Text

Contract: Medical Uses of Byproduct Matl, Awarded to Univ of Texas Health Science Ctr at San Antonio
	ML20205R315
Person / Time
Issue date:	03/26/1987
From:	Price R, Thompson R; NRC OFFICE OF ADMINISTRATION (ADM), TEXAS, UNIV. OF, SAN ANTONIO, TX
To:	;
Shared Package
ML20205R309	List: ML20205R303; ML20205R315;
References
	CON-FIN-B-8764, CON-NRC-05-87-121, CON-NRC-5-87-121 NUDOCS 8704060310
	Download: ML20205R315 (128)
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A u g AWARD / CONTRACT u DER $ "S tts'CF$"as#TED oi ORDER

'2. CON T R AC T (Proc. Jaet. Aden t. A NO. 3. EF F ECT eve DAT L 4. REQUs56TeON/ PURCHASE REQUEST/ PROJECT NO.

I NRC-05-87-121 M# 0 W7 RFPA No. RS-0IE-87-121 S. ISSUED By

6. ADMINISTERED BY (l/ other th.n item 6) l U.S. Nuclear Regulatory OE ission Division of Contracts Washington, DC 20555

7. NAME AND ADDR ESS OF CONT R ACTOR (fio,, .t.get, esty, coun ty. St.fe and 21P Code) 8. DELIV E R Y The University of Texas Health Science Center *at San Antonio 7703 Floyd Curl Drive FOB ORIGIN OTHE R (Sre arlow)

San Antonio, TX 78284 9. DISCOUNT rOa PaOMPT PAvMENT lo. SUBMIT INVOICES l6 TEM (4 copire unneen other- I era.e .pecified) TO THE CODE F ACllITY CODE ADDPESS SHOWN IN:

11. 5M,P T O/M ARK F O R 12. PAvMENT WILL SE MADE SY U.S. Nuclear Regulatory {#EEnssion o U.S.NuclearRegulatoryComm3s's ion Q Q $ a y g ndERtg ntS6ite 200 ORM/ Division of Accounting and Finance N 17d1 Washington, DC 20555 Attn: GOV /COM Account:

13 NCU ING OTHE R THAN F ULL AND OPEN COMPEVII N AT TION: 14. ACCOUNTING AND APPR83 PRIFATN4 fio . AB-8764 B&R No. 30-19 1o u.S.C 23cmen i > Appro. Symbol 31X0200.307 OBL Amt $42,240.00

@ 4t u S C 2smcu l 0 15A. ITEM NO 158 SUPPLIES / SERVICES 15C. QU ANTITY 15D UNIT 15E UNIT PRICE 15F AMOUNT The Government hereby accepts the Un iversity of Texas Heal ;h Science C 2nter at San Antonio's offer to provide a tra ining course en titled ' Medical Use ; of Byproduct Material" as detailed in Part I of Solici Lation No. RS-01E-87-121 and is in accordance with the University of Texas Health Science Cente at San Antonio's proposal dated December 29,1986 and Best and Final Proposal dated February 12, 1987, both of which are incorporated he ein and mad ?a part hereof by this reference.

8704060310 870326 PDR CONTR isG. TOTAL AMOUNT OF CONTRACT > $ 42e240.Ud NRC-05-87-121 ~ PDR TABLE OF CONTENTS V) lSEC l DESCRIPTION lPAGE(S) VI lSEC l DESCRIPTION lPAGEIS)

PART I - THE SCHE DULE PART II - CONT R ACT CLAUSES x A SOLICITATION / CONTRACT FORM l xl 1 l CONTR ACT CLAUSES l 2I x B SUPPLIES OR SERVICES ANDPRICES/ COSTS 2 PART lit - LIST OF DOCUMENTS, EXH18 75 AND OTHER ATT ACH.

x C DESCRIPTION / SPECS / WOR K ST ATEME NT 2 XlJ l LIST OF ATTACHMENTS l 24 x D PACK AGING AND MARKING 7 PART tv - REPRESENTATIONS AND INSTRUCTIONS x E INSPECTION AND ACCEPTANCE 8 K REPRESENTATIONS. CERTIFICATIONS AND x F DELIVERIES OR PERFORMANCE 8 OTHER STATEMENTS OF OFFERORS x G CONTRACT ADMINISTRATION DATA 9 L INSTRS .CONDS . ANO NOTICES TO OF F E RORS X H SPECI AL CONTR ACT REQUIREMENTS l6 M EVALUATION F ACTORS FOR AWARD CONTRACTING OfflCER WIL L COMPLE'EITEM 110R 18 AS APPLICA8tE

17. CONTRACTOR'S NEGOTIATED AGREEMENT (Contr.cfor is ,v. 18. AWARD (Contractor no el i this documen t.) You, n'",ddfof'!",!%'i&=in"iG'..".'""'. .. ... n. o, o#l'f'!="##!!t.!

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19A. N AME AND TITLE OF SIGNE R (Type or print; 20A.NAME OF CL NTRACTING OFFICER R.B. Price, Executive Vice President for Administrj(tiop andA0piness Affairs Rona)q. Thompson ,

19). NAM E OF T TOR 19C. DATE 5,GNED 200 NIT ED'5f ATES F ARMRIC A 20C.DATE 58GNED ev '-- w 18nen.ture of person .uthorued to sient 03/24/87 By M/A0 xNwh l 48aen.tu,e of Con'ereet.n$ pitteert 3u.H' NSN 7540 03152 8069 26 107 I h N PREVIOUS EOlTION UNUSABLE ST.A.cr.D.A.RD P, o cy GSA FORM 26 (RE V. 4 P AR (48 CF R) 53.214(a)

OIE-87-121 Pag 2 2 1

Section B - Supplies or Services and Prices / Costs E.1 Brief Description of Work Provide NRC materials inspectors with hands-on experience and classroom presentations in three general safety areas for the use of byproduct material: radiological health and safety procedures, s personnel training and experience, and facilities and equipment.

B.2 A . To ta l P ri c e . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $42,240.00 Section C - Description / Specifications / Work Statement C.1 Statement of Work C.1.1 Background The Nuclear Regulatory Commission (NRC) issues licenses to medical facilities and individual physicians for the use of radioactive materials for diagnosis and treatment of patients.

In a policy statement published in 1979(44CFR8242),theNRC 4

noted that it regulates the medical use of byproduct material

as necessary to provide for the radiation safety of workers and the general public and regulates the radiation safety of patients where justified by the risk to patients. The NRC inspects medical facilities authorized to use byproduct material to ensure compliance with the regulations and license conditions.

In support of its mission, the NRC's Office of Inspection and Enforcement (IE) conducts an NRC materials inspector training program. Part of this program is designed to give these inspectors an understanding of the medical use of byproduct material and associated health and safety hazards.

" Byproduct Material" is defined in Chapter 2, Section 11.e of the Atomic Energy Act of 1954 as amended.

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OIE-87-121 u Page 3 l i1 C.I.2 Contract Objectives This contract is to provide NRC materials inspectors with hands-on experience and classroom presentations in three general safety areas for the use of byproduct material: radiological health and safety procedures , personnel training and experience, and facilities and equipment. This course shall include the use of byproduct material in nuclear medicine, brachytherapy, teletherapy, research, and miscellaneous uses.

C.1.3 Scope of Work C.1.3.1 Course Development Areas where course development will be needed are:

a. Course manual preparation. The contractor shall develop a manual or make revisions to an existing manual applicable to the course such that the nanual adequately covers the course topics. The course manual shall include copies of important viewgraphs (visual aids) utilized during course presentations.

b. Case studies. Case studies and real life" examples shall be used to supplement the course lectures. These shall be

, included in the course manual.

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c. Instructor lesson plans. The contractor shall prepare and utilize a set of formal lesson plans for course presentations,

d. Visual aids (viewgraphs, slides, etc.). The contractor shall utilize visual aids as much as possible to assist student understanding.

C.I.3.2 Course Description /Present: tion The contractor shall furnish qualified personnel , classroom, laboratory, and clinical facilities, materials, texts, and services

to conduct a training course of approximately 40 hours4.62963e-4 days 0.0111 hours 6.613757e-5 weeks 1.522e-5 months duration

! entitled " Medical Uses of Byproduct Material." A course outline is

! enclosed. In particular, the course shall provide participants with the following:

a. A brief review of principles of radiation protection and elements of a radiation protection program. This shall include a familiarization with the radiation hazards incident to the use of byproduct material in nuclear medicine, brachytherapy, j teletherapy and research as follows:

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o 01E-87-121 Page 4 1

- Radiation dose likely to be received by the patient under-going a medical procedure.

- Radiation dose received by hospital personnel as a result of handling byproduct material and caring for the patient during and after the administration.

Calculations of air concentratios of Xe-133 in restricted and unrestricted areas.

- Calculations of radiation levels for teletherapy facilities,

b. Familiarization and demonstration of the types of instruments and equipment used for the medical use of byproduct material, e.g., survey instruments, dose calibrators, generator systems, shielding devises, well counters, liquid scintillation counters, lung ventilation units and associated monitoring systems, thyroid probes, gama cameras, bone mineral analyzers, lixiscopes, teletherapy units, and brachytherapy sources or devices containing byproduct material such as applicators and nylon ribbons, and in vitro facilities.

c. Hands on experience in laboratory exercises including the following:

- elution of technetium-99m generator

- permissible molybdenum-99 breakthrough concentration drawing of doses

- kit preparation

- dose calibrator constancy, accuracy, linearity and geometry test

- wipe and leak test

- surveys of areas, equipment and packages

- teletherapy door interlock system testing

- teletherapy exposure rate, congruence check, beam uniformity and timer accuracy check proper set of stops on teletherapy head

d. A brief review of the Federal Food and Drug Administration (FDA) regulatory authority over radiopharmaceuticals containing byproduct material.

e. A brief review of NRC regulations, license conditions, NUREGs, and regulatory guides applicable to medical licensees.

01E-87-121 Page 5

f. Current research and developnent and future development trends in the medical use of byproduct material that may af fect NRC's regulatory requirements.

g. Problens that may be experienced and things to look for during en inspection.

C.I.3.3 Technical Qualifications Requirements The course shall be conducted at an NRC or NRC Agreement State licensed medical institution by a contractor with broad experience in the medical uses of byproduct material and related teaching experience. As a mininum, lecturers possessing the following diverse areas of experience are required,

a. At least one board certified physician / lecturer shall be from each of the following medical specialties:

Radiology Therapeutic radiology Radiation Oncology Nucleer Medicine A physician / lecturer may be certified in more than one of the at'ove specialties,

b. At least one graduate-level physicist / engineer shall be from each of the following areas as a lecturer:

American Board of Health Physics in Comprehensive health Physics Therapeutic Radiology Nuclear Medicine Instrumentation / Biomedical Engineering Tc satisfy this requirement, a physicist / engineer may be certified in one or more of the above areas.

c. The physician / lecturer and the physicist / engineer must have experience in providing instruction to and in supervising activities of individuals who have had no previous ex erience in handling the equipment and sources in this course to ensure applicable NRC safety requirements are n.et.

ole-87-121

.Page 6 6

C.1.3.4 Course Examination The contractor shall evaluate the students by means of a written examiration to verify that they have attained the proper level of uncerstanding of the course material. The contractor shall prepare, administer and grade the examination. The contractor shall return the examinations to the NRC Project Officer as part of the course presentation report.

The centractor shall provide and grade reexaminations as required for those students who do not achieve a sufficient understanding of course material (70% or higher).

The contractor shall provide an equivalency exanination to the NRC Project Officer for a student who desires to validate the course.

The NRC Project Officer will coordinate administering the exam and returning it to the contractor for grading. Whenever possible, equivalency examinations will be given on the regular examination day for the ccurse being validated.

C.1.3.5 General Information

a. The contractor shall assume a class size ranging fren 12 to 15 persons.

b. Student background and experience may vary but all students will have a basic knowledge of health physics principles. The contractor should not assume student experience in medical uses of byproduct material,

c. Each course shall be 5 days in duration and class hours shall start approximately 8:00 a.m. and end approxiraately 5:00 p.m.

l.aboratory hours may need to be scheduled in the evening to meet course objectives,

d. For laboratory exercises when only cne instrument is available, a team approach may be used. Where possible, a team should be cornpesed of no more than three individuals per instrument.

e. The contractor shall furnish personnel dosimetry for each student and equipment and facilities necessary fer the laboratory work described in the ccurse objective.

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ole-87-121 Page 7

f. All course activities shall be conducted in strict compliance with Title 10 cf the Code of Federal Regulations (10 CFR).

g. The NRC Project Officer will be responsible for the review and approval of contractor developed training aids, case study manuals, instructor lesson plans and the course examinations.

h. The NRC reserves the right to supplement course presentations with NRC technical experts if available,

i. The contractor may be required, from time to time, to modify all or any part of the training materials developed for a course at the direction of the NRC Project Officer. The contractor shall be responsible for ensuring that any such modifications are reflected in the course materials provided to the students.

C.2 Meetinos and Travel Withir 30 days of contract award, a meeting will be held at the contractors f acility with the NRC Project Officer and technic 61 staff to discuss course outline and objectives, and classroom and laboratory facilities.

C.3 NRC Furnished Naterial The NRC will furnish the contractor with a copy of the course manual to be revised and a student course evaluation.

C.4 Subcontracts No subcontracts are anticipated for this course. However, a subcontract would require the prior written approval of the NRC Project Officer.

Section D - Packeging and Marking D.1 Packaging and Marking The Contractor shall use standard commercial packaging for all items to be delivered. On the front of the package, the Contractor shall clearly identify the contract number under which the product is being provided.

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ole-87-121 Page 8 i

Section E - Inspection and Acceptance E.1 FAR Citations The Contractor shall refer to Section I, Clause No. 52.252-2 for citations incorporated by reference. * -

Section F - Deliveries and Perforr;arce F.1 Reporting Reouirements and Deliverables F.1.1 Milestones

a. Within 30 days of contract award - a meeting at contractor's facility.

b. Within 90 days of contract award - draft course outline, lesson plans, study mar.uals, any aoditional handouts, training aids and course examinations submitted to NRC Project Officer for review,

c. 1:ithin 120 aays of contract award - Project Officcr to return draft course materials to contractor with NPC comments and recommenda tions ,

e. kithin 150 days of contract award - final course outline, lesson plans, study manuals, handouts, training aids anc ccurse examination submitted to NRC Prc,iect Officer approval.

f.l.2 humber of Courses / Course Scheduling Tre initial course is scheduled to begin August 17, through August 21, 1987. Up to five (5) courses ray be presentcd under this contract. Exact course dates for the remainino courses will be

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erranged with the contractor at least sixty (60) days before each course.

F.1.3 Course Presentation Reports The contractor will submit a report tc the NRC Project Of ficcr within thirty (30) days after the ccmpletion of a course presentation. The report will contain:

1. Original graded eyams, including one copy of exar.s with a grade less than 701.

i. Certificates of completion (suitable for f raming) for all successful attendces (70% cr greater composite course average).

3. A cover letter report discussing accomplishments, problens, and reconnendation for improvement,

ole-87-121 Page 9 e

4 Summary repcrt of student evaluatiens of the course.

F.1.4 Final Report The contractor shall furnish a final report in accordance with Manual Chapter 3202 (Attachment 3) by -the end date of the contract. Five copies shall be sent to the Project Of ficer and one copy to the Contract Administrator. The report shall include as a minimum:

1. A technical report of the work completed.

2. Any problems or delays encountered and their solutions.

3. Recoerendations for improvements.

The final report and transfer of all government furnished materials and all contractor developed materials, shall be done prior to contract expiration date.

F.2 Place of Delivery The items to be furnished hereunder shall be delivered, with all transportation charges paid by the Contractor, to:

1 U.S. Nuclear Regulatory Conraission Attn: Russell L. Anderson Office of Inspection and Enforcement NRC Technical Training Center Osborne Office, Suite 200 Chattanooga, TN 37411 Project Officer (2 copies)

DivisionofContracts(1 copy)

F.3 Du_ ration of Contract Feriod This contract shall become effective on the effective date as specified in Block 3 of the SF-26, and shall continue for four years.

Section G - Contract Administration Cata G.1 Consideretion and Payment Maximum / Minimum Ouantity and Oblication cf Funds

- during the forty-eight (48) month contract period, the Contractor shall provide a miniraum of one (1) course during the first year of the contract

- the NRC Contracting Officer may order up to an additional four (4) more courses, as described under F.1.2., of up to a total of five (5)coursesduringtheforty-eight(48)monthcontractperiod

OIE-87-221

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- the total amount obligated for performance of the basic minimum requirements of this contract is $42,240.00.

- payments shall be made on a per course tasis at the completion of

. each course. The NRC shall render payment to the Contractor in l approx 1rtately thirty (30) days after subtrission of proper and i correct vouchers G.2 Methcd of Payment (a) Payment under this contract will be rade by wire transfer t through the Treasury Financial Corm'unications Systam for each

, individual payment in excess of $25,000 and by Treasury check for each individual payment of $25,000 or less.

I (b) Within seven days after the effective date of the contract, the Contractor shall forward the following infonnation in writing to the Contracting Of ficer to facilitate wire transfer of contract

payments. In the event that the Contractor's financial institution has access to the Federal Reserve Communications Systera, Contractor shall complete all items except items 7 - 9.

In the event the Contractor's financial institution does not have access to the Federal Reserve Communications System, Contractor shall complete all items except itern 4.

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1. Name and address of organization

2. Contact person and telephone number

3. Name and address of financial institution

4. Contractor's Financial institutions's 9-digit ABA

identifyir.g number for routing transfer of funds i

5. Telegraphic abbreviation of Contractor's financial institution r 6. /.ccount number at Contractor's financial institution if it receives electronic funds transf er messages through the Federal Reserve Communications System j 7. Name and address of the correspondent financial institution 1

if the Contractor's financial institution does not receive electronic funds transfer messages through the Federa l 4

Reserve Cor:raunications System 1 S. Correspondent financial institution 9-digit ABA identifying i number for routing transfer of funds

9. Telegraphic abbreviation of correspondent financial institution

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10. Signature and title of person supplying this information l

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01E-87-121 Page 11 0

(c) Any changes to the information furnished under paragraph (b) of this clause shall be furnished to the Contracting Officer in writing. It is the Contractor's respensibility to furnish these changes promptly to avoid payrcnts to erroneous bank accounts.

G.3 Technical Direction A. Performance cf the work under this contract shall be subject tc the technical direction of the NRC Project Officer named in Section G. of this contract. The tern " Technical Direction" is defined to include the following:

1. Technical direction to the Centractor which shifts werk errphasis between areas of work or tasks, requires pursuit of certain lines of inquiry, fills in details or otherwise serves to accomplish the contractual scope of work.

2. Providing assistance to the Contractor in the preparation of drawings, specifications or technical portions of the work description.

3. Review and where required by the contract, approval of technical reports, drawings, specifications and technical infometion to be delivered by the Contractor to the Government under the contract.

B. Technical direction must be within the general scope of work stated in the contrcct. The Project Officer does not have the authority to and rray not issue any technical direction which: i

1. Constitutes an assignnient of additional work outside the general scope of the contract.

2. Constitutes a change as defined i r, the clause of the General Prnvisions, entitled " Changes."

3. In any way causes an increase or decrease in 'he total estimated contract cost, the fixed fee, if any, or the tine required for contract perforcance.

4 Changes any of the expressed terms, conditions or specifications of the contract.

C. ALL TECHNICAL CIPECTI0 tis SkALL BE ISSUED IN WRIT!f;G BY THE PROJECT OFFICER OR SHALL BE CONFIPMED BY SUCH PERSON IN WRITING WITHIN TEN (10) WORKING DAYS AFTER VERBAL ISSUANCE. A copy of said written direction shall be submitted to the Contracting Officer.

