ML20205M704

Grant: Fourteenth Lh Gray Conference at Oxford,England Entitled, `Low Dose Radiation - Biological Basis of Risk Assessment,' Awarded to Univ of Tennessee

ML20205M704
Person / Time
Issue date:	09/16/1988
From:	Fly E, Smith P NRC OFFICE OF ADMINISTRATION & RESOURCES MANAGEMENT (ARM), TENNESSEE, UNIV. OF, KNOXVILLE, TN
To:
Shared Package
ML20205M701	List: ML20205M697 ML20205M704
References
CON-FIN-G-1143, CON-NRC-04-88-153, CON-NRC-4-88-153 NUDOCS 8811030234
Download: ML20205M704 (85)

Text

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, o U. L . fiUCLEAR RI Gl'; Ah'o f.UIC11 L'.. ! 0N

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i GiIAffiTUMu[R

_,JRC-04-88-153 l, .I 0DIi iCAiiO:: .R.P.Hi R '

N/A '

! 3. GRANT f f R100 4 AUTHORITY ~

FROM: 9/ll/88 70: 9/15/S!

Pursuant to Sections 31a and 5, 7ypE OF AWARD  !

141b of the Atomic Energy Act 6. GRANTEE TYPT

-, _ota g e u wong,3 GRANT i ,

l Educational Institutier.

7. GRANTEE NAME AliD AORESS University of Tennessee l 8. PROJECT TITLE 404 Andy Holt Tower iThe Fourteenth L.H. Gray Conference at Xnnxville, TN 37996-0140 ' Oxford, England - Entitled "Low Dose Radiation - Biological Basis of Risk

'Assessrent"

9. PROJECT WILL BE CONDUCTED PER GRAf4 TEE'S PROPOSAL (S) 10.TECHii!CALREPORTSAREREQ DATED 8/10/S8 PROGRESS AND TitIAL AND FINAL (,NLY APPENDIX A - PROJECT GRANT PROVISIONS X

OTHER (publication of the conference proceedings) li. PRINCIPAL ADDRESS INVESTIGATOR (S) NAME AND

12. NRC Office PROGRAM of Nuclear OFFICE Regulatory (NAME AND Researen R.J. Michael Fry I Attn: Dr. A. Roccklein l

( w as e Rinck 71 I Wasnington, DC 20555 TELEPHONE I40. (301) 492-3740

13. ACCOUNTING AND APPROPRIATION DATA B & R No.: 60193005 14. METHOD OF PAYMENT X

FIN No.: G1,143 ---- ADVANCE BY TREASURY CHECK Appn No.: 31X0200.608 ,

RE!M8URSEMENT BY TREASURY CHECK

_ LETTER OF CREDIT OTHER (SPECifY)

15. FUNDING SOURCES --

SOURCE AMOUNT NRC:

THIS GRANT $ 7,000.00 PREVIOUSLY OBLIGATED $

GRANICE SHARE:

THIS GRANT $

PRIOR GRANT $ ea11030234 000916 PDR CONTR TOTAL FUNDING $ 7,000.00 NRC-04-90-153 PNV AE0VNT OBLIGATED BY THIS GRANT ACTION: t 7,000.00

, . . - i e O I

17. NRC 155blNG OfflCE (NAME AND ADDM55) dffice of Administration and Resource Management Division of Contracts and Property Management Washington, DC 20555

18. GRANTEE

/ 19. iiRC GRANT OfflCER (Signatufe') /

, SEP 16'88 (Date)

@ g(Signa i gf./

t.ure) d A kt g  !

EME N H. R.Y (Dati}I NAME (TYPED)

NE(TYF.0) Patricia A. Smith TITLE VICE PRESIDENT , 1;TLE Grar.ts Officer TELEPHONE NO.

TEttounNi NO. (301) 492- 4297

20. GRANT PAYMENT INFORPATION Paynent will be mde within thirty (30) days af ter receipt of the billing unle is improper or the grantee hac. failed to comply with the program objectives, gr  !

conditions.

Circular A-110. Federal reporting requirements or other conditions are specified in OM8 Payment will be mde by:

U. S. Nucle:. AeguWory Cort:nissien Office of Resource Manac* ment Division of Accounting an.1 Finance. ATTN:

Washington DC 20555 GOV /COM ACCOUNTS 3 i

Vouchers should be submitted in an original and o'ne (1) copy to the above address. '

A copy of the voucher should also' be forwarded to the Division af Contracts. ,

. Attached and OtherisNonprofit a copy of the "NRC Project Grant Provisions for Institutions of Higher Educatio Organizations."

when federal funds are used on this grant project. Acceptance of these tenns and condition i

l ORDER OF PRECEDENCE the tenas of the Notice of Grant Award shall prevail.In tk.e event of ,

! 1.

By this Grant award, the Grantee certifies that payment of any audit-related debt will not reduce the level of performance of any Federal Program.

.S /:fo - o e o 7 APPENDIX A NRC PROJECT GRANT PROVISIONS FOR INSTITUTION AND 011t[R HONPROFIT ORGANilAT10NS This grant is subject to the following provisions: "

1. General a.

This grant is composed of a grant face page (which may incorpor the grantee's proposal by reference) and the NRC Project Grant Provisions for Organizations. Institutions of Higher Education and Other Nonprofit b.

Comission (NRC) of the grantee's proThis award consti otherwise indicated on the face page.posal' and budget unless

c. . ~

be appropriate, to manage the fundt with prude with the provisions outlined herein.

Principal Investigator (PI) named on the grant face page isWithin th responsible for the scientific or technical direction of the project and for preparation of the project performance reports'.

d.

This grant is funded on a cost reimbursement basis not to exceed the amount awarded as indicated on the face page and is subject to a refund of unexpended funds to NRC.

'o e.

This grant award is subject to the policies prescribed in OMB Circular A-110, dated July 30, 1976.

2.

_Reportino procram Technical perf_ormance ,

Grantees are responsible for' the performance under grants and other met, projected work units by time periods are be,ing acc other perfomance goals are being achieved. .

4 frequency of performance Reports **

Performance reports will be submitted in letter format within 30 calendar days after the end of every second calendar quarter and a final report no later th'an 90 days af ter the ex date of the grant period indicated on the face page, piration

b. Copies of performance Reports One copy of the letter report shall be submitted to the Division of Contracts, three copies to the NRC Program Office (at the address indicated on the face page), and two copies to the NRC Division of Technical Information and Document Control addressed as follows U.S. Nuclear Regulatory Comission '

Division of Technical Information and Document Control o

emen g nch

r-

. s 2

c.- _ Content of Performance Report The report content shall be as follows: *

(1) A comparison of actual accomplishments with the goals .

established for the period, the findings of the investigator. -

or both. If the output of programs or projects can be readi,1y quantified, sudi quantitative data should be related to cost data for computation of unit costs.

(2) Reasons why established goals were not met.

(3) Other pertinent information including, when appropriate, analysis and explanatica of anticipateL, eost overrurn or nign unit costs.

(4) Between the recuired performance, repor' ting dates, events may occur that have significant imsact upon the project or program.

In such instan:es, the recipiett shall inform the f'uclear Hegulatory Comatission as soon as the following types of condi-tions become known: *

(a) Problems, delays, or adverse conditions that will materially affect the ability to attain prograr::

objecthes, prevent the meeting of time schedules and goals, er preclude the attainment of project work units by established time periods. This disclosure shall be accompanied by a statement of the action taken, or contemplated, and any Federal assistance needed to resolve the situation.

(b) Favorable developments or events'that enable time schedules to be met sooner than anticipated or trore work units to be produced than originally projected.

(c) If any performance review conducted by the grantee discloses the need for change in the budget estimates in accordance with the criteria established in Attachment J to Circula'r A-110, the grantee shall svemit a req.est for bJdge! f eVision.

d. Publication of Results '.

The general conditions of the assistance instrumnt will specify the publications requirements of the at.ard and a provision for the granting to the Government a r.oyalty free, nonexclusive, irrevo-cable license to reproduce, translate, publish, use and dispose of all copyrightable material first produced or composed in the grantre's/

cooperator's perfonnance under the grant or cooperative agreement.

-3 I

Grantees or cooperators may be required to produce reports to be published by NRC in accordance with the provisions of Manual Chapter 3202 or be given the option of publication in

• a recognized technical journal.

Exercise of this option requires that the final draft (subse-quent to peer review) of the journal article be submitted by letter to the NRC Division of Technical'Information and Document control (14RC/TIDC) for processing for accession by the Public.

Docu.wnt Room at the time it is submitted to the journal. When the journal article is published. the draft must be replaced with a copy of the journal article t>y sending an author's copy.

properly identified, to NRC/TIOC. -

I -

Each journal article submission must be accompanied by the  :

following statement. "The submitted manuscript has been

• authored by a grantee of the U.S. Government under Grant No. . Accordingly, the U.S. Government has a nonexclusive, royalty-free license to publish or reproduce the published fom of this contribution.*,or allow .

Others to do so, for U.S. Government purposes."

All open literature publications prepared under this grant shall contain the following statement:

This paper was prepared with the support of the U.S. Nuclear Regulatory Comission (NRC) under Grant No. . The opinions, findings, conclusions and recornmendations expressed herein are those of the author (s) and do not necessarily reflect the vi'ews of the NRC.

If requested by the journal or other publisher to transfer j

the copyright. the author shall respond to the journal or .

other publisher, in writing, in accordance With the sample letter shown below: '.*.

Sample Letter on Copyright Agreement

Dear  :

lie recently received a document for signature assigning copyright and republication rights in the submitted article (title) to (name of publication). This letter is offered in lieu of the document as a means of completing the transfer

s. .. . ..

. o

-4 of ownership. Act.ordingly assign our rights of owners, hip in the above cited work to (nameofpublisher).

You are advised, however, that the above assignment and any publication to the followingor republication Governme:it rights:of the above cited work is subject The submitted manuscript has been authored by a contractor (grantee) lio. _ of the U.S. Government under contract (grant)

Accordingly, the U.S. Government duce the published form of this contribution, to do so, for U.S. Government purpose (.

Sincerely.- '

e.

Reorints of Publirations At such time as any article resulting frc t work unser tne grant

- is published in a scientific, technical or professional urnaljo publication, two reprints of the publication sheald be or sent to the cognizant fiRC Program Officer, clearly laoeleo with tne grant numeer and otner appropriate icentifying inforntion.

3.

Suscension or Temination for Cause ,

A.

comply with the tems and conditions of a grant,14R suspend the grant or (2) terminate the grant for cause.

b.

NRC prefers that deficiencies be correcteo whenever practicable When it is telieved tnat a grantee has faileo to comply witn one will aavise the grantee ofor more of the terms and conditions of a gra tha t failurer i letter of the nature of the :roblem ano l termination ,of the grant.-to correct m d4ficiency may resuit in sus.ension or l in writing within 30 days" of receipt of such letter, cescribing tn l

action taken or the plan designed to corrtti the deficiency.Cootes of (PI)sucn and tocorresponcence will be furnisned to tne Frincipal Investigator the flRC Program Officer, Officer may issue a notice susper. ding autneri grant funds, in wnole or in part.

witn a copy to the P!.sent by certifiec mail (return receipt reouesteci The notice will set forta tne activities covered action re by the suspension and its effettive cate. and tne corrective riowever, quired by the grantee in order to lif t une sus:ensicn.

ciination when such action is reasonable .ncer the circunsta MeCessary to protect the interests of th* Goverr*ent.

.b.

c.

If a grant is suspended pursuant to this article, no obligations incurred by the grantee during the period of suspension will be allowable under the suspended grant other than necessary and proper costs that the grantee could not reasonably avoid during the period of suspension; provided that such costs would other-wise be allowable under the applicable Federal cost principles.

d.

The suspension will remain in eff,ct for a maximum of 90 days during which time the grantee will take corrective action to the satisfactio'n of NRC or give assurances satisfactory to NRC that currective action will be taken. In that event, the Grants Officer will issue a notification, to the grantee, that the suspension is lifted.

e. In the event the deficiency is not corrected to the sati.sfaction .

of NRC, the Grants Officer may issue a notice of temination. The .

notice will establish the reasons for the action and its effective date.

f. If a grant is terminated pursuant to this artiels, financial obligations incurred by the grantee prior to the effective date of temination shall be allowable to the extent they would have been allowable had the grant not been teminated, except that no obligation incurred during the period in which the grant was suspended (except those allowed pursuant to c. above) will be allowed. The settlement of temination costs will be in accordance with the applicable Federal cost principles.

9 Within 90 days of the effective date of temination, the grantee will furnish an itemized accounting of funds expended for allowable costs prior to the effective ,date of teminatinn and the unexpended grant balance. -

4. Tem 1 nation for Convenience -

a. Ciremstances may arise in which either NRC cr the grantee wishes .

to terminate its performar.ce of a project in whole or in part.

If both parties agree, the grant miy'be teminated by mutual Agreement.

b. If the grantee wishes to teminate the project, it shall advise the NRC Grants Officer, with a copy to the cognizant NRC Program Officer,

c. If NRC wishes to terminate the project, the Grants Officer will advise the grantee with copies to the P! and the engnizant NRC Program Of ficer.

d.

Within 30 days af ter receipt of a request from either party for terminationwritten appropriate by mutual arreement, the other party will provide an response.

e.

