ML20206C480
| ML20206C480 | |
| Person / Time | |
|---|---|
| Issue date: | 04/21/1999 |
| From: | Mace M NRC OFFICE OF ADMINISTRATION (ADM) |
| To: | AFFILIATION NOT ASSIGNED |
| References | |
| CON-GENERAL, CON-RS-99-046, CON-RS-99-46 NUDOCS 9905030050 | |
| Download: ML20206C480 (110) | |
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g & UNITED STATES j
j NUCLEAR REGULATORY COMMISSION WASHINGTON D.C. 20066 4001
%*****# APB 2 1 1110
SUBJECT:
REQUEST FOR PROPOSAL NO. RS-99-046 ENTITLED, " Technical Assistance Support for Clearance of Materials and Equipment" OFFERORS:
The U.S. Nuclear Regulatory Commission is soliciting proposals for the project entitled above.
The full scope of work anticipated is as set forth in Part I, Schedule which states that the Statement of Work is incorporated as Attachment 1.
It is our intention by this solicitation to secure the best qualified organization available to perform this project, cost and other factors considered.
Proposals for this requirement may be submitted by all concerns, i.e., large businesses, small businesses, and small businesses owned and controlled by socially and economically disadvantaged individuals. Notice to large businesses: The subcontracting plan requirements of P.L.95-507 are applicable to this contract; thus, those offerors determined to be in the competitive range must be prepared to submit a detailed subcontracting plan. A source list comprising the names, addresses, and telephone numbers of all concerns requesting a copy of this solicitation, with large businesses identified by an asterisk, is enclosed. The presence of a firm's name on the list in no way constitutes NRC's acceptance of the firm for award under this solicitation. A copy of this solicitation and all subsequent amendments have been provided to firms on this list.
The solicitation package is enclosed. If you desire to respond, your proposal should address the proposal requirements set forth in Section L of the solicitation. As stated in Section L.16, all written inquiries must be received two weeks from the solicitation issuance date. The closing date will not be extended for the purpose of responding to offeror's questions received after that period of time.
All proposals will be evaluated against the evaluation criteria shown in Part IV, Section M.
If you have any questions concerning the requirements of this solicitation, please contact Sharlene McCubbin, Contract Specialist, on (301) 415-6565 (collect calls will not be j
accepted).
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Sincerely, y'
Mary . M a. , Contracting V ff icer DF
,w Division of f ontracts and Property Management
Enclosures:
}
As stated f'19002 9905030050 990421 PDR CONTR GENERAL PDR
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- Science Apllication International Corporation ATTN: J. Pierce Martin 1410 Springhill Road McLean, VA 22102 (703) 289-6894 FAX:(703) 827-9320 S. Cohen & Associates ATTN: Sanford Cohen 1355 Beveriy Road Suite 250 McLean, VA 22101 (703) 893-6600 FAX: (703 ) 821-8236 Integrated Resource Technologies, Inc.
ATTN: Faye Fields 6564 Loisdale Court, Suite 800 Springfield, VA 22150 (703) 921-1708 FAX: (703) 921-1610
- Large Business Small Business for Subcontracting Possibilities Integrated Resource Technologies, Inc.
ATTN: Faye Fields 6564 Loisdale Court, Suite 800 Springfield, VA 22150 (703) 921-1708 FAX: (703) 921-1610 S. Cohen & Associates .
ATTN: Sanford Cohen 1355 Beverly Road Sui'* 250 McLean, VA 22101 l
(703) 893-6600 FAX: (703 )821-8236 Utility Research Associates ,
ATT: Kevin O'Sullivan i 1901 Research Boulevard, Suite 405 Rockville, MD 20850 l (301) 294-8019 FAX: (301) 294-7879 1
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l Pr:xtronics, Inc.
ATTN: Kar:n D. Willi:mson 5795-B Burke Centre Parkway Burke, VA 22015 (703) 425-4811 FAX (703) 503-2856 Crockett Environmental Consultants, Inc.
ATTN: Tamara Crockett 2608 N. Stadium Blvd. .
Columbia, Missouri 65202 (573) 445-4698 FAX: (573) 447-3586 O
- 1. THl$ CONTRACT ($ A GiATED OROER F.ATiteG PACES SOLICITATION, CFFER AND AWARD uNDER ms 115 CFa 700: lPAGE OF
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- 2. CONTRACT NUMBER : 3. SOUCITATION NUMBER 4. TYPE OF SOUCtf ATION f5,DATEIS$UED l 6. ftEOUf$lTinN' PURCHASE NUMBER RES-99-046 r, $EALED plD (IFB)
MJ NEGOTIATED (RFP)
- 7. ISSUED SY CODE l 8 ADDRESS OFFER 70 tif other than item 7)
U.S. Nuclear Regulatory Commission Division Of Contracts and Pf 0perty Mgt.
Attn; T-742 CDntract Management Branch W;shingtOn DC 20555 ;
HOTE. In sessed tid schestabo a " offer" and "efteror" mean "b.d" and " bidder".
SOLICITATION
- s. Seoud ones = ono.nas and 3 cop,e, fo, fu,msnmg the supphe, e, e,v,ces ,n the $cneduie w.ii e, race,ved at the piece specified in frem e, or if hanecamed. m the depos tory iocated m it:m 7 unni 3:30 P.M. ioca, t,m, 05/28/1999 (Hour) (Dete)
CAUTION . LATE Submesmons. Modehestions and Wethdrawals- See Section L. Promsson No 52 214-7 or 52.2151. All Offers are sutnact to all terms and cor det:on, contained m this sohcitation 10 FOR INFORMATION CALL: A. NAME B TELEPHONE (NO COLLECT CALL $) C. E-MAIL A JDRESS AREA CODE fNUMBER l EXT.