The Contractor shall proceed promptly with the perfomance of technical directions duly issued by the Project Officer in the manner prescribed by this article and within such person's authority under the provisions of this article.

, OIE-87-121 Page 12 If, in the opinion of the Contractor, any instruction or

direction issued by the Project Officer is within one of the categories as defined in B(1) through (4) above, the Contractor i shall not proceed but shall notify the Contracting Officer in writinc within five (5) working days after the receipt of any such instruction or direction and shall request the Contractirg Officer to modify the contract accordingly. Upon receiving such notification from the Contractor, the Contracting Officer shall issue an appropriate contract modification or advise the Contractor in writing that, in the Contracting Officer's opinion, the technical direction is within the scope of this article and does not constitute a change under the Changes Clause.

D. Any unauthorized commitment or direction issued by the Project Officer may result in an unnecessary delay in the Contractor's performance, and may even resul t in the Contractor expending funds for unallowable costs under the contract.

E. A failure of the parties to agree upon the nature of the instructicn or direction or upon the contract action to be taken with respect thereto shall be subject to the provisions cf the j,

contract clause entitled " Disputes."

G.4 Project Officer A. The individual (s) listed in "B" below is (are) hereby designated as the Contracting Officer's authorized representative (hereinaf ter called Project Officer) for technical aspects of

this contract. The Project Officer is not authorized to approve

, or request any action which results in or could result in en increase i t. contract cost; or terminate, settle any claim or j oispute arisino under the contract. cr issue any unilateral cirective whatever.

The Project Officer is responsibic for: (1) monitoring the j Cont ractor's technical prog ress, including surveillance and 4

assessment of perfonrance, and recorrrnending to the Contracting

Officer changes in requirements; (2) interpreting the scope of l

work; (3) perfonning technic 41 evaluation as requiredt (4)

] performing technical inspections and acceptances required by

, this contract; and (5) assitting the Contractor in the resolution of technical problems encountered during performance.

! Within the purview of this authority, the Project Officer is

! authorized to review all costs requested for reirtbursement by j Contractors and submit recerm.endations for approval, disapproval, or suspension for supplies / services required under

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! directing or negotiating any changes in terms, conditions, or j arrounts cited in the contract.

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01E-87-121 Page 13 For guidance from the Project Officer to the Contractor to be valid, it must: (1) be consistent with the description of work set forth in the contract; (2) not constitute new assignment of work or change to the expressed terms, conditions or specifications incorporated into this contract; (3) not constitute a basis for an extension to the period of performance or contract delivery schedule; and, as stated above. (4) not constitute a basis for any increase in the contract cost.

E. fiRC Project Officer: Russell L. Anderson,MS: D/TTC Office Address: fiRC Technical Training Center Chattanooga, Tr4 37411 Telephone fiumber: 615/899-5454 fiRC Technical Monitor: Harriet Karagiannis, MS: EWS 305 Office Address: Office of Inspection and Enforcer.ent Washington, DC 20555 Telephone t; umber: (301)492-9655 G.5 Travel Feimbursement

a. The Contrector will be reimbursed for reasonable domestic travel costs incurred cirectly and specifically in the performance of this contract. The cost limitations for travel costs are determined by the Federal Travel Regulations that are in effect on the date of the trip. These Regulations specify the daily maximum per dien ra tes for specific localities within the Conterminous United States (C0f;US), the standard C0fiUS rate, the ,

allc+ance for mcals and incidental expenses (M&lE), the cost of l travel by privately cwned automcbile, and the items which require receipts. The Contractor can obtain the Regulations frcm the Superintendent of Docoments, Government prirting Office, Washington, DC 20402,

b. When the Government changes the Federal Travel Regulations, it it the respons ibili ty of the Contractor to notify the Contracting Officer in accordance with the Limitation of Cost clause of this contract if the Contractor will be unable tu make all of the approved trips crd remain within the cost and fee liraitations of this contract.

c. Foreign travel must be apprcved in advance by the Cocnission on tiRC Form 445 and comply with the requirements of FAR clause 52.2a7-63 " Preference f or l'.S. Flag Air Carriers." The rates

'or foreign travel are established by the U.S. Ocpartment of State and are listed in a publication entitled "Paximum Travel Per Diem Allowances For Foreign Areas." Copics of this publication may be obtained from U.S. Government Printing Office, Washington, D.C. 20402 G.6 Paymm t Due Date

ole-87-121 Page 14 (a} Payments under this contract will be due 30 calendar days after the later of:

(1) The date of actusi receipt of a proper invoice (original and 4 ccpies) to:

s U.S. Nuclear Regulatory Commission Division of Accounting and Finance Office of Resource Managerent ATTN: GOV /COM Accounts Section Washington, D.C. 20555 or (2) The date the final deliverable product / service is accepted by the Government.

(b) For thc purposc of determining the due date for payr 4nt and for r.o other purpose, acceptance will be deened to occur 30 calendar days after the date of delivery of the final deliverable prccuct/ service perforn.ed in accordance with the terms of the contract.

(c) If the final product / service is rejected for failure to conform to the technical requirements of the contract, the prcvisions ir.

paragrrph (b) of this caluse will apply to the new delivery of the final product / service.

(d) The date of payment by wire transfer through the Treasury Firancial Corrunications System shall be considered the date payn.ent is made for individual payments exceeding $25,000. The date a check is issucc shall be considered the date payrcent is nede for individual payments of $25,000 or less.

C.7 Invoice Fequirements Invoices shall be subnitted in an criginal and 4 ccpies to:

U.S. Nuclear Regulatory Cc,mmission Division cf Accounting and Finance Office of Resource Panagement ATTN- GOV /COM Accounts Section Washington, DC 20555 To constitute a proper invoice, the invoice must include the f ollowir.g inf ormation and/or attached docunentation:

(1) Name of the business concern and invoice date.

(2) Contract number or cther authorization for delivery of property er services.

(3) Description price ana quantity cf property and services actually delivered or rendered.

OIE-87-121 Page 15 (4) Shipping and payment terms.

(5) fiame (where practicable) , title, phone number, and certplete reiling address of responsible official to whom payment is te be sent.

(6) Other substantiating documentation or information as required by the Contract.

G.8 Interest on Overdue Payments (a) The Prompt Payrrent Act, Public Law 97-177 (96 STAT. 85, 31 USC 1801) is applicable to payments under this contract and requires the payment of interest to contractors on overdue payments and improperly taken discounts.

(b) Determinations cf interest due will be made in accordance with the previsions of the Prompt Payment Act and Office of Management and Budget Circular A-125, Vol. 47 Federal Register 37321, August 25, 1982. Among other considerations, CME Circular A-125 prcvides that:

(1) Interest penalties are not required when payment is delayed because of a disagreement over the arrcont of payment or other isst+s concerning compliance with the terms of the contract.

(2) Lhenever a proper invoice is paid af ter the due cate plus 15 days, interest will be included with the payment at the inte rest ra te applicable on the payment date. Interest will be computed from tFe day af ter the due date through the payment cate.

ole-87-121 Page 16 Secticn H - Special Contract Requirements H.1 tey Personnel (a) The following individuals are considered to be essential to the successf ui performance of the work hereunder.

Dr. Robert G. Waggener, Principal Investigator / Instructor i Dr. Ralph Blumhardt, Principal Instructor

! Dr. John J. Feldmeier, Principal Instructor Dr. David T. Kopp, Principal Instructor Dr. Jack L. Lancaster, Principal Instructor The Ccntractor agrees that such personnel shall not be removed frco the contract work or replaced without compliance with paragraphs (b) and (c) hereof.

(b) If one or more of the key personnel for whatever reason becomes, or is expected to become, unavailable for work under this contract for a continuous period exceeding 30 work days, or is expected to devote substantially less effort to the work than indicated in the proposal or initially anticipated, the Contractor shall innediately notify the Contracting Officer and shall, subject to the concurrence of the Contracting Officer or his authorized representative, promptly replace such personnel with personnel of at least substantially equal

( ability anc qualifications.

(c) All requests for approval of substitutions hereunder must be i r, writing and provide a detailed explanation of the circumstances necessitating the proposed substituticos. They must contain a complete resume for the proposed substitute, and other information rcquested by the Contracting Officer or needed by him to approve or disapprove the proposed substitution. The Contracting Officer or his authorized representative will evaluate such requests and promptly notify the Contractor of his ~ approval or disapproval thereof in writing.

(d) If the Contracting Of ficer determines that suitable and tirely replacement of key personnel who have been reassigned, terminated or have otherwise become unavailable for the contract work is not reasonably forthcoming or that the resultant reduction of productive effort would be so substantial as to impair the successful completion of the contract or the service order, the contract may be terminated by the Contracting Officer for default or for the convenience of the Government, as appropriate, or, at the discretion of the Contracting Officer if he finds the Contractor at fault for the condition, the contract price or fixed fee ney be equitably adjusted dcwnward to compensate the Government for any resultant delay, loss or damage.

H.2 Safety. Health, and Fire Protection The Contractor shall take all reasonable precautions in the nerformance of the work under this contract to protect the health and safety of employees and of members of the public and to minimize

I OIE-87-121 Page 17 l

danger from all hazards to life and property and shall comply with 1 all health, safety, and fire protection regulations and requirements I (including reporting requirements) of the Comission and the Department of Labor. In the event that the Contractor fails to comply with said regulations or requirements, the Contracting Officer may, without prejudice to any other legal or contractual rights of the Commission, issue an order stopping all or any part of the work; thereafter, a start order for resumption of work may be issued at the discretion of the Contracting Officer. The Contractor shall make no claim for an extension of time or for compensation or damages by reason of or in connection with such work stoppage.

H.3 Dissemination- of Contract Information (0MB Clearance Number 3150-0112) l The Contractor shall not publish, permit to be published, or l disseminate to the public any infomation, oral or written, concerning the work perfomed under this contract without the prior written consent of the Contracting Officer. Two copies of any information proposed to be published or disseminated shall be submitted to the Contracting Officer. Failure to comply with this clause shall be grounds for temination of this contract.

H.4 Private Use of Contract Infomation and Data Except as otherwise specifically authorized by Section H.,

publication of contract work of this contract, or as otherwise approved by the Contracting Officer, infomation and other data developed or acquired by or furnished the Contractor in the perfomance of this contract, shall be used only in connection with the work under this contract.

i Drawings, Designs, and Specifications All drawings, sketches, designs, design data, specifications, atebooks, technical and scientific data, and all photographs, N;atives, reports, findings, recommendations, data and memoranda of i

u ry description relating thereto, as well as all copies of the Jeregoing relating to the work or any part thereto, shall be subject to inspection by the Commission at all reasonable times (for which inspection the proper facilities shall be afforded the Commission by the Contractor and its subcontractors), shall be the property of the Government and may be used by the Government for any purpose whatsoever without any claim on the part of the Contractor and its subcontractors and vendors for additional compensation and shall, subject to the right of the Contractor to retain a copy of said material for its own use, be delivered to the Government, or otherwise disposed of by the Contractor either as the Contracting Officer may from time to time direct during the progress of the work or in any event as the Contracting Officer shall direct upon ccmpletion or termination of this contract. The Contractor's right of retention and use shall be subject to the security, patent, and use of information provisions, if any, of this contract.

l l

l

1 l l OIE-87-121 Pag 9 18 l t ,

H.6 Proprietary Data and Confidential Infomation In connecticn with the perfomance of the work under this contract.

the Contractor may be furnished, or may develop or. acquire, ,

proprietary data (trade secrets) or confidential or privileged 2 '

1 technical, business, or financial information, including Commission plans, policies, reports, financial plans,-internal data protected by i the Privacy Act of 1974 (P.L.93-579), or other infomation which has i not been released to the public or has been detemined by the Commission to be otherwise exempt from disclosure to the public.

Contractor agrees to hold such infomation in confidence and not to i directly or indirectly duplicate, disseminate, or disclose such ,

information in whole or in part to any other person or organization 2 except as may be necessary to perfom the work under this contract.

i Contractor agrees to return such infomation to the Commission or

otherwise dispose of it either as the Contracting Officer may from i time to time direct during the progress of the work or in any event as the Contracting Officer shall direct upon completion or temination of this contract. Failure to comply with this clause l shall be grounds for temination of this contract.

l H.7 Contractor Organizational Conflicts of Interest (OMB Clearance Number

! 3150-0112) 4 (a) Purpose. The primary purpose of this clause is to aid in ensuring that the Contractor: (1) Is not placed on a conflicting role because of current or planned interest (financial, contractual, 1 organizational, or otherwise) which relate to the work under this j contract, and (2) does not obtain an unfair competitive advantage

ever other parties by virtue of its performance of this contract.

1 j (b) Scope. The restrictions described herein shall apply to i performance or participation by the Contractor as defined in 41 CFR 920-1.5402(f) in the activities covered by this clause.

(c) Work for Others. Notwithstanding any other provision of this contract, during the tem of this contract, the Contractor agrees to

! forgo entering into consulting or other contractual arrangements with any fim or organization, the result of which may give rise to a 1 conflict of interest with respect to the work being performed under

this contract. The Contractor shall ensure that all employees who '

are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause. If the Contractor believes with respect to itself or any such employee that any proposed consultant or other contractual ;

arrangenent.with any fim or organization may involve a potential '

i conflict of interest, the Contractor shall obtain the written l

approval of the Contracting- Officer prior to execution of such contractual arrangement.

i

! (d) Disclosure af ter award, j (1) The Contractor warrants 'that to the best of its knowledge 4

and belief and except as otherwise set forth in this contract,

. 0!E-87-121 Page 19 it does not have any organizational conflicts of interest, as defined in 41 CFR 20-1.5402(a).

(2) The Contractor agrees that if after award it discovers organizational conflicts of interest with respect to this contract, it shall make an insnediate and full disclosure in writing to the Contracting Officer. This statement shall ,

include a description of the action which the Contractor has taken or proposes to take to avoid or mitigate such conflicts.

The NRC may, however, terminate the contract for convenience if i it deems such termination to be in the best interests of the a Government.

! (e) Access to and use of infomation.

i

, (1) If the Contractor in the performance of this contract l

obtains access to information, such as NRC plans, policies, i

reports, studies, financial plans, internal data protected by 1 the Privacy Act of 1974 (Pub. L.93-579), or data which has not been released to the public, the Contractor agrees not to:

(i) Use such information for any private purpose until the information has been released to the public; (ii) compete for work for the Commission based on such information for a period of six (6) months after j either the completion of this contract or the release 1 of such information to the public, whichever is first; (iii) submit an unsolicited proposal to the Government based on such information until one year after the release of such information to the public, or (iv) release the information without prior written approval by the Contracting Officer unless such infomation has previously been released to the public by the NRC.

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

< by the Privacy Act of 1974 (Pub. L.93-579), or other I confidential or privileged technical, business, or financial infomation under this contract, the Contractor shall treat such

4 information in accordance with restrictions placed on use of the ,

j information.

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

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

, Contractor shall include this clause, including this paragraph, in subcontracts of any tier. Tt.e terms " contract," " Contractor," and l

i

_ _ . . . . . . _ _ _ _ . _ _ _ _ . . . _ _ ._.-__m.... . _ _ . _ _ _ -. . . _ _ _ _ _ . _ _ . _ , _ _ . - _ ,_ _ ._ _ _ _ _ _ _ . , _ .

OIE-87-121 i Page 20

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

(g) Remedies. For breach of any of the above prescriptions or for intentional nondisclosure or misrepresentation of any relevant interest required to oe disclosed concerning this contract or for ,

such erroneous representations as necessarily imply bad faith, the '

Government may terminate the contract for default, disqualify the Contractor from subsequent contractual efforts, and pursue other remedies as may be permitted by law or this contract.

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

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

OIE-87-121 Page 21 PART II - CONTRACT CLAUSES Section I - Contract Clauses 52.216-18 ORDERING. (APR 1984)

(a) Any supplies and services to be furnished under this contract shall be ordered by issuance of delivery orders by the individuals or activities designated in the Schedule. Such orders may be issued from the effective date

-of the contract through forty-eight (48) months thereafter.

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

the contract shall control.

(c) If mailed, a delivery order is considered "tssued" when the Government deposits the order in the mail. Orders may be issued orally or by written telecommunications only if authorized in the Schedule.

(End of clause)

(R7-11011968JUN) 52.216-19 DELIVERY-ORDER LIMITATIONS. (APR1984)

(a) Minimum order. When the Government requires supplies or services covered by this contract in an amount of less than one course, the Government is not obligated to purchase, nor is the Contractor obligated to furnish, those supplies or services under the contract.

(b)Maximumorder. The Contractor is not obligated to honor--

Any order for a single item in excess of 5 courses; Any order for a combination of items in excess of 5 courses; or A series of orders from the same ordering office within days that together call for quantities exceeding the limitation in subparagraph (1) or(2)above.

(c) If this is a requirements contract (i.e., includes the Requirements clause at subsection 52.216-21 of the Federal Acquisition Regulation (FAR)),

the Government is not required to order a part of any one requirement from the Contractor if that requirement exceeds the maximum-order limitations in paragraph (b)above.

(d) Notwithstanding paragraphs (b) and (c) above, the Contractor shall (b),

honor any order exceeding )the maximum order limitations in paragraph unless that order (or orders is returned to the ordering office within 30 days after issuance, with written notice stating the Contractor's intent not to ship the item (or items) called for and the reasons. Upon receiving this notice, the Govarnment may acquire the supplies or services from another source.

(Endofclause)

(R 7-1102.1(a) 1965 AUG)

R7-1102.2(a))

R 7-1102.3(a))

52.216-22 INDEFINITE QUANTITY. (APR1984)

(a) This is an indefinite-quantity contract for the supplies or services specified.. and effective for the period stated, in the Schedule. The quantities of supplies and services specified in the Schedule are estimates only and are not purchased by this contract.

l l

DIE-87-121 Page 22-(b) Delivery or performance shall be made only as authorized by orders issued in accordance with the Ordering clause. The Contractor shall furnish to the Government, when and if ordered, the supplies or services specified in the Schedule up to and includin9 the quantity designated in the Schedule as the

" maximum." The Government shall order at least the quantity of supplies or services designated in the Schedule as the " minimum."

(c) Except for any limitations on quantities in the Delivery-Order Limitations clause or in the Schedule, there is no limit on the number of orders that may be issued. The Government may issue orders requiring delivery

, to multiple destinations or performance at multiple locations.

(d) Any order issued during the effective period of this contract and not !

completed within that period shall be completed by the Contractor within the time specified in the order. The contract shall govern the Contractor's and Government's rights and obligations with respect to that order to the same extent as if the order were completed during the contract's effective period; provided, that the Contractor shall not be required to make any deliveries under this contract after forty-eight (48) months of effective date of the contract.

(Endofclause)

(R 7-1102.3(b) 1965 AUG) 52.252-2 CLAUSES INCORPORATED BY REFERENCE. (APR1984)

This contract incorporates the following clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available.