In the event of disagreement between the parties, the Grants Officer will make a final decision subject to the review procedures described in the following article entitltd "Di',pute Review Frocedure."

f.

The grantee portion af tershall th( not incur new obligations for the terminated effective date, and shall cancel as many out-standing obligations as possible'.. The Nuclear Regulatory Comnis-sion shall allow full credit to the grantee for the Federal share of thetononcancellable prior terminatior.. obligations, proper)y incurred by the grantee

?

S. .

b):n i. .!cview Procedure a.

Any request for review of a notice of termination or other adverse decision should be addressed to the Grants Officer. It must be postmarked notice, no later tnan 30 days af ter the postmarked date of such b.

The request for review must contain a full statement of the grantee's position and the pertinent facts and reasons in support of such position. '

1 c.

Tne Grants Officer will promptly acknowledge receipt of the request for review and shall forward it to the Director Office of Adminis-tration,who shall appoint a review connittee consisting of a minimum of tnree persons. , -

d.

Pending resolution of the request for review, the tiRC may withhold or defer payments und,er the grant during the review proceedings, e.

Tne terminatien review camittee will request the Grants Officer uno issued the notice of termination to provide copies of all relevant background naterials and doc *uments, it may, at its oiscretion, invite representatives of the grantee and the 11RC program office to discuss pertinent issues and to submit such additional information as it deems appropriate. The chairman of proceedings or the revie'W arecomnittee willlnsure that adequktely documented, all review activities f.

Based on its review, the committee will prepare its recommendations to the Director parties concerne. Office of Administration, who will advise the d of his decision.

c .. .

t ti . ,1 ravel leicstic travel is an appropriate charge to this grant, and prier antnorization for specific trips is not required. Foreign travel iust be clearly essential to the grant effort and must, tn be charged t.uainst tnis grant, have prior explicit approval of the Grantscer Offi renardless of its inclusion in the approved grant budget.

Allthecomon of travel. If notcarrier travel reimbursable hereunder sh available tr. notated that economy class acco,nnodations were not availablereimb r irtt-class air travel is not authorized.

7. L',te of U.S. Flag Carriers The Cooptroller General of the United States, by Decision8-138947 of June 17,197S, as amended. provided guidelines for in.nlecentation of Section f ractices Act5ofof1974 the International Air Transportation Fair Competitive o.

Any air transportation to, frori, between, or within a country other than the U.S. of persons or property, the expense of which will be assisted by NRC funding, tmst be performed on a U.S. flag carrier ii services provided by su:n carrier is "available."

s.

For tne purposes of tnis resJirement:

(1)

Passenger or freight service by a certificated air carrier is considered "available" even though:

(a) Comparable or a dihfer.ent kind of service by a noncertifigated air carrier cnsts less, or (b) Service by a noncertificated air carrier can be paid for in excess foreign,currehey, or (c ) Service by a noncer.tificated air carrier is preferreri by the grantee, enntractor, or traveler needing air transportation, or (d) $drvice by a noncehtificated air carrier is convenient for the grantee, contractor or traveler needing air traasportation.

n .g.

(2)

Passenger service by a certificated air carrier is considered to be "unavailable":

(a)

When the traveler, wnile enroute, has to wait 6 hours6.944444e-5 days <br />0.00167 hours <br />9.920635e-6 weeks <br />2.283e-6 months <br /> or more for an 6vailable U.S. carrier, or -

(b)

When any flicht by a U.S. flag carrier is interrupted by a stop anticiated to be 6 hours6.944444e-5 days <br />0.00167 hours <br />9.920635e-6 weeks <br />2.283e-6 months <br /> or more for refueling, reloading, reaatrs, etc., and no other flight by a U.S.

air carrier is available during the 6 hour6.944444e-5 days <br />0.00167 hours <br />9.920635e-6 weeks <br />2.283e-6 months <br /> period, or (c) When the fliu.it by a U.S. air carrier takes 12 or more nours longer nan a foreign car.rier.

, d. Allowable Costs a.

Toe allowability of cc:ts and cost alloca' tion methods for wnrk performed under tnis cre.at, up to the amount specified in the grant instrument, shall bt determined in accordance eith the anoli.

cable the grant Fedcral and theCost temsPrinciides of the grant.in effect on the effective date of b.

The Federal Cost Principles applicable to specific types of grantees are as follo::::

' (1) Institutions of .ti;ner leu:ation. Ulla Circular A-21 is applicable to bots,6d lic and private institutions of nigher ecucattor..

(2) Honprofit Organi::::.n! - 0::C Circular A-ir.

9.

_ Retention and Custodial ke::: iit: ents for Records Grantees by 018 Circularshall A-110retain and ' permit examination of. records as required requirements on sub-gr.antees Attacnvent C. Grantees shall place ap as specified

10. b.< that attacncent.propriatt .

Payment and Financial Reportino Requiremen'ts Papents Grantee by NRC requests # will be made by the method indicated on the face pa 0r parent liRC payments, and grantee financial A-110. Attachments G and '.

I. reporting require /uents shall be made in acc 11.

Property l'anacement Standards f., Property Circular shall be A Il0, Attachment accounted for and managed in accordance with

. . . d. 9fff, int Unless otherwise copyright any books, provided publicationsin the grant instrument, the grantee may films, or other copyrightable materials developed in the ceurse,of or under this grant. However, any such copyrighted materials shall be subject to a royalty-free, irrevocable, worldwide, none.aclusive. iteense in the United States Government to reproduce, perform, translate, and otherwise use and to authorize others ta use such materials for Government purposes. ,

13 Patent Rights July,1oisF (Small Busthess I.irNs *or Hon-Profit /

Organizations.

a. Definitions (1)

"Invention" means any invention or discovery which is or may be patentable or otherwise protectable under Title 35 of the United States Code (USC).

(2)

"Subject Invention" means any invention of the orantee con-ceived or first actually reduced to practice in the perform. r ance of work under this grant.  ?

(3)

"Practical Application" means to manufacture in the case of a composition or product, to practice in the ca's,e of a process or cethod, or to operate in the case of a machine or system; -

and, in each case, under such conditions as to establish that the invention is being utili2ed and that its benefits are, to the extent permitted by law or Goverreent regulations,' avail-able to the public on reasonable terms.

b (4)

• i'ede" when used in relation to any inventiore raeans the con-ception or first actual reduction to practice of such invention.

(5)

"Small at SectionBusiness 2 of PutlicFirs" Law rneans a small business concern as defined regulations tration. For the of the Administrator of the Small Business Admints-854 pufpose of this clause, the size star.dard for small business concerns involved in Government procurement, contained in 13 CFR 121.3-8, and in subcoritracting, cuntained in 13 CFR 121.3-12, will be used. *. ', -

(6)

"Hon profit Oceanization" rneans universities and other institu-

_tions of higher education of an organtration of the type des-cribed in section 501(c)(3) of the Internal Revenue Code of 1954 (2o USC Sola) or any non; profit scientific or educational organization statute. qualified under a state non profit orcaniza tion b.

Allocatinn of Principal Aloh,t1 The grantee may retain the entire right, title, and interest through-out theclause.

of this world to each subject invention subject to the provisions With respect to any subje*ct inverition in which the

' grantee retains title, the Federal Government shall have a non-

• emclusive. nontransferable, irrevocable, paid.up license to prac-

,tice or have practiced for or on behalf of the United States any subject invention throughout the world for which the grantee has elected to retain title.

r c.

Xpifications by GranteeInvention Disclosure. Election of Ti (1)

After a subject invention has been disclosed in writing by the inventor (s) to grantee personnel responsible for the administration of patent matters, the grantee will:

(i)

Disclose such invention to the Nuclear Regulatory Commission (NRC) within six months; (ii) Elect whether or not to retain title to any such invention by notifying the NRC within twelve months of disclosure to'the grantee; (iii) File its initial patent ' application on an elected ,

invention within two years after elect. ion; and .

(iv) File patent applications in additional countries within either ten months of the corresponding initial patent application, or six months from the date a license is granted by the Commissioner of Patents and Trademarks to file foreign patent applications when such filing was prohibited for security reasons.

(2)

\

Notwithstanding the requirements of subparagraph c(1) above:

(1)

Disclosure to the NRC shall be made immediately after grantee personnel responsible for the administration of patent matters become aware of any manuscript describing  ;

the invention accepted for publication, or any publica-tion, on sale or public use of such invention; and (ii) In any case where publication, or sale or public use has initiated 'the one year statutory period wherein valid patent protection can still be obtained in the United States, the period for election of title and filing of a United States pate't'n application may be shortened by the idRC to a date that is no more than 45 days prior to the end of the statutory period.

(3) ' ,

Requests for extension o,f the time for disclosure to the NRC .

election and filing, where reasonable, will normally be granted.

(4)

The disclosure to the NRC shall be in the form of a written report and shall identify the grant under which the invention was made and the inventor (s). It shall be suf ficiently complete in technical I detail to convey a clear understanding of the nature, purpose, oper-ation, and, to the extent known, the physical, chemical, biological I or electrical characteristics of the invention. The report shall

also identify any publication, on sale or public use of the invention and whether a manuscript describing the invention has been closure.

submitted for publication and accepted at the time of dis *

{

ee

d. Forfeiture of Title

()) The gantee will convey to the NRC, upon v'itten request, title to any subject invention:

(1)

If the Drrntee fails to disclose or elect the subject 4vention within the times specified in c mve, or elects not to retain title.

(ii) In Ge:,e countries in which the grantee fails to l fil< patent applications within the times specified in e above; provided, however, that if the grantee has filed a patent. application in a country after the times specified in c above but prior to its receipt of the written request of the NRC, the grantee shall continue to retain title in that country; or -

(iii)

In any cout.try in which the grantee decides not to continue the prosecution of any application for, to pay the maintenance fees on, or defend in a reexam-ination or opposition proceeding ch, a patent on a subject invention

e. Minimum Rights to Grantee The grantee will retain a non-exclusive, royalty-free license throughout the world in each subject invention to which the Government obtains title except if the grantee fails to disclose the subject invention within the times specified in c above.

This license extends to and is revocable and transferable, as specified in Part 5b(2) of Office of Federal Procurement Policy Bulletin 81-22 dated June 30,',1981. -

f.

Grantee Action to Protect Government's Interest (1) The grantee agrees to execute or to ha've executed and promptly deliver to the NRC 41.1. instruments necessary to: ,

(1) Establish or confim the rights the Government has throughout the world in those subject inventions for

, which the contractor retsins title; and (ii)

Convey tit;1e to the NRC when requested under (d) above and to enable the Government to obtain patent protection throughout the world in that subject invention.

(2) r The grantee agrees to require, by written agreement, its employe,rs, other than clerical and non-technical employees, to disclose promptly in writing to personnel identified as responsible for the administration of patent matters and in a format suggested by the grantee each subject invention

i' -

made under this M in order that the grantee can comply with the disclosure provisions of c obove and to execute all papers necessary to file patent applicatier.s on subject inven-tions and to establish the Government's rights in the subject inventions.

the information requested by subparagraph c(4) above. r shall instruct such employees through the employee agreements orThe other suitable educational programs on the imp cations prior to U.S. or foreign statutory bars.

O)

Tne grantee will notify the NRC of any decision not to ccntinue prosecution of a patent application, pay maintenance fees, c.

defend in a reexamination rn opposition proceeding on a patent.

in any country -

of the response, period required by the relev4" patent of -

(4)  ;

The grantee agrees to include, within the specication of any United States patent application and any patent

• issuing thereon covering a subject invention, (n. following stateent, "This invention was made with Government support under (identify the grant) awarded by the Nuclear Regulatory Comission. The Govern-ment has certain rightr, in this invention."

a s

9 Subcontracts (1)

The grantee will include tu s clause, suitably modified to identify the parties, in all subcontracts regardless of tier, for expftimental, developmental or researc,h work te 'c o n formed in the United States by a ssall business firm or a ne"-vofit organization.

for the grantee in this clause f and the grantee will not, a part of the consideration for awarding the subcontract, cbtain -

rights in the subcontractor's subjett f.tventions.

(2) The grantee will incl na , ,

gli other subcontracts, regardless of rights clause required y r deral Procurement Regul 5(a).

e h

Reporting on Uti ization of Subject Inventions The grantee agrees to submit on request periodic reports no more frequently than annually on tra utilization of a subject invention or on ef forts at obtaining such stilization that are being made by the grantee or its licensees or ase,ignees. Such reports sha)1 include informatioW regarding the statti'r cial sale or use, gross royaltin rsceived by the grantee.,and suchN d ,

other data and information as the NRC rnay reasonable specify. The grantee also agrees to provide additional reports as may be requested by the NN in connection with any march in prGceeding undertaken by the NRC in accordance vM5 paragraph j of this clausr,.

To the extent data

., a- t or informatton supplied under this section is considered by the i grantee, its licensee or assignee to be priviledged and confidentia) and is so marked, th~ NRC agrees that, to the extent pemitted by r 35 USC 202(c)(S) it will not dis: lose such infomation to persons outside the Government.

1.

Preference for UnJted StMes Industry (

Notwithstanding any other provision of this clause right to use or sell any subject invention in the United States unless  !

such person ngrees that any products embodying the subject invention or produced through the use of the subject invention will by manufac-tured substantially in the United States.

the requirement for such an agreement may be waived by the NR showing by the grantee or its assignee that reasonable but unsuccessful !; '

efforts have been made to grant licenses or similar terms to ~ potential '

licensees that would be lihly to manufacture substantially in the  ;

United is not comercially States feasible. or that undcr the circumstances omestic manuf

j. March-in Rights '.