Sharlene MCCubbin 301 415 6565 sir,m3@nrC. gov
- 11. T Asts OF CONTENTS See Attached Table Of Contents (X) l SEC. l DESCRIPTION l PAGEtSi (X) DESCRIPTION f SEC. ! lPAGEt$)
PART I . THE SCHEQULE PAPT 11. CONTRACT CLAUSES A $0UCITATION/ CONTRACT FORM )l l CONTRACT CLAU$ES i 8 $UPPUES Ofl $ERVICES AND PRICES / COSTS PART til . UST OF DOCUMENTS, EXHIBITS AND OTHER ATT ACH lC DESCRIPTION /$PEC$JWORK $7ATEMENT l J lLIST OF ATTACHMENTS l l D PACKAGING AND MARKING PART IV REPRESENTATIONS AND INSTRUCTIONS i E INSPECTION AND ACCEPTANCE REPRESENTATIONS. CERTIFICATIONS AND OTHER F DEUVERtES OR PERFORMANCE
$ N$ ROR$
G CONTRACT ADMINISTRAT4ON DATA L INSTR., COND$., AND NOTICES TO OFFERORS l H $PECIAL CONTRACT REQUIREMENTS M EVALUATION FACTOR $ FOR AWARD l OFFER (Must be fully completed by offeror)
NOTE. Item 12 does not apply 6f the solicitation includes the prouseons at52.214-16.Mesmum Bed Acceptance Pened 12 in comphance with the above. the undersigned agrees. if thes offer es accepted wethen ca ender days I6O calendar days unless a d'Herent penod es maerted by the offerori from the care for racasal of off ers specified above, to furmsh any or all atoms upon which pnces are offered at the pnce set opposite each item, dehvered at the demgnated pomflal, withm the time specafsed m the sch+dua '
13 DISCOUNT FOR PROMF'T PAYMENT 10 CALENDAR DAYS (M 20 CALENDAR DAYS (M 30 CALENDAR DAYS (M ! CALENDAR DAYS (%1 (Ses Secoon 1. Clause No. 62 232 Si f
to ACKNOWLEDGEMENT OF AMENDMENTS AMENDMENT NO. DATE AMENDMENT NO. l DATE IThe offator acknowiedges receipt of amendments to the
$0UCITAftON for oHerors and related documents l !
numberso and dated.
l l 15A NAMf fND CODE FACILrTY
' " "' " " " ' 8' " "
ADDRES$ (Type or ynnt)
OF OFFIROR 16B TELEPHONE NUMBER 17 SIGNATURE I 18. OFFER DATE
& 15C. CHCCK IF REMITTANCE ADDRESS t$ Dif fERENT FROM i AREA CODE lNUAER l EXT. lj ABOVE MER SUCH WE$$ IN $CHME AWARD (To be completed by Govemment) 11 ACCEPTED AS TOITEMS NUMBERED 20. AMOUNT 21 ACCOUNTING AND APPROPRIATION
- 22. AUTHORITY FOR U$ LNG OTHER THAN FULL AND OPEN COMPETITION 23 $UBMIT INVOICES TO ADDRESS SHOWN IN ITEM la copies unless otherwise specsfiedi n 10 U.S C. 2304tal (l
- 41 U $.C 252tc) { l
- 24. ADMINISTERED BY tit other than item 7) CODE f 25. PAYMENT WILL BE MADE BY CODE I 26 NAME OF CONTRACTING OFFICER (Type or pant) 27 UNITED $TATES OF AMERICA l 23 AWARD DATE l
<S. n.ture of Conir.et.no On.cer>
IMPORTANT Awaril well be made on ttus Form. er on Stenderd Form 26. or tiv other authonzed otheisi written notice.
STANDARD FORM $3 (REV 9 9h I
I TABLE OF CONTENTS PAGE 1
l l Em , I - THE SCHEDULE. . . . . . . . . . . . . .. . . . . . . . . . . . A-1 SECTION A - SOLICITATION / CONTRACT FORM , . . . . . . . . . . . . . . . . A- 1 SF 33 SOLICITATION, OFFER AND AWARD. . . . . . . . . . . . . . . . A-1 1
SECTION B - SUPPLIES OR SERVICES AND PRICE / COSTS . . . . . . . . . . . .