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

, Section E 52.246-4 INSPECTION OF SERVICES--FIXED-PRICE. (APR1984)

Section F 52.212'-13 STOP-WORK ORDER. (APR1984)

Section 1 52.202-1 DEFINITIONS. (APR1984) 52.203-1 0FFICIALS NOT TO BENEFIT. (APR 1984) 52.203-3 GRATUITIES. (APR1984) 52.203-5 COVENANT AGAINST CONTINGENT FEES. (APR1984) 52.203-6 RESTRICTIONS ON SUBCONTRACTOR SALES TO THE GOVERNMENT (JUL 1985) 52.215-1 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL. (APR1984) 52.215-26 INTEGRITY OF UNIT PRICES (JUL 1986) 52.215-33 ORDER OF PRECEDENCE. (JAN 1986) 52.219-8 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL DISADVANTAGED BUSINESS CONCERNS (JUN 1985) 52.219-13 UTILIZATION OF WOMEN-0WNED SMALL BUSINESSES. (APR1984) 52.220-3 UTILIZATION OF LABOR SURPLUS AREA CONCERNS. (APR1984) 52.222-1 NOTICE TO THE GOVERNMENT OF LABOR DISPUTES. (APR1984)

01E-87-121 Page 23 52.222-3 CONVICT LABOR. (APR 1984) 52.222-26 EQUAL OPPORTUNITY. (APR 1984) 52.222-35 AFFIRMATIVE ACTION FOR SPECIAL DISABLED AND VIETNAM ERA VETERANS (APR 1984) 52.222-36 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS (APR 1984) 52.227-1 AUTHORIZATION AND CONSENT. (APR 1984) 52.227-2 NOTICE AND ASSISTANCE, REGARDING PATENT AND COPYRIGHT INFRINGEMENT. (APR 1984) .

52.227-11 PATENT RIGHTS--RETENTION BY THE CONTRACTOR (SHORT FORM).

(APR 1984) 52.229-3 FEDERAL, STATE, AND LOCAL TAXES (APR 1984) 52.229-5 TAXES--CONTRACTS PERFORMED IN U.S. POSSESSIONS OR PUERTO RICO. (APR 1984) 52.232-1 PAYMENTS. (APR 1984) 52.232-8 DISCOUNTS FOR PROMPT PAYMENT. (JUL 1985) 52.232-11 EXTRAS. (APR 1984) 52.232-17 INTEREST. (APR1984) 52.232-18 AVAILABILITY OF FUNDS. (APR1984) 52.232-23 ASSIGNMENT OF CLAIMS. (JAN1986) 52.233-1 DISPUTES. (APR 1984) 52.243-1 CHANGES--FIXED-PRICE. (APR 1984)--Alternate I. (APR1984) 52.245-2 GOVERNMENT PROPERTY (FIXED-PRICE CONTRACTS). (APR 1984) 52.246-25 LIMITATION OF LIABILITY--SERVICES. (APR1984) 52.249-1 TERMINATION FOR CONVENIENCE OF THE GOVERNMENT (FIXED-PRICE)

(SHORT FORM). (APR1984) 52.249-8 DEFAULT (FIXED-PRICE SUPPLY AND SERVICE). (APR1984) l i

OIE-87-121 Paga 24 PART III - LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS Section J - List of Attachments Attachment Number Title 1 Proposed Course Outline 9

2 NRC Contractor Organizational Conflicts of Interest (41 CFR Part 20) 3 NRC Manual Chapter 3202 l 4 Billing Instructions

?

-,w - , - ,

- - ~ - , - - - - --- ,-,,,,,r-,--

OIE-87-121 ATTACHMENT 1 Proposed Course Outline Medical Uses of Byproduct Material 1.0 General Considerations 2.0 Nuclear Medicine 3.0 Brachytherapy 4.0 Teletherapy 5.0 Research 6.0 Miscellaneous Topics 7.0 Laboratory Exercises 8.0 Course Examination 1.0 General

1.1 Regulations

10 CFR 19, 20, 21, 30, 31, 35, 71, 170, regulatory guide 10.8, NUREG 0267 (1 hour1.157407e-5 days 2.777778e-4 hours 1.653439e-6 weeks 3.805e-7 months ) with specific examples and/or applications to medical uses listed above.

1.2 Radiation Safety Committee (.5 hour5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months )

A. Broad licensees

1. Authorities and responsibilities

2. NRC requirements B. Specific licensees

1. Authorities and responsibilities

2. NRC requirements 1.3 ALARA (.5 hour5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months )

A. How it is implemented in medical institutions B. Delegation of authority C. Implementation 1.4 Principles of Radiation Protection (30 min).

A. External hazards '

1. Time

2. Distance

3. Shielding B. Internal hazards

1. Possible routes of entry

2. Contamination control i

. , _ _ . - - - _ _ _. . . - . , _ , -. -- -.l

~

01E-87-121 1.5 Reduction of Radiation Exposure (1 hour1.157407e-5 days 2.777778e-4 hours 1.653439e-6 weeks 3.805e-7 months ).

A. Facility and Equipment design B. Procedures for Receipt and Handling of Packages Containing Radioactive Material

1. Package survey requirements

2. Delivering during and after nonnal working hours

3. Methods and procedures C. Ordering procedures

1. Responsibility

2. Possession limit D. Emergency Procedures

1. Minor spills and contamination

2. Major accidents

3. Decontamination kit

4. Personnel contamination

5. Monitoring requirements E. Waste Disposal methods

1. Storage for decay

2. Release to environment

3. Transfer to commercial disposal service F. Transportation

1. Within institution (ie, receipt of packages) l

2. Outside institution (ie, packaging and shipment)

3. Pharmacy dose transportation aspects l

G. Survey Procedures 1

1. Hazard evaluation

2. Personnel monitoring

3. Area monitoring 4 Leak testing

e. Records 1.6 _ Survey Meters - Calibration and Quality Control (30 min).

A. Calibration procedures B. Daily checks C. Quality control

OIE-87-121 i

2.0 Nuclear Medicine !

2.1 Diagnostic A. Equipment (1 hour1.157407e-5 days 2.777778e-4 hours 1.653439e-6 weeks 3.805e-7 months )

1. Dose Calibrator

a. Theory of operation

b. Quality control

c. Uptake probe

d. Well detector i A. Equipment (1 hour1.157407e-5 days 2.777778e-4 hours 1.653439e-6 weeks 3.805e-7 months )(Continued)

e. Rectilinear scanner

f. Scintillation camera

g. Tomographic systems B. Radiopharmaceuticals (.5 hour5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months )

1. Generator systems

2. Preparation of Tc-99m compounds

3. Diagnostic vs Therapeutic use

4. Common radiopharmaceuticals used C. Clinical and In vitro Studies

1. Common procedures

2. Radiopharmaceutical used for each procedure 2.2 Therapeutic (1 hour1.157407e-5 days 2.777778e-4 hours 1.653439e-6 weeks 3.805e-7 months )

A. 1-131 for Thyroid Procedures

1. Hyperthyroidism

2. Carcinoma B. P-32 chronic phosphate

1. Peritoneal or pleural effusions

2. Interstitially for treatment of cancer C. P-32 sodium phosphate

1. Polycythemia vera

2. Leukemia

3. Skeletal metastases i

OIE-87-121 3.0 Brachytherapy (2 hours2.314815e-5 days 5.555556e-4 hours 3.306878e-6 weeks 7.61e-7 months ) 3.1 Applications A. Source descriptions B. Storage facilities C. Handling equipment D. Transportation E. Leak testing F. Inventory and accountability G. Temporary vs permanent implants 3.2 Radiation Safety A. Safe handling techniques B. Patient instructions C. Room preparation D. Nursing instructions E. Monitoring procedures F. Lost sources G. Decontamination H. Recordkeeping 4.0 Teletherapy 4.1 Authorized users, Radiatior. Safety Officers and Qualified Experts

(.5 hour5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months ) 4.2 Teletherapy Units (1.5 hour5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months )

A. Design and construction details B. Source content C. Bean stops 4.3 Teletherapy Facilities (1.5 hour5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months )

A. Plan and evaluation B. Patient viewing system C. Penetrations and voids D. Door interlocks E. Calculations of radiation levels 4.4 Radiation Safety Programs (1.5 hour5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months )

A. Personnel monitoring B. Radiation survey and monitoring / instrumentation C. Surveys of restricted and unrestricted areas D. Teletherapy sources leak testing E. Emergency procedures F. Causes of teletherapy misadministrations G. Maintenance of records required for NRC inspections

OIE-87-121 4.5 Teletherapy QA-QC Program (1 hour1.157407e-5 days 2.777778e-4 hours 1.653439e-6 weeks 3.805e-7 months )

A. Frequency of patient chart reviews and independent verification of dose calculations B. Other QA considerations for prevention of misadministration 4.6 Relocation of the Teletherapy Unit (.5 hour5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months ) 4.7 Service of the Teletherapy Equipment (.5 hour5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months )

A. Installations, maintenance, exchange, and removal i

4.8 Miscellaneous (.5 hour5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months )

A. Familiarization with terminology, e.g., tumor do'se, integral dose, dose response curves l '

5.0 Research (1.5 hours5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months ) 5.1 Procedures for use of byproduct material in animals 5.2 Common radioisotopes used 5.3 Bioassay requirements 6.0 Miscellaneous Topics (2 hours2.314815e-5 days 5.555556e-4 hours 3.306878e-6 weeks 7.61e-7 months ) 6.1 1-125, Gd-153, and Am-241 in bone mineral analysis 6.2 I-125 in portable imaging devices - Lixiscopes 6.3 In Vitro studies (T-3, T-4, etc.)

6.4 Quantities generally encountered and isotopes used 6.5 Ordering and Disposal 6.6 Monitoring Procedures 6.7 Mobile Nuclear Medicine Vans 6.8 Nuclear Pharmacy f

ole-87-121 7.0 LABORATORY EXERCISES 7.1 Elution of a Tc-99m Generator (3 hours3.472222e-5 days 8.333333e-4 hours 4.960317e-6 weeks 1.1415e-6 months )

A. Mo-99 breakthrough B. Kit preparation C. Drawing of doses D. Assaying dose 7.2 Dose Calibrator (3 hours3.472222e-5 days 8.333333e-4 hours 4.960317e-6 weeks 1.1415e-6 months )

A. Constancy test B. Accuracy C. Linearity - decay method and calicheck D. Geometry or position test 7.3 LeakTestingandMinimumDetectableActivity(2 hours2.314815e-5 days 5.555556e-4 hours 3.306878e-6 weeks 7.61e-7 months )

A. Detemine efficiency B. Minfrrum detectable activity C. Leak test procedure for sealed sources D. Determine amount of removable contamination 7.4 Surveys ( 2 hours2.314815e-5 days 5.555556e-4 hours 3.306878e-6 weeks 7.61e-7 months )

A. Surveys for contamination B. Surveys for I-131 therapy patients C. Surveys of restricted and unrestricted areas 7.5 Nylon ribbons, Brachytherapy applicators (1 hour1.157407e-5 days 2.777778e-4 hours 1.653439e-6 weeks 3.805e-7 months )

A. Use dummy seeds to load nylon ribbons and applicators B. Handling and transportation of nylon ribbons and applicators 7.6 Teletherapy equipment checks (2hou'rs)

A. Beam uniformity B. Exposure rate 3%

C. Congruence check D. Timer accuracy E. Accuracy of distances measuring devices ;

8.0 Course Exanination (2-3 hours) j l

1

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OIE-87-121 Page 18 H.6 Proprietary Data and Confidential Infomation In connection with the performance of the work under this contract, the Contractor may be furnished, or may develop or acquire, proprietary data (trade secrets) or confidential or privileged technical, business, or financial infomation, including Commission plans, policies, reports, financial plans, internal data protected by the Privacy Act of 1974 (P.L.93-579), or other information which has not been released to the public or has been determined by the Commission to be othemise exempt from disclosure to the public.

Contractor agrees to hold such information in confidence and not to directly or indirectly duplicate, disseminate, or disclose such information in whole or in part to any other person or organization except as may be necessary to perform the work under this contract.

Contractor agrees to return such infomation to the Commission or otherwise dispose of it either as the Contracting Officer may from time to time direct during the progress of the work or in any event as the Contracting Officer shall direct upon completion or temination of this contract. Failure to comply with this clause shall be grounds for termination of this contract.

H.7 Contractor Organizational Conflicts of Interest (OMB Clearance Number 3150-0112)

(a) Purpose. The primary purpose of this clause is to aid in ensuring that the Contractor: (1) Is not placed on a conflicting role because of current or planned interest (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and (2) does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract.

(b) Scope. The restrictions described herein shall apply to performance or participation by the Contractor as defined in 41 CFR 620-1.5402(f) in the activities covered by this clause.

(c) Work for Others. Notwithstanding any other provision of this contract, during the tem of this contract, the Contractor agrees to forgo entering into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being performed under this contract. The Contractor shall ensure that all employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause. If the Contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangenent with any firm or organization may involve a potential conflict of interest, the Contractor shall obtain the written approval of the Contracting Officer prior to execution of such contractual arrangement.

(d) Disclosure af ter award.

(1) The Contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract,

1 OIE-87-121 Page 19 )

I it does not have any organizational conflicts of interest, as defined in 41 CFR 20-1.5402(a).

(2) The Contractor agrees that if after award it discovers organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in ,'

writing to the Contracting Officer. This statement shall include a description of the action which the Contractor has taken or proposes to take to avoid or mitigate such conflicts.

The NRC may, however, terminate the contract for convenience if it deens such termination to be in the best interests of the Government.

(e) Access to and use of infomation. -

(1) If the Centractor in the performance of this contract obtains access to infomation, such as NRC plans, policies, reports, studies, financial plans, internal data protected by

, the Privacy Act of 1974 (Pub. L.93-579), or data which has not been released to the public, the Contractor agrees not to:

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

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

(3) The Contractor shall have, subject to patent and security provisions of this contract, the right to use technical data it produces under this contract for private purposes provided that :

l all requirements of this contract have been met, (f) Subcontracts. Except as provided in 41 CFR 20-1.5402(h), the l Contractor shall include this clause, including this paragraph, in !

The terms " contract," " Contractor," and subcontracts of any tier.

4 01E-87-121 Page 20

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

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

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

l

\

OIE-87-121 l Page 21 PART II - CONTRACT CLAUSES Section I - Contract Clauses 52.216-18 ORDERING.- (APR 1984)

(a) Any supplies and services to be furnished under this contract shall be ordered by issuance of delivery orders by the individuals or activities designated in the Schedule. Such orders may be issued from the effective date of the contract through forty-eight (48) months thereafter.

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

(c) If mailed, a delivery order is considered " issued" when the Government deposits the order in the mail. Orders may be issued orally or by written telecommunications only if authorized in the Schedule.

(Endofclause)

(R 7-1101 1968 JUN) 52.216-19 DELIVERY-0RDER LIMITATIONS. (APR 1984) i (a) Minimum order. When the Government requires supplies or services

covered by this contract in an amount of less than one course, the Government is not obligated to purchase, nor is the Contractor obligated to furnish, those supplies or services under the contract.

(b)Maximumorder. The Contractor is not obligated to honor--

, 1) Any order for a single item in excess of 5 courses;

2) Any order for a combination of items in excess of 5 courses; or

3) A series of orders from the same ordering office within da that together call for quantities exceeding the limitation in subparagraph (ys 1) or(2)above.

(c) If this is a requirements contract (i.e., includes the Requirements clause at subsection 52.216-21 of the Federal Acquisition Regulation (FAR)),

, the Government is not required to order a part of any one requirement from the i Contractor if that requirement exceeds the maximum-order limitations in ,

paragraph (b)above. l (d) Notwithstanding paragraphs (b) and (c) above, the Contractor shall )

honor any order exceeding the maximum order limitations in paragraph (b),

unless that order (or orders) is returned to the ordering office within 30 days after issuance, with written notice stating the Contractor's intent not to ship the item (or items) called for and the reasons. Upon receiving this notice, the Government may acquire the supplies or services from another source.

(End of clause)

(R 7-1102.1(a) 1965 AUG) l (R7-1102.2(a)) 1 (R7-1102.3(a))

52.216-22 INDEFINITE QUANTITY. (APR1984) I i (a) This is an indefinite-quantity contract for the supplies or services

, specified, and effective for the period stated, in the Schedule. The j quantities of supplies and services specified in the Schedule are estimates

! only and are not purchased by this contract.

I !

l

OIE-87-121 Page 22 (b) Delivery or performance shall be made only as authorized by orders l issued in accordance with the Ordering clause. The Contractor shall furnish to the Government, when and if ordered, the supplies or services specified in the Schedule up to and including the quantity designated in the Schedule as the

" maximum." The Government shall order at least the quantity of supplies or services designated in the Schedule as the " minimum."

(c) Except for any limitations on quantities in the Delivery-Order Limitations clause or in the Schedule, there is no limit on the number of orders that may be issued. The Government may issue orders requiring delivery to multiple destinations or performance at multiple locations.

(d) Any order issued during the effective period of this contract and not completed within that period shall be completed by the Contractor within the time specified in the order. The centract shall govern the Contractor's and Government's rights and obligations with respect to that order to the same extent as if the order were completed during the contract's effective period; provided, that the Contractor shall not be required to make any deliveries under this contract after forty-eight (48) months of effective date of the contract.

(End of clause)

(R 7-1102.3(b) 1965 AUG) 52.252-2 CLAUSES INCORPORATED BY REFERENCE. (APR1984)

This contract incorporates the following clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available.

I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES Section E 52.246-4 INSPECTION OF SERVICES--FIXED-PRICE. (APR1984)

Section F 52.212-13 STOP-WORK ORDER. (APR 1984)

Section I 52.202-1 DEFINITIONS. (APR 1984) 52.203-1 0FFICIALS NOT TO BENEFIT. (APR 1984) 52.203-3 GRATUITIES. (APR 1984) 52.203-5 COVENANT AGAINST CONTINGENT FEES. (APR1984) 52.203-6 RESTRICTIONS ON SUBCONTRACTOR SALES TO THE GOVERNMENT (JUL 1985) 52.215-1 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL. (APR 1984) 52.215-26 INTEGRITY OF UNIT PRICES (JUL 1986) 52.215-33 ORDER OF PRECEDENCE. (JAN1986) 52.219-8 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL DISADVANTAGED BUSINESS CONCERNS (JUN 1985) 52.219-13 UTILIZATION OF WOMEN-0WNED SMALL BUSINESSES. (APR1984) 52.220-3 UTILIZATION OF LABOR SURPLUS AREA CONCERNS. (APR1984) 52.222-1 NOTICE TO THE GOVERNMENT OF LABOR DISPUTES. (APR 1984) i

OfE-87-121 Page 23 52.222-3 CONVICT LABOR. (APR 1984) 52.222-26 EQUAL OPPORTUNITY. (APR 1984) 52.222-35 AFFIRMATIVE ACTION FOR SPECIAL DISABLED AND VIETNAM ERA VETERANS (APR 1984) 52.222-36 AFFIRMATIVEACTIONFORHANDICAPPEDWORKERS(APR1984) 52.227-1 AUTHORIZATION AND CONSENT. (APR1984) 52.227-2 NOTICE AND ASSISTANCE, REGARDING PATENT AND COPYRIGHT INFRINGEMENT. (APR 1984) 52.227-11 PATENT RIGHTS--RETENTION BY THE CONTRACTOR (SHORT FORM).

(APR 1984) 52.229-3 FEDERAL, STATE, AND LOCAL TAXES (APR 1984) 52.229-5 TAXES--CONTRACTS PERFORMED IN U.S. POSSESSIONS OR PUERTO RICO.(APR1984) 52.232-1 PAYMENTS. (APR 1984) 52.232-8 DISCOUNTS FOR PROMPT PAYMENT. (JUL1985) 52.232-11 EXTRAS.