The grantee agrees that with respect to any subject invention in which it has acquired title, the NRC has the right in accordance with the 4

^ procedures in CN8 Bulletin 81-22 to require the grantee, an assignee or exclusive licensee of a subject invention to grant a non exclustee, partially exclusive, or exclusive license in any field of use to a responsible applicant or applicants, upon tems that are reasonable '

under the circumstances, and if the grantee essignee, or exclashe licensee refuses such a request, the NRC has.the right to grant such a license itself if the NRC detemines that:

(1)

Such action is necessary because the grantee or assignee has not taken, or is not expected to take within 4:

tive steps to achieve practical application, reasonable time, of the subject effe:-

invea-tion in such field of use; ..

" (2)

Such action is necassary to alleviate health or safety needs >

which their licensees; are not reasonably satisfied by the grantee, assignee. or i

(3) Such action 'is necessary to meet requirements for public use '

specified by Federal regu,lations and such requirements are not

• reasonably satisfied 9 the grantee, assignee, or licensees; or '

(4)

Such action is necFmy because the agreement required by para- ,'

graph i of this clew has not been obtained or waived or because a licensee or the exclusive right to use or sell any subject inven- i tion in the United States is breach of such agreement. {

14 -

k. l Special Provisions for Grants with Non profit Organizations If the grantee is a r.on-profit organization, it agrees that:

(1) Rights to a subject invention in the United States may not be assigned without the approval of the NRC, excent where such assignment is made to an organization which hu as one of its primary functions the management of inventions and which is not, itself, engaged in or does not hold a substantial interest in other organizations engaged in the manufacture or sale of products or the use of processes that might utilize the inven-tion or be in competition uith embodiments of the invention (pro-vided that such assignee will be subject to the same provisions as the grantee);

(2) The grantee may not grant exclusive licenses under United States patents or patent application in subject inventions to persons other than small business fims for a period in excess of the earlier of:

(i) five years from first comercial sale or use of the invention; or *

(ii) eight years from the date of the exclusive license excepting that time before regulatory agencies necessary to obtain pre-market clearance unless on a case-by-case

'. basis, the Federal agency appro,ves a longer exclusive license.

If exclusive field of use licenses are granted, comercial sale of use in one field of use will not be deemed comercial sale or use as to other fields of use, and a first comercial sale or use with respect to a product of the ,'invention will not be deemed l to end the exclusive period to different subsequent pro-ducts cofered by the invention.

(3)

The grantee will share any royalties f.ol,lected on a subject inven-tien with the inventor; and '

, (4)

The balance of any royalties or income earned by the grantee with respect to subject inventions, af ter paynent of expenses (including paynients to loventors) incidental to the administration of subject inventions., will be utilized for the support of scientific research or education. ,

i

m -

14 M e and 1.sr % ..: e Recardin ct and Cooyrioht Infringewn_tt this grant exceeds $10.000,The provisions cf tht: clause shall unt of s.

reasonable written detail, each notice or claim copyright infringement based on the of which the grantee has knoivledge. performance of this grant L b.

y In the event of any claim or suit against the Goverrment on out of the performance of this grant or out of t

- supplies furntshed or work or services performed hveunder, the grantee shall furnish to the Government when requested by the

' Erants Officer, all evidence avd information in possession of the grantee pertaining to such suit or claim.

Such evidence and c.

ascept where the grantee has agreed to truie ,

This clause shall be included ir, all subco'ntracts.

15. Iteportino of Royalties i

payments are directly involved in the grant or are ref grant price to the Government, the grantee agrees to report in writing to tne pt.ttnt Counsel. NAC (with notification by Patent Counsel to the Grants Officer) during the performance of this grant and prior to its

, , completion or final settlement the amount of any royalties or other l

payeents paid or to be paid by it directly to others in connection

,* with tne perforsunce of this grant together with the names and addrestes of licensors to who sucn payments are mado and either the patent r.urters invejved or such other information as will permit the identification of the gatents or other bests on which the royalties are to be paid . The apprcyal of NRC of any individual payments ar roya) ties shall not stop the suerry4nt at any time from cor> testing the enforceability , validity or scMe are r,ade. of, or title to, any patent under wnich a royalty or payments lo. Precurement Standards

• a.

ORC Ort grantees Circular shall follow the requiripents 'of Attachment 0 to A 110. '

b.

In addition, unless these provisions provide otherwise, prior written before: approval shall be obtained from the NRC Grants Officer (1)

Any of the research or other substantive project effort is

% contracted or otherwise transferred.

(2)

Contracting for the convnercial production or distribution of books, films, or similar materials.

c.

NRC approvals will be made by the Gracts Officer, who will specify which requirements of this grant must be flowed-Jewn -

to satisfy the purposes of Oti8 Circular A-110.

d.

Grantee requests for approvals shall include an explanation of tne need for tne contracting a proposed performance statement, justification for the price o,r estimated cost (including)a detailed the basisbudget for costthe for selecting reir4ersement contesetne type arrangements , and

17. n-levision of fir.ancial Plans of 0l18 Circular A-110. Attachment J. Grant budget activit

18. Program income ProgramD. income Attachment is subject to the policy p.escribed by OH8 Circu

19. Statutory Requirements

a. Civil Rights t This grant is subject to Title VI of the Civil Rights Act of 1964 tien Act of 1974, and Executive Order 11246, a Ill, and *1V '(for grants over $10.000 within a twelve month period).

The grantee agrees that no person in the United States shall, on the ground of race, sex, color or national origin, be excluded from participation in, be deprived the benefits of .

or be otherwise -

subjected to discrimination under any program,or activity for which the grantee receives financial support from itRC.

b.

fiendiscrim_ination Under Federal Grants '

This of grant 1973, is subject Public to the provisions of the Rehabilitation Act Law 93-112.

The grantee therefore agrees that, "No

'+

defined in section 7(C) of the Act), shall solely n by rea handicap, be excluded from the participation in, be denied the benefits of, or be subjected to discriminetion under any program or activity receiving Federal financial assistance." Further, this grant is subject to the provisions of the Age Discrimination Act of 1975 (42 U.S.C. 6101).

discrimination will occur under this Feuerally assisted program c.

Clean Air - Clean Water .

(Applicable only if the grant exceeds $100.000, or a facility to be used has been the subject of a conviction under the C (33 U.S.C.1319(c) and is listed by EPA.

(a) The Grantee agrees as follpws:

(1)

To comply with all the requirernents of section 114 of the Clean Air Act, ar. acended (42 U.S.C.1857, et seq. , as amended by Public Law 91-604) and section 308 of the Federal Water Pollution Control Act (33 U.S.C.125) et seq., as amended by Public Law 92-500), respectively, relating to inspection, monitoring, entry, reports, and information, as well as other requirements specified in

- =section 114 and section 308 of the Clean Air Act and the '

• 'ater Act, respectively, and all regulations and guidelines issued thereunder before the award of this grant.

o 17 - .

(2)

That no portion of the work required by this grant will be perfonned in a facility listed on the Environmental Protec.

tion Agency t.fst of Violating Facilities on the date that this grant was awarded unless and until the EPA eliminates the name of such facility or facilities from such listing.

(3) To use his best efforts to comply with clean air standards and clean water standards at the facility in which the grant is being perfomed.

(4) To insart the substance of the provisions of this clause into any nonexempt subcontract, including this paragraph (a)(4).

(b)

The tems used in this clause have the following meanings:

~

(1) The tem "Air Act" means the C1ean Air Act, as amended (42 U.S.C.1857 et seq., as amended by Public Law 91-604).:

(2) The tem "Water Act" means the Federal Mater Pollution Control Act, as amended (33 U.S.C.1251 et seq.. as amended by Public Law 92-500).

(3) The tem "clean air standards" means any enforceable '

rules, regulations, guidelines, standards limitations, orders, controls, prohibitions, or other requirements which are contained in. issued under, or otherwise adopted pursuant to the Air Act or Executive Order N 11738, an applicable implementation procedure as described in section 110 (d) of the Clean Air Act (42 U.S.C.1857c-5(d), an. approved implementation procedure or plan under section 111(c) or section Ill(d),

respectively, of the Air Act (42 U.S.C.1857c-6(c) or (d), or an approved implementation procedure under section ll2(d) of the Air Act (42 U.S.C.1857c-7(d).

(4) The tem "clean water standards" means any enforceable limitation, contro), condition, prohibition, standard, l or other requirement which is promulgated pursuant to -

the Water Act or contained in a pemif, issued to a discharger by the Envir'o'nmental Protection Agency or by a State under an approved program as authorized by section 402 of the Water Act (33 U.S.C.1342) or by I local Goverment to ensure compliance with pretreatment

regulations as required by section 307 of the Water Act (33U.S.C.1317).

(5) The tem "compliance" means compliance with clean air or water standards. Compliance shall also mean compliance with a schedule or plan ordered or approved by a court of competent jurisdiction, the Environmental Protection Agency or an air or water pollution control agency in accordance with the requirements of the Air Act or Water Act and '

regulations issued pursuant thereto.

m -

r o .

1 (6) tion, structure, mine, vessel or other f .

vised by the grantee or subcontracto the perfonnance of work under a grant or subcontract Where a location or site of operations contains or .

includes more than one building. plant. Installation, or to be a facility except where the Director.

Federal Activities. Environmental Protection Agency.

detemines one thatarea.

geographical independent facilities are collecated in

20. Liability and tosses '

of any activities undertaken with the financial sup

21. s Chanoes in Princioal Investicator or Technical Objectives 4

The grantee shall be permitted to change the methods and procedures employed in perfonning the research without the need to make special reports on proposed actions or obtain NRC approval. Significant changes in methods or procedures shall be reported reports and final technical reports. However, in the event the to NRC in status

- methodology or experiment is proposed as a specific stated objective of the research Grants Of ficer, work, it shall not he changed without approval of the i b.

The stated objective of the research effort shall not be changec, except with the approval of the NRC Grants Officer.

c.

of research, shall not be changed except with the pr of the NRC Grants Of.ficer, d.

The grantee shall obuin the approval of the NRC Grants Officer to change the principal investigator, or to continue the research work during a continuous period in excess of three months without the participation of an approved principal investigator.

e.

The grantee cipal shall consult with the NRC Grants Officer if the prin-investigator plans to,,or beccees aware that he will, devote substantially approved less effort to the work than that anticipated in the proposal.

If NRC detemines that the reduction of effort would be so substantial as to impair the successful prosecution of the research other appropr,iate modification of the grantit may request a chang or may suspend or Suspension or Terminatten for cause and Termination by ,

Agree ent, respectively.

e

.' e g .

I ') -

ir . -

22. Site Visits The NRC. through authorized representatives has the right, at all reasonable times, to make site vists to review project accomplishments and management control systems and to provide such technical assistance as may be required. If any site visit is made by the NRC on the premises of the grantee or a contractor under a grant, the grantee shall provide and shall require his contractors to provide all reasonable facilities and assistance for the safety and convenience of the Government representa-tives in the performance of their duties: All site visits and evaluations shall be perforr:ed in such a manner as will not unduly delay the work. ,

23. Title to Ecuipment -

tJnless othenvise specified in the grant instrument, title to equipment purchased or fabricated with NRC grant funds by a college or, university.

other nonprofit organization, or a unit of State or local Government shall vest in the grantee institution, with the understanding that such equip-ment (or a suitable replacernent obtained as a trade in) will remain in use for the specific project for which it was obtained.

24 Oceani,zational._ Prior Aoproval System I

a. ,

In order to carry out its responsibilities for monitoring project performance and for adhering to grant tems and conditions, each i perfonning organization shall have a system to ensure tnat accro- '

priate authorized officials provide necessary organizational reviews and approvals in advance of any action that would result in either the perfomance or modification of an NRC-supported activity where such approvals are required by the grant instrument including the cbligation or. expenditure of funds where the governing cost principles either prescribe conditions or require approvals.

b.

The organization shall designate an appropriate official or

officials in a, above. to review Preferabl and approve the types of actions described official (s) who sign (s)y, the official (s) should be the same or countersign (s) those types of requests that require submission to and approval by' NRC. The designated official (s) official havi shall not be the princf#al investigator or any N direct responsibility for the actual conduct of i

, the project, er a subordinate of such individual.

25. Audit and Records  ;

a. t I

Financial records, supporting documents, statistical records, t

and other records pertinent to this grant shall be retained l

by theReport.

Final grantee for a period of 3 years from submission cf the i

(1)

Records that relate to audits, appeals, litigation, or

the settlement of claims arising out of the perfomance l of the project shall be retained.untti such audits, appeals,

( litigation, or3claims have been but in any

' disposed event of,bmission not less than ,

years after final report su .

( _ _

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

\

. ;0 (2)

Records relating to projects subject to specia requirement for reporting income expires.end of the g b.

of their duly authorized representativTheorNRC any and the C any pertinent books. documents, papers,es, shall haya acce,ss to organization, and of the performing organization, if different,and to make audits, examinations, excerpts and transcripts. Further, any contract in excess of $10.000, made by the gra Comptroller General, or any of their duly authorized represen-tatives, shall purposes. have access to pertinent records for similar

c. .