B-1 B.1 PROJECT TITLE . . . . . . . . . . . . . . . . . . . . . . . . . B-1 B.2 BRIEF DESCRIPTION OF WORK 00U1 1987). . . . . . . . . . . . . . B-1 B.3 CONSIDERATION AND OBLIGATION--COST PLUS FIXED FEE . . . . . . . B-1 {
(JUN 1988) ALTERNATE I (JUN 1991)
SECTION C - DESCRIPTION / SPECIFICATIONS / STATEMENT OF WORK . . . .. . . . . C-1
[For this Solicitation, there are NO clauses in this Section) . . . . C-1 SECTION D - PACKAGING AND MARKING. . . . .'. . . . . . . . . . . . . . . D-1 D.1 PACKAGING AND MARKING 00U1 1987). . . . . . . . . . . . . . . . D-1 SECTION E - INSPECTION AND ACCEPTANCE. . . . . . . . . . . . . . . . . . E-1 E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE . . . E-1 E.2 PLACE OF INSPECTION AND ACCEPTANCE DOUR 1987) . . . . . . . . . E-1 l SECTION F - DELIVERIES OR PERFORMANCE. . . . . . . . . . . . . . . . . . F-1 F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE . . . F-1 F.2 NRCAR 2052.212-72 FINANCIAL STATUS REPORT (DEC 1995) . . . . . F-1 I F.3 TECHNICAL REPORTS. . . . . . . . . . . . . . . . . . . . . . . . F-2 F.4 QUALITY-ASSURANCE. . . . . . . . . . . . . . . . . . . . . . . . F-3 ,
F.5 DELIVERABLES SCHEDULE. . . . . . . . . . . . . . . . . . . . . . F-3 i F.6 PLACE OF DELIVERY--REPORTS (JUN 1988) . . . . . . . . . . . . . F-3 F.7 RESOLVING NRC CONTRACTOR DIFFERING PROFESSIONAL VIEWS . . . . . F-3 (DPVs)
F.8 DURATION OF CONTRACT PERIOD 0001 1987). . . . . . . . . . . . . F-4 l SECTION G - CONTRACT ADMINISTRATION DATA . . . . . . . . . . . . . . . . G-1 G.1 2052.215-71 PROJECT OFFICER AUTHORITY. . . . . . . . . . . . . G-1 i G.2 2052.215-82 TRAVEL REIMBURSEMENT-ALTERNATE 1 . . . . . . . . . G-3 '
G.3 2052.215-83 TRAVEL APPROVALS . . . . . . . . . . . . . . . . . G-3 G.4 2052.216-71 INDIRECT COST RATES. . . . . . . . . . . . . . . . G-3 G.5 ELECTRONIC PAYMENT. . . . . . . . . . . . . . . . . . . . . . . G-4 SECTION H - SPECIAL CONTRACT REQUIREMENTS. . . . . . . . . . . . . . . . H-1 H.1 2052.209-73 CONTRACTOR ORGANIZATIONAL CONFLICTS. . . . . . . . H-1 OF INTEREST H.2 2052.215-70 KEY PERSONNEL. . . . . . . . . . . . . . . . . . . H-4 H.3 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED . . . . H-5 (JUN 1988)
H.4 SEAT BELTS. . . . . . . . . . . . . . . . . . . . . . . . . . . H-5 H.5 Year 2000 Warranty--Non-Commercial Supply Items . . . . . . . . H-5 H.6 NRC FURNISHED MATERIAL . . . . . . . . . . . . . . . . . . . . . H-6 PART II - CONTRACT CLAUSES. . . . . . . . . . . . . . . . . . . . . . . I-1 SECTION I.
CONTRACT CLAUSES . . . . . . . . . . . . . . . . . . . . . I-1 i
I.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE . . . I-1 I.2 52.232-25 PROMPT PAYMENT (JRM 1997) . . . . . . . . . . . . . I-3 l
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TABLE OF CONTENTS PAGE I.3 52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998) . . . . I-8 PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS . . . . . . J-1 SECTION J - LIST OF ATTACHMENTS. . . . . . . . . . . . . . . . . . . . . J-1 PART IV -
REPRESENTATIONS AND INSTRUCTIONS . . . . . . . . . . . . . . K-1 SECTION K - REPRESENTATIONS, CERTIFICATIONS AND . . . . . . . . . . . . K-1 OTHER STATEMENTS OF OFFERORS K.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED . . . . . . K-1 BY REFERENCE K.2 52.204-3 TAXPAYER IDENTIFICATION (OCT 1998) . . . . . . . . K-1 K.3 52.204-5 WOMEN-OWNED BUSINESS (OCT 1995) . . . . . . . . . . . K-3 K.4 52.209-5 CERTIFICATION REGARDING DEBARMENT, SUSPENSION,. . . . K-3 PROPOSED DEBARMENT, AND OTHER RESPONSIBILITY MATTERS (WUt 1996)
K.5 52.215-4 TYPE OF BUSINESS ORGANIZATION (OCT 1997). . . . . . . K-4 K.6 52.215-6 PLACE OF PERFORMANCE (OCT 1997) . . . . . . . . . . . K-5 K.7 52.219-1 SMALL BUSINESS PROGRAM REPRESENTATIONS. . . . . . . . K-5 (OCT 1998)
K.8 52.222-22 PREVIOUS CONTRACTS AND COMPLIANCE REPORTS. . . . . . K-6 (FEB 1999)
K.9 52.222-25 AFFIRMATIVE ACTION COMPLIANCE (APR 1984). . . . . . K-7 K.10 52.223-1 CLEAN AIR AND WATER CERTIFICATION (APR 1984) . . . . K-7 K.11 52.227-15 REPRESENTATION OF LIMITED RIGHTS DATA AND. . . . . . K-8 RESTRICTED COMPUTER SOFTWARE (JUN 1987)
K.12 52.230-1 COST ACCOUNTING STANDARDS NOTICES AND . . . . . . . .