(APR 1984) )

52.232-17 INTEREST. (APR 1984 52.232-18 AVAILABILITY OF FUNDS. (APR 1984) 52.232-23 ASSIGNMENT OF CLAIMS. (JAN 1986) 52.233-1 DISPUTES. (APR 1984) 52.243-1 CHANGES--FIXED-PRICE. (APR1984)--AlternateI. (APR 1984) 52.245-2 GOVERNMENT PROPERTY (FIXED-PRICE CONTRACTS). (APR 1984) 52.246-25 LIMITATION OF LIABILITY--SERVICES. (APR1984) 52.249-1 TERMINATION FOR CONVENIENCE OF THE GOVERNMENT (FIXED-PRICE)

(SHORT FORM). (APR1984) 52.249-8 DEFAULT (FIXED-PRICE SUPPLY AND SERVICE). (APR1984) 1 e

OIE-87-121 l Page 24

. l PART III - LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS l Section J - List of Attachments 1

Attachment Number Title 1 Proposed Course Outline 2 NRC Contractor Organizational Conflicts of Interest (41 CFR Part 20) 3 NRC Manual Chapter 3202 4 Billing Instructions r

i 1

1 4

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

OIE-87-121 ATTACHMENT 1 Proposed Ccurse Outline s Medical Uses of Byproduct Material 1.0 General Considerations 2.0 Nuclear Medicine 3.0 Brachytherapy ^

4.0 Teletherapy 5.0 Research 6.0 Miscellaneous Topics 7.0 Laboratory Exercises 8.0 Course Examination 1.0 General

1.1 Regulations

10 CFR 19, 20, 21, 30, 31, 35, 71, 170, regulatory guide 10.8, NUREG 0267 (1 hour1.157407e-5 days 2.777778e-4 hours 1.653439e-6 weeks 3.805e-7 months ) with specific examples and/or applications to medical uses listed above.

1.2 Radiation Safety Committee (.5 hour5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months )

A. Broad licensees

1. Authorities and responsibilities

2. NRC requirements B. Specific licensees

1. Authorities and responsibilities

2. NRC requirements 1.3 ALARA (.5 hour5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months )

A. How it is implemented in medical institutions B. Delegation of authority C. Implementation 1.4 Principles of Radiation Protection (30 min).

A. External I.azards

1. Time

2. Distance

3. Shielding B. Internal hazards

1. Possible routes of entry

2. Contamination control

01E-87-121 1.5 Reduction of Radiation Exposure (1 hour1.157407e-5 days 2.777778e-4 hours 1.653439e-6 weeks 3.805e-7 months ).

A. Facility and Equipment design B. Procedures for Receipt and Handling of Packages Containing Radioactive Material

1. Package survey requirements

2. Delivering during and after normal working hours

3. Methods and procedures C. Ordering procedures

1. Responsibility

2. Possession limit D. Emergency Procedures

1. Minor spills and contamination

2. Major accidents

3. Decontamination kit

4. Personnel contamination

5. Monitoring requirements E. Waste Disposal methods

1. Storage for decay

2. Release to environment

3. Transfer to commercial disposal service F. Transportation

1. Withininstitution(ie,receiptofpackages)

2. Outside institution (ie, packaging and shipment)

3. Pharmacy dose transportation aspects G. Survey Procedures

1. Hazard evaluation

2. Personnel monitoring

3. Area monitoring 4 Leak testing

e. Records 1.6 Survey Meters - Calibration and Quality Control (30 min).

A. Calibration procedures B. Daily checks C. Quality control

OIE-87-121 2.0 Nuclear Medicine 2.1 Diagnostic A. Equipment (1 hour1.157407e-5 days 2.777778e-4 hours 1.653439e-6 weeks 3.805e-7 months )

1. Dose Calibrator

a. Theory of operation

b. Quality control

c. Uptake probe

d. Well detector A. Equipment (1 hour1.157407e-5 days 2.777778e-4 hours 1.653439e-6 weeks 3.805e-7 months ) (Continued)

e. Rectilinear scanner

f. Scintillation camera 9 Tomographic systems B. Radiopharmaceuticals(.5 hour5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months )

1. Generator systems

2. Preparation of Tc-99m compounds

3. Diagnostic vs Therapeutic use

4. Common radiopharmaceuticals used C. Clinical and In vitro Studies

1. Common procedures

2. Radiopharmaceutical used for each procedure 2.2 Therapeutic (1 hour1.157407e-5 days 2.777778e-4 hours 1.653439e-6 weeks 3.805e-7 months )

A. 1-131 for Thyroid Procedures

1. Hyperthyroidism

2. Carcinoma B. P-32 chronic phosphate

1. Peritoneal or pleural effusions

2. Interstitially for treatment of cancer C. P-32 sodium phosphate

1. Polycythemia vera

2. Leukemia

3. Skeletal metastases

OIE-87-121 3.0 Brachytherapy (2 hours2.314815e-5 days 5.555556e-4 hours 3.306878e-6 weeks 7.61e-7 months ) 3.1 Applications A. Source descriptions -

B. Storage facilities C. Handling equipment D. Transportation E. Leak testing F. Inventory and accountability G. Temporary vs permanent implants 3.2 Radiation Safety A. Safe handling techniques B. Patient instructions C. Room preparation D. Nursing instructions E. Monitoring procedures F. Lost sources G. Decontamination

. H. Recordkeeping 4.0 Teletherapy 4.1 Authorized users, Radiation Safety Officers and Qualified Experts

(.5 hour5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months ) 4.2 Teletherapy Units (1.5 hour5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months )

A. Design and construction details B. Source content C. Beam stops 4.3 Teletherapy Facilities (1.5 hour5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months )

A. Plan and evaluation B. Patient viewing system C. Penetrations and voids

, D. Door interlocks E. Calculations of radiation levels 4.4 Radiation Safety Programs (1.5 hour5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months )

A. Personnel monitoring B. Radiation survey and monitoring / instrumentation C. Surveys of restricted and unrestricted areas D. Teletherapy sources leak testing .

E. Emergency procedures F. Causes of teletherapy misadministrations G. Maintenance of records required for NRC inspections

OIE-87-121 )

l 4.5 Teletherapy QA-QC Program (1 hour1.157407e-5 days 2.777778e-4 hours 1.653439e-6 weeks 3.805e-7 months ) l A. Frequency of patient chart reviews and independent verification of dose calculations B. Other CA considerations for prevention of misadministration 4.6 Relocation of the Teletherapy Unit (.5 hour5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months ) 4.7 Service of the Teletherapy Equipment (.5 hour5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months )

A. Installations, maintenance, exchange, and removal 4.8 Miscellaneous (.5 hour5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months )

A. Familiarization with terminology, e.g., tumor dose, integral dose, dose response curves 5.0 Resea rch (1.5 hours5.787037e-5 days 0.00139 hours 8.267196e-6 weeks 1.9025e-6 months ) 5.1 Procedures for use of byproduct material in animals 5.2 Corrnon radioisotopes used 5.3 Bioassay requirements 6.0 Miscellaneous Topics (2 hours2.314815e-5 days 5.555556e-4 hours 3.306878e-6 weeks 7.61e-7 months ) 6.1 1-125, Gd-153, and Am-241 in bone mineral analysis 6.2 I-125 in portable imaging devices - Lixiscopes 6.3 In Vitro studies (T-3, T-4, etc.)

6.4 Quantities generally encountered and isotopes used 6.5 Ordering and Disposal 6.6 Monitoring Procedures 6.7 Mobile Nuclear Medicine Vans 6.8 Nuclear Pharmacy

l OIE-87-121 ,

i 7.0 LABORATORY EXERCISES 7.1 Elution of a Tc-99m Generator (3 hours3.472222e-5 days 8.333333e-4 hours 4.960317e-6 weeks 1.1415e-6 months )

A. Mo-99 breakthrough B. Kit preparation C. Drawing of doses D. Assaying dose 7.2 Dose Calibrator (3 hours3.472222e-5 days 8.333333e-4 hours 4.960317e-6 weeks 1.1415e-6 months )

A. Constancy test B. Accuracy C. Linearity - decay method and calicheck D. Geometry or position test 7.3 Leak Testing and Minimum Detectable Activity ( 2 hours2.314815e-5 days 5.555556e-4 hours 3.306878e-6 weeks 7.61e-7 months )

A. Detemine efficiency B. Minfrum detectable activity C. Leak test procedure for sealed sources D. Determine amount of removable contamination 7.4 Surveys ( 2 hours2.314815e-5 days 5.555556e-4 hours 3.306878e-6 weeks 7.61e-7 months )

A. Surveys for contamination B. Surveys for I-131 therapy patients C. Surveys of restricted and unrestricted areas 7.5 Nylon ribbons, Brachytherapy applicators (1 hour1.157407e-5 days 2.777778e-4 hours 1.653439e-6 weeks 3.805e-7 months )

A. Use dummy seeds to load nylon ribbons and applicators B. Handling and transportation of nylon ribbons and applicators 7.6 Teletherapy equipment checks (2 hours2.314815e-5 days 5.555556e-4 hours 3.306878e-6 weeks 7.61e-7 months )

A. Beam uniformity B. Exposure rate 3%

C. Congruence check D. Timer accuracy E. Accuracy of distances measuring devices 8.0 Course Exanination (2-3 hours)

- Are L u

. PART 20-1 -- GENERAL .

Subpart 20-1.54--Contractor Organizational Conflicts of Interest Sec.

20-1.5401 Scope and policy.

20-1.5402 Definitions.

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

20-1.5404 Representation.

20-1.5405 Contract clauses.

20-1.5405-1 General contract clause.

20-1.5405-2 Special contract provisions.

20-1.5406 Evaluation, findings, and contract award.

20-1.5407 Conflicts identified after award.

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

20-1.5411 Waiver.

20-1.5412 Remedies.

AUTHORITY: Sec. 8, Pub. L.95-601, adding Sec.170A to Pub. L.83-703, 68 Stat. 919, as amended (42 U.S.C. ch.14) l 120-1.5401 Scope and Policy (NRC)(a) It is the to avoid, policy or eliminate of neutralize the U.S. Nuclear contractorRegulatory Commission organizational conflicts of interest. The NRC achieves this objective by requiring all prospective ;

contractors to submit information describing relationships, if any, with i organizations or persons (including those regulated by NRC) which may 1 give rise to actual or potential conflicts of interest in the event of contract award.

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

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

7590-01 i

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

520-1.5402 Definitions (a) " Organizational conflicts of interest" means that a relationship exists whereby a contractor or prospective contractor has present or !

planned interests related to the work to be performed under an NRC i contract which: (1) May diminish its capacity to give impartial, technically l sound, objective assistance and advice or may otherwise result in a biased work product, or (2) may result in its being given an unfair

competitive advantage.

(b) "Research" means any scientific or technical work involving theoretical analysis, exploration, or experimentation. .

(c)

Evaluation activities" means any effort involving the appraisal of a technology, process, product, or policy.

(d) " Technical consulting and management support services" means internal assistance to a component of the NRC in the forinulation or administration of its programs, projects, or policies which normally

' require the contractor to be given access to information which has not :

been made available to the public or proprietary information. Such '

services typically include assistance in the preparation of program plans; artd preparation of preliminary designs, specifications, or statements of work.

(e) " Contract" means any contract, agreement, or other arrangement with the NRC except as provided in Section 20-1.5401(c).

(f) " Contractor" means any person, firm, unincorporated association, joint venture, co-spongor, partnership, corporatica, affiliates thereof, or their successors in interest, including their chief executives, directors, key personnel (identified in the contract), proposed consultants or subcontractors, which is a party to a contract with the NRC.

(g) " Affiliates" means business concerns which are affiliates of each other when either directly or indirectly one concern or individual controls or has the power to control another, or when a third party controls or has the power to control both (41 CFR !1-1.606-1(e)).

(h) " Subcontractor" means any subcontractor of any tier which performs supplies and work under a contract subcontracts in amounts with the NRC of $10,000 orexcept less. subcontracts for l (i) " Prospective contractor" or " offeror" means any person, firm, unincorporated association, joint venture, partnership, corporation, or

~

affiliates thereof, including its chief executive, directors, key personnel (identified in the proposal), proposed consultants, or subcontractors, submitting a bid or proposal, solicited or unsolicited, to the NRC to

[ obtain a contract.

7590-01 (j) " Potential conflict of interest" means that a factual situation exists that suggests (indicates) that an actual conflict of interest may arise from award of a proposed contract. The term " potential conflict of interest" is used to signify those situations which merit investigation prior to contract award in order to ascertain whether award would give rise to an actual conflict or which must be . reported to the contracting officer for investigation if they arise during contract perfomance.

Criteria for recognizing contractor organizational r

l 520-1.5403 conflicts of interest (a) General. Two questions will be asked in detemining whether actual or potential organizational conflicts of interest exist: (1) Are there conflicting roles which might bias a contractor's j' dgment u in relation to its work for the NRC7 (2) May the contractor be given an unfair competitive advantage based on the performance of the contract?

The ultimate detemination by NRC as to whether organizational conflicts of interest exist will be made in light of common sense and good business judgment based upon the relevant facts disclosed and the work to be performed. While it is difficult to identify and to prescribe in advance a specific method for avoiding all of the various situations or relationships which might involve potential organizational conflicts of interest, NRC personnel will pay particular attention to proposed contractual requirements which call for the rendering of advice, consultation or evaluation l

l activities, or similar activities that lay direct groundwork for the

! NRC's decisions on regulatory activities, future procurements, and research programs.

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

(1) Where the offeror or contractor provides advice and recommendations to the NRC in a technical area in which it is also providing consulting assistance in the same area to any organization regulated by the NRC.

(ii) Where the offeror or contractor provides advice to the NRC on the same or similar matter in which it is also providing assistance to any or5anization regulated by the NRC.

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

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

7590-01 (2) The contracting officer may request specific information from an offeror or contractor or may require special contract provisions such as provided in 520-1.5405-2 in the following circumstances:

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

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

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

(iv) Where the offeror or contractor is granted access to proprietary

infomation of its competitors.

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

(c) Policy application guidance. The following examples are illustrative only and are not intended to identify and resolve all contractor organizational conflict of interest situations. (1) Example.

The XYZ Corp., in response to a request for proposal (RFP), proposes to undertake certain analyses of a reactor component as called for in the

RFP. The XYZ Corp. is one of several companies considered to be technically well qualified. In response to the inquiry in the RFP, the XYZ Corp.

advises that it is currently performing similar analyses for the reactor manufacturer.

Guidance. An NRC contract for that particular work nortnally would not be awarded to the XYZ Corp. because it would be placed in a position in which its judgment could be biased in relationship to its work for NRC. Since there are other well-qualified companies available, there would be no reason fer considering a waiver of the policy.

(2) Example. The A8C Corp., in response to a RFP, proposes to perform certain analyses of a reactor component hich are unique to one s type of advanced reactor. As is the case with other technically qualified companies responding to the RFP, the A8C Corp. is perfoming various projects for several different utility clients. None of the ABC Corp.

projects have any relationship to the work called for in the RFP. Based on the NRC evaluation, the ABC Corp. is considered to be the best qualified company to parform the work outlined in the RFP.

.-. , , _ , . _ . . _ ,r._ . - - __ y. ., , _ , , _ . , . . . , _ _ , , . _ . , _ _ . , ,-r_, _

7590-01 Guidani:e. An NRC contract normally could be awarded to the ABC Corp. because no conflict of interest exists which would motivate bias with respect to the work. An appropriate clause would be included in the contract to preclude the ABC Corp. from subsequently contracting for work during the performance of the NRC contract with the private sector '

, which could create a conflict. For example ABC Corp. would be precluded from the perfonnance of similar work for the company developing the advanced reactor mentioned in the example.

(3) Example. As a result of operating problems in a certain type of comercial nuclear facility, it is imperative that NRC secure specific data on various . operational aspects of that type of plant so as to assure adequate safety protection of the public. Only one manufacturer has extensive experience with that type of plant. Consequently, that i company is the only one with whom NRC can contract which can develop ano conduct the testing programs required to obtain the data in reasonable time. That company has a definite interest in any NRC decisions that might result from the data produced because those decihions affect the reactor's design and thus the company's costs.

Guidance. This situation would place the manufacturer in a role in which its judgment could be biased in relationship to its work for NRC.

Since the nature of the work required is vitally important in terms of NRC's responsibilities and no reasonable alternative exists, a waiver of the policy may be warranted. Any such waiver shall be fully documented and coordinated in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms to g'uard against bias.

(4) Example. The ABC Co. submits a proposa'l for a new system for evaluating a specific reactor component's performance for the purpose of developing standards that are impiortant to the NRC program. The ABC Co.

has advised NRC that it intends to sell the new system to industry once its practicability has been demonstrated. Other companies in this 4

business are using older systems for evaluation of the specific reactor 1 component.

l Guidance. A contract could be awarded to the ABC Co. provided that the contract stipulates that no infonnation produced under the contract I

will be used in the contractor's private activities unless such information has been reported to NRC. Information which is reported to NRC by contractors will normally be disseminated by NRC to others so as to preclude an unfair competitive advantage that might otherwise accrue. When NRC furnishes infonnation to the contractor for the performance of contract work, it shall not be used in the contractor's private activities unless such information is generally available to others. Further the contract will stipulate that the contractor will inform the NRC contracting officer of all situations in which the information developed under the contract is proposed to be used.

7590-01

~

(5) Example. The ABC Corp., in response to a RFP proposes to assemble a map, showing certain seismological features of the Appalachian fold belt. In accordance with the representation in the RFP and 5 20-1.5403(b)(1)(1), A8C Corp. informs the NRC that it is presently doing seismolog'ical studies for several utilities in the Eastern United States but none of the sites are within the geographic area contemplated by the NRC study.

1 Guidance. The contracting officer would nomally conclude that award of a contract would not place ABC Corp. in a conflicting role where its judgment might be biased. The work for others clause of a20-1.5405-1(c) would preclude ABC Corp. fism accepting work during the tem of the NRC contract which could create a conflict of interest.

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

(2) It is not relevant that the contractor has the professional reputation of being able to resist temptations which arise from organizational conflicts of interest, or that a follow-on procurement is not involved, or that a contract is awarded on a compet'itive or a sole source basis.

520-1.5404 Representation (a) The following procedures are designed to assist'the NRC contracting officer in determining whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a particular offeror or contractor.

(b) Representation procedure. The following organizational

, conflicts of interest representation provision shall be included in all i solicitations and unsolicited proposals for: (1) Evaluation services or activities; (2) technical consulting and management support services; (3) research; and (4) other contractual situations where special organizational conflicts of interest provisions are noted in the solicitation and would be included in toe resulting contract. This representation requirement shall also apply to all modifications for additional effort under e,ae contract except those issued under the " changes" clause. Where, however, a statement of the type required by the organizational conflicts of interest representation. provision has previously been submitted with regard to the contract being modified, only an updating of such statement shall be required.

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75b0-01 ORGANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION I represent to the best of my knowledge and belief that:

! The award to of a contract or the modification of an existing contract does ( ) or does not ( ) involve situations or relationships 1

of the type set forth in 41 CFR's20-1.5403(b)(1).

(c) Instructions to offerors. The following shall be included in l all NRC solicitations: (1) If the representation as completed indicates that situations or relationships of the type set forth in 41 CFR 5 20-1.5403(b)(1) are involved, or the contracting officer otherwise determines that potential organizational conflicts exist, the offeror shall provide a statement in writing which describes in a concise manner all relevant facts bearing on his representation to the contracting l

officer. If the contracting officer determines that organizational conflicts exist, the following actions may be taken: (1) Impose appropriate conditions which avoid such conflicts, (ii) disqualify the offeror, or (iii) detennine that it is otherwise in the best interest of the United States to seek award of the contract under the waiver provisions of ,

120-1.5411. !