In order to avoid duplicate recordkeeping HRC may make special arrangements for joint use. with grantees to retain any r,ecords that are needed not needed by the grantee when it determines that 'the r possess long term retention value. .

applicable to the grantee.to or maintained by NRC, the 3 year In the event that these provisions are exercised. NRC will negotiate a mutually agreeable arrangement with the grantee regarding reimbursement of costs.

26.

Standards for Financial Manacement Systems NRC grantees shall have financial management systems that meet the requirecents of Attachment F to CMS Circular A-110. -

f e

f e

e 4

9 s.,____ ._.-, __ .___-

__-y.-. - - - , _ _ _ _ . _ . . _ . . . , . . _ _ . . _ _ .

t . .g

a. . .e e

• t Form NRC 489 i j (( . (1 76)

U. 5. NUCLE AR REGULATORY COMM15510N .-

NRC MANUAL .

TRANSMITTAL NOTICE CHAPTf_S f.*R -3202 FC:LICATION OF WDINICAL REPORTS PEPARED BY ?E t 00'TPMRS, INCWDIN3 EPORTS PEP /ED UTER OR .

R~dMA'T" TO If7PERAGENCY A35mETPS SUPERSEDED: TRANSMITTED:

Number Date Number Date t

TN 3200-21 Chapter NRC-3202 4/29/82 Chapter NRC-3202 6/29/64 l Page Page Appendin NEO-322'2 h/29/82 Appendia I'L 3202 8/29/64 REMARKS:

This revision of Chapter 320? expands the chapter fmm coverace of unclassified reperts to include tha rarking and handling of sensitive unclassified irterration (Official Use Only and Lir.ited Official Use '

Inforratien, Safeguards Inforrntion, Pmprietary Inferration) and classified irforration (Tep Seemt, Secret, and Confidential). A secticn has also teer. added to set forth procedures for the handlinc  !

cf unclassified regrts en N*: cooperative pirgra:m with foreign >

ccverr.r.er.ts Fr.d erranizaticr.s and with U.S. industry.

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I e J l(

U.S. NUCLEAR REGULATORY COMMISSION NRC MANUAL Volute: 3000 Information and Foreign Activities Part : 3200 Technical Information and Document Control ADM 1

CH APTER 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS i 3200 COVERAGE This chapter and its appendix handbook establish responsibilities, basic requirements, standards and procedures for the documentation, production l and dissemination of technical reports prepared by NRC consultants and l grantees and by NRC contractors and their subcontractors, including reports l prepared under tir pursuant to interagency agreements or memorandums of i

understanding. These reports are hereaf ter referred to as contractor re-port s . 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.

! \ '

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

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

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

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

02E to provide for coordination of press or other media releases.

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

- a. develops and maintains, in consultation with Directors of Offil:es and Divisions and Regional Administrators, NRC standards, proce-(- dures and guides for the production and dissemination of technical contractor reports.

Approved: August 29, 1984 l

PUBLICATION OF TECHNICAL REPORTS PREPARED BY I NRC CONTR ACTORS, INCLUDING REPORTS PREPARED NRC-3202-032 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS *! ,

1

b. periodically surveys report activities throughout NRC to ascertain that the provisions of this chapter are adequate and are being .

implemented; makes any changes needed.

032 The Director. Division of Technical Information and Document Control:

a. develops and administers a central report control system for idenii-1 fying, printing and distributing contractor reports and responding to requests for unclassified reports.  ;

r

b. develops and maintains guides and standards for the documentatien, i formatting, printing, dissemination, and public sale of unclassified  ;

contractor reports.

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

prior to dissemination.  !

J

d. establishes and administers interagency agreements necessary for the i dissemination and public sale of onclassified contractor reports and ,

i controls duplication and printing ci contractor reports to assure i adherence to the Government Printing and Binding Regulations [

i issued by the Joint Committee on Printing (JCP), Congress of the .

I United States.  !

4  !

) e. in response to requeats of Directors of Offices and Regional i j Administrators, establishes distribution data banks, maintains official l l standard distribution lists for automatic distribution of unclassified i

! contractor reports, and controls distribution to assure adherence to [

the Government Printing and Binding Regulations, the Privacy Act.  !

and the Freedom of Information Act. i l

033 Directors of Offices and Regional Administrators:

{

a. establish the contract or Standard Order for Work

• provisions, including those required by this chapter and its appendix; Chapter [

NRC-3203, Distribution of Unclassified NRC Staff- and Contractor- l Generated Documents and its appendix; Chapter NRC-0260, Print- l i ing. Copying, Graphics and Photography and its appendix; and  :

i Chapter NRC-Il02, Procedures for Placement of Work with the  !

l Department of Energy. In the statement of Work i

i (1) specify what reports will be reviewed for policy, management.  !

and legal issues by NRC staff in draft prior to printing and  !

, distribution. If the report is to be reviewed by NRC staff, i l give the conditions under which the contractor may publish  !

! documents in the event of unresolvable differences relative to l the draf t, including the type of disclaimer to be used in addi- i j tion to the standard government disclaimer (see Exhibit 6), [

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

Work. See Chapter NRC-1102.

i l Approved: August 29, 1984 i

(

, (  !

PUBLICATION OF TECHNICAL REPORTS PREPARED BY  !

." NRC CONTRACTORS, INCLUDING REPORTS PREPARED l UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS N R C-3202-034  :

(2) provide for the reviews necessary to insure that the national  !

security , patent rights , copyrights , proprietary rights and j rights in other sensitive unclassified information are not i compromised by the release or dissemination of the reports.  !

If DOE contractors are- to be authorized to make the reviews, i designate the contractor officials who are authorized to sign  !

NRC Form 426A prior to NRC distribution of reports (see l

' Appendix , Part IV). Assure that sensitive unclassified and 3 classified reports are marked and handled properly (see  !

Appendix, Part V). [

e  ;

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

. appendix.  ;

(4) specify whether formal reports shall be printed by NRC or 'he i contractor if the contractor has a JCP-authorized federal print-  :

ing plant (see Appendix, Parts 11 and IV).

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

distributed by NRC.

(6) establish the number of copies the contractor may retain or  :

request for internal and external distribution and charge

( against NRC. Written justification must be provided , and approval obtained of the NRC JCP representative (the Director,

(

l Division of Technical Information and Document Control) when j the number exceeds the 50 copies authorized by JCP for ,

unclassified reports. l (7) assure the protection of classified and sensitive unclassified information , if any, in contractor reports (see Appendix, j Part V). i

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

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

?

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

Division of Technical Infonnation and Document Control. i

e. establish procedures for review of contractor's proposed press and other media releases. l 034 The Office of the Executive Im:a1 Di meter provides legal review anFadvice to NRC staff on questions regarding inventions, patents,  :

proprietary information, use of copyrighted material, national security, and  !

other sensitive unclassified and classified information.

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

Approved: August 29, 1964

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR.\CTORS, INCLUDING REPORTS PREPARED .

. N. C-3202-03G UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS 036 The Director. Divisiop, of Security:

a. administers the overall information security program which includes management of the security classification program and other programs for the protection of sensitive unclassified information.

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

037 The Director, Division of Contracts:

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

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

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

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

(. ensures that arpropriate clauses are included m contracts regarding the private use and protection of classified, proprietary and other sensitive unclassified information.

3202-04 DEFINITIONS *

04) camera-readv copy - pages ready for printing by the offset prmtmg process. This is a colloquial term used even though the printmg process may not involve the so-called copy camera (see also reproducible masters).

042 central report control system - means for developing and maintaining the policies, procedures and guides needed to identify and p*oduce regulatory and technical reports and to assure adherence to requirements and standards for documentation, formatting. printing and dis,tribution.

043 contracto report -

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

Words underscored in de'mitions are also defmed in list.

Approved: August 29, 1984

• t PUBLICATION OF TECHNICAL REPORTS PREPARED BY t

. NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-044

( 044 copyright - a form of protection provided by the laws of the United i

States (Title 17. U.S. Code) to the authors of "original works of authorship" 1 including literary, dramatic, musical, artistic, and certain other intellectual i works. This protection is available to both published and unpublished works. i Copyrighted material may not be reproduced without the permission of the '

author or publisher.

045 disseminate - to r.nounce the publication of reports and make them  !

available for free distribution, sale or copying. [

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

viduals to assure their participation in the regulatory process and support of i research and technological investigations. Such distribution may be accom-  ;

plished by the use of standard distribution data banks established and main-tained by the Division of Technical Information and Document Control based ,

on the requests of the originating Office or Region.  ;

047 documentation - classification and associated markings required for classified or sensitive unclassified documents , the NRC report number  ;

unique to the report, title (and subtitle, if any), author or correspondent (fi t any), organization identification and contract number (or FIN number), date and availability.

048 d_raf t or final material for inclusion in "Safety Evaluation Reports"

(_ or "Environmental Statements" (ES) - written material requested for input to SERs or ESs to be issued as NUREGs. Such material may be edited or modf- t fied at the discretion of the NRC staff. l 049 formal technical reports - the final product of research, an original investigation. or a significant compilation of information. This product is a formal technical report for publication in the NUREG/CR series. For extensive long-term projects, formal monthly, quarterly or semiannual and annual peri-odic technical reports may be required. A draft of the final or periodic report may be requested for comment prior to preparation of the camera-ready copy.

0410 NRC project manager - the NRC staff member responsible for the work performed by consultants or contractors and their subcontractors, or for work performed under or pursuant to an interagency agreement.

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

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

0413 publicly available documents - information (reports and references) which is available in the NRC Pubhc Document Room (PDR) t'or public inspec-tion and copying or available in the public domain.

Approved: August 29, 1984

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

N R C- 3202-0414 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 0414 reproducible masters - camera-ready copy which includes (1) origi-nals of line drawings (or prints that can be copied), (2) glossy prints of black and white photographs (colored photographs cannot be reproduced).

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

0415 technical reports - information on the technical aspN:ts of contract work. These may be interim or final technical letter reports, draft or final formal technical reports for publication in the NUREG/CR or NUREG/CP series, or draf t or final material for inclusion in SERs or ESs.

0416 technical letter reports (also caUed technical evaluation reports)

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

facility certification reports, and test result reports.

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

3:02-05 B blC REQUIREMENTS q 0 51 Applicability. The provisions of this chapter and its appendix apply to NRC consultants, grantees, contractors and subcontractors, including those

, working under interagency agreements, whose contracts require the prepara-tion of technical reports. Because of the unique requirements of NRC boards,

panels , advisory committees and Offices which report directly to the l Commission, the handling of reports prepared by consultants and contractors j to them are governed by the Board or Panel Chairman and, in the case of advisory committees, by the Advisory Committee Management Officer, or the Commission . These exceptions do not preclude the use of the NUREG/CR series designation on reports prepared for these entities that are to be given wide public dissemination.

052 Forms. NRC ForTn 426A, "Publication Release for Unclassified NRC Contractor and Consultant Reports" (Exhibit 5), NRC Form 335, "Biblio-j graphic Data Sheet" (Exhibit 7), and NRC Form 190, ' Cover Sheet for Reports

Containing Proprietary Information" (Exhibit 19), shan be used as previded in the appendix.

i

053 Appendix 3202. This appendix contains standards and procedures for the preparation of reporting requirement portions of Statements of Work, ,)

and for the documentation, production, and dissemination of technical reports prepared by contrtetors and other government agencies in accordance with

! contract requirements or interagency agreements.

Approved ; August 29, 1984

i

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSt' ANT TO INTER AGENCY AGREEMENTS NRC-3202-054 054 Preparation Requirements

a. Reports to be Printed bs NRC. All contractor reports to be printed by RRC shall be prepared according to Appendix 3202. The repro-ducible masters for the req @ite distribution shall be transmitted to the Division of Technical Infor, ration and Document Control accom-panied by completed NRC Form 42b/. and NRC Form 335.

b. Reports Printed by Authorized Federal Printing Plants. All contrac-tor reports to be printed by the contractor (as specified by the cont ract , a g reemen t , or standard order for work) shall be prepared according to Appendix 3202, and a ieproducible master and suffi-cient copies for standard and incidental distribution shall be sup-plied to the Division of Technical Information and Document Control.

accompanied by completed NRC Form 426A, signed by the authorized contractor official. Each such report shall include, as the last pa,,c, a completed NRC Form 335.

055 References. The NRC chapters referenced and NUREG-0794 (ref, j) and NL' Reds 0550 def. i) are available from the Division of Technical Informa-tion and Document Control. The other publications are available from the Government Printing Office.

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

b. Chapter and Appendix NRC-2!01, "NRC Security Program."

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

d. Chapter N R C - 110'.' . "Procedu res for Placement of Work with the Department of Energy ."

e. Chapter NRC-3200. "NRC Contractor Speeches, Papers and Journal Articles on Regulatory and Technical Subjects "

f. Chapter NRC 3207, "Conferences and Conference Proceedings ,"

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

h. Government Printing and Binding Regulations of the Joint Committee on Printing. Congress of 'he United States No. 24, April 1977 (JCP Regulations), Government Printing Office.

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

Government Printing Office.

Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLt' LING REPORTS PREPARED -

N R C-3202-055 l'NDER OR PURSUANT TO INTER AGENCY AGREEMENTS J. "Technical Writing Style Guide." A. W. Savolainen et al. , compilers, l'.S. NRC Report NUREG-0650, November 1979, and Supplement 1.

February 1982.

K. "Protection of Unclassified Safeguards Information," D. J. Kasun.

USNRC Report St* REC-0794, October 1981.