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K-9 CERTIFICATION (APR 1998)
K.13 2052.209-70 QUALIFICATIONS OF CONTRACT EMPLOYEES . . . . . . . K-12 K.14 2052.209-71 CURRENT /FORMER AGENCY EMPLOYEE INVOLVEMENT . . . . K-12 K.15 2052.209-72 CONTRACTOR ORGANIZATIONAL CONFLICTS OF . . . . . . K-12 INTHREST REPRESENTATION SECTION L - INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS. . . . . . L-1 L.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED . . . . . L-1 BY REFERENCE L.2 52.204-6 DATA UNIVERSAL NUMBERING SYSTEM (DUNS) NUMBER . . . . L-1 (APR 1998)
L.3 52.215-20 REQUIREMENTS FOR COST OR PRICING DATA OR . . . . . . L-2 INFORMATION OTHER TRAN COST OR PRICING DATA (OCT 1997)
L.4 52.216-1 TYPE OF CONTRACT (APR 1984). . . . . . . . . . . . . L-3 L.5 52.219-22 SMALL DISADVANTAGED BUSINESS STATUS (OCT 1998) . . . L-3 L.6 52,233-2 SERVICE OF PROTEST (AUG 1996). . . . . . . . . . . . L-4 L.7 52.252-1 SOLICITATION PROVISIONS INCORPORATED BY . . . . . . . L-5 REFERENCE (FEB 1998)
L.8 2052.215-76 DISPOSITION OF PROPOSALS . . . . . . . . . . . . . L-5 L.9 2052.216-70 LEVEL OF EFFORT. . . . . . . . . . . . . . . . . L-6 L.10 2052.222-70 NONDISCRIMINATION BECAUSE OF AGE . . . . . . . . . L-6 L.11 ESTIMATED DURATION (JQN 1988 ) . . . . . . . . . . . . . . . . . L-6
! L.12 USE OF AUTOMATED CLEARING HOUSE (ACH) ELECTRONIC. . . . . . . . L-6 l PAYMENT / REMITTANCE ADDRESS L.13 TIMELY RECEIPT OF' PROPOSALS . . . . . . . . . . . . . . . . . L-7 l L.14 AWARD NOTIFICATION AND COMMITMENT OF PUBLIC FUNDS . . . . . . . L-7 L.15 PROPOSAL PRESENTATION AND FORMAT. . . . . . . . . . . . . . L-7 f
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L.16 SUBMISSION OF QUESTIONS BY OFFERORS. . . . . . . . . . . . . . . L-12 SECTION M - EVALUATION FACTORS FOR AWARD . . . . .- . . . . . . . . . . . M-1 M.1 2052.215.84 CONTRACT AWARD AND EVALUATION OF . . . . . . . . . M-1 PROPOSALS--TECHNICAL MORE IMPORTANT THAN COST M.2 EVALUATION CRITERIA . . . . . . . . . . . . . . . . . . . . . . M-2 I
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RES-99-046 Section B j PART I - THE SCHEDULE SECTION B - SUPPLIES OR SERVICES AND PR70E/ COSTS D.1 PROJECT TITLE The title of this project is as follows:
Technical Assistance Support for Clearance of Materials and Equipment.
B.2 BRIEF DESCRIPTION OF WORK (BUUR 1987)
The objective of.this work is to provide technical assist- ance for both individual and collective dose asessments.and specific cost impacts of potential regulatory alterna- tives for the clearance of materials and equipment with sufficient quality, defensibility, and quantity to support NRC clearance rulemaking. Soils are specifically excluded from analysis as a material for clearance in this contract. This will be addressed separately by NRC staff.
B.3 CONSIDERATION AND OBLIGATION--COST PLUS FIXED FEE (JUN 1988) ALTERNATE I (JUN 1991)
(a) The total estimated cost to the Government for full performance of this contract is *.*, of which the sum of *.*
represents the estimated reimbursable costs, and of which *.*
represents the fixed fee.
(b) There shall be no adjustment in the amount of the Contractor's fixed fee by reason of differences between any estimate of cost for performance of the work under this contract and the actual cost for performance of that work.
(c) The amount currently obligated by the Government with respect to this contract is *.*, of which the sum of *.* represents the estimated reimbursable costs, and of which *.* represents the fixed fee.
(d) It is estimated that the amount currently allotted will cover performance through *.*.
B-1
[' -' . I RES-99-046 Section C l l
SECTION C.- DESCRIPTION / SPECIFICATIONS / STATEMENT OF WORK L
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(For this Solicitation, there are NO clauses in this Section)
See Attachment 1 entitled " Statement Of Work. This document also I is provided on a 1.44MB disk in Word Perfect 6/7/8 format.
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g RES-99-046 Section D SECTION D - PACKAGING AND MARKING j.-
D.1- PACKAGING AND-MARKING (MAR 1987) l The Contractor shall package material for shipment to the NRC in such'a manner that will ensure. acceptance by common; carrier and safe delivery at destination. Containers and closures shall comply with the Interstate Commerce Commission Regulations, Uniform Freight Classification Rules, or-regulations of-othel carriers as applicable i
to the mode of transportation. On the front of the package, the Contractor shall clearly identify the contract number under which the product.is being provided.
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F RES-99-046 Section E SECTION E - INSPECTION AND ACCEPTANCE l
E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE The following contract clauses pertinent to this section are hereby incorporated by reference (by Citation Number, Title, and Date) in accordance with the clause at FAR "52.252-2 CLAUSES INCORPORATED BY REFERENCE" in Section I of this contract. See FAR 52.252-2 for an internet address (if specified) for electronic access to the full text of a clause. 1 NUMBER TITLE DATE FEDERAL ACQUISITION REGULATION (48 CFR Chapter 1).
52.246-5 INSPECTION OF APR 1984 SERVICES--COST-REIMBURSEMENT E.2 PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987)
Inspection and acceptance of the deliverable items to be furnished hereunder shall be made by the Project Officer at the destination.
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F RES-99-046 Section F SECTION F - DELIVERIES OR PERFORMANCE l
F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE The following contract clauses pertinent to this section are hereby incorporated by reference (by Citation Number, Title, and Date) in accordance with the clause at FAR "52.252-2 CLAUSES INCORPORATED BY REFERENCE" in Section I of this contract. See FAR 52.252-2 for an internet address (if specified) for electronic access to the full text of a clause.
