports

[ AU copies of unclassified formal contractor reports will be distrib-uted by the Division of Technical Information and Document Control m accordance with instructions on NRC Torm 426A (Exhibst 5).

NRC Term 425A must be signed by a contractor official authert:ed by the project manager. Such authorization shan be reported in writmg to the Division of Technical Information and Document Control If any distribution is to be made other than, or in addition to, the

" standard distribution established for the report, written justification and the project manager's approval for printing additional copies shau accompany the reproducible masters when submittedAddress to the Division of Technical Information and Document Centrol.

labels for the additional distribution must be supplied.

Control will The Division of Technical Information and Document arrange automatic distribution of these reports to the NRC Docu-ment Control System, the NRC Publ2c Document Room, the National Technical Informatson Service (NTIS), the Government Prmtsar Office and the Depository Library Service.

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

,( .

27 ' Approved: August 29, 1984 4

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY *

. NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Accendix 3202 .

PART V REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASS!FlID INFORMATION .

A. APPLICABILITY These procedures and exhibits of this part apply to sensitive unclassi-fled and classified reports prepared by NRC contractors. These reports include those designated:

. Official Use Only Limited Off.iefal Use Proprietary Information Safeguards Infomation 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 r.ad specific provisions for deter-minin g when to use the markings exhibited are contained in NRC Appendix 2101 The reports covered are deffned as sensitive unclassified or classified.

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

Sensitive unclassified infor=ation also includes Safeguards Informatien that must be protected from unaudorized disclosure pursuant to 10 CFR 73.21 and Section 147 of the Atomic Energy Act of 1954, as amended, information withheld frca nuMic t.iasemination under the Freedom of Informacon An or Privacy' Act, and infonnation not to be exported to or disclosed to foreign countrias.

Classified information as used in this part includes Restricted Data, Formerly Restricted Data or National Security Informat$on 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 foUowing sections. Au sensitive unclassified and classified reports are to be sent directly to the project manager.

B. OFFICIAL USE ONLY AND LIMITID OFT!CIAL USI INFORMATION. -

NRC regulations require an Official Use Only marking to be p! seed on a

(, report only when the orig:nator or other holder believes the marking is

?S Approved: August 29, 1984

• ' 4 ' e a

. . . ' a.

PUBLICATION OF TECHNICAL RIPORTS PREPARED 3Y NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED

'Part Y UNDER OR PURSUANT TO INTERACENCY 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 relessability. The Official Use Only marking is notice of the originator's determination of the applica-bility of an exemption under the Freedom of I-formation Act or Pnvacy Act or both at the time of origination. -

Official Use Only NRC contractor reports shall be marked as shown m Exh. bits 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 contams Limited Official Use informauen shall be marked as shown in Exhibits 11 through 13.

Procedures for reproducing, transmittin g, protectin g, and handhn g reports containmg Official Use Only and Limited Official Use information and remor.ng such reperts from those categones are detailed m NRC

- Appendix 2101 C. PROPRIETARY INTORMATION Proprietary information is a specific type of Official Use Only infor=a-

- uen. Proprietary mformation meludes:

1 trade secrets. -

2 privileged or confidential research, developmen t , commercial or fmanetal information exempt from mandatory disclosure under 10 CTh Part 2. "Rules of Pracuce for Domesde Licensmg Proceed-ings." Sections 2.740 and 2.790 and under 10 CTR Part 9. "Pubbe

- Records " Section 9.5. "Exemptions." l

3. information submitted in confidence to NRC by a foreign source.

which has been determined by NRC to be unclassified.

Unclassified NRC contractor reports contabbt 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, i If a report contains both Official Use only information and proprietary I information, the front cover shall be niarked as proprietary infonnauen and may also be marked as official Use only information, if necessary.

Pages m the report that contain proprietary information may be marked accordmgly , includin g , marginal or other indicators of the specific wording that is propnetary. Similarily, the pages that contain Official t

Use Only information mthout propnetary informauen may be marked 1 Official Use Only t

Approved: August 29. 1984 30 5

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS It is impor tant to note that information may not be classified in order to prevent or delay the release of information that does not require protection m the mterest of national security. Basic scientific research infor; nation not clearly related to national security may not be classified Approve d: Au gust 29, 1984 3

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. LNCLUDING REPORTS PREPAPED NRC Appendix 3202 .

UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS .... Pa.M V EXHIBIT 8 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION omc AL ust ONLY wunso cm.xxxx (si Title

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NRC Appendix 3200 NRC CONTR ACTORS. INCLUDING REPORTS PREPARED -

Part V _ , .

PNDEP. OR PURSt' ANT TO INTERACENCY AGREEMENTS ,

EXHlBITS SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING .

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35 Approved . August 29, 1984 i

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NRC. Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part Y l'NDER OR PURSU ANT TO INTER AGENCY AGREEMENTS EXHIBIT 15 SAMPLE COVER PAGE POR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A POREIGN SOURCE PROPAltTARY IMPORMAT10N Ngato.Cmxxxxipi l l

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UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS EX HIBIT 18 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION M60P4ttTARY INFORMATION l

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ACT CF 1954 APP (V. VIOLA? IONS Amt SU5 JECT TO CML CR CRIMINAL PINALTIES.

TM'S CCCUMENT 15 NOT TO 88 LIFT UNATTINCED QR ACCESSitLE TO UNAUTHCat2tD o 4 pla5CNS. WHEN NOT IN Ust. IT MUST St STCRIO IN A LOCKED SECURITY STCR Act 3 CCNT AiNtm I

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PART VI

- l HANDLING OF UNCLASS!FIED INFORMATION ON NRC COOPERATIVE PROGRAMS W1TH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND. WITH U.S. INDUSTRY The Nuclear Regulatory Commission has requested that its Program Offices estabhA, to the extent feasible, cooperative nuclear safety research programs that involve either or both U.S. industry and foreign governments and orga-nizations. Such involvement includes monetary contributions, information  !

exchange, and comments on program plans and results. This is authorized in l 42 U.S.C. 5401. To this end, international and U.S. industry agreements have been signed that provide for transmitting unclassified infensation from l NRC to participants. These procedure 2 apply only to NRC managed work not programatically funded by DOE.

The interests of au NRC cooperative nuclear safety research progran partici- l pants are ser9ed best by early, rapid dissemination for comment of informa-tion on these programs developed for NRC by NRC contractors. This can be l

2:compushed by distribution of "Draft Preliminary Reports (or Codes)" for

( comment for a specified period of time, fouowed by issue as formal NUREG/CR V'- reports, with the concurrence of the participants. Specific procedures for ,

accomphshing these goals, and for transmitting infonsation prepared by the

' ' NRC and DOE facilities and contractors and their subcontractors working on

, these programs are presented in the foUowing sections. The procedures de- l

. tailed here have been agreed to by DOE and have been provided to the l responsible DOE Operations Officers and NRC Program and Project Managers as guidance.

'- A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT The first issuance of information by a contractor shan be designated "Draf t Preliminary Report (or Code) " and shan include the cover sheet shown in Exhibit 24.

The fouowing notice is to be printed on the bottaa of the cover sheet

. i (Exhibit 24): .

~

NOTICE 4

THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO  !

PARTICIPANTS IN THE DESIGN ATED COOPERATIVE PROGRAM I This report was prepared in contemplation of Commission r

action . It has not have received patent review and may con-Therefore, the con-tam mformation received in confidence.

l(

1 tents of this report should neither be disclosed to others nor reproduced, who!!y or partially. unless written penaission to do so has been obtained from the appropriate USNRC office.

l The recipient is requested to take the necessary actson to, i

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

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PUBi.! CATION OF TECHNICAL REPORTS PREPARED BY

.NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part V' UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS This notice has been agreed to by the legal staffs of both NRC and DOE and is net te be added to or changed Any prcblem in this regard sha!!

Le brought to the attention of the NRC protect manager, who will consult w.th the NRC legal staff.

The "Draft Preliminary Report (o'r Code)" shan be submitted by first class or express mau 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 wiu be fewer than 20 copies)

The contractor (DOE facility, contractor or subcontractor or other cos.-

tractor) may retam copies only for internal use. DOE facilities and contractors and their subcontractors shau not distribute copies of this draft report to DOE /TIDC. Draft reports may be distributed to interested DOE program offices. Subsequent issues of the information shall also be designated "Draf t Prelimmary Report (or Code)" until the NRC project manager authorizes preparation of a NUREC/CR report.

"Draf t Preliminary Reports (or Codes)" sl tall not be identified as NUREC/CR reports or carry any contractor report number or NRC dis-tnbutten codes.

B DISTRIBUTION BY NRC PROJECT MANAGERS

- The NRC project manager wiu distribute the copies received only to (1) the participants in the program. (2) the NRC staff with a netd to Trans- know.

and (3) others authorized by the program or project manager.

mittal to participants shan be by first class or express mail, includmg att mail to foreign participants . If premium cost mail services are to be used. a Divisten Director or comparable or higher authenty must certify to the need on NRC Form 420. "Request for Premium Cost Mail Serviet " Premium cost m:0 is 1 Express Mau, Prienty Matl (First Class weighing more than 12 ounces) l 2. International Express Mac (Air Mail weighing more than 10 ounces)

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

C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT f A minimumAt ofthe sixend months wiD be aUowed for ccaments and resolutien of of the comment .penod, the NRC project manager ecmment s .

shad, with the cencurrence of the participants, author % the contractor to issue the information as a NUREG/CR report in accordance with the

$ provisions of this Chapter.