1. Chapter NRC 0255, "Mail Management," and Appendix 02'55, Part V.

Annex A.

I Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY s

,s NRC CONTRACTORS, INCLUDING REPORTS PREPARED }

,- UNDER OF. PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202  ;

I L r CONTENTS .

PAGE PART I PREPARATION OF REPORTING-REQUIREMENTS PORTIONS OF STATEMENTS '

OF WORK FOR CONTRACTS. GRANTS AND STANDARD ORDERS FOR DOE WORK i

A. LIST OF TECHNICAL REPORT REQUIREMENTS......................... I  !

2 B. REQUI REMENT S FOR FORMAL REP 0RT S. . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2 r C. REQUIREMENTS FOR DRAFT REP 0RTS................................

D. PUBLISHING UNCLAS$1FIED, NON-SENSITIVE INFORMATION 3

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

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

F. REPORTS CONTAINING SENSITIVE UNCLAS$1FIED AND 4

CLASSIFIED INFORMAT10N........................................

! G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES 4

AND WORKSH0PS.................................................

5 H. WRITING AND PUBLISHING UNCLASSIFIED B00KS.....................

5

1. DISTRIBUTION OF REPORTS TO CONTRACTORS........................

J. COORDINATION OF PRESS OR OTHER MEDIA RELEASES 5

' 0F UN;LAS$1FIED INFORMAT10N...................................

4 7

PART !! UNCLASS!FIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC...

7 j A. 0 0 C UM E N T AT 10 N . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7

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

7

2. Front Cover and Title Page............................... 9

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

9

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

9 S. Previous Reports in Series...............................

9

6. Abstract.................................................

7. References and Bibliographies............................ 9 10

8. Bibliograpnic Data Sheet............................. ...

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

1 10

1. Patent Review............................................ 10 i 2. Security Review..........................................

J August 29. 1984 s

i Approved:

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

NRC Appendix 3202 l'NDER OR PURSUANT TO INTERAGENCY AGREEMENTS a

CONTENTS (Continued)

PAGE C. PROCEDURES FOR PRINTING AND 015TRIBUTING...................... 11

1. Printing................................................. 11

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

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

1. Sample Cover for Unclassified Formal Contractor Prepared Reports, Excluding Those Printed oy 00E Laboratories with JCP Authorized r ederal Printing P1 ants........................................... 13

2. Sample Title Page for Unclassified Formal Contractor-Prepared Reports Excluding Those Printed by 00E Laboratories with JCP Authorizec Federal Printing P1 ants................................ 14

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

4. Sample Title Page for Unclassified Formal Reports Printed by DOE Laboratories with JCP Authorized Federal Printing E1 ants.............................................. 1 ............ 16

5. NRC Form 426A, Publications Release............................... 17

6. Olsclaimer and Availability 5tatements............................ 18

7. NRC Form 335. Bibliographic Data Sheet................. .......... 19 PART !!! UNCLA551FIED TECHNICAL LETTER REPORT 5........................ 21 A. F0RMAT....................................................... 21

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

2. Requirements............................................ 21 B. PATENT AND SECURITY REVIEW5................................. 21

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

2. Security Revie.......................................... 22 PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE OFFICE OF NUCLEAR REGULATORY RESEARCH BY DOE LA80RATORIES WITH JCP- AUTHORIZED F EDE RAL PRINTING PLANT 5. . . . . . . . . . . . . . . . . . . . . . 23 A. 00CUMENTAT10N............................................... 23 1

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

2. Front Cover and Title Page................. ........... 23 Approved : August 29. 1984 11

i PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED .

.' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 CONTENTS (Continued)

! i PAGE r

3. Availability and Price Information..................... 25 l 4 Disclaimer............................................. 25  :

5. Previous Reports in 5eries............................. 25  ;

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

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

8. Bibliographic Data 5heet............................... 26 l B. PATENT AND SECURITY REVIEW 5................................. 26  ;

r

1. Patent Review.......................................... 26 l

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

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

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

3. Distribution of Reports................................ 27 l

PART V REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND j CLASSIFIED INFORMAT1.ON...................................... 29  ;

., f A. APPLICABILITY.................... .......................... 29 L

B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION...... 29 C. PROPRIETARY INFORMAT10N..................................... 30 4

0. SAFEGUARD 5 INFORMATION...................................... 31 i L

E. CLASSIFIED INFORMAT10N...................................... 31 4

EXHIBITS I i 8. Sample Cover for a Contractor Report Containing Of ficial Use Only Information.................................................. 33 l

l 9. Sam.ple Title Page for a Contractor Report Containing Official l Use Only Information.............................................. 34 {

r l 10. Sample Back Cover for a Contractor Report Containing Official I use Only Information.............................................. 35 4

I 11. Sample Cover for a Contractor Report Containing Limited 36 i Official Use Information.................... .....................

i'

, 12. Sample Title Page for s Contractar Report Containing Limited 37 Official Use Information....... .. ...............................

i y- >

i  !

L i i i l i

iii Approved: August r3.1984 L i  !

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

PUBLICATION OF TECllNICAL REPORTS PREPARED BY NRC CONTR ACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS CONTENTS (Continued) i PAGE

13. Sample Back Cover for a Contractor Report Containing Limited l Official Use Information........................................... 38 i

14. Sample Cover for a Contractor Report Containing Proprietary [

Information Obtained from a 0.5. Organization................*..... 39 j i

15. Sample Cover Page for a Contra 4h r Report Containing ,

Proprietary Information Obtained from a Foreign Source............ 40  ;

i

16. Sample Title Page for a Contractor Report Containing I

. Proprietary Information Obtained from a U.S. Organization......... 41  ;

i

, 17. Sample Title Page for a Contractor Report Containing l Proprietary Inf ormation Obtained f rom a Foreign Source. . . . . . . . . . . . 42 5

18. Sample Back Cover for a Contrac'.or Report Containing  !

Proprietary Information........................................... 43 1

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

20. Sample Cover for a Contractor Report Containing [

Unclassified Safeguards Inforeation............ ................... 45 -

r r

21. Sample Title Page for a Contractor Report Containing  ;

Unclassified Safeguards Information............................... 46 ,

l 4 22. Sample Back Cover for a Contractor Report Containing i Unclassifiec Safeguards Information............................... 47  !

t

23. Cover sheet for a Contractor Report Containing Unclassified I i Safeguards Informatior............................................. 48 [

4  :

PART VI. HANDLIN3 OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE I PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH 49 INDU5TRY..................................................... .

i l '

A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR ComENT......... 49 1

] B. 015TR180T!0N BY NRC PROJECT MANAGERS......................... 50

~

i C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT............... 50 C l

D. REPORT 10ENTIFIERS........................................... 50  !

?

E. MAIL!hG TO PROGRAM PARTICIPANTS.............................. 51 I r. StCuRITY.. .. .... ................ ........................ 51 t

i Approved: August 29, 1984 iv

[

._..._.._..___._______~c._._. .___._.,._.__._-__..__._.m_

__._,-,__..____,___I*

PL'hLICATION OF TECliNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED t*NDER OR PURSU ANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 CONTENTS (Continued)

PAGE EXHIBITS 24 .> ample Cover for a Draft Preliminary Report (Code) for Comment...

52

25. Transmittal Letter from Contractor to NRC Project Manager for Draft Preliminary Report (Code)................................... 53

26. Tran5mittal Sheet for Reque5 ting Mailing to Cooperative Program Participant 5...................................................... 54 1

I v Approved: August 29. 1981

0

• PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED

', UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 I

L PARTI PREPARATION OF REPORTING REQUIREMENT PORTIONS OF STATEMENTS OF WORN FOR CONTRACTS GRANTS AND STANDARD ORDERS FOR DOE WORN A. LIST OF TEClINICAL REPORT REQUIREMENTS List the technical reports required from each project task or subtask, as applicable. State when and to whom they should be submitted and what they should contain. These reports may be unclassified, sensitive unclassified or classified. Standards for each of these categories are presented in Parts !! through V. The following definitions describe the types of reports that may be specified; technical reports - information on the technical aspects of contract work. These may be interim or final technical letter reports, draf t or final formal technical reports for publication in the NUREG/CR or NUREG/CP se ries , or draf t or final material for inclusion in SEM or ESs (see definitions below).

technical letter reports (also called technical evaluation reports) -

interim or final ;etters that provide information on the technical aspects of the contract work. Interim technical letter reports may be required at various stages of a project. These interim letters usually are followed by a final technical letter report or a formal technical report. Final technical letter reports are usually specified in situations where the technical work is review and evaluation of work of others or work to be used by the staff in the licensing and regulation process. Interim letter reports may include, but are not Itmited to, informal (interim) progress reports . quick-look reports, data reports, status summary reports, project descriptions, pre test predictions , model verifications, experiment safety anal-yses. experiment operating procedures , facility certification reports and test result reports. These reports must be identified with the ftnancial number (FIN) assigned to the project. They are not to be identified with DOE registered report codes. The num-ber of copies to be prepared and the distribution of those copies will be specified by the project manager, formal technical reports - the final product of research, an original investigation, or a significant compilation of information. This pro-duct is a formal technical report for publication in the NUREG/CR or NUREGiCP series. For extensive long term projects, fonnal monthly, quarterly or semiannual and annual periodic technical reports may be required. A draf t of the final or periodic report may be requested for comment prior to preparation of the camera-ready copy.

1 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTR ACTORS, INCLUDING REPORTS PREPARED -

Part 1 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS draft or final material for publication or inclusion in SERs. ESs.

letters. or license amendments - written material requested for use in the NRC h;ensing process. Such material may be (1) abstracted in a NUREG report or attached to a NUREG report (2) attached to a letter or an amendment to the license, or (3) abstracted and used as necessary by the NRC staff. NRC requires patent review and full management review of this material by the performing organiza-tion . This material is to be submitted to NRC as a technical letter report addressed to the project manager and identified by the FIS number For purposes of this Part, contractor means a private contractor, con-sultant, grantee, another State or Federal Agency workfhg under an interagency agreement. or a DOE / facility or National Laboratory (con-tractor) and subcontractors.

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

Div.ision of Technical:nformation and Document Control. NRC, Washington, D.C. 20555, by first class mail. For handling of sensitive unclassified and classified reports see Part V of this appendix and NRC Appendix 2101 Unclassified reports printed for the Office of Nuclear Regulatory Research should be handitd in accordance with Parts IV and V of this appendix and/or Chapter 1102.

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

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

If agreement on the changes is reached, the NRC manager will authoriae the contractor to prepare the final copy and submit it to the project manager, if it is a letter report or input to an SER or ES, or to the Director, Division of Technical Information and Document Control, if it is Approved: August 25, 1984 2

t PUBLICATION OF TECHNICAL REPORTS PREl:/. RED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR Pt'RSUANT TO INTERAGENCY AGREEMENTS Part 1 l lrk-camera-ready copy for printing and distribution. This is to be done to ,

assure proper publication, handling, and distribution and, among othtr things, to preclude further changes that might nullify the agreement. If .

caveats were agreed to and the project manager wishes to check the final  !

document for their presence. he/she should inform TIDC of that desire.  !

In that case, upon receipt of the camera-ready copy by TIDC, the project  :

manager will be informed and requested to prepare and sign the NRC  !

Form 426A.

i Also state that if agreement on changes to a formal technical report to i be issued in the NUREG/CR series is not reached, the NRC project manager may request the contractor to prepare the camera-ready copy i with, in addition to the standard disclaimer required on all contractor  :

formal reports (see Exhibit 6), any caveats deemed necessary to cover L NRC objections. Such caveats may range from the "The views upressed 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 L or footnotes at appropriate locations within the text, State that if NRC objections cannot be covered in this manner NRC can .

refuse to publish the report. In the case of DOE / National Laboratory  !

reports the DOE Operations Office Manager responsible for that labora- t 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 i Laboratory Director. In the case of another Federal agency, a State, or i a private contractor, the person who executed the contract should simi- I larly be informed by the NRC Contracting Officer. The contractor is i then free to publish without NRC identification of the report. Project i manager or higher level decisions may be appealed to the NRC Executive l Director for Operations. r D. PUBLISHING UNCLASSIFIED INFORMATION IN OPEN LITERATURE AND [

PRESENTING PAPERS t I

If the contractor's principal investigator is to be allowed to pu51ish in b the open literature instead of submitting a final report and/or present papers at public or association meetings during '.he course of the work, add the following statement to the Statement of Work: 1 The principal investigator (s) may publish the results of this work in the open literature instead of submitting a final report and/or present papers at public or association meetings at interim stages of the work.

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

The principal investigator (s) may publish the results of this work in g the open literature instead of submitting a final report and/or pre-j sent papers at public or association meetings at interim stages of the 6 work, if the article or paper has been reviewed by the NRC project 3 Approved: Aug ist 29, 1984

\

l .

PUBLICATION OF TECHNICAL REPORTS PREPARED BY I NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED .

Part 1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS manager in draf t form and agreement has been reached on the con-tent. The applicable procedures set forth in Chapters NRC-3206 or NP.C-1102 must be followed.

If agreement is not reached. NRC may also ask that the paper include ,

in addition to the standard statement "Work supported by the U.S. <

Nuclear Regulatory Commission," any caveats deemed new,sary to l l cover NRC objections. If NRC objections cannot be covered in tha i

manner, NRC can refuse to authorize publication in the roper4 litera-

! ture and/or presentation of papers.