NUMBER TITLE .
DATE FEDERAL ACQUISITION REGULATION (4 8 CFR Chapter 1).
52.242-15 STOP-WORK ORDER AUG 1989 ALTERNATE I (APR 1984) 52.247 F.O.B. DESTINATION NOV 1991 52.247-48 F.O'.B. DESTINATION--EVIDENCE OF SHIPMENT FEB 1999 F.2 NRCAR 2052.212-72 FINANCIAL STATUS REPORT (DEC 1995)
.The contractor shall provide a monthly Financial Status Report to the project officer and the contracting officer. Also, whenever the report references the acquisition of, or changes in status of, property valued at the time of purchase at $50,000 or more, send a copy of the report to the Chief, Property Management Branch, Division of Facilities and Property Management, Office of Administration. The report is due within 15 calendar days after the end of the report period and shall identify the title of the project, the contract number, job code, project manager and/or principal investigator, the contract period of performance, and the period covered by the report. Each report must include the following for each discrete task:
(a)' Total estimated contract amount.
(b) Total funds obligated to date.
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(c) Total costs incurred this reporting period.
(d) Total costs incurred to date.
(e) Detail of all direct and indirect costs incurred during the reporting period for the entire contract or each task, if it is a task ordering contract.
(f) . Balance of obligations remaining.
(g) Balance of funds required to complete contract / task order.
(h) Contractor Spending Plan (CSP) status:
(1) Projected percentage of completion cumulative through the report period
.for the project / task order as reflected in the current CSP.
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j RES-99-046 Section F l (2) Indicate if there has been a significant change in the original CSP l projection in either dollars or percentage of completion. Identify the change, the reasons for the change, whether there is any projected overren, and when additional funds would be required. If there have been no changes to the original NRC- approved CSP projections, a written statement to that effect is sufficient in lieu of submitting a detailed response to item h.
(3) A revised CSP is required with the Financial Status Report whenever the contractor or the contracting officer has reason to believe that the total cost for performance of this contract will be either greater or substantially less than what had been previously estimated.
(i) Property status:
(1) List property acquired for the project during the month with an acquisition cost of $500 or more and less than $50,000. Give the item number for the specific piece of equipment.
(2) List property acquired for the project during the month with an acquisition cost of $50,000 or more. Provide the following information for each line item of property: item description or nomenclature, manufacturer, model number, serial number, acquisition cost, and receipt date. If no property was acquired during the month, include a statement to that effect. Note: The same peripheral equipment which is part of a " system or system unit."
(3) For multi-year projects, in the September monthly financial status report provide a cumulative listing of property with an acquisition cost of
$50,000 or more ($5,000 or more if purchased prior to October 1, 1995) showing the above information. ,
(4) In the final monthly status report provide a close-out property report containing the same elements described above for the monthly financial status reports, for all property purchased with NRC funds regardless of value unless title has been vested in the contractor. If no property was acquired under the contract, provide a statement to that effect. The report should note any property requiring special handling for security, health, safety, or other reasons as a part of the report.
(j) Travel status:
List the starting and end dates for each trip, the starting point and destination, and the traveler (s) for each trip.
If the data in this report indicates a need for additional funding beyond that already obligated, this information may only be used as support to the official request for funding required in accordance with the Limitation of Cost (LOC)
Clause (FAR 52.232-20) or the Limitation of Funds (LOF) Clause FAR 52.232-22.
F.3 TECHNICAL REPORTS The deliverable are stated in Section V of the Statement of Work (Attachment 1) . The contractor shall submit the deliverables in the format stated isSection V. At a minimum, the contractor shall provide a hard copy of each deliverable to the NRC's Project I
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p RES-99-046 Section F Officer, Technical Project Manager, and the Contract Specialist.
i F4 QUALITY ASSURANCE At the outset of the contract, the contraccor shall provide a QA/QC plan or procedure to the NRC Project Officer in accordance with Section X11, of the Statement of Work entitled, QUALITY ASSURANCE &
QUALITY CONTROL.
F.5 DELIVERABLES SCHEDULE The deliverables and schedule for work conducted under this contract is summarized in'Section VI of the Statement of Work (Attachment 1),
entitled " DELIVERABLES AND DELIVERY SCHEDULE" and in Attachment 2, entitled " CLEARANCE SOW DELIVERABLE SEQUENCE". Attachment 2 only serves as a summary of the deliverables stated in Section VI of the Statement of. Work. The Statement of Work takes precedence over Attachment 2.
F.6 PLACE OF DELIVERY--REPORTS (JUN 1988)
The items to be furnished hereunder shall be delivered, with all charges paid by the Contractor, to:
(a) Project Officer ( copies)-
(PROJ-OFFICER-ADD 1)
(PROJ-OFFICER-ADD 2) (PROJ-OFFICER-ADD 3) (PROJ-OFFICER-ADD 4)
(b) Contracting Officer (1 copy) i F.7 RESOLVING ~NRC CONTRACTOR DIFFERING PROFESSIONAL VIEWS i (DPVs) i The Nuclear Regulation Commission's (NRC) policy is to support the contractor's expression of professional health and safety related concerns associated'with the contractor's work for NRC that (1) may differ from a prevailing NRC staff view, (2) disagree with an NRC decision or policy position, or (3) take issue with proposed or established agency practices. An occasion may arise when an NRC contractor, contractor's personnel, or subcontractor personnel believes that a conscientious expression of a competent judgement is required to document such concerns on matters directly associated with its performance of the contract. The procedure thac will be used provides for the expression and resolution of differing professional views (DPVs) of health and safety related concerns associated with the mission of the agency by NRC contractors, contractor personnel or subcontractor personnel on matters directly associated with its performance of the contract, may be found in Section J of the solicitation. The contractor shall provide a copy of the NRC DPV procedure to all of its employees performing urder this contract and to all subcontractors who shall,-in turn, provide a copy of the procedure to its employees. NOTE:
Toe prime contractor or subcontractor shall submit all DPV's received but need not endorse them.