(2) The refusal to provide the representation required by 5 20- l 1.5404(b) or upon request of the contracting officer the facts required by '520-1.5404(c), shall result in disqualification of the offeror for ,

The nondisclosure or misrepresentation of any relevant interest award.

may also result in the disqualification of the offeror for award; or if such nondisclosure or misrepresentation is discovered after award, the resulting contract may be terminated. The offeror may also be disqualified from subsequent related NRC contracts and be subject to such other i remedial actions provided by law or the resulting contract.

(d) The offeror may, because of actual or potential organizational conflicts of interest, propose to exclude specific kinds of work from the statements of work contained in a RFP unless the RFP specifically prohibits such exclusion. Any such proposed exclusion by an offeror ,

will be considered by the NRC in the evaluation of proposals. If the 1 l

NRC considers the proposed excluded work to be an essential or integral part of the required work and its exclusion would work to the detriment of the competitive posture of the other offerors, the proposal must be

rejected as unacceptable.

(e) The offeror's failure to execute t'..: representation required by subsection (b) above with respect to invitation for bids will be considered to be a minor informality, and the offeror will be pennitted to correct the omission.

, s 20-1.5405 Contract clauses s 20-1.5405-1 General contract clause i

7590-01 All contracts of the types set forth in i20-1.5404(b) shall include the following clauses:

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

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

(b) Scope. The restrictions described herein shall apply to performance or participation by the contractor as defined in 41 CFR I 20-1.5402(f) in the actitities covered by this clause.

(c) .W ork for others. Notwithstanding any other provision of this contract, during the tem of this contract, the contractor agrees to forego entering into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being perfomed under this contract.

The contractor shall ensure that all employees who are employed full time under this contract and employees designated as key personnel, if 1

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

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

(2) The contractor agrees that if after award it discovers organizational conflicts of interest with respect to this contract, it shall make an imediate and full disclosure in writing to the contracting officer.

This statement shall include a description of the action which the contractor has taken or proposes to take to avoid or mitigat,e such conflicts. The NRC may, however, teminate the contract for convenience if it deems such temination to be in the best interests of the government.

(e) Access to and use of information. (1) If the contractor in '

the perfomance of this. contract obtains access to infomation, such as NRC plans, policies, reports, studies, financial plans, internal data i protected by the Privacy Act of 1974 (Pub. L.93-579), or data which has

! not been released to the public, the contractor agrees not jo: (1) Use such released information for any(private to the public; ii) compete purpose until for work forthe theinformation Comission has basedbeen l

i

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l I

i 7590-01 l

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

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

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

(f) Subcontracts. Except as provided in 41 CFR 520-1.5402(h), the contractor shall include this clause, including this paragraph, in subcontracts of any tier. The terms " contract," " contractor," and

" contracting officer,"*shall be appropriately modified to preserve the government's rights. !

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

(h) Waiver. A ' request for waiver under this clause shall be directed in writing through the contracting officer to the Executive Director for Operations (ED0) in accordance with the procedures outlined in120-1.5411.

520-1.5405-2 Special contract provisions.

(a) If it is determ.ned from the nature of the proposed contract that organizational conflicts of interest exist, the contracting officer may determine that such conflict can be avoided or after obtaining a waiver in accordance with 520-1.5411, neutralized through th.e use of an l appropriate special contract provision. If appropriate, the offeror may negotiate the terms and conditions of these clauses, including the extent and time period of any such restriction. These provisions include but are not limited to:

.g.

7590-01 (1) Hardware exclusion clauses which prohibit the acceptance of production contracts followinij a related nonproduction contract previously performed by the contractor; (2) Software exclusion clauses;

, (3) Clauses which require the contractor (and certain of his key j personnel) to avoid certain organizational conflicts of interest; and

(4) Clauses which provide for protection of confidential data and guard against its unauthorized use.

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

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

(2) If the contractor under this contract prepares a complete or essentially complete statement of work or specifications, the contfactor shall be ineligible to perform or participate in the initial contractual effort which is based on such statement of work or specifications. The contractor shall not incorporate its products or services in such statement of work or specifications unless so directed in writing by the contracting officer, in which case the restriction in this subparagraph shall not apply. .

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

! 5 20-1.5406 Evaluation, findings, and contract award The contracting officer will evaluate all relevant facts submitted by on offeror pursuant to the representation requirements of 520-1.5404(b) and other relevant informaticn. After evaluating this information agains*t the criteria of 320-1.5403, a finding will be made by the contracting i

officer whether organizational conflicts of interest exist with respect

to a particular offeror. If it has oeen determined that conflicts of '

interest exist, then tne contract 1ng officer shall eitner:

(a) Disqualify.tne offeror from award, t ,

l6

7590-01 (b) Avoid or eliminate such conflicts by appropriate measures; or (c) Award the contract under the waiver provision of 520-1.5411. ,

I 120-1.5407 Conflicts identified after award. !

If potential organizational conflicts of interest are identified after award with respect to a particular contractor, the contracting officer determines that such conflicts do, in fact, exist and that it would not be in the best interests of the government to terminate the contract as provided in the clauses required by $20-1.5405, the contracting officer will take every reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with 520-1.5411, neutralize the effects of the identified conflict.

520-1.5408 (Reserved) 520-1.5409 (Reserved) 520-1.5410 Subcontracts The contracting officer shall require offerors and contractors to submit'a representation statement in accordance with !20-1.5404(b) from subcontractors and consultants. The contracting officer shall require the contractor to include contract clauses in accordance with 5 20-l.5405 in consultant agreements or subcontracts involving performance of work under a prime contract covered by this subsection.

i20-1.5411 Waiver in the first instance, determination with respect to the need to seek a waiver for specific contract awards shall be made by the contracting officer with the advice and concurrence of the program office director and the Office of Executive Legal Director. Upon the recommendation of the contracting officer, and after consultation with the Office of the General Counsel, the EDO may waive the policy in specific cases if he determines that it is in the best interest of the United States to do so.

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

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

7590-01 l?O-1. 5412 Remedies In addition to such other remedies as may be permitted by law or contract f6r a breach of the restrictions in this subpart or for any intentional misrepresentation or intentional nondisclosure of any 1 l

relevant interest required *to be provided for this section, the NRC may debar the contractor from subsequent NRC contracts. f i

Dated at Washinaton. 0.C this 27th day of Ma'rch 1979.

For the Nuclear Regulatory Commission O,

5%

. Samuel . Chilk Secretary of the Commission 4

. -*. 8+cL J Form NRC-489 (1 76)

'I U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL

TRANSMITTAL NOTICE 4

k' CHAFTdi lac-3202 PUBLICATION OF TECHNICAL REPORTS PEPARED BY NRC COICRACERS, INCI1JDING EPORTS PEPAED UNTH OR PTRSMMr TO If7EFF,ENCY Ar>FEEMWTS SUPERSEDED: TRANSMITTED:

Number Date Number Date TN 3200-21 Cha pter NRC-3202 4/29/82 Chapter NRC-3202 8/29/84 Page Page Appendix NEC-3202 L/29/82 Appendix NRC-3202 8/29/S4 REMARKS:

Tnis revision of Chapter 3202 expands the chapter from ccverage of unclassified reports to include the trarkirg and handling of sensitive

[( uniassified irfomation (Official Use Only and Limited Official Use Ir.fomation, Safeguards Infomation, Proprietary Inforration) and classified irfomation (Top Secret, Secret, and Confidential). A secticr has also teen added to set forth procedures for the handling of unclassified reports en 130 cooperative p:rgrarr.s with foreiFn gove =.er.ts and crganizations and with U.S. industry.

1 f

((

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,. U.S. NUCLEAR REGULATORY COMMISSION 1

NRC MANUAL Volume: 3000 Information and Foreign Activities

Part . 3200 Technical Information and Document Control ADM CHAPTER 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS l

3202-01 COVERAGE

< This chapter and its appendix handbook establish responsibilities , basic

! requirements , standards and procedures for the documentation , production i

and dissemination of technical reports prepared by NRC consultants and j grantees and by NRC contractors and their subcontractors, including reports ,

j prepared under or pursuant to interagency agreements or memorandums of i understanding. These reports are hereafter referred to as contractor re-

ports . This chapter does not cover NRC staff-generated documents , NRC 1

docket material, or the documents generated by NRC boards, panels ,

< advisory committees and Offices that report to the Commission.

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

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

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

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

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

!, 3202-03 RESPONSIBILITIES AND AUTHORITIES i

The Director, Office of Administration:

031

a. develops and maintains, in consultation with Directors of Offices t; and Divisions and Regional Administrators, NRC standards, proce-dures and guides for the production and dissemination of technical contractor reports.

Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING ~ REPORTS PREPARED NRC-3202-032 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

y A

d

b. periodically surveys report activities throughout NRC to ascertain that the provisions of this chapter are adequate and are being implemented; makes any changes needed. .

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

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

b. develops and maintains guides and standards for the documentation, formatting, printing, dissemination , and public sale of unclassified contractor reports.

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

d. establishes and administers interagency agreements necessary for the dissemination and public sale of unclassified contractor reports and controls duplication and printing of contractor reports to assure adherence to the Government Printing and Binding Regulations issued by the Joint Committee on Printing (JCP), Congress of the United States.

gI I

e. in response to reque.sts of Directors of Offices and Regional Administrators, establishes distribution . data banks, maintains official standard distribution lists for automatic distribution of unclassified contractor reports, and controls distribution to assure adherence to the Government Printing and Binding Regulations, the Privacy Act, and the Freedom of Information Act.

033 Directors of Offices and Regional Administrators:

a. establish the contract or fatandard Order for Work

p rovisions ,

including those required by this chapter and its appendix; Chapter NRC-3203, Distribution of Unclassified NRC Staff- and Contractor-Generated Documents and its appendix; Chapter NRC-0260, Print-in g , Copying, Graphics and Photography and its appendix; and Chapter N RC-Il02, Procedures for Placement of Work with the Department of Energy. In the Statement of Work:

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

, ~, and legal issues by NRC staff in draft prior to printing and -

distribution. If the report is to be' reviewed by NRC staff, give the conditions under which the contractor may publish documents in the event of unresolvable differences relative to .

the draf t, including the type of disclaimer to be used in addi-tion to the standard government disclaimer (see Exhibit 6).

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

Approved: August 29, 1984

. l.

l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-034

, (2) provide for the reviews necessary to insure that the national i secu rity , patent rights , copyrights, proprietary rights and '

rights in other sensitive unclassified information are not compromised by the release or dissemination of the reports.

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

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

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

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

(6) establish the number of copies the contractor may retain or request for internal and external distribution and charge d; against NRC. Written justification must be provided , and approval obtained of the NRC JCP representative (the Director, Division of Technical Information and Document Control) when the number exceeds the 50 copies authorized by JCP for unclassified reports.

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

Part V).

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

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

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

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

i 034 The Office of the Executive Irgal Director provides legal review and advice to NRC staff on questions regarding inventions, patents, proprietary information, use of copyrighted material, national security, and other sensitive unclassified and classified information.

f<\

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

Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-036 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS g

./

)

036 The Director, Division of Security:

a

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.

4 037 The Director, Division of Contracts:

1 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 distribution.

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

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

3207, and 3210, when appropriate.

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

e. ensures that appropriate clauses are included in contracts regarding the private use and protection of classified, proprietary and other sensitive unclassified information.

3202-04 DEFINITIONS *

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

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

043 contractor report - record of work done (a report) prepared in accordance with the provisions of a contract or under or pursuant to an

interagency agreement. ,

Words underscored in definitions are also defined in list. ))

< Approved: August 29, 1984

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

PUBLICATION OF TECllNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-044 f.

044 copyright - a form of protection provided by the laws of the United States (Title 17, U.S. Code) to the authors of " original works of authorship" including literary, dramatic , musical, artistic , and certain other intellectual works. This protection is available to both published and unpublished works.

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

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

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

047 documentation -

classification and associated markings required for classified or sensitive unclassified documents , the NRC report number unique to the report, title (and subtitle, if any), author or correspondent (if any), organization identification and contract number (or FIN number), date and availability.

j, 048 draft 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 modi-fied at the discretion of the NRC staff.

049 formal technical reports - the final product of research, an original investigation , or a significant compilation of information. This product is a 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 Public Document Room (PDR) for public inspec-

{[g tion and copying or available in the public domain.

August 29, 1984 Approved:

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED 5

NRC-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 ,

4 black and white photographs (colored photographs cannot be reproduced),

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

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

r 0416 technical letter reports (also called technical evaluation reports)

- interim or final letters that provide information on the technical aspects of contract work. Interim technical letter reports may be required at various stages of a project. These reports usually are followed by a final technical letter report or a formal technical report. Final technical letter reports are usually specified in situations where the technical work is review and eval-uation of work of others or work to be used by the staff in the licensing and regulation 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.

4

] 3202-05 BASIC REQUIREMENTS 051 Applicability. The provisions of this chapter and its appendix apply to NRC consultants, grantees, contractors and subcontractors, including those working under interagency agreements, whose contracts require the prepara-t tion of technical reports. Because of the unique requirements of NRC boards, panels , advisory committees and Offices which report directly to the

Commission, the handling of reports prepared by consultants and contractors to them are governed by the Board or Panel Chairman and, in the case of advisory committees, by the Advisory Committee Management Officer, or the

Commission . These exceptions do not preclude the use of the NUREG/CR series designation on reports prepared for these entities that are to be given wide public dissemination.

052 Forms. NRC Form 426A, " Publication Release for Unclassified NRC .

< Contractor and Consultant Reports" (Exhibit 5), NRC Form 335, "Biblio-i graphic Data Sheet" (Exhibit 7), and NRC Form 190, " Cover Sheet for Reports

{

Containing Proprietary Information" (Exhibit 19), shall be used as provided in ,

, the appendix, i

! 053 Appendix 3202. This appendix contains standards and procedures 1 i for the preparation of reporting requirement portions of Statements of Work, 1 and for the documentation, production, and dissemination of technical reports prepared by contractors and other government agencies in accordance with contract requirements or interagency agreements.

Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS N RC-3202-054 I(

054 Preparation Requirements

a. Reports to be Printed by NRC. All contractor reports to be printed by NRC shall be prepared according to Appendix 3202. The repro-

, ducible masters for the requisite distribution shall be transmitted to the Division of Technical Information and Document Control accom-panied by completed NRC Form 426A and NRC Form 335.

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

a completed NRC Form 335.

055 References. The NRC chapters referenced and NUREG-0794 (ref. j) and NUREG-0650 (ref.1) are available from the Division of Technical Informa-tion and Document Con trol . The other publications are available from the

Government Printing Office.

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

l 4 t' b. Chapter and Appendix NRC-2101. "NRC Security Program."

c. Chapter N R C-3203, " Distribution of Unclassified NRC Staff- and Contractor-Generated Documents."

d. Chapter NRC-Il02, "Procedu res for Placement of Work with the l Department of Energy

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

f. Chapter N RC-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 the United States, No. 24, April 1977 (JCP

,,- Regulations). Government Printing Office.

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

l, Government Printing Office.

((g Approved: August 29, 1984

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

PUBLICATION OF TECHNICAL REPORTS PREPARED BY.

NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-055 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

! j. " Technical Writing Style Guide," A. W. Savolainen et al. , compilers.

l U.S. NRC Report NUREG-0650, November 1979, and Supplement 1,

t o February 1982.

l l k. " Protection of Unclassified Safeguards Information," D. J. Kasun, USNRC Report NUREG-0794, October 1981.

l. Chapter NRC-0255, " Mail Management," and Appendix 0255, Part V,

Annex A.

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{ Approved: August 29, 1984 j

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

. . = . . . .. - - -

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

(

- CONTENTS

PART I PREPARATION OF REPORTING-REQUIREMENTS PORTIONS OF STATEMENTS 0F WORK FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR DOE WORK A. LIST OF-TECHNICAL REPORT REQUIREMENTS......................... 1 2

4 B. REQUIREMENTS FOR FORMAL REP 0RTS...............................

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

D. PUBLISHING UNCLASSIFIED, NON-SENSITIVE INFORMATION IN OPEN LITERATURE AND PRESENTING PAPERS...................... 3 E. TYP0 GRAPHY.................................................... 4 F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION........................................ 4 G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND WORKSHOPS..... ........................................... 4 e

i H. WRITING AND PUBLISHING UNCLASSIFIED B00KS............... . ... 5 I. DISTRIBUTION OF REPORTS TO CONTRACTORS.............. ......... 5 J. COORDINATION OF PRESS OR OTHER MEDIA RELEASES OF UNCLASSIFIED INFORMATION..................... ........... . 5 PART II UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC... 7 A. DOCUMENTATION. ............................................ 7 l .

1. Applicability.... ...................... ................ 7 4 2. Front Cover and Title Page............................... 7

3. Availability Information................................. 9 l 9 4.

Disclaimer...............................................

5. Previous Reports in Series............................... 9

6. Abstract................................................. 9

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

8. Bibliographic Data Sheet................................. 10 B. PATENT AND SECURITY REVIEWS................................... 10

1. Patent Review........ ................................... 10

2. Security Review.... ..................................... 10 i .

i Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 3 9

CONTENTS (Continued)

, , PAGE C. PROCEDURES FOR PRINTING AND DISTRIBUTING................. .... 11

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

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

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

1. Sample Cover for Unclassified Formal Contractor-Prepared Reports, i Excluding Those Printed by DOE Laboratories with JCP Authorized j Federal Printing Plants........................................... 13

2. Sample Title Page for Unclassified Formal Contractor-Prepared j Reports, Excluding Those Printed by DOE Laboratories with JCP

Authorized Federal Printing Plants................................ 14 I

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

4. Sample Title Page for Unclassified Formal Reports Printed j by DOE Laboratories with JCP Authorized Federal Printirg Plants.................................................. . .. .. 16 1 il

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

6. Disclaimer and Availability Statements....... .......... .. ...... 18 i

7. NRC Form 335, Bibliographic Data Sheet........................... 19 PART III UNCLASSIFIED TECHNICAL LETTER REPORTS........ ... ........ 21 i

A. F0RMAT....................................... , , ,,,,,,,, 21 i

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

2. Requirements............................................ 21 4

i B. PATENT AND SECURITY REVIEWS....................... ......... 21

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

2. Security Review................................... .... 22 l .fARTIV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE OFFICE i

0F NUCLEAR REGULATORY RESEARCH BY DOE LABORATORIES WITH

), JCP-AUTHORIZED FEDERAL PRINTING PLANTS...................... 23 -

]

A. DOCUMENTATION............................................... 23

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

)'

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

. _ _ . _.~

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

( CONTENTS (Continued)

PAGE

3. Availability and Price Information..................... 25

4. Disclaimer............................................. 25

5. Previous Reports in Series............................. 25

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

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

8. Bibliographic Data Sheet............................... 26 B. PATENT AND SECURITY REVIEWS.............................. .. 26 I

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

2. Security Review........................................ 26 t

j C. PROCEDURES FOR PRINTING AND DISTRIBUTING.................... 27

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

2. Reprinting............................................. 27 1 3. Distribution of Reports................................ 27 l

! PART V REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION...................................... 29

, A. APPLICABILITY............................................... 29

'. \'

B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION...... 29 i C. PROPRIETARY INFORMATION... ......................... .. . 30 D. SAFEGUARDS INFORMATION...................................... 31 t E. CLASSIFIED INFORMATION...................................... 31 i EXHIBITS i

8. Sample Cover for a Contractor Report Containing Official Use

Only Information....... .......................................... 33

9. Sample Title Page for a Contractor Report Containing Official Use Only Information.............................................. 34

. 10. Sample Back Cover for a Contractor Report Containing Official Use Only Information.............................................. 35

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

?