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

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

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

If the contractor proposes to publish in the open literature or present the information at meettngs in addition to submitting the required tech-nical reports, approval of the proposed article or presentation should be obtained from the NRC project manager. The NRC project manager shall either approve the material as submitted, approve it subject to NRC-suggested revisions, or disapprove it. In ar.y event, a project manager I

may disapprove or delay presentation or publication of papers on infor-mation that is subject to Commissioner approval that has not been ruled l

upon or which has been disapproved, tSee Chapter 3206 for provisions relating to payment of page cl.arres and l travel costs for presentation of papers. )

E. TYPOGRAPHY The text of reports ;nust be single spaced on 8's x ll-in, paper, unless otherwise specifically authorized. Occasionally, reports with many sym-bols and mathematical expressions may require one and one-half spacing to provide for superscripts tnd subscripts . This spactng should ta ,

allowed where needed, but should be considered an exception, not th(  :

standard t l

F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION  !

Detai!> of the marking of reports designated Official Use Only. Limited Official Use, Proprietary Information , Safeguuds information , and classified (Confidential, Secret, and Top Secret) are provided in Part V of this appendix and in NRC Appendix 2101 G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND WORKSHOPS NRC publishes or assists in the publication of compilntions of papers presented at meetin gs , conferences, and symposiums in which NaC l

l l

i Approved: August 29, 1984 4 ,

l -

.. i

.

• t PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 l i- UNDER OR PURSUANT TO INTER AGENCY ' AGREEMENTS Pard I

(, .' participates as a sponsor or cosponsor. Chapter NRC 3207, "Conferences  ;

i and Conference Proceedings," provides general information and guidance I for this. More detailed guidance is available from TIDC upon request.  :

i H. WRITING AND PUBLISHING UNCLASSIFIED BOOKS

, NRC may, under certain circumstances , publish books prepared by  ;

I grantees or contractors. For general information and guidance on book  !

l publishing, see Chapter NRC-3210. "Book Writing and Publishing."  ;

i

1. DISTRIBUTION OF REPORTS TO CONTRACTORS 1

l Up to 50 copies of unclassified formal technical reports may be retained [

I by or will be bulk shipped to the contractor by NRC for internal use. t if fewer than 50 copies are needed, indicate the desired quantity on NRC  :

Form 420A. Single copies for specific individuals in organizations other than the contractor's organization who are not included in the distribution  ;

requested by the NRC project manager may be requested on a project  !

basis or on a report-by-report basis. The request, with written justifi- l cation, should be addressed to the NRC project manager, with a copy to NRC/TIDC. If the additional distribution is approved by the NRC  !

project manager, the contractor shall send these copies (if printing is  !

l done by the contractor) and address labels, even if printing is done by l l NRC. to NRC/TIDC. where the distribution will be made along with the t l standard distribu'. ion. Distribution of sensitive unclassified and classi- i l

( J.

fied reports will be made by the project manager on a case-by-case basis.

COORDINATION OF PRESS OR OTHER MEDI A RELEASES OF UNCLASSI-

! FIED INFORMATION A contractor may request permission to issue a press or other media t relt-a se on the werk being done. Such request s%all be made to the i project manager, who will consult with his/her management and with the  !

Office of Public Affairs. The contractor may not issue a press release on i nonroutine information without this prior coordination. This coordination  !

may be accomplished by telephor.e with the NBC project manager respon-  !

sible for expeditious handling. Decisions not to release information or i delays in handhng by the project manager may be appealed to the NRC f Executive Director for Operations, i

i i

I

( -

i i

5 Approved: August 29, 1984 f

e. o PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPC3TS PREFARED UNDER OR PURSUANT TO INTERAGENCY AGREENINTS NRC Appendix 3202 t

lL.  :

PART 11  ;

UNCLASSIFIED FORMAL CONTRACTOR REPORTS '

TO BE PRINTED BY NRC A. DOCUMENTATION r

1. Ayylicability

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

Contractors may not print reports prepared for NRC except '

those DOE laboratories with JCP-authorized printing plants and then only those reports prepared for NRC's Office of Nuelur  :

Regulatory Research,

b. With respect to sent.itive unclassified and classified reports. l the requirements set forth in Part V of this eppendix shall ba 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 commM-tees which report directly to the Commission.

(. 2. Front cover and Title f_ age ,

a. Separate covers and title pages are required (see Exhibits ! j and 2 for contractor reports and Exhibt'.s 3 an v 4 for reports j

. prepared under or pursuant te interagenwy agreements).*

b. The items shown in Exhibits I through 4 and discussed telow shall appear on the mie page and cover, as apprspriate.**

I (1) NRC Report Fugber Each report shall be identified by an NRC-contro!!ed alpha numeric de:ignation as the pr9ne designation unique l

to that report. The centralised repart contro' system for l

' unique identification is maintained by the Division of Technical Information .nd Document Control. Nits bers may be obtained by calling the Division of Technical Infor-i..ition and Document Control or by submitting a cop 3 of h AC Form 426A (Exnibit 5) with a request for a number.

s Reproducible copy of the cover of the performing organization may be sub-mitted; however, the data elements shon in Exhibit 1 must be included, as These requirements meet the specifications of American Natter 6 Standard ANSI Z39.18 1974. Guidelines for Fermat and Production of Jcientific and (r - Te<hnical. Reports, and ANSI 7AD.23 1974. Technical Report Numbers.

l 7 Approved: August 29, 1984 l .

,.,,,.._s ,. . _ . . _ _ , , - _ ___-..-..___.,7 , _ _ . . ..____.--..m . . . . - , _ . . , _ ,_._.-.._,g ,

a ,

Pl1BLICATION Op TECHNICAL REPORTS PREPARED Bi NRC ; Appendix 3202 NBC CONTRACTORS, INCLUDING REPORTS PREPARED Part 11 11NDER OR PL'RSUANT TO INTERAGENCY AGREEMENTS 1 he NRC l'dentificatien'namber will have the form:

NUREG/CR-XXXX or NUREG/CP-XXXX where CP indicates conference proceeding. The contrac-

. tor's report number, if any, may be inserted below the

, 'N'JREG number on the title page and cover, as shown in Ex.-ibits i througu 4, if desired by the contractor.

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

(2) Title and Subtitle (a) Use a brief title that indicates clearly the subject matter covered in the report, (b) When a report is prepared in i. are .than one volume, repeat the primary title on eer:b voiume.

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

annual report. final report, tn ni;;, etc. ) and the period covered 9s part of the subtitle.

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

Authors' n a m es, shoubt be given on the title page and cover unless this is unpractical, as in the case of annual rcports which have many contributors. If authors' contri-butions. are as editors , compilers, etc. , so indicate on the title page following the names. In addition, list affiliatfor, of each author only if affiliated with an organization other than the organization generating the document.

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

(5) Basis Mr Report Date(s)

(a) The basis for dating may be shown along with the de m the Htle page. Various bases for dating are r e s.W e.g. date report completed, date reviews wr.w eted , data publD!hed, date distributed, etc.

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

e Approved: August 29, 1984 8

\

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

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

4. Disclaimer The following notice will be added durir.g the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by an agency of the United States Government. Neither the United States Government nor any agency thereof, or any of their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any information.

apparatu s , product or process disclosed in this report, or repre-sents that its use by such third party would not infringe privately owned rights . " The following additional statement, "The views expressed in this report are not necessarily those of the U.S.

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

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

6. Abstract An abstract of 200 words or less shall be prepared for each formal report. Within the report, the abstract shall appear on a separate page between the list of previous documents in the series and the contents page.*

'i . References and Bibliographies Reports or other documents referenced in text, reference sections, bibliographies, and appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office, at the Natio:wl Technical Information Service , or at other reference or sales oudets) or in the NHC Public Document Room . This means that relerences should not be made to personal communications and interviews , unpublished This preferred positioning of the abstract in the report need not be followed manual of the originating organization requires a different

(

if the style location .

t' 9 Approved: August 29, 1984

e PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC ' Appendix 3202 NRC.. CONTRACTORS. INCLUDING REPORTS PREPARED Part 'll UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS -

information and information with restricted distribution (e.g.,

proprietary , national security , official use only, etc.). If the enretrievable information is important and unrestricted, it can be voted in the text. h> footnotes, or in appendixes. If credit is due to individuals, they can be mentioned in' the text nr in an acknow-ledge 7ent section. Availability may be stated collectively for all entries, (see Exhibit 6).

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

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

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

B. PATENT AND SECURITY REVIEWS

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

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

. If NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the government agency administer-ing the contract, the responsible NRC contracting officer shall be consulted , and the responsible NRC project manager shall consider the patent implications . If there is no need for patent review because of the certainty that the report contains no description of novel technical developments which may be of an inventive nature.

NRC Fonn 426A may be completed with the statement "Not Appli-cable" or "N/A" in the space for the Patent Counsel's signature. If there is a possibility that there is disclosure of developments of an .

inventive nature, the contracting officer shall request assistance I from the NRC Patent Counsel, Office of the Executive Legal l I;irector.

l i ,

2. Security Review ,

in most cases, contractor reports will be unclassified. Should a report of sensitive unclassified or classified work be required ,

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

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

Approved : August 29, 1984 10

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

. UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Part 11 C. PROCEDl'RES FOR PRINTING AND DISTRIBUTING

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

Such authorization shall be reported in writing to TIDC.

The Division of Technical Information and Document Control will review the masters for adherence to the standards set forth in this chapter and appendix and will arrange for printing and distributing the report . Unsatisfactory masters will be reported to the NRC project manager for appropriate contractual action by the contract-ing officer or, in the case of government agency or interagency '

agreement work, the publications manager of the performing organization.

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

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

If any distribution is to be made other than, or in addition to, the standard distribution established for the report, written justification and the project manager's approval for printing additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control . Address labels for the additional distribution must be supplied.

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

11 Approved: August 29, 1984

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

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS *e-(. EXHIBlf 1 SAMPLE COVER FOR UNCLASSlFIED FORT 4AL CGi4TRACTOC PGEPAGEO DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NUREG/CR 1676 NRC Heart No. NUSAC 556 Contractor Repo.t No. (if any)

Vol.1 Vol., Part, Rev., etc. (if a. yl 1, tie Using Advanced Process Monitoring to Improve Material Control

( Subti*le and Type of Report Final Report

( Annu al, T opical, etc.) September 1979 September 1980 l ._

Author (s) P' epa'ed be R L Ma* kien R ( Lynch R 8 Lwmb i

Contractor NUS AC laco,pof ated uRC 7,,;og;;o,, ,,, ,,,,,,

conm..s.on 13 Approved: August 29, 1984

PUBLIC.^. TION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTR ACTORS, INCLUDING REPORTS PREPARED -

Part 11_ _ _ , _

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS .

EXHIBIT 2 SAMPLE TITLE PAGE FOR UNCLASS!HHs NHMat CONTRACTOR-PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC REP. ORT No. NUREG CR 1676 Contractor Report No. (if any) gSAC 566 Vol., Part, Rev., etc. (if any)

Distribution Category No. (if any) 1,,,e Using Advanced Process Monitoring to Improve Material Control 1

Subtitle and Type of Report Final Repers Septembe' '979 September 1980

( Annual, Topical, etc.)

Report Dates arW Bases

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Approved: August 29, 1984 14

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NBC Annandiv . 9909

'am !!

UNDER OR PL'RSU ANT TO INTERAGENCY AGREEMENTS

- EXHIBIT 3 SAMPLE COVER FOR UNCLASSIFIED iCr.f.'AL "SfORTS PREPARED UNDER 0R PURSUANT TO INTERAGENCY AGREEMENTS 1

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15 Approved: August 29r 1984

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

Part 11 _

l'NDER OR Pl'RSU ANT TO INTER AGENCY AGREEMENTS' EXHIBIT 4 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL RE.CnTP, PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No.

Contractor's Report No.

Vol., Port, R ev., eic.

5 AN061-0151 Distribution R4 Category T,oe LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks Subtitle enoepencent venficat.on Testing Program Independent VerifsCalNin Iest 1 Report Date:

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Approved . August 29. 1984 16

. o PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRP Appendix 3202 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Pa=* II EXHIBIT 5 NRC FORM 426A, PUBLICATIONS RELEASE FOR UNCLASSIFIED NRC CONTRACTOR AND CONSULTANT P.5 POP.TS

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i 17 Approved : August 29, 1984

. :~. ...a.-.

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

UNDER OR PURSUANT TO INTER AG.v.NCY AGREE.M. ENTS .

EXHIBIT 6 .

DISCLAIMER AND AVAILABILITY STATEMENTE (BACK OF COVER)

NOTICE .

Th.s report was prepared as en semount of wert sponsored by en espey of sie Undeed tune Geeernnent Neither the United Seese Teeverronent ser any esmey teaweet, or any of sitoir oawlevoet, makes say werventy, empresser, or impsed, or samenee any Ingst it blisty of so-seemsedety 9er any third party's use, se the rests of esrot use. of any M M prodwt a presens diariseed m tows report, or repress *ee shot its use by ese gened party usedd not ebenpo prerstely owned rights NOTICE Aveitebel.1y of Refnnce histweels Cated in NRC PWbOElstens idoet doevments cited in N RC pubhceters will be eve.neble from one of the leitsenng souress

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

• eeheston, DC 20665

2. The N RC/GPO Seies Progrom, U.S. hweisse Repetetory Conwwwesen.

Washegton. DC 20655 3 The Aetionsi Technical informeten Service. Sonnefeld. V A 22181 AMhough the irrtmg that foltowe recreesari the masonty of eccwments cited in NRC seAlcatore 81 ts not inte60ed to be enhowstere Re4renced docwarvau eve.letpe for 6neoecten erus copyme for e fee from the NRC Pubhc Docw-ment Room meiwde N RC correspondence crus mternet NRC momereress NRC Offee of Irasecten end Enforcemeat bwiirims crewters, mformaten notese. mecocton and investapeten rotees.