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I RES-99-046 Section F
?.8 DURATION OF CONTRACT PERIOD (MAR.1987)
This contract shall commence on *.* and will expire *.*.
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sc RES-99-046 Section G SECTION G - CONTRACT ADMINISTRATION DATA G.1 2052.215-71 PROJECT OFFICER AUTHORITY (a) The contracting-officer's-authorized representative hereinafter referred to as'the project officer for this. contract is:
Name: *
- Address: *
- Telephone' Number: * *
(b)' Performance of the work under this contract is subject to the !
technical direction of the NRC project officer. The term technical direction'is defined to include the following: ;
1
, . (1) Technical direction.to the contractor which shifts work emphasis l l
between areas of work or tasks, fills in details, or otherwise serves to accomplish the contractual statement of work.
(2) Provide advice and guidance to the contractor in the preparation j of drawings, specifications, or technical portions of the work l description.- !
(3) Review and, where required by the contract, approval of technical reports, drawings, specifications, and technical information to'be delivered by the contractor to the Government i
.under the contract.
l l (c)-Technical direction must be within the general statement of work stated in the contract. The project officer does not have the authority to and may.not_ issue any technical direction which:
(1) _ Constitutes an assignment of work outside the general scope of
.the contract.
(2) Constitutes a change as defined in the " Changes" clause of this contract.
(3) In any way cause an increase or decrease in the total estimated contract cost, the fixed fee, if any, or the time required for contract _ performance.
L (4) Changes anyfof the expressed terms,' conditions, or specifications of the contract.
(5) Terminates the contract, settles any claim or dispute arising G-1 I
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y RES-99-046 Section G undar the contract, or issues any unilateral directive whatever.
(d) All technical directions must be issued in writing by the project officer or must be confirmed by the project officer in writing within ten (10) working' days after verbal issuance. A copy of the written direction must be furnished to the contracting officer.
(e) The contractor shall proceed promptly with the performance of technical directions duly issued by the project officer in the manner prescribed by this clause and within the project officer's authority under the provisions of this clause.
(f)_ If, in the opinion of the contractor, any instruction or direction issued by the project officer is within one of the categories as defined in paragraph (c) of this section, the contractor may not proceed but shall notify the contracting officer in writing within five (5) working days after the receipt of any instruction or direction and shall request the contracting officer l to modify the contract accordingly. Upon receiving the notification from the contractor, the contracting officer shall issue an appropriate contract modification or advise the contractor in writing that,.in the contracting officer's opinion, the technical direction is within the scope of this article and does not constitute a change under the " Changes" clause.
(g) Any unauthorized ccmmitment or direction issued by the project I officer may result in an unnecessary delay in the contractor's performance and may even result in the contractor expending funds i for unallowable costs under the contract. ,
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(h) A failure of the parties to agree upon the nature of the I instruction or direction or upon the contract action to be taken with respect thereto is subject to 52.233-1-Disputes.
(i) In addition to providing technical direction as defined in paragraph (b) of the section, the project officer shall:
(1) Monitor the contractor's technical progress, including surveillance'and assessment of performance, and recommend to the contracting officer changes in requirements.
(2) Assist the contractor in the resolution of technical problems encountered during performance.
(3) Review all costs requested for reimbursement by the contractor and submit to the contracting officer ecommendations for approval, disapproval, or suspension of payment for supplies and services required under this contract.
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y RES-99-046 Section G G.2 2052.215-82 TRAVEL REIMBURSEMENT-ALTERNATE 1 (a) The contractor is encouraged to use Government contract airlines, AMTRAK rail services, and discount hotel / motel properties in order to reduce the cost of travel under this contract. The contracting officer shall, upon request,. provide each traveler with
- a. letter of identification which is required in order to participate j i
in this program. The Federal Travel Directory (FTD) identifies j t
carriers, contract fares, schedules, payment conditions, and hotel / motel properties which offer their services and rates to .
l Government contractor personnel traveling on official business under l this contract. The FTD, which is issued monthly, may be purchased from the U.S. Government Printing' Office, Washington, DC 20402.
(b) The contractor will be reimbursed for reasonable travel costs incurred directly and specifically in the performance of this contract. The cost limitations for travel costs are determined in accordance with the specific travel regulations cited in FAR 31.205-46, as are in effect on the date of the trip. Travel costs for research_and related activities performed at State and nonprofit institutions, in accordance with section 12 of Public Law 100-679, shall be charged in~accordance with the contractor's institutional policy to the degree that the limitations of Office of Management and Budget (OMB) guidance are not exceeded. Applicable guidance documents include OMB Circular A-87, Cost Principles for State and Local Governments; OMB Circular A-122, Cost principles for Nonprofit Organizations; and'OMB Circular A-21, Cost Principles for Educational Institutions.
(c) When the Government changes the Federal Travel Regulations, or other applicable regulations, it is the responsibility of the contractor to notify the contracting officer in accordance with the Limitations of Cost clause of this contract if the contractor will be unable to make all of the approved trips and remain within the cost and fee limitations of this contract due to the changes. 1 i
G.3 2052.215-83 TRAVEL APPROVALS i
(a) All domestic travel requires the prior approval of the project I' officer.