12. Sample Title Page for a Contractor Report Containing limited Official Use Information.......................................... 37

, f(t 1

I lii Approved: August 29, 1984 i

i

i PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS CONTENTS (Continued) f PAGE

~o

13. Sample Back Cover for a Contractor Report Containing Limited

! Official Use Information.......................................... 38

)*

J

14. Sample Cover for a Contractor Report Containing Proprietary Information Obtained from a U.S. Organization................ 39

! 15. Sample Cover Page for a Contractor Report Containing

Proprietary Information Obtained f rom a Foreign Source. . . . . . . . . . . . 40 J

j 16. Sample Title Page for a Contractor Report Containing i Proprietary Information Obtained from a U.S. Organization......... 41

17. Sample Title Page for a Contractor Report Containing 4 Proprietary Information Obtained from a Foreign Source........... 42

, 18. Sample Back Cover for a Contractor Report Containing P rop ri e t a ry I n f o rma t i o n . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43

19. Cover Sheet for Reports Containing Proprietary Information. . . . . . . . 44 l 20. Sample Cover for a Contractor Report Containing

! Unclassified Safeguards Information............ ...... ........ .. 45

.t

21. Sample Title Page for a Contractor Report Containing 4

Unclassified Safeguards Information................ ... ..... .... 46 i 22. Sample Back Cover for a Contractor Report Containing Unclassified Safeguards Information............................. . 47

23. Cover Sheet for a Contractor Report Containing Unclassified Safeguards Information...... ..................... ............ .. 48 j PART VI. HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE

! PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH INDUSTRY..................................................... 49 1

l A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT......... 49 4

B. DISTRIBUTION BY NRC PROJECT MANAGERS...... .... ............. 50 4 C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT.. ............ 50 D. REPORT 10ENTIFIERS........................................... 50 i

E. MAILING TO PROGRAM PARTICIPANTS.............................. 51 i F. SECURITY..................................................... 51 Approved: August 29, 1984 iv i

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 i CONTENTS (Continued)

PAGE

EXHIBITS j $' 24. Sample Cover for a Draft Preliminary Report (Code) for Comment... 52

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

26. Transmittal Sheet for Requesting Mailing to Cooperative Program

Participants. .................................................... 54 s

4 1

1 1

4 l

6 i

i f

i

(

1, 1

}

l 1

l t

i 4

I i

I 4

i I

i g'(

'\

l v Approved: August 29. 1984 l

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 320_2

{<

PART I PREPAR ATION OF REPORTING REQUIREMENT PORTIONS OF

, STATEMENTS OF WORK FOR CONTRACTS, GRANTE AND STANDARD ORDERS FOR DOE WORK A. LIST OF TECilNICAL REPORT REQUIREMENTS List the technical reports required from each project, task or subtask.

as applicable . State when and to whom they should be submitted and what they should contain. These reports may be unclassified, sensitive unclassified or classified . Standards for each of these categories are presented in Parts 11 through V. The following definitions describe the types of reports that may be specified:

technical reports - information on the technical aspects of contract work. These may be interim or final technical letter reports, draft

or final formal technical reports for publication in the NUREG/CR or NUREG/CP series , or draft or final material for inclusion in SERs or ESs (see definitions below).

technical letter reports (also called technical evaluation reports ) -

, interim or final letters that provide information on the technical

i aspects of the contract work. Interim technical letter reports may be required at various stages of a project. These interim letters usually are followed by a final technical letter report or a formal technical report. Final technical letter reports are usually specified in situations where the technical work is review and evaluation of work of others or work to be used by the staff in the licensing and regulation process. Interim letter reports may include, but are not limited to, informal (interim) progress reports , quick-look reports, data reports, status summary reports, project descriptions, pre-test predictions , model verifications , experiment safety anal-yses, e xperimen t operating procedures , facility certification reports, and test result reports. These reports must be identified with the financial number (FIN) assigned to the project. They are not to be identified with DOE registered report codes. The num-ber of copies to be prepared and the distribution of those copies will be specified by the project manager.

formal technical reports - the final product of research, an original investigation, or a significant compilation of information. This pro-duct is ., formal technical report for publication in the NUREG/CR or NUREG/CP series. For extensive long-term projects, formal monthly, quarterly or semiannual and annual periodic technical reports may be a

required. A draf t of the final or periodic report may be requested for comment prior to preparation of the camera-ready copy.

Y 1 Approved: August 29, 1984

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

! Part 1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS i draft or final material for publication or inclusion in SERs. ESs, letters, or license amendments - written material requested for use

], in the NRC licensing process. Such material may be (I) abstracted -

i 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 j '

l as necessary by the NRC staff. NRC requires patent review and i

full management review of this material by the performing organiza-

tion. This material is to be submitted to NRC as a technical letter j report addressed to the project manager and identified by the FIN l number.

I For purposes of this Part, contractor means a private contractor con- .

sultant, grantee , another State or Federal Agency working under an

! interagency ' agreement, or a DOE / facility or National Laboratory (con--

i tractor) and subcontractors.

}

! B. REQUIREMENTS FOR FORMAL REPORTS i 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-i ready copy submitted by the contractor, unless the work is being done for the Office of Nuclear Regulatory Research by a DOE facility or I Laboratory with a JCP-authorized printing' plant, The camera-ready l copy is to be prepared in accordance with the provisions of this appen-j dix. Parts 11 and V (for contractors other than DOE contractors), or i Parts IV and V of this appendix and Chapter 1102 (for DOE contrac- x) f i

tors ) . A style guide is also available free, upon request (NUREG-0650). If the report is to be printed by NRC and it is unclassified, the camera-ready copy is to be submitted by the contractor to the Director, Division of TechnicalInformation and Document Control, NRC, Washington, D.C. 20555, by first class mail. For handling of sensitive unclassified and classified reports see Part V of this appendix and NRC Appendix 2101.

Unclassified reports printed for the Office of Nuclear Regulatory Research t

should be handled in accordance with Parts IV and V of this appendix

! and/or Chapter 1102.

j C. REQUIREMENTS FOR DRAFT REPORTS ,

l If a draft is desired prior to completion of a final technical letter report, j formal technical report, final material for inclusion in an SER or ES, or i for comment by participants in cooperative programs with foreign gov-j ernments and organizations and with U.S. industry, state that require-j ment and the time frame for delivering the final camera-ready copy after i

receiving NRC and/or participant comments on the draft. State that all i, draft material should be submitted to the cognizant project manager. .

1 i When the contractor is to submit draft material for comment prior to the l* preparation of the final report, state that if there are NRC program ,

and/or participant comments the contractor will be asked to make changes.

j If agreement on the changes is reached, the NRC manager will authorize _

the contractor to prepare the final copy and submit it to the project 'yI

manager, if it is a letter report or input to an SER or ES, or to the J Director, Division of Technical Information and Document Control, if it is I

f Approved: August 29, 1984 2 1

i

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part I h' camera-ready copy for printing and distribution. This is to be done to assure proper publication, handling, and distribution and, among other things, to preclude further changes that might nullify the agreement. If caveats were agreed to and the project manager wishes to check the final document for their presence, he/she should inform TIDC of that desire.

o In that case, upon receipt of the camera-ready copy by TIDC, the project manager will be informed and requested to prepare and sign the NRC Form 426A.

Also state that if agreement on changes to a formal technical report to be issued in the NUREG/CR series is n_ot reached, the NRC project manager may request the contractor to prepare the camera-ready copy with , in addition to the standard disclaimer required on all contractor formal reports (see Exhibit G), any caveats deemed necessary to cover NRC objections. Such caveats may range from the "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" to the addition of a preface setting forth the NRC opinion or 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-tory should be informed by the NRC Office Director or Regional Adminis-trator of the decision and the reasons therefor, with a copy to the Laboratory Director. In the case of another Federal agency, a State, or 1 a private contractor, the person who executed the contract should simi-larly be informed by the NRC Contracting Officer. The contractor is then free to publish without NRC identification of the report. Project manager or higher level decisions may be appealed to the NRC Executive Director for Operations.

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

The principal investigator (s) may publish the results of this work in the open literature instead of submitting a final report and/or present papers at public or association meetings at 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 I the open literature instead of submitting a final report and/or pre-p sent papers at public or association meetings at interim stages of the work, if the article or paper has been reviewed by the NRC project i

3 , Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part I UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS manager in draft form and agreement has been reached -on the con- h tent. The applicable procedures set forth in Chapters NRC-3206 or "f)

NRC-1102 must be followed.

If agreement is not reached, NRC may also ask that the paper include in addition to the standard statement " Work supported by the U.S.

Nuclear Regulatory Commission," any caveats deemed necessary to cover NRC objections. If NRC objections cannot be covered in this manner, NRC can refuse to authorize publication in the open litera-ture and/or presentation of papers.

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

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

Project manager or higher level decisions may be appealed to the NRC Executive Director for Operations, if the contractor proposes to publish in the open literature or present the information at meetings in addition to submitting the required tech-i nical reports, approval of the proposed article or presentation should be obtained from the NRC project manager. The NRC project manager shall either approve the material as submitted , approve it subject to NRC-suggested revisions, or disapprove it. In any event, a project manager may disapprove or delay presentation or publication of papers on infor-mation that is subject to Commissioner approval that has not been ruled 5' j upon or which has been disapproved.

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

E. TYPOGRAPHY The text of reports must be single spaced on 8\ x 11-in. paper, unless otherwise specifically authorized. Occasionally , reports with many sym-bots and mathematical expressions may require one and one-half spacing to provide for superscripts and subscripts . This spacing should be allowed where needed, but should be considered an exception, not the standard.

F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED 4

INFORMATION Details of the marking of reports designated Official Use Only. Limited Official Use, Proprietary Information , Safeguards Information , and

' classified (Confidential, Secret, and Top Secret) are provided in Part V

of this appendix and in NRC Appendix 2101, j .

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

Approved: August 29, 1984 4 i

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

Q participates as a sponsor or cosponsor. Chapter NRC-3207, " Conferences and Conference Proceedings," provides general information and guidance

. for this. More detailed guidance is available from TIDC upon request.

H. WRITING AND PUBLISHING UNCLASSIFIED BOOKS NRC may, under certain circumstances , publish books prepared by grantees or contractors. For general information and guidance on book publishing, see Chapter NRC-3210, " Book Writing and Publishing."

1. DISTRIBUTION OF REPORTS TO CONTRACTORS

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

If fewer than 50 copies are needed, indicate the desired quantity on NRC Form 426A. Single copies for specific individuals in organizations other than the contractor's organization who are not included in the distribution requested by the NRC project manager may be requested on a project basis or on a report-by-report basis. The request, with written justifi-cation, should be addressed to the NRC project manager, with a copy to NRC/TIDC. If the additional distribution is approved by the NRC project manager, the contractor shall send these copies (if printing is done by the contractor) and address labels, even if printing is done by NRC, to NRC/TIDC, where the distribution will be made along with the standard distribution. Distribution of sensitive unclassified and classi-l h fied reports will be made by the project manager on a case-by-case basis.

J. COORDINATION OF PRESS OR OTHER MEDIA RELEASES OF UNCLASSI-FIED INFORMATION A contractor may request permission to issue a press or other media release on the work being done. Such request shall be made to the project manager, who will consult with his/her management and with the Office of Public Affairs. The contractor may not issue a press release on nonroutine information without this prior coordination. This coordination may be accomplished by telephone, with the NRC project manager respon-sible for expeditious handling. Decisions not to release information or delays in handling by the project manager may be appealed to the NRC Executive Director for Operations.

f 5 Approved: August 29, 1984

PUBLICATION OF. TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 Yk PART II UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC s A. DOCUMENTATION

1. Applicability

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

Contractors may not print reports prepared for NRC except those DOE laboratories with JCP-authorized printing plants and then -only those reports prepared for NRC's Office of Nucl.:ar.

Regulatory Research.

'b. With respect to sensitive unclassified and classified reports, the requirements set forth in Part V of this appendix shall be used in conjunction with NRC Appendix 2101.

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

4 t{1 2. Front Cover and Title Page

a. Separate covers and title pages are required (see Exhibits 1 and 2 for contractor reports and Exhibits 3 and 4 for reports prepared under or pursuant to interagency agreements ) .*

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

(1) NRC Report Number Each report shall be identified by. an NRC-controlled alpha-numeric designation as the prime designation unique to that report. The centralized report control system for unique identification is maintained by the Division of Technical Information and Document Control. Numbers may be obtained by calling the Division of Technical Infor-mation and Document Control or by submitting a copy of NRC Form 426A (Exhibit 5) with a request for a number.

Reproducible copy of the cover of the performing organization may be sub-mitted; ' however, the data elements shown in Exhibit 1 must be included.

These requirements meet the specifications of American National Standard t ANSI Z39.18-1974, Guidelines for Format and , Production of Scientific and

- {3 Technical Reports, and ANSI Z39.23-1974 Technical Report Numbers.

7 Approved: August 29, 1984

~. _. - - .

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part II UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS The NRC identification number will have the form:

NUREG/CR-XXXX or NUREG/CP-XXXX 0

where CP indicates conference proceeding. The contrac-tor's report number, if any, may be inserted below the

. NUREG number on the title page and cover, as shown in Exhibits 1 through 4, if desired by the contractor.

When a report consists of more than one volume or bind-ing or is issued in more than one edition, an appropriate volume , supplement, part or revision designation shall 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 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, thesis , etc.) and the period covered as part of the subtitle.

b (3) Personal Author (s)' Name(s) #!

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

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

(5) Basis for Report Date(s)

(a) The basis for dating may be shown along with the date on the title page. Various bases for dating are o

possible; e.g., date report completed, date reviews

s. completed, date published, date distributed , etc.

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

4 i

Approved: August 29 1984 8 1

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

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

4. Disclaimer The following notice will be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by an agency of the United States Government. Neither the United States Government nor any agency thereof, or any of their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any information, apparatus , product or process disclosed in this report, or repre-sents that its use by such third party would not infringe privately owned righ ts . " The following additional statement, "The views expressed in this report are not necessarily those of the U.S.

Nuclear Regulatory Commission" will be printed below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed (see Part 1.C. , Requirements for Draft Reports).

5. Previous Reports in Series fI 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.*

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

, if the style manual of the originating organization requires a different

[I loca tion .

9 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part II UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS information and information with restricted distribution (e.g., 1 proprietary, national security, official use only , etc.). If the -

unretrievable information is important and . unrestricted, it can be

. quoted in the text, in footnotes, or in appendixes. If credit is due to individuals, they can be mentioned in the text or in an acknow-ledgement section . Availability may be stated collectively for all entries (see Exhibit 6).

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

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

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

B. PATENT AND SECURITY REVIEWS

1. Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor. If the work being reported is contractually managed through another government agency (e.g. , i 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 Form 426A may be completed with the statement "Not Appli-cable" or "N/A" in the space for the Patent Counsel's signature. If there is a possibility that there is disclosure of developments of an inventive nature, the contracting officer shall request assistance l from the NRC Patent Counsel. Office of the Executive Legal Director..

2. Security Review 1 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 l Division of Security to establish the appropriate procedures and inform the contractor of such procedures through the contracting ~

officer. The standards for marking and handling such reports are S l

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

1 Approved: August 29, 1984 10 )

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

, C. PROCEDURES FOR PRINTING AND DISTRIBUTING

'l'

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

Such authorization shall be reported in writing to TIDC.

The Division of Technical Information and Document Control 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 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 Technical 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 sensitive unclassified and classified reports will be made by the NRC project manager on a case-by-~ case basis.

c

?$

11 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY nt 9 CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 US.OER OR PURSUANT TO INTER AGENCY AGREEMENTS 'm1 .-

EXHIBIT 1 SAMPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO

. INTERAGENCY AGREEMENTS NRC Report No. NUREG/CR-1676 Contractor Report No. (if any) NUSAC-556 Vol., Part, Rev., etc. (if any) Vol.1 Ti,ie Using Advanced Process Monitoring to improve Material Control f i 4h Subtitle and Type of Report Final Report (Annual. Topical, etc.) September 1979 - September 1980 Author (s) Prepared by A L Hawkins. R L. Lynch. R F. Lumb Contractor NUSAC incorporated U S Nu lear Regulatory Commission

((

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

s l i.'

EXHIBIT 2

- SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL CONTRACTOR-PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC REPORT No. NUREG CR 1676 Contractor Report No. (if any) NUS AC-556

1 Vol., Part, Rev., etc. (if any)

Distribution Category No. (if any) ri,,, Using Advanced Process Monitoring to improve Material Control Subtitle and Type of Report Final Report September 1979 - September 1980

( Annual, Topical, etc.)

\ ',

Report Dates and Bases vgw e cgyg

Author (s), Editor (s), ;*ea,.a ev,, , ,,

Compiler (s), etc.

Contractor Name sgac iaco,g.

and Address vct n va mc2 NRC Sponsorship Prepared for f$ce f uclear atonal Safety and Safeguards u ","e't::' "*1"m c*"'""'*"

N RC Contract No. NRC FIN 86437

)!

Approved: August 29, 1984 14

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRP Annandiv T/n?

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part It

.t 1- EXHIBIT 3 SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREFARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No. NUREG /CR-1952 Contractor Report No. SAND 81-0151 Vol., Part, R ev., etc.

LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks Independent Verification Testing Program

_( Type of Report or Subtitle Independent Verification Test-1 T W Gomo<e SNL Author (s). E ditor(s) * *" b' k 'pBgon.WH 4 e* FgThome. J A Lewen Bacta Contractor sano,a Nat.onat Lanovato .es Sponsorship h'7*d'[,,',p,,,,,,,,, 1 Commission i

e b

15 Approved: August 29, 1984

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

'N

/

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

Contractor's Report No.

Vol., Part. Rev., etc. NUREG-CR 1952 Distnbution kAND810151 Category Tim LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks Subtitle Independent Venfication Testing Program Independent Venfication Test-1 Report Dates , ., ,,,w, Author (s), Editor (s)

e .o e.

'n YT7.,,$ "a '[U..rYae * " ^

Contractor's sea %

.g.c Name and Address i es n of esident and Regional Reactor inspection Office of Inspection and Enforcement U S. Nuclear Regulatory Comrnission Washington. O C. 20666 WRC FIN No. NRC FIN 8310t I

l I

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1

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Part II r

EXHIBIT 5

. NRC FORM 426A, PUBLICATIONS RELEASE FOR UNCLASSIFIED NRC CONTRACTOR AND CONSULTANT REPORTS se.nC..s o.w e25 WJ IeWCLE.R AEGWLaf 0AT LOteMus&sO i .g .o. ' %wwss . ..

lem . ,,.%.~e .

%c.w 370,

,$ a" s.m*.***(."a.

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PUBLtCATIONS RELEASE FOR UNCLASSIFIED o si ... v.o* C a re oo.. =c i NRC CONTR ACTOR AND CONSULTANT REPORTS "~ P.-.*******

(9't&9F h00 O, hoM19 .u..o.IG H.0 J T > f g1.%Q svg t <v 64 ris e %. .a.ma .a s.m.as

...Tuc.,.,a... ,e w a -.. ..en, a ,. .. .-.m.3

. %.w. O. cogi ..c t c . %+**s.> .>.'...**.

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l 14 Approved : August 29. 1984 l

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l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTER AGENC Y _ AGREE 31ENTS Part II EXHIBIT 6 ').I DISCLAIMER AND AVAILABILITY STATEMENTS (BACK OF COVER)

NOTICE This report was prepared es an annount of wert egensored by en egency of the Usdeed Steens Genernnunt. Neither the United States Gewernment not any esecy thereof, or any of their emodevess. makes any warranty, espressed or unglied, or assumes any ingel lashiNey of re-sporueelety for any therd party's uns, or the remetts of such use, of any mformation apparatus, product or prosess diecteced in thes report, or represents that its ues by such therd party needd not inhnge prrvately owned rights.