D REPORT IDENT! TIERS The "Draft Prelimmary Reports (or Codes)" wiu be uniquely identtfied only by the Financial Identification Number (FIN) assigned by NRC and s Approved. August 29, 1984 50

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PUBLICATION OF TECHN! CAL REPORTS PREPARED BY NRC CONTRACTORS, INCI.;UDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS Part VI .

3,, .

the appropriate periodic notation, if any , included in the title (Ex-hibit 24). They shall not be given standard report nomenclature until the NRC project manager authorizes publication as a NUREC/CR report.

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

E. MAILING TO PROGRAM PARTICIPANTS The physical transmission of reports from NRC to program participants shall be handled by the Document Management Branch (DMB). Division of Technical Information and Document Control (T!DC), 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 '

sensitwe unclassified or classified information (see statement of work) the procedures of Part V also apply. The report (or code) may nJ be classified solely for the purpose of limiting distributton to the partict-pants.

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l 51 Approved: August 20, 1984 [

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. PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V1 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS EXHl51T 24 SAMPLE COVER FOR A DRAFT PREt.tMINARY REPORT (CODE)

POR COMMENT ORAFT PRELIMINARY REPORT (C0DE) FOR CCm ENT FIN NO.

Title of Progras Subtitle for This Report, including Appropriate Periodic Notation, If Any (e.g., First Quarter, Issue No. 1) i Prepared by (Nam.e of 00E Facility, Contractor ana/or Subcontractors, if any) for U.S. Nuclear Regulatory Commission NOTICE TN!$ DRAFT PRELIMINARY REPORT !$ 155UE0 ONLY TO PARTICIPANTS IN THE CESIGNATED C00 PERATIVE PRCGRAM This report was prepared in conte-clai, ion of Comission action. It has not received patent review and may contain infersation received in etnfidence.

Therefore, the contents of this report should neither be disclosed to others unless written persission to os so has nor reproduced, wholly or partially,SNRC teen catained free the accropriate U of fice. The recipient is reewesM to take t.he necessary action to ensure the protection of this report. -- ,

s Approved: August 29, 1984 52

Pt*RL1 CATION OF TECHNICAL REPORTS PREPARED BY

' NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU ANT TO INTERAGENCY AGREIMENTS Part V

. EXHlBIT 25 TRANSMITTAL LETTER PROM CONTRACTOR TO NRC PMCJECT MANAGER FOR DRAFT PRELIMINARY REPORT 70: NRC Project Manager

SUBJECT:

ORAFT PRELIMINARY REPORT (CODE) ON (Pa0 GRAM TITLE) FOR CO *ENT The enclosec "Craf t Preliminary Report (Code)" is being submitted for coment.

It is our uncerstanding that the toment period shall extend six sonths from the date of mailing of the draft to the participants. Upon resolution of the coments af ter that period and with concurrence of the cooperative program participants, the NRC Program Manager will authorize publication of this recort in the NURIC/CR series under the provisions of NRC Manual Chacter 1102 or 3202.

DOE Facility or Gontractor Aepresentative I

i 53 Approved : Au rait 29. 1984 l

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PUBLICATION OT TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED .NRC Appendix 3202 1*NDEP. OP. Pl*RSt* ANT TO INTER AGENCY AGREEMENTS Part V!

IXHIBIT 26 TRANSMITTAL SHEET TOR REQUESTING .

MAILING TO COOPERATIVE PROGRAM PARTICIPANTS Recaptents : Addresses on attached labels Method of Malhng.

C/ Tirst Class Postal Service to V. S. addresses

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C/ Express mad to V S. addresses *

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_. Air matl to foreign addresses

• C/ Surface mail to foreign addresses

. (may require up to three (3) months)

. THIS MAILING CONTAINS 50 PROPRIETARY INFORMATION OR OTHER SENSITIVE UNC1.ASSITIED INFORMATION Special Instructicns Individual Requestmg Maihng:

Project Manager or Magn Autnonty Enclosures :

1 Address labels

2. Documents to be mailed

• !f premium cost mail services are to be used, a Division Director er compar-able or higher authenty must certify to the need on NRC Tors 4:0, "Request for Preatum Cost Mad Service." Premium cost mail is:

1 Express Mad. Pnonty Mad (Ttrst Class wir.i.4 more than 10 ounces)

2. Internstaenal Express Mad ( Air Mad weighing more than 10 ounces) l (See Chapter NRC C:55 058 and NRC Appendix C:S5. Part V. Annex A) l e

9 Approved: August 29. 1984 A h