(b) . All foreign travel must be approved in advance by the NRC on NRC Form 445 and must be in compliance with FAR 52.247-63, Preference for U.S. Flag Air Carriers. Foreign travel approval must be communicated in writing through the contracting officer.
G.4 2052.216-71 INDIRECT COST RATES (a) Pending the establishment of final indirect rates which must be i ' negotiated based on audit of actual costs, the contractor shall be G-3 l l
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P RES-99-046 Section G reimbursed for allowable indirect costs as follows:
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INDIRECT COST POOL RATE BASE PERIOD l
j (b) The contracting officer may adjust the above rates as appropriate during the term of the contract upon acceptance of any revisions proposed by the contractor. It is the contractor's responsibility to notify the contracting officer in accordance with ,
FAR 52.232-20, Limitation of Cost, or FAR 52.232-22, Limitation of l Funds, as applicable, if t'nese changes affect performance of work within the established cost or funding limitations.
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G.5 ELECTRONIC PAYMENT The Debt Collection Improvement Act of 1996 requires that all payments except IRS tax refunds be made by Electronic Funds Transfer. It is the policy of the Nuclear Regulatory Commission to pay vendors by the Automated Clearing House (ACH) electronic funds transfer payment system. The electronic system is known as Vendor Express. Payment shall be made in accordance with FAR 52.232-33, entitled " Mandatory Information for Electronic Funds Tran'sfer Payment".
To receive payment, the contractor shall complete the " Company Information" portion of the Standard Form 3881, entitled "ACH Vendor / Miscellaneous Payment Enrollment Form" found as an attachment to this document. The contractor shall take the form to the ACH Coordinator at the financial institution that maintains its company's bank account. The contractor shall discuss with the ACH Coordinator how the payment identification information (addendum record) will be passed to them once the payment is received by the j financial institution. Further information concerning the addendum !
is provided at Attachment 6. The ACN Coordinator should fill out i the " Financial Inntitution Information" portion of the form and return it to the Office of the Controller at the following address:
Nuclear. Regulatory Commission, Division of Accounting and Finance, {
Financial Operations Section, Mail Stop T-9-H-4, Washington, DC 20555, ATTN: ACH/ Vendor Express. It is the responsibility of the contractor to ensure that the financial institution returns the completed form to the above cited NRC address. If the contractor can provide the financial information, signature of the financial institutions ACH Coordinator is not required. The NRC is under no obligation to send reminders. Only after the Office of the j Controller has processed the contractor's sign-up form will the i contractor be eligible to receive payments.
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! RES-99-046 Section G
}
} Once electronic funds transfer is established for payments l authorized by NRC, the contractor needs to submit an additional SF l 3881 only to report changes to the information supplied.
1
) Questions concerning ACH/ Vendor Express should be directed to the Financial Operations staff at (301) 415-7520."
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RES-99-046- Section H L
SECTION H - SPECIAL CONTRACT REQUIREMENTS 1
l H.1 2052.209-73 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST (a) ' Purpose. The primary purpose of this clause is to aid in
(
1 ensuring that the contractor:
(1) Is not placed in a conflicting role because of current or planned interests .(financial, contractual, organizational, or
-otherwise) which relate to the work under this contract; and (2) Does not obtain an unfair competitive advantage over other l
parties by virtue of its performance of this contract.
(b) Scope. The restrictions described apply to performance or participation by the contractor, as defined in 48 CFR 2009.570- 2 in the activities covered by this clause.
(c) Work for others.
(1) . Notwithstanding any other provision of this contract, during the term.of this contract the contractor agrees to forgo entering into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being performed under this contract. The contractor shall ensure that all employees under this contract abide by the provision of this clause. If the contractor
' has reason taa believe with respect to itself or any employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting officer before the execution of such contractual arrangement.
-(2) The contractor may not represent, assist, or otherwise support an NRC licensee or applicant undergoing an NRC audit, inspection, or j review where the activities that are the subject of the audit, inspection or review are the same as or substantially similar to the services within the scope of'this contract (or task order as appropriate), except where the NRC licensee or applicant requires the contractor's support to explain or defend the contractor's prior work for the utility or other entity which NRC questions.
(3) When.the contractor performs work for the NRC under this contract at any NRC licensee or applicant site, the contractor shall neither' solicit nor perform. work in the same or similar technical area for that licensee or applicant organization for a period commencing with the award of the task' order or beginning of work on the site (if not a task order contract) and ending one year after completion-of all' work under the associated task order, or last time at the site (if not a task order contract).
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F RES-99-046 Section H .
I (4) When the contractor performs work for the NRC under this contract.at any NRC licensee or applicant site, (i) The contractor may not solicit work at that site for that licensee.or applicant during the period of performance of the task l order or the contract, as appropriate.
1 (ii) The contractor may not-perform work at that site for that licensee or applicant during the period of performance of the task order or the contract, as appropriate, and for one year thereafter.
(iii) Notwithstanding the' foregoing, the contracting officer may authorize.the contractor to solicit or perform this type of work
-(except work in the same or.similar technical area) if the contracting officer' determines that the situation will not pose a potential for technical bias or unfair competitive advantage..
(d) Disclosure after award.
(1) The contractor warrants that to the best of its knowledge and belief, and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest as defined in 48 CFR'2009.570-2.
(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 must 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, t'erminate the contract if termination is in the best interest of the government.