NOTICE Availat>lity of Reference Motonels Cited in NRC Publicatnone Most documents cited in NRC publecations will be aveilable from one of the followmg sources:

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

Weehmston. DC 20656

2. The NRC/GPO Sales Propom. U.S. Nuclear Regulatory Commieuon.

Weshmgton, DC 20666

3. The Neteel Technical Information Service. Sonngfield. VA 22161 1 Although the isoting that follows repromonts the mapority of documents cited in NRC pubiscatiors, it is not intended to be eshaustrve.

Referenced documents evelable for irupaction and copying for a fee from the NRC Pubic Docu-rnent Room enclude NRC correspondence and internal NRC memorende; NRC Office of Irepection and Enforcement bulletms. circulers, mformation notees, inspection and envestigetson notcas:

Licensee Event Reports; vendor reports and correspondence; Commroseon pepers, and opplicarit and lacerese documents and correspondence The following docurnents in the NUREG senes are eveitable for purchese from the NRC/GPO Seles Program: formet NRC staff and contractor reports. NRC sponsored conference proceedmes, and NRC booklets and brochures. Also eveitable are Replatory Guides. NRC regulations m the Code of fedevel Reguletsons, end Nucieer Reguletary Commossoon issuances.

Documents avelable from the Nationel Techrucal Information Servce include NUREG seres reports and techrucal reports prepared by other federal egencies and reports prepared by the Atomac Energy Commresson, forerunner agency to the Nuclear Replatory Commreason.

Documents aveslebte from public and spacel technecol librones include all open titorsture itevu.

such as books, pournal and penodcol articles, and trenmections. Federal Anspster notices, federal and state iogenetion, end % 2: reports can usueny be obtained from tNee librenes.

Documents such as theses. desertstiers, foreign reports and traculations, and non NRC conference proceedengs are aveslebte for purchase from the organization sponsorms the publication cited.

Single copies of NRC draft reports are eventable free, to the extent of aspoly, upon written request to the Orvis on of Techneel Information and Document Control. U S. Nuclear Regulatory Com-mission. Weehengton, DC 20555.

Copies of industry codes and standards used in a nabotentrve manner m the NRC repletory process are meintemed at the NRC Ubrary. 7920 Norfolk Avenue Setheads, Maryland. and are avestable there for reference use by the public. Codes and stenderds are usually copynghted and may be purchased from the ongenetmg orgeruzetion or, if they are Amercan Norsonel Standards from the Amercen National Stendards institute.1430 Broeduey. New York, NY 10018.

i>

?

cro * = .ocap,prue Approved - August 29, 1981 18

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annendix 3202 UNDER OR PURSUANT TO INTERAGFNCY AGREEMENTS F et II l:

EXHIBIT 7 NRC FORM 336 - BIBLIOGRAPHIC DATA SHEET

g. "'

r,.'"".'.'

.. . .....sisuOORAPHIC DATA SHEET

......m.... ........-

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

..-u,.m.......a.......-,... ........o.,

...co.....-- .

T

.. ~ ............... . .... ...... . . . . . . . . . , .

a-

. - . ..c..

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19 Approved: August 29. 1984

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

\)

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BACK OF NRC FORM 335 l DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT Instructions NRC FORM 335. SiOLIOGRAPHIC OATA SHEET, is S ASED ON GutOELINES FOR FORMAT AND PRODUCTION OF SCIENTIFIC AND TECHNICAL REPORTS. ANSI Z39.18-1974 AVAILASLE FROM AMERICAN N ATIONAL STANDAROS INSTITUTE.1430 8 ACAOW AY, NEW YORK, NY 10018. EACH SEPARATELY 8OUND R EPORT-FOR E XAMPLE. E ACM VOLUME IN A MULTIVOLtJUE SET-SM ALL H AVE ITS UNIQUE Ol5LIOGR APHIC OATA SHEET.

1. REPORT NUMBER. Each .ndividuaily bowad report smosa 10. SPONSORING ORG ANIZAf TON. L st NRC O.v s.oa. Omce.

cary awaowe sica numeric a desigaation (NUREG) ass.gaed U $ Nwc' ear Regwiatory Comm<ss,ca. Wasaiagion. OC 20555 ev t*e Division of Technicas taformation and Document Control. A D M, en oc;ordance with American Nationet 11. a. TYPE OF R EPORT. Stere draf .tfmes. orei.mmary. too.cet.

S teaded ANSI Z39 23-1974 Tscha.cel Report Number tecmm cal, regwistory. oweteriv. etc . sad. d apol.cacle.

[$T A NI use uc'oercase letters. Arecic n merois, u s:ssess. and mesusme deres

%paeas onev. es 6a tae follow.eg esemples NUR EG-0100 NUREG.CP-0010. NUREG/CR4100, and NUREGi8R-0010. t. PERICO COVERED.

F or recorts in a ser'es odd Voi. Swoo . Revis.ca. and Adoendum, wmea eccessry. Add coatractor crosereference 12. SUPPLEMENTARY NOTES. Eater e'or-st.oa act ec' wood

, dent.f. cat.oa we mber (if any) below NUREG aumcor, e g . e sewa ere out useNI. such as Preoared ea cocoeret on

tm PNLX X XX. SANOXX.X AXX, SAI.X XXX. Prneated et coafreace of To be owbr saed . Oocaat N o. . When a report s rev sed. *d cote aaetaer tae ae*

2. TITLE AND SUSTITLE. T.t'e smov d e indicate cieerly sad report swoorsedes or swoo emeats tae o' der report

$i br e'fy the sutnect (coveragel of tme report sactwding say swetit'e to the meia t!tle When a report is oropered in raore 13. ASSTR ACT. laciwde a bre' 1200 aords or ust'actua swm-taea oee vo*wree, repeet t*e ortmery title, add volume n uracer mary of t*e most s gad coat a'erest on coate.eed e tae sad sac!wde swDtitte for the specific volume Use wooer and report. If the report coataeas a s gad coat D.Ohogrecay or

'o*er case >+tters, but capitalize compwter code names. Do literature survev or muit.o'e voiwees -eattoa t mere Aestreet not wee acroeves and inittsonms in titles, reev be added in is to be preoered Dv avtaor or project maaager cereatnes<s.

14. DOCUMENT ANALYSIS

3. LE AVE BLANK.

e. KEY WORD $iOESCRIPTORS. Se eet t ea m tae Eargy

4. DATE REPORT COMPLETEO. Esca report seen carry a date Data 8ese Sweiect Tanawr ws. COE/ TIC 700R R 5. toe ied-cat.ag racatm sad weer proivct!tssv earapieted. proper authorized terms test .deat+fy t*e ras:or concept of the research and are swH c eat'v spec Ac sad prec.se to

5. AUTHORIS). G.ve paraeis) ia coaveational order te g . John ce used es moes entries for cate og ag A Doe. J Robert Doet L.st author's affiliation if it s adfor.

eat from the performme orgeairation. b. IDENTIFIERS AND OPEN ENDED TERMS. Use ,denti.

l f ers for proiect aames. code aames, eowipmeat des.gastors. '

6. DATE REPORT ISSUEO. Esen resort smeli carry a date etc use coea-eaded tnevaordse ter-s ar trea a sner otor l

ad,catieg montM and veer published. form (14al for f aces swonects for aa cm ao descootor exists in tme taesaw rws i

7. PERFORMING ORGANIZATION NAME AND MAILING l ADOR ESS. G.ve aarae. street, c.ty, state. end ZIP code. 15. AVAILASILITY ST ATEMENT. Oeacte poetic re easaoisity. !

L.st no raore te sa two levels of an organiastiones h.orarchy. for e sempie "w aiim.ted3 or t.m. tat oa for ressoas otaer O'sotay tae aame of the orgaarretion enactly se follows than security.

Divistoa, Off co Orgaa rat oa or Goverament speacy, and address, 16. SECURITY CLASSIFICATION. Eater U S Seew rity C assd -

cation in accordaace aitm U S Secu r.tv Regw.at cas b e .

8. PROJECT / TASK / WORK UNIT NUMSER. Use the proiset, waciassd'edt

task and nora un.t nu mbers weder which the repert *es preored bf say). 17. NUMSER OF PAGES Leave D'aan M;.ded by NTIS)

N

9. FIN OR GR ANT NUMSER. lasert tme FIN or great number 10. PRICE. Leave Diaak. I Added by NTIS) wader aa.ca reoort ..s oreoved-Approved: August 29, 1984 20 l

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

, .UNDER OR PURSUANT TO INTERAGENCY AGREFMENTS NRC Appendix 3202 (f

PART III UNCLASSIFIED TECHNICAL LETTER REPORTS A. FORMAT

1. Applicability

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

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

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

. of those copies will be specified by the project manager. If unclas-

?' sified and non-sensitive , the NRC project manager is responsible for making such reports available in the NRC Public Document Room (PDR) by sending them to the PDR through the NRC Document Control System.

B. PATENT AND SECURITY REVIEWS

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

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

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

.e Legal Director.

21 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part III UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 2 Security Review fI

./

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

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Approved: August 29, 1984 22

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

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 f

PART IV

. UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE NRC OFFICE OF NUCLEAR REGULATORY RESEARCH BY DOE LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS A. 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 classified reports the requirements set forth in Part V of this appendix shall be used in conjunction with NRC Appendix 2101.

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

2. Front Cover and Title Page

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

b. Items such as those shown in Exhibits 3 and 4 and discussed below shall appear on the front cover and title page, as appro-p riate . ** 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 Information and Document Control. Numbers may The cover stock of the performing organization may be used; however it must include the data elements shown in Exhibit 3.

g These requirements meet the specifications of American National Standard i 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

-x Fi f .*

be obtained by calling the Division of Technical Informa-tion and Document Control or by submitting a copy of NRC Form 426A (Exhibit 5) with a request for a number.

The NRC identification number will have the form:

NUREG/CR-XXXX or NUREG/CP .LLLY 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 addition, list affiliation of each author only if affiliated with an organization other than the organization generating the report.

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

(4) Organization Identification (a) On the cover, provide the name of the contractor responsible for preparing the report, followed by

" Prepared for the U.S. Nuclear Regulatory .

Commission. " l}

Approved: August 29, 1984 24

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 liability or responsibility for any third party's use, or the results of such use, of any information, apparatu s ,

product or process disclosed, or represents that its use by such third party would not infringe privately owned rights." The follow-ing additional statement, "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" will be printed below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed (see Part 1.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 issuance dates. Place this list on the back of the title page.

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

This preferred positioning of the abstract in the document need not be fol-(('

lowed if the style manual of the originating organization requires a different location .

i l 25 Approved: August 29, 1984

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):)

7. References and BibUographies Reports or other documents eferenced in text, reference sections, bibliographies , and appen6 tes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office, at the National Technical Information Service , or at other reference or sales outlets) or in the NRC Public Document Room. This means that references should not be made to personal communications and interviews , unpublished information and information with restricted distribution (e.g.,

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

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

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

B. PATENT AND SECURITY REVIEWS

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

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

i

2. Security Review In most cases, reports will be unclassified. Should a report of sen-sitive unclassified or classified work be required , however, the

, NRC project manager must work with the Division of Security to

establish the appropriate classification procedures and inform the contractor. The standards for marking and handling such reports are given in Part V of this appendix and NRC Appendix 2101.

}'

Approved: August 29, 1984 26

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

i C. PROCEDURES FOR PRINTING AND DISTRIBUTING

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

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

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

3. Distribution of Reports M 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 for the additional distribution must be supplied.

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

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

(!

27- Approved: August 29, 1984

-~ _ _ _ , _ _ - -

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

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 Appendix 2101.

The reports covered are defined as sensitive unclassified or classified.

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

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

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

The uses of each of the sensitive unclassified and classified categories and the markings required on reports are discussed and e.thibited in the ;

following sections. All sensitive unclassified and classified reports are l

to be sent directly to the project manager. 1 B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION.

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

(' report only when the originator or other holder believes the marking is l

29 Approved: August 29, 1984

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

\1

/ **

essential to ensure proper handling. Reports designated Official Use Only will contain only unclassified information originated by or furnished

, to an NRC contractor which is to be withheld from public disclosure. The report on which the marking appears must be reviewed at the time a request for release is received to determine its releasability. The Official Use Only marking is notice of the originator's determination of the applica-bility of an exemption under the Freedom of Information Act or Privacy Act or both at the time of origination.

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

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

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

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

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

1. trade secrets.

2. privileged or confidential research, development , commercial or 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 sou rce ,

which has been determined by NRC to be unclassified.

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

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

, Pages in the report that contain proprietary information may be marked accordingly , including, marginal or other indicators of the specific wording that is proprietary. Similarily, the pages that contain Official Use Only information without proprietary information may be marked Official Use Only Approved: August 29, 1984 30

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

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V l N Procedures for reproducing, transmitting, protecting and handling pro-prietary information reports and removing them from the proprietary information category are detailed in NRC Appendix 2101. A cover sheet i (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-i tion , which is marked and handled as indicated in Section E, (2) un-j classified information restricted under Section 147 of the Atomic Energy 4 Act, which is marked and handled as described in this Section, and (3) unclassified information , which is publicly available and handled as j indicated in Parts I through IV.

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

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

material

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

)

4 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-i 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 Restricted Data and National Security Information . The procedures for making classification determinations and for marking, reproducing, transmitting, protecting, and handling reports containing classified information and removing such reports from classified categories are detailed in NRC

. Appendix 2101. These procedures are too complex for summarizing here.

l 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 '

i be classified are marked and protected in accordance with the provisions

! ,, of NRC Appendix 2101.

U I 't i

31 Approved: August 29, 1984

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

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.

a .

s 4

i .

\}

f Approved: August 29, 1984 32

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V EXHIBlT 8 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY NUREG'CR-XXXX (S)

Title Subtitle and Type of Report Aut*o 'st. Editor (s) e are for U.S Peuclear ReguJetory Commission

\

T a=C. D 5 AOV PLBsC D'5CLO5upf OFFICIAL USE ONLY 33 Approved: August 29, 1984 l

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

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

Title Subtrtie and Type of Report sIPY.n.o M. ,I, Aumor's>. Edarst Cetractor nm and seems 2:f.t;" s}

?

office Commission g.S, Nuctw Re u NRC FIN No.

OFFICIAL USE ONLY l li Approved : August 29, 1984 34 i

j

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

' k.

EXHIBIT 10 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY i

I l

. l OFFICIAL USE ONLY

{~

35 Approved : August 29, 1984

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

\

EXHIBIT 11 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE NUREG CR-XXXX (S)

Title Subtitle and Type of Report Authorts). Ector(s) e ed for U S. Nuclear Regulatory Commisalon

\,

MTMHOLD FROM PUSUC DISCLOSURE l

I LIMITED OFFICIAL USE 1

Approved: August 29, 1984 36

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS Pa-t V

. EXHIBIT 12 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE NUREG/CR-XXXX (S)

Title Subtitle and Type of Report v.~x, c-.a io.4.,

S'%C w,_, .- ,'7^

IEv*f.7o*n" '

U Nuclear R ulatory Commission On%'TA 1

l LIMITED OFFICIAL USE

!i 37 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 i

EXHIBIT 13 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE LIMITED OFFICIAL USE

)$

Approved: August 29, 1984 38

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

- EXHIBIT 14 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION PROPRIETARY INFORMATION NUREG'CR XXXX (P)

Title Subtitle and Type of Report Authorts), Editorts)

Contractor Prepared for U $ Nuclear Regulatory Commission OVVE C At OR FIN NC INFORY ON Ta et coe es Wo-at.on iNa+e o' &c.an, one Name of hemme-to prope v ec th 2 79C in"i10CFR 9 Si it0CFR Pe t 21 one e go;7p,;.gp om ouew. -

WITMwoLO FROM PL8LIC DISCLOSURE 45.gnave Txe enc 0"<e iDa e i

l l

PROPRIETARY INFORMATION

((

1 39 Approved: August 29, 1984

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

,h.$

EXHIBIT 15 SAMPLE COVER PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE PROPRIETARY INFORMATION NUREG CR XXXX (P)

Title Subtitle and Type of Report Authoris). Ed tor (s)

Contractor Prepared for U S. Nuclear Regulatory Commission 50af tGN INFORM AT6CN e R b s - ,c - ,-N.,,s.~ ,

y,'*.]y"dTdi.co. MTMa0LO saOM P' OUC OtSCLO50pE sym.es. ~ o o, ,c.... l PROPRIETARY INFORM ATION Approved: August 29, 1984 40 l

1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pa-t V l 4t EXHIBIT 16 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION PROPRIETARY INFORMATION NUREG'CR XXXX (P) Title Subtme and Type of Report

                  .t.'P    .s 4d       m. vNA Aumo. s =

Cont..cto, n.~4.no f o,to s .oa ess Prepared for Division

  $-            Office U.S. Nuclear Regulatory Commission Washington. D C. 20666 NRC FIN No TaACE SECRET 09 P8'VILEGED On CONtrDENTIAL COvviacia, Da FINANCIAL IN50R v ATION Tn.                           .. soo~r.o
                ,,   g,.~,i cre..es
                .N - ~n n,. .- N.-e .. s-
                   ,.c .. b e o.i        .o . ,,c  s c.*

2 b 0 R9 i OCFR P 211 is co... 7lj,g.gp o.i~ WITMHOLO FROY PUBLIC OlSCLOSURf isme 7,iw and 0%e. Da'e PROPRIETARY INFORM ATION [: 41 Approved: August 29s 1984

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

}l.

EXHIBIT 17 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE PROPRIETARY INFORMATION NUREG CR-XXXX (P) Title Subtitle and Type of Report ESP pen month, de Awtmorist Edevorist a$P gegd , a Avenorest Estorist Coet actor name end address Prepared for ji Division '/ Office U S. Nuclear Regulatory Commission Weehington, D.C. M NRC FIN No. FCREiGN INFORM ATION 1 doc con sies dormat.on Name os Comcaa, and Name o' Servan

              =m.cn s descreed e 10CFR 2 790 <di421 aad e es            e    story pupe d+sclosu r e WITHMOLD FROM PUBLIC OISCLOSURE Sqaature f.ee and OHgge IOagge l

I 1 PROPRIETARY INFORMATION

.T.