L cw'see iveat Recorts. venoor rsoorn and correncondence. Commen.on pecers, and esaducent and hceense documenu end corresporwsonce The follownng documean in the NUREG ser.es ere eve.ieti te for purchsee hem the NRC/GPO Seine Proy e m : format NRC suff erus contractor reports. NRCegoesored eeniorence prosessmes. and NRC bookiets and brochwres Also avoitebse are RepAetory Guglas. NRC repstetere m the Com of I federe! Mepwlerene, end Nucerer RepAetery Commenen temoenese Documeau preitable kom the heteesi Technical intermeten Service 6rwivde NUREG owiss I recorn and technecN reports propered by other fedwel egene.e and reperu propered by the Atomac Enwgy Conwnessen, forerunner esency to the powceent Royaletory Commemnon DNunents steeleMe trem pubs c and spesel sospensel hhrones bulude all essiloogrease leens, asch es teek6 poumet and periodical articles. end transmetsere Feehrst Aspwor nessess, todwel eed siste leganoten, s*wl congreemenel resorts con inue e ty be otHeined hem thee istronse Documenu mich es themse esmerteters, lors on reseru erW troretatens, and nor48RC een8erense presseemse ere evodebte for purehese bem the ergernasten spessertog Wie en41leselon etted.

Smgie coo os of NRC draft escorts are ers.nebie fm, to the entent of mope r ,upon eness,ree,est to the Dmson of Technicet Inumeten and Documerg Cectrol. U S. hucaest RepAseery Com-n=een.Washevton. DC 206H Cue se of hea vstry ceNa and seende** ined in a subseenteve nenner in the h!!C espdesery pressus n meemaed ei the NRC Lerwy, reac herews A w. esemese. nervisad. and m ommen e.n ser terwee we by we pwwic. C de end sendre n imesy espynemed and may be l sureteed from the eng eim wgeweien w, a wey are Amer a amenos senadwe. *em po American heteret Senderde Institwie.1430 Broeduey,8een Yort, NY 10018.

Geo emese say, esse A pproved - Augu'. 24 1981 18

. - _ _ a

a PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annendix 3202

. UNDER OR PURSUANT TO INTERAGFNCY AGREEMENTS Fa"t II EXHIBIT 7 NRC FORM 336. BIBLIOGRAPHIC DATA SHEET

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY '

NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS .

EXHlBIT 7 (Continued)

BACK OF NRC FORM 336 DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT INtTRUCTeoNs NRC FORW 336. sleL:0GR APMic D AT A Smit?. Is B Alto 04 GutotLINil 80R FORWAT AND PR00VCTION 08 ScotNTaf sc AND TECHNIC AL REPORTS. ANil 239 10-1974 AVAILASLE PROM AWlRICAN SWAT 10NAL STANDARDS INSTITutt.1430 BROADW AY Ntw V0mn. NY 10018 E ACM $t PAR Af tLY 90VNO REPORT.FOR B R Ahe*Lt. t ACM VOLUWI IN A Wuttiv0LUWI SET.8M ALL MAVE 175 UNIOut SitLioGR APMIC OATA Snttt

1. REPORY NueestR. t un see... eve 99 eev as e,wt saeit 10. SPONSORisec ORG ANII AT604. L.st NRC 0.v44a 0H.ce, seer, a v a eve a paeaw meic en.gastiea tNURE01 ses gaed u 5 Nws ec Reevice*v Ceamese ea. Wumagtea. DC 20665 Dv the Ow.s ea e' Tham.co saf0*meten eae 00cwmeat Coatest ADM. .a ecce<eence wita A m c.cea Ne t4aai 11. 4 7YPt 0P REPORT. Siene dre's. fene' pes'.m.ary. tee <s'.

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$. AUTM0mtll. G..e ae*etst a coa eat v eas eeee le e . Jeaa De weed u eneen eate.es toe seteieg.ag A Dee. J Reeert Ocel L st owtae+ s s't. net,oa i8.iise* r-eat from tae oe 'eem.ag eapea.setea h 10t8871718R$ AND OPEN IN080 76Rhes. Use ceai.

f.e's fee prerect memes cose nomes, cewomeat sesceto's,

8. CAff REPORT issuto. teck eepoet sme's core, e sete etc Use eeea4aees teerweresi te<me ='.tten ea ce nce e'**

ine.<et.ag month one rese evWeemed form Ileel for taese owesects fee wach ne seecre'e' esett sa the theaew rwe

, T. PGRPORMING ORGAevi!Atl0N NAWS AND WAILING A00Rt&4 Gwe aeme, street, c.te, state. one Zie code in AVAILAtlLITY STAT 8 MENT. Denote evDs4 etieeteta+te.

List no move them two seve's ei om ergemsetemel h.e'escar . '

fee eaemene **wa lemetos". er sam tatea f ** estee^s etho' O seter the meme et the esteset4a enutiv as tone *e then secweety Ostro.ea. Of f <e. Octemestea e Gewerameat seeaty, eae ede.eu 14. SECURITY CLAttiPICATION. late v 8 Seev e.tv C.eu 4 catea sa ecce*seMe niin U S Secw et, Reg, ei eas i. e ,

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8. PROJE CT/T A8 E /WO R R UNIT NUsett R. Uw tae peo ect. wacieesdieel test eas went wa.t a vm%ees vasee semen the receet wee peeeves t.t eatl. 17. NuneetR OF Pacts. Leeve Dienk (Asees Dr NTill

9. FIN OR OR ANT NuneetR. sa ene asN ee e, eat av ane. 10. PRICt. Leeve Dwah ( Aessee D, estill v e ...ea ,e w i u p,oo.,oe i

Approved: August 29, 1984 20

_ _ . _ _ _ ~ ___

• 8 6

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED r UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART 111 UNCLASSIFIED TECHNICAL LETTER RdPORTS A. FORMAT

1. Applicability

a. The requirements of this part apply t'o unclassified contractor technical letter reports. (See Part I. A for definition.)

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

2. Requirements Te:hnical letter reports are prepared, duplicated and distributed in accordance with the requirements of the Statement of Work in the contract or in the Standard Order for DOE Work. Eech such report must be identified with the financial number (FIN) assigned to the project . The number of copies to be prepared and the distribution

/ of those copies will be specified by the project manager. If unclas-( sified and non-seasitive, the NRC project manager is responsible for making such Jeports available in the NRC Public Document Room

'.PDR ) by sending them to the PDR through the NRC Document Control System.

B. PATENT AND SECURITY REVIEWS

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

If NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the government agency administer-ing the contract, the responsible NRC contracting officer shall be consulted. and the responsible NRC project manager shall consider the patent implications.

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

21 Approved: August 29, 1984

PUBLICA'rlON OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC COlHRACTORS, INCLUDING REPORTS PREPARED -

Part 111 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS .

2. Security Review in most cases. contractor technical letter reports will be unclassi-fie 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 procedures and inform the contractor of such ptocedures. The standards for uarking and handling such reports are given in Part V of this appendix and NRC Appendix 2101.

1 f

l l

I i

Approved: August 29, 1984 22 l

PUBL.' CATION OF TECHNICAL REPORTS PREPARED BY s

NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202

?

PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE NRC OFFICE OF NUCLEAR REGULATORY RESEARCH BY DOE LABORATORIES WITH JCP-AUTHORIZED FEDERAL PPJNTING PLANTS A. DOCUMENTATION

1. Applicability

a. The requirements of this part apply to NRC staff who are responsible for agreements with DOE Laboratories and their contractors who print regulatory and technical reports re-quired by NRC. (See also Chapter NRC-1102).

b. With respect to sensitive unclassified and clast.ified reports the requirements set forth in Part V cf this appendix shall be used in conjunction with NRC Appendix 2101.

c. The recuirements of this part do not apply to consultants and contractors to the NRC boards, panels and advisory committees which report directly to the Commission.

2. Mont Cover and Title Page

a. Separate covers (of different paper than that of the text) and title page are required.*

b. Items such as those shown in Exhibits 3 and 4 and discussed below shall appear on the front cover and title pagc., as appro-p ria te . ** While layouts and typefaces need not be exactly the same as in Exhibits 3 and 4, the items shall appear in approxi-mately the locations indicated and with the same relative prominence.

(1) NRC Report Number Each report shall be identified by an NRC-controlled alpha-numeric designation as the prime designation unique to that document. The centralized report control system for unique identification is maintained by the Division of Technical Inforrration and Document Control. Numbers may The cover stock of the performing organization may be used; however it must include the data elements shown in Exhibit 3. ,

ss These requirements meet the specifications of Ar.nerican National Standard

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

23 Approved: August 29, 1984

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

The NRC identification number will have the form:

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

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

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

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

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

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

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

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

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

(b) Authors may be identified on backstrips (spines) of bound volumes.

(4) Organization identification (a) On the cover, provide the name of the contractor responsible for preparing the report, followed by "Prepared for the U.S, Nuclear Regulatory Commission." ,

Approved: August 29, 1984 24

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

(5) Basis for Report Dates (s)

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

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

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

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

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

Neither the United States Government nor any agency thereof, or

( - any of their employees, makes any warranty, expressed or implied, or assumes any legal liabilit) or responsibility for any third party's use, or the results of such use, of any inforination, apparatus, product or process disclosed, or represents that its use by such third party would not infringe privately owned rights." The fellow-ing additional statement, "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" will be printed below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed (see Part I.C.,

Requirements for Draf t Reports).

5. Previous Reports in Series If the report being prepared is one in an ongoing series, list all previous reports in the series. Include report numbers and issuance dates. Place this list on the back of the title page.

6. Abstract An abstract of 200 words or less shall be prepared for each formal report. Within the report, the abstract shall appear on a separate page between the list of previous documents in the series and the contents page.*

• This preferred positioning of the abstract in the document need not be fol-( lowed if the style manual of the originating organization requirer. a different location .

25 Approved: August 29, 1984

I PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED -

o Part IV UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS t

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

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

Guidelines for developing and presenting reference material are provided in NUREG 0650, "Technical Writing Style Guide," pub-lished m November 1979 (see Appendix A, pp.19-23, for specific guidance) and Supplement I dated February '1982.

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

B. PATENT AND SECUMITY REVIEWS

1. Patent Review Patent implications shall be considtred prior to approwl of reports .

for public release so that disclosure will not adversely affect the  !

patent rights of NRC or the contractor. The DOE Operations Office i responsible for the contractor should perform the patent review.  ;

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

2. Security Review i In most cases, reports will be enciassified. Should a report of sen- [

sitive unclassified or classified work be required, however, the NRC project manager must tork with the Division of Security to e establish the appropriate cussification procedures and inform the  ;

contractor. The standards for marking and handling such reports .

are given in Part V of inis appendix and NRC Appendix 2101. l i

d i

Approved: August 29, 1984 26

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• PUBLICATION OF TECHNICAL REPORTS PREPARED BY i

NitC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV C. PROCEDURES FOR PRINTING AND DISTRIBUTING

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

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

2 .' Reprinting Requests for reprinting of any report at NRC expense subsequent to the initial printing r* quires approval of the Division of Technical Information and Docur..at Control. The request shall include a written justification and the project managers approval for the re-printing, along with address labels for the recipients.

3. Distribution of Reports All copies of unclassified formal contractor reports will be distrib-

- uted by the Division of Technical Information and Document Control in accordance with instructions on NRC Form 426A (Exhibit 5).

NRC Form 426A must be signed by a contractor official authorized by the project manager. Such authorization shall be reported in writing to the Division of Technical Information and Document Control.

If any distribution is to be made other than, or in addition to, the standard distribution established for the report, written justification and the project manager's approval for printing additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control . Address labels f0r the additional distribution must be supplied. ,

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

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

27 Approved: August 29, 1984 L _ _ _ __.

_ --_ - -- ~ -

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PUBLICATION OF TEC5 NICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202

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PART V REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION A. APPLICABILITY These procedures and exhibits of this part apply to sensitive unclassi- ,

fied and classified reports prepared by NRC contractors. These reports include those designated:

Official Use Only Limited Official Use Proprietary Information Safeguards Information Confidential Secret Top Secret only sufficient information is presented here to aid in the preparation of the properly marked covers, title pages, back covers, and text pages.

Details of the NRC Security Program and specific provisions for deter-mining when to use the markings exhibited are contained in NRC

(.y Appendix 2101.

The reports covered are defined as sensitive unclassified or classified.

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

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

Classified information as used in this part includes Restricted Data, Formerly Restricted Data or National Security Infonnation 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 i following sections. All sensitive unclassified and classified reports are to be sent directly to the project manager.

B. OFFICIAL USF ONLY AND LIMITED OFFICIAL USE INFORMATION.

< NRC regulations require an Official Use Only marking to be placed on a

( report only when the orWinstor or other holder believes the marking is ,

s 29 Approved: August 29, 1984

._.... m. .

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

l' essential to ensure proper handling. Reports designated Official Use Only win contain only unclassified information originated by or furnished to an NRC contractor which is to be withheld from public disclosure. The report on which the marking appears must be reviewed at the time a request for release is received to determine its releasability. The Official '

Use Only marking is notice of the originator's determination of the applica-bility of an exemption under the Freedom of Information Act or Privacy Act or both at the time of origination. .

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

Limited Official Use information is information originated by the U.S.

Department of State. A report originated by an NRC contractor that contains Limited Official Use information shall be marked as shown in Exhibits 11 through 13.

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

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

tion . Proprietary information includes:

1. trade secre ,.

2. privileged or confidential research , developmen t , commercial or  !

g financial information exempt from mandatory disclosure under 10 CFR Part 2. "Rules of Practice for Domestic Licensing Proceed-ings," Sections 2.740 and 2.790 and under 10 CFR Part 9. "Public Records," Section 9.5, "Exemptions."

3. information submitted in confidence to NRC by a foreign source, l which has been determined by NRC to be unclasdfied.

! )

Unclassified NRC contractor reports containing proprietary information shall be marked as shown in Exhibits 14 through 18. In each instance, the optional wording that describes the material being presented should be selected, if a report contains both Official Use Only infomation and proprietary information , the front cover shall be niarked as proprietary information and may also be marked as Official Use Only information, if necessary.

Pages in the report that contain proprietary infonnation may be marked accordingly , including , marginal or other indicators of the specific wording that is proprietary. Similarily, the pages that contain Official ,

Use only information without proprietary infonnation may be marked '

Official Use Only Approved: August 29, 1984 30

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

('- Procedures for reproducing, transmitting, protecting and handling pro- i prietary information reports and removing them from the proprietary information category are detailed in NRC Appendix 2101. A cover sheet (Exhibit 19) is to be placed on each hard copy of a report containing proprietary information.

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

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

1. security measures for the physical protection of special nuclear material

2. security measures for the physical protection and location of certain plant equipment vital to the safety of production or utilization f, facilities .

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

Procedures for reproducing, transmitting, protecting, and handling safe-guards information reports and removing them from the safeguards information category are detailed in NRC Appendix 2101. A cover sheet (Exhibit 23) is to be placed on each hard copy of a report containing safeguards information.

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

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

31 Approved: August 29, 1984

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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 important to note that information may not be classified in order to prevent or delay the release of information that~ does not require protection in the interest of national security. Basic scientific research information not clearly related to national security may not be classified.

I Approved: August 29, 1984 32

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6 e PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Part V EXHIBIT 8 SAMPLE COVER FOR A CONTRACTOR REPOR1 CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY NUREGrCR AXXX (St Title Subtitle and Type of Report i Ed.torial 5 w lost Reguietorv Commission C

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33 Approved: August 29, 1984

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

l'NDER OR PURS1* ANT TO INTERAGENCY AGREEMENTS ,

EXHIBIT 9 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY NUREGICR.XXXX (S)

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OFFICIAL USE ONLY Approved ; August 29. 1984 34

e o PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS *se V EXHIBIT 10 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY

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l 35 Approved : August 29, 1984

• 4 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part \'

UNDFR OR PURSUANT TO INTERAGENCY AGREEMENTS EXHlBIT 11 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING y LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE NUF EG'CRXXXX (Si Title Subtitle and Type of Report 20.%, '*'*"

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Approved ; August 29, 1984 36 -

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LIMITED OFflCIAL USE 37 Approved: August 29,19i. l

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

EXHIBIT 13 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING ,

LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE LIMITED OFFICIAL USE 1

Approved : August 29, 1984 38

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Part V EXHIBIT 14 SAMPl.E COVER FOR A CONTRACTOR Rt! PORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION PROPRIETARY INFORMATION NUREG'CR-XXXX (P)

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39 Approved. August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part Y UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS -

EXHIBIT 15 SAMPLE COVER PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE PROPRIETARY INFORM ATION NUREG CR XXXX (Ps Title Subtitle and Type of Report Ast%oet et, idioet s)

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41 Approved: August 29, 1984

. e PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTR ACTORS, INCLUDING REPORTS PREPARED Pa rt \' UNDER OR PURSUAN'T___TO INTER AGENCY AGREEMENTS 3

EXHIBIT 17 SAMPLE TITLE PAGE FOR .A CONTRACTOR REPORT CONTAINING PROPRIETARY IN,'ORMATION OBTAINED FROM A FOREIGN SOURCE b

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Approved: August 29, 1984 42 l

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT 'IO INTERAGENCY AGREEMENTS rar v EXHlBIT 18 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION PROPRIETARY INFORMATION PRCPRIETARY INFORMATION p

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43 Approved: August 29. 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 19 COVER SHEET FOR REPORT CONTAINING PROPRIETARY INFORMATION

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Approved: August 29, 1984 44 l

g PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annandiv '4907 UNDER OR PURSUANT TO INTERAGENCY ACBEEMENTS Part V EXHlBIT 20 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEOUARDS INPORM ATION NUREG'CR XXXX (SGI Title Subtitle and Type of Report Authortel. Editor (s)

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTR ACTORS. INCLUDING REPORTS PREPARED .

Part V UNDER OR PURSl' ANT TO INTERAGENCY AGREEMENTS EXHIBIT 21 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEQUARDS INFORMATION NUREG'CR XXXX (SG)

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pan V EXHIBIT 22 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGU ARDS INFORMATION B

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47 Approved: August 29, 1984

PUBLICATION OF 'l ECHNICAL REPORTS PREPARED BY '

NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 23 COVER SHEET FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEOUARDS INFORMATION T '

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,k UNAUTHORIZE0 DISCLOSURE.10 CFR 73 21 AND SECTION 147, ATOMIC ENERGY

, ACT OF 1954 APPLY. VIOLATIONS ARE SUBJECT TO CIVIL CA CRIMINAL PENALTIES.

't THIS OOCUMENT IS NOT TO BE LEFT UNATTENOEO OR ACCESSIBLE TO UNAUTHORilED

, $ ' PERSONS. WHEN NOT IN USE. IT MUST BE STORED IN A LOCKED SECUR11Y STORAGE r

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g IT IS YOUR RESPONSIBILITY 10 PROTECT THE INFORMATION CONTAlfaED IN TH:S

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Approved : August 29, 1988 49

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED i UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 l PART V1 ,

HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE ,

PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS i AND WITH U.S. INDUSTRY l

The Nuclear Regulatory Commission has requested that its Program Offices  !

establish, to the extent feasible, cooperative nuclear safety research programs that involve either or both U.S. industry and foreign governments and orga-nizatlont Such involvement includes monetary contributions, information exchange, and comments on program plans and results. This is authorized in i

42 U.S.C. 5801. To this end, international and U.G. industry agreements  ;

have been signed that provide for transmitting unclassified infonnation from .

NRC to participants. These procedures apply only to NRC-managed work not  :

programatically funded by DOE. ,

The interests of all NRC cooperative nuclear safety research program partici- l pants are served best by early, rapid dissemination for comment of informa-tion on these programs developed for NRC by NRC contractors. This can~ be 4 accomplished by distribution of "Draft Preliminary Reports (or Codes)" for comment for a specified period of time, followed by issue as formal NUREG/CR (N

reports, with the concurrence of the participants. Specific procedures for accomplishing these goals and for transmitting information prepared by the NRC and DOE facilities and contractors and their subcontractors working on these programs are presented in the following sections. The procedures de-4 tailed here have been agreed to by DOE and have been provided to the responsible DOE Operations Officers and NRC Program and Project Managers i as guidance. l A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT i

The first issuance of information by a contractor shall be designated "Draft Preliminary Report (or Code)," and shall include the cover sheet shown in Exhibit 24.

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

NOTICE TlllS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of Commission action , it has not have received patent review and may con-tain information received in confidence. Therefore, the con-tents of this report should neither be disclosed to others nor

[g reproduced , wholly or partially, unless written permission to do so has been obtained from the appropriate USNRC office.

The recipient is requested to take the necessary action to ensure the protection of this report.

49 Approved: August 29, 1984

(

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

s ~ s

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

This notice has been agreed to by the legal staffs of both NRC and DOE and is not to be added to or changed. Any probiem in this regard shell ,

be brought to the attention of the NRC project manager, who will consult with the NRC legal staff. I The "Draft Preliminary Report (or Code)" shall 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 will be fewer than 20 copies).

The contractor (DOE facility, contractor or subcontractor or other coi.- '

tractor) may retain 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 Preliminary Report (or Code)" untu the NRC project manager authorizes preparation of a NUREG/CR report.

"Draft Preliminary Reports (or Codes)" shall not he identified as

! NUREG/CR reports or carry any contractor report number or NRC dis-tribution codes.

B. DISTRIBUTION BY NRC PROJECT MANAGERS ,

t The NRC project manager will distribute the copies received only to (1) the particip*nts in the program, (2) the NRC staff with a need-to know, and (3) others authorized by the program or project manager. Trans-mittal to participants shall be by first class or express mail, inch ding ,

air mail to foreign participants. It premium cost mail services are to l be used, a Division Director or comparable or higher authority must .

certify to the need on NRC Form 420, "Request for Premium Cost Mail Se rvice . " Premium cost man is:

1. Express Mau, Priority Mau (First Class weighing more than 12 ounces) i

2. International Express Mail (Afr 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 j A minimum of six months will be allowed for comments and resolution of comment s . At the end of the comment , period, the NRC project manager ,

shall, with the concurrence of the participants, authorize the contractor ,

to issue the information as a NUREG/CR report in accordance with the provisions of this Chapter.

D. REPORT IDENTIFIERS i The "Draf t Preliminary Reports (or Codes)" wiu be ':.iiquely identified  ;

..ily by the Financial Identification Number (FIN) casigned by NRC anc;  ;

i Approved: August 29, 1984 50 1

,_ _ __,m_. . _ _ _ ,

.a .

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

~~

the appropriate periodic notation, if any, included in the title (Ex-hibit 24). They shall not be given standard report nomenclature until the NRC project manager authorizes publication as a NUREG/CR report.

At that time , the contractor may add its own designation below the [

NUREG/CR number, as shown in Exhibits 3 and 4. l i

E, MAILING TO PROGRAM PARTICIPANTS t

The physical transmission of reports from NRC to program participants  ;

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

F. SECURITY ,

If information included in the report or code has been determined to be sensitive unclassified or classified information (see statement of work) the procedures of Part V also apply. The report (or code) may n_ot be classified solely for the purpose of limiting distribution to the partict-pants, f

k i

l lC l

i 51 Approved: August . 29, 1984

{

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

Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 24 SAMPLE COVER FOR A DRAFT PRELIMINARY REPORT (CODE)

FOR COMMENT DRAFT PRELIMINARY REPOP,T (CODE) FOR COMMENT FIN NO. -

^

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

Prepared by (Name of DOE Facility, Contractor and/or Subcontractors, if any) for U.S. Nuclear Regulatory Commission NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of Comission action. It has not received patent review and msy contain information receivsd in confidence.

Therefore, the contents of this report should neither be disclosed to others nor reproduced, wholly or partially, unless written permission to do so has been obtained from the appropriate USNRC office. The recipient is requested to take the necessary action to ensure the protection of this report. '

Approved: August 29, 1984 52 .

. _ . . ._ .~ .... _.

...e, ,

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURS*_' ANT TO INTERAGENCY AGREEMENTS Part VI EXHl81T 25 TRANSMITTAL LETTER FROM CONTRACTOR TO NRC PROJECT MANAGER FOR DRAFT PRELIMINARY REPORT TO: NRC Project Manager

SUBJECT:

ORAFT PRELIMINARY REPORT (CODE) ON (PROGRAM TITLE) FOR COMENT The enclosed "Draf t Preliminary Report (Code)" is being submitted for coment.

It is our understanding that the coment period shall extend six months f rom the date of mailing of the draft to the partic pants. Upon resolution of the comments after that period and with concurrence if the cooperative program participants, the NRC Program Manager will authorize publication of this f report in the NUREG/CR series under the provisions of NRC Hanual Chapter 1102 or 3202.

00E racility or Contractor Representative

(

53 Approved: August 29, 1984

y ,

,il o .. .

• 'a b PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED ' .NRC Appendix 3202 ,

ITNDER OR PURSt' ANT TO INTERAGENCY AGREEMENTS Part VI EXHIBIT 26 TRANSMITTAL SHEET FOR REQUESTING MAILING TO COOPERATIVE PROGRAM PARTICIPANTS Recipients: Addresses on attached labels Method of Malling:

C/ First Class Postal Service to U. S. addresses C/ Express mail to U. S. addresses

• C/ Air mail to foreign addresses *

~

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

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

Individual Requesting Mailing:

Project Manager or High Authority

Enclosures:

1. Address labels

2. Documents to be maued

• 1f premium cost mail services are to be used, a Division Director or compar-able or higher authority must certify to the need on NRC Fonn 420, "Reques';

for Premium Cost Mail Service," Premium cost mail is:

l 1. Express Mail, Priority Matl (First Class weighing more than 12 ounces) 1

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

(See Chapter NRC 0255-058 and NRC Appen&.x 0255, Part V, Annex A) 54 Approved: August 29, 1984