Approved: August 29, 1984 42

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Far* 'l fr

EXHIBIT 18 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION .s PROPRIETARY INFORMATION i

*\

l

                     .           PROPRIETARY INFORMATION (i

43 Approved : August 29, 1984 l l

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

                                                                                                          \%
                                                                                                           )    l EXHIBIT 19 COVER SHEET FOR REPORT CONTAINING PROPRIETARY INFORMATION PROPRIETARY INFORMATION NOTICE THE ATTACHED DOCUMENT CONTAiNS ' PROPRIETARY INFOR-MATlON" AND SHOULD BE HANDLED AS NRC"OFFICIALUSEONLF INFORM ATION. IT SHOULD NOT BE DISCUSSED OR MADE AVAILABLE TO ANY PERSON NOT REQUIRING SUCH iNFORMA-TION IN THE CONDUCT OF OFFICIAL BUS; NESS AND SHOULD BE STORED. TRANSFERRED. AND DISPOSED OF 8Y EACH REC;P'ENT IN A MANNER WHICH WILL ASSURE THAT ITS CONTENTS ARE NOT MADE AVAILAsLE TO UNAUTHORIZED PERSONS                                         ,f b

COPY. DOCKET NO. CONTROL REPORT. REC'D W/LTR DTD. l l PROPRIETARY INFORMATION l Aporowed Decreer 10. 1980 , Approved: August 29, 1984 44 i l

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annendiv 370? ; UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V I EXHIBIT 20 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORMATION NUREG'CR-XXXX (SG) Title Subtitle and Type of Report Author (s). Editor (s) Contractor Prepared for U.S. Nuclear Regulatory Commission L7.,~.TC'%.',% ';*.'.".4T,' *""

             , ~.~ u, , ,0.  ,.,.,- o.. 1 TT/CJ,T*%l:L**J.*,',.'.*"

SAFEGUARDS INFORMATION ii 45 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 s L 5.I . . EXHIBIT 21 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORMATION NUREG'CR-XXXX iSG) Title Subtrtte and Type of Report

           ?? $ 5 e.o 5 m. N o er.1%":'< -,

E'P.*0?'"' li s uc,i g.gug commi.. ion SAFEGUARDS INFORMATION

})

Approved: August 29, 1984 46

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Anoendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V kii EXHIBIT 22 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS 1NFORMATION 4s

 ' t.

l l SAFEGUARDS INFORMATION fi 47 Approved: August 29, 1984 l 1

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 23 COVER SHEET FOR A CONTRACTOR REPORT CONTAINING .)

? '

UNCLASSIFIED SAFEGUARDS INFORMATION . y ( ~ k .[ , g'

 ~ r}                                                                                         ~
 $.';h i                                SAFEGUARDS INFORMATION                                           g L4                                                                                           ." V e, r-                                                                                        ti.

1

     .,                                                                                       N/

h 1 rr st px . THIS DOCUMENT CONTAINS INFORMATION WHICH MUST BE PROTECTED FROM i g" 'l'

 ' i UNAUTHORIZED DISCLOSURE.10 CFR 73.21 AND SECTION 147. ATOMIC ENERGY          s
      'i , ACT OF 1954 APPLY. VIOLATIONS ARE SUBJECT TO civil OR CRIMINAL PENALTIES.

g THIS DOCUMENT IS NOT TO BE LEFT UNATTENDED OR ACCESSIBLE TO UNAUTHORIZED PERSONS. WHEN NOT IN USE. IT MUST BE STORED IN A LOCKED SECURITY STORAGE / 7 (.e CONTAINER. IT IS YOUR RESPONSIBILITY TO PROTECT THE INFORMATION CONIAINED IN THIS ir

            ' . DOCUMENT FROM COMPROMISE. THEFT OR UNAUTHORIZED DISCLOSURE.
          </

W b SAFEGUARDS INFORMATION

         'W                                                                                 y           ,5 k'$                 i:

s ,. . Approved: August 29, 1984 48

i

             -PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED                                              l UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS                     NRC Appendix 3202 PART VI HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE

, PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH U.S. INDUSTRY The Nuclear Regulatory Commission has requested that its Program Offices establish, to the extent feasible, cooperative nuclear safety research programs that involve either or both U.S. industry and foreign governments and orga-nizations . Such involvement includes monetary contributions , information exchange, and comments on program plans and results. This is authorized in 42 U.S.C. 5801. To this end, international and U.S. industry agreements have been signed that provide for transmitting unclassified information from NRC to participants. These procedures apply only to NRC-managed work not programatically funded by DOE. The interests of all NRC cooperative nuclear safety research program partici-pants are served best by early, rapid dissemination for comment of informa-tion on these programs developed for NRC by NRC contractors. This can be accomplished by distribution of " Draft Preliminary Reports (or Codes)" for

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

(( 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-e tailed here have been agreed to by DOE and have been provided to the responsible DOE Operations Officers and NRC Program and Project Managers as guidance. A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT The first issuance of information by a contractor shall be designated

                    " Draft Preliminary Report (or Code)," and shall include the cover. sheet shown in Exhibit 24.

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

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

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

The recipient is requested to ake the necessary action .to ensure the protection of this report. 49 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 This notice has been agreed to by the legal staffs of both NRC and DOE ^) and is not to be added to or changed. Any problem in this regard shall - be brought to the attention of the NRC project manager, who will consult - with the NRC legal staff. The " Draft Preliminary Report (or Code)" shall be submitted by first class or express mail by the contractor to the NRC project manager, with the letter.shown in Exhibit 25, in the number of copies specified by the project manager (in most instances this will be fewer than 20 copies). The contractor (DOE facility, contractor or subcontractor or other con-tractor) may retain copies only for internal use. DOE facilities and contractors and their subcontractors shall not distribute copies of this draft report to DOE /TIDC. Draft reports may be distributed to interested DOE program offices. Subsequent issues of the information shall also be designated " Draft Preliminary Report (or Code)" until the NRC project manager authorizes preparation of a NUREG/CR report.

        " Draft Preliminary Reports (or Codes)" shall not be identified as NUREG/CR reports or carry any contractor report number or NRC dis-tribution codes.

B. DISTRIBUTION BY NRC PROJECT MANAGERS The NRC project manager will distribute the copies received only to (1) the participants in the program, (2) the NRC staff with a need-to-know, and (3) others authorized by the program or project manager. Trans- ] mittal to participants shall be by first class or express mail, including air mail to foreign participants. If premium cost mail services are to be used, a Division Director or comparable or higher authority must certify to the need on NRC Form 420, " Request for Premium Cost Mail Service . " Premium cost mail is:

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

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

(See Chapter NRC-0255-058 and NRC Appendix 0255, Part V, Annex A) C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT A minimum of six months will be allowed for comments and resolution of comments . At the end of the comment period, the NRC project manager shall, with the concurrence of the participants, authorize the contractor to issue the information as a NUREG/CR report in accordance with the provisions' of this Chapter. D. REPORT IDENTIFIERS The "Draf t Preliminary Reports (or Codes)" will be uniquely identified iI

only by the Financial Identification Number (FIN) assigned by NRC and

   ' Approved:    August 29, 1984           50

, PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS - Part VI n a 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. E. MAILING TO PROGRAM PARTICIPANTS The physical transmission of reports from NRC to program participants ! shall be handled by the Document Management Branch (DMB), Division of d Technical Information and Document Control (TIDC), based on address l 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) t the procedures of Part V also apply. The report (or code) may not be , classified solely for the purpose of limiting distribution to the partici-pants. h i u i ll 1 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 b SAMPLE COVER FOR A DRAFT PRELIMINARY REPORT (CODE) * . FOR COMMENT ORAFT PRELIMINARY REPORT (CODE) FOR COMMENT FIN N0. Title of Program Subtitle for This Report, Including Appropriate Periodic Notation, If Any (e.g., First Quarter, Issue No. 1)

                                                                                    }1  .

Prepared by (Name of 00E Facility, Contractor and/or Subcontractors, if any) for U.S. Nuclear Regulatory Commission NOTICE THIS ORAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of Commission action. It has not received patent review and may contain information received in confidence. . Therefore, the contents of this report should neither be disclosed to others , nor reproduced, wholly or partially, unless written permission to do so has I been obtained from the appropriate USNRC office. The recipient is requested ' to take the necessary action to ensure the protection of this report. )I l Approved: August 29, 1984 52 l 1

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

SUBJECT:

DRAFT PRELIMINARY REPORT (CODE) ON (PROGRAM TITLE) FOR COMMENT The enclosed "Draf t Preliminary Report (Code)" is being submitted for comment. It is our understanding that the comment period shall extend six months from the date of mailing of the draft to the participants. Upon resolution of the comments after that period and with concurrence of the cooperative program participants, the NRC Program Manager will authorize publication of this report in the NUREG/CR series under the provisions of NRC Manual Chapter 1102 or 3202. DOE Facility or Contractor Representative l 53 Approved: Augus't 29, 1984

1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI , 1) i EXHIBIT 26 , l TRANSMITTAL SHEET FOR REQUESTING MAILING TO COOPERATIVE PROGRAM

,s                                                                      PARTICIPANTS i

1 I Recipients : Addresses on attached labels 4 Method of Mailing:

                                       /-/ First Class Postal Service to U. S. addresses
                                       /__/ Express mail to U. S. addresses *
                                       /~/ Air mail to foreign addresses

i

_/

                                       /       Surface mail to foreign addresses

] (may require up to three (3) months) l THIS MAILING CONTAINS NO PROPRIETARY INFORMATION OR OTHER - j/ SENSITIVE UNCLASSIFIED INFORMATION - ! Special Instructions: l Individual Requesting Mailing: Project Manager or High Authority

Enclosures:

1. Address labels: 2. Documents to be mailed

                        *1f premium cost mail services are to be used, a Division Director or compar-

, able or higher authority must certify to the need on NRC Form 420, " Request for Premium Cost Mail Service," Premium cost mail is:

1. Express Mail, Priority Mail (First Class weigling more than 12 ounces)

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

(See Chapter NRC 0255-058 and NRC Appendix 0255, Part V, Annex A) 4 4 54 Approved: August 29, 1984 l f i

A/r A. y ,

   '    ^

41 i (REVISED-6/84) BILLING INSTRUCTIONS FOR NRC COST-TYPE CONTRACTS . General. The contractor shall submit vouchers for cost-reimbursement in the manner and format described herein and as illustrated in the sample voucher. Number of Copies.. An original and two copies should be mailed to the NRC office identified below. Frequency. The contractor shall submit claims for reimbursement once i each month unless otherwise authorized by the Contracting Officer. ' Fo rm. Claims shall be submitted on the Form DC-3 " Voucher for Purchases and Services Other Than Personal." These forms are available from the Contracting Officer. (The instructions for preparation and itemization of the voucher are shown on the form.) Billing of Costs Afte'r Expiration of Contract. If costs are incurred during the contract period and claimed after the contract has expired, the period during which these costs were incurred must be cited. Currency. Billings may be expressed in the currency normally used by the contractor in maintaining his accounting records; payments will be made in that currency. However, the U. S. dollar equivalent for all invoices paid under the contract nay not exceed the total U. S. dollars authorized in the contract. i Supersession. These instructions supersede all previous billing instructions. i

                                                           - - - - ,       ,-,-e        - - - - - r -,   ,    n ---, , - ---

\ INSTRUCTIONS FOR PREPARING COST INFORMATION FOR NRC CONTRACTS Preparation and Itemization of the Voucher. The contractor shall fumish the information set forth in the explanatnry notes below. These notes am keyed to the entries on the sample voucher. Payor's Name and Address. (i) Address the original voucher (with 2 copies) to: U.S. Nuclear Regulatory Comission, Division of Accounting and Finance, Office of Resource Management, ATTN: GOV /COM Accounts Section, Washington, D.C. 20555. Any questions regarding vouchers yet to be paid by the NRC should be addressed to Division of Accounting (301-492-7535). Any questions regarding vouchers for which payment has been received (either in full or partially with suspensions or disallowances) should be ad-dressed to the Contracting Officer. Payee's Name and Address. Show the name of the ' contractor asfit appears in the contract and its correct address; except when an appmved assign-ment has been made by the contractor, or a different payce or addressee has been designated, then insert the name and address of the payee. Indicate the individual responsible for answering any questions NRC may have reoarding the invoice (name and phone number). (a) Contract Number - Insert the NRC contract number. (b) Title of Project - List the full title of the project being performed under this contract. (c) Voucher Number - Insert the appropriate serial number of the voucher beginning with 001 for this contract. Contractors may also include individual internal accounting numbers in addition to the three digit number. (d) Date of Voucher - Insert the date the voucher is prepared. (e) Contract Amount - Insert the total estimated cost of the contract, exclusive of fixed-fee. (f) Fixed Fee - Insert total fixed-fee (where applicable). ', (g) Billing Period - Insert the beginning and ending dates (day, month, and year) of the period in which costs were incurred and for which reimbursement is claimed.

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

(1) Direct Labor - This consists of salaries and wages paid (or accrued) for direct performance of the contract itemized as follows: La bor Labor Hours Cumulative Category Negotiated Hours Billed Rate Total Hours Billed (2) Fringe Benefits - This represents fringe benefits applicable to direct labar and billed as a direct cost. Where a rate is used, indicate the rate. Fringe benefits included in direct labor should not be identified here.

(3) Direct Equipment - For educational institu-tions list each item costing $500 or more, and having a life expect-ancy of more than one year. For contractors other than educational institutions list each item costing $200 or more, and having a life expectancy of more than one year. List only those items of equipment for which reimbursement is requested. A reference shall be made to the following (as applicable): .(1) the item number for the specific piece of equipment listed in the property schedule of the contract; (2) the Contracting Officer's approval letter if the equipment'is not covered by the property schedule; or (3) be preceded by an ast-erisk (*) if the equipment is below the approval level. Further itemization of vouchers shall only be required for items having specific limitations set forth in the contract.

(4) Materials, Supplies, and Other Expendable Items - These are consumable materials and supplies and equipment other than that described in (3) above. (5) Pr;mium Pay - This is remuneration in excess of the basic hourly rate. (R'equires written approval of Contracting Officer.) (6) Consultants' Fee - The supporting information must include the name, hourly or daily rate of the consultant and reference the NRC approval (if not specifically approved in the original contract). (7) Travel - Domestic travel is travel within the United States, its territories, possessions, and Canada; it should be billed separately from foreign travel . Travcl costs billed will provide for individual Per Diem. and all supporting information for each trip taken. G I

5 All costs associated with each trip must be shown in the following fonnat: (Unless the organization's travel policy has been negotiated and approved by NRC) _Date _ Traveler Destina tion Purpose Cost From To From To

1. Airfare

2. Rental Car

3. Local Travel 4 Per Diem Days 0 -

5. Heal s :

Date Breakfast Lunch Dinner

i If net included in Per Diem.

6. Tips, Hisc.

(Itemize if more than $10,00) (8) _ Subcontracts billing period. This - Include all costs paid to approved subcontractors during-includes the details of the subcontract terms (i.e., cost-plus-fixed-fee, direct labor, indirect costs, travel, profit, etc.) (9) Other - List all other direct costs by cost elements and dollar amount sepa ra te l y. (i) Indirect Costs--Overhead - Cite the fortnula (rate and base) in effect during the time the cost was incurred and for which reimbursement is claimed. (j) Fixed-Fee - If the contract provides for a fixed-fee, it must be claimed as provided for by the contract. Cite the formula or method of computation. Contractor may bill for fixed fee only up to 85% of total fee. (k) Amount Billed for Current Period - Insert the amount billed for the major cost elements, adjustment, and adjusted amounts for the period. l

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l s (1) Cumulative Amount from Inception to Date of this Billing - Insert the cumulative amounts billed for the major cost elements and adjusted amounts claimed during this contract. (m) Total and Amountsperiods. cumulative Claimed - Insert the total amounts claimed for the current (n) Adjustments - This includes amounts conceded by the contractor, outstand-ing suspensions, and disapprovals subject to appeal. (o) _ Grand Totals

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\0VOfLR5 IOR ruRCliA$tS AND 5LHVICES 01HtR 1HAN PERSONAL F

SAMPLE V0UCHER 4

.                                    Payor's Name and Address
                                   ' The U.S. Nuclear Regulatory Comission                        (a) Contract Number                         NRC-10-81-624              -s i

Division of Accounting and Finance (b) Title of Project ,, Study of Nuclear Waste Office of Resource Management Concepts,,

Attention: GOV /COM Accts Sectiun Washington, D.C. 20555 Payee's Name and Address C Y "'

ASC 00tPORATION (d) Date Voucher Prepared 10/18/82 The National Bank.

l 100 Main Street or Anywhere, U.S. A.

                             ' Anywhere, U.S. A.            Assignee for ABC CORP.               (e) Total Estimated Cost of Contract Anywhere, U.S.A.                             5350,000.00 t

(When Payments Assigned) Indiividual to Contract (f) Total Fixed-Fee '

                          ,     Regarding This Voucher:                                                  S17,500.00 Name:              Harry Murphy i

[Tel.No.:215-321-8654 l(g) This voucher represents reimburseable costs from 3/1/82 thru 3/30/F2 j i Amount Billed ' i (k) Current Period (1) Inception to Date ' f(h) Direct Costs 4 (1) Direct tat'or * ! S2.400 56.800 ; (2) f ringe Benefits e 16.5 ' I (if cemouted as percentace) 600 1,200 !

(3) Direct Ecuio ent

5,000 S.000 (4) l'aterials. Supplies and Other Expendable Items
2.000 4.000 <

) (5) Freme- Pav 100 13 0 j ] ! (6) Censultants

100 100 j

, j (7) _iravel - Ocmes tic

200 200 l

;                I forcion

2 l (S) Subcon t ra c t
200 200 l ! (9) Other Costs - 3.000 9.000

f (i) INDIRECT COSTS ) W Overhead ~100 '. o f Total Direct Costs

;                                            (indicate llse)                                         513,600                                       $29.650
+           .

Subtotal 527.200 55n.100

l. B) General A Administrative Expense 3.264 6.450 12 0, of Cos t Elecents Nos. 1-9. A fotal Costs $30,464 $65.750

)' (,1 ) FIXED-FEE EARNED (formula) 1.b/3 3 400 i (m) Total Amounts Claimed $31.43/ 569.150 1

          ! (n) Adjustments
          !                             Outstanding Suspensions

1.700 1.700 l i i

(o) Grand Totals $3n.?H7 167.450 3 -

I * (Rf 0 VIRES Surr0Rilt;G lt,10RMA110N. )

t ( :,f [ ATTACHE 0.)

l ,

R-3 ______________-___-____:'1*

s SAMPLE SUPPORTING INFORMATION

1) Direct Labor - $2400 -

Labor Labor Hours Category Hours Cumulative Negotiated Billed Rate Total Hours Billed Senior Engineer I 2400 100 $14.00 $1400 975 Engineer 1500 50 $10.00 $500 465 Computer Analyst 700 100 $5.00 $500 320 52400

3) _ Direct Equipment Spectrometer - General Electric (as approved in Property Schedule) $5,000

4) Materials, Supplies & Other Expendable items 10 Radon Tubes 0 $110.00 = $1100.00 6 Pairs Electrostatic Gloves,0 $150.00 e $900.00 52000.00

5) Premium Pay Walter Murphy - 10 hours.0 510.00 Per Hour = $100 (This was approved by NRC in letter dated 3/6/82.)

                       ,6 ) Consultants' Fee Dr. Carney - I hour 0 $100                                          =       $100

7) Travel Date Traveler Destination Purpose Costs from To from To 3/1/82 3/6/82 William King Chicago, Wash. , Meeting with 1) Airfare 580.00 11 DC Project 2) Rental Car $15.00 Officer 4) Per Diem - 2 Days 0 550.00 = $100.00 6 ) Tips , Mi sc. $ 5.00 TOTAL: $200 i

t s l

8) Subcontracts XYZ CORP. (CPFF) i

',                                                Direct Labor:                                       - 80 hours 0 $20.00 per hour             =

0/H $1600.00 0 50% =

                                                                                                                                                         $800.00 Travel - 2 Trips - Wash. , DC                                   0 $200                    =
                                                                                                                                                         $400.00 to Boston, MA Profit                                                         0 7%                       =
                                                                                                                                                         $200.00 l                                                   TOTAL:

1 53000.00 , (j) Fixed-Fee (Fonnula) ' !, (5%) 1

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

1 i $27,200 X 5% =

                                                                             $1360 Fee Billed for this Period 7

(n) Adjustments ' j - $1700 - Indicates amount withheld from voucher #001, now approved by Contracting

Officer letter 3/10/82.

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ML20205R315

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1.1 Regulations

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ML20205R315

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1.1 Regulations

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