(3) It is' recognized that the scope of work of a task-order- type contract necessarily encompasses a broad spectrum of activities.
Consequently, if this.is a task-order-type contract, the contractor agrees that it will disclose all proposed new work involving NRC licensees or applicants which comes within the scope of work of the underlying contract. Further, if this contract involves work at a licensee or applicant site, the contractor agrees to exercise diligence to discover and disclose any new work at that licensee or applicant site. This disclosure must be made before the submission of a bid or proposal to the utility or other regulated entity and must be received by the NRC at least 15 days before the proposed award date'in any event, unless a written justification demonstrating urgency and due diligence to discover and disclose is provided by.the contractor and approved by the contracting officer.
The disclosure must include the statement of work, the dollar value of the proposed contract, and any other documents that are needed to fully describe the proposed work for the regulated utility or other regulated entity. NRC may deny approval of the disclosed work only when the NRC has issued a task order which includes the technical area and, if' site-specific, the site, or has plans to issue a task order.which includes the technical area and, if site-specific, the site, or when the work violates paragraphs (c) (2) , (c) (3) or (c) (4)
H-2
O RES-99-046 Section H of-this section' .
(e) Access to and use of information.
_(1) If in the performance of this contract, the contractor obtains access to information, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act i
' of - 1974. (5 U. S . C. Section 552a (1988) ) , or. the Freedom of Information Act (5 U.S.C. Section 552 (1986)), the contractor agrees not to (i)~ Use this information for any private purpose until the information has been released to the public; (ii) Compete for work for the Commission based on the information for.a period of six months after either the completion of this contract or the release of the information to the public, whichever
.is first;
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(iii) Submit an unsolicited preposal to the Government based on the information until one-year after the release of the information to
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the public; or
'(iv)' Release the information without prior written approval by the contracting officer unless the information has previously been released to the public by the NRC.
(2) In' addition, the contractor agrees that, to the extent it receives.or is given access to proprietary data, data protected by the Privacy Act of 1974 (5 U.S.C. .section 552a (1988)), or the Freedom of Information Act (5 U.S.C. section 552 (1986)), or other confidential or privileged technical, business, or financial information under this-contract,.the contractor shall treat the
-information in accordance with restrictions placed on use'of the
-information.
-(3) ' Subject to patent and security provisions of this contract, the
- contractor shall have the right to use technical-data it produces under.this contract for private pugoses provided that all requirements of this contract have been met.
(f) Subcontracts. Except'as provided in 48 CFR 2009.570-2, the contractor shall include this clause, including this paragraph, in subcontracts of any tier. The terms contract, contractor, and contracting officer,.must be appropriately modified to preserve the Government's rights.
-(g)-Remedies. For breach of any of the above restrictions, or for
-intentional nondisclosure'or-misrepresentation of any relevant
. interest required to be disclosed concerning this contract or for such erroneous representations that necessarily imply bad faith,'the Government may terminate the contract for default, disqualify the '
contractor from subsequent: contractual ef forts, and pursue other remedies permitted.by law or this' contract.
1 (h) Waiver. A request for waiver- under this clause must be directed j L H-3 1
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i RES-99-046 Section H l in-writing to the contracting officer in accordance with the L procedures outlined in 48 CFR 2009.570-9.
{
l (i) Follow-on ef fort. -The contractor shall be ineligible to
- i. 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 i contractor may not perform any technical consulting or management i support services work or evaluation activities under this contract on any of its products or services or the products or services of i
another firm if the contractor has been substantially involved in the development'or marketing of the products or services.
(1) If the' contractor, under this contract, prepares a complete or essentially complete statement of work or specifications, the i contractor is not eligible to perform or participate in the initial contractual effort which'is based on the statement of work or specifications. The contractor may not incorporate its products or services in the statement of work or specifications unless so directed in writing by the contracting officer, in which case the
. restrictions in this paragraph do not. apply.
(2) .Nothing in this paragraph precludes the contractor from offering or selling its standard commercial items to the Government.
H.2 2052.215-70 KEY PERSONNEL ,
(a) The following individuals are considered to be essential to the successful performance of the work hereunder:
1 The contractor agrees that personnel may not be removed from the l contract work or replaced without compliance with paragraphs (b) and (c) of this section.
(b) If one cnr more of the key personnel, - for whatever reason, becomes, or is expected to become, unavailable for work under this contract for a continuous period exceeding 30 work days, or is expected to devote substantially less effort to the work than indicated in the proposal or initially anticipated, the contractor shall immediately notify the contracting officer and shall, subject to the concurrence of the contracting officer, promptly replace the personnel with personnel of at least substantially equal ability and qualifications. ,
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i RES-99-046 Section H-(c) Each request for approval of substitutions must be in writing and contain a detailed explanation of the circumstances necessitating the proposed substitutions. The reguest must also i contain a complete resume for the proposed substitute and other L information requested or needed by the contracting officer to l
evaluate the proposed substitution. The contracting officer or his/her-authorized representative shall evaluate the request and promptly notify the contractor of his or her approval or disapproval l in writing.
(d)-If the contracting officer determines that. suitable and timely replacement of key personnel who have been reassigned, terminated, or have otherwise become unavailable for the contract work is not reasonably forthcoming, or 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. If the contracting officer finds the contractor at fault for the condition, the contract price or fixed fee may be equitably adjusted downward '
to compensate the' Government for any resultant delay, loss, or damage.
- _H.3 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED (JUN 1988)
The Government will not provide any equipment / property under this contract.
H.4 SEAT BELTS Contractors, subcontractors, and grantees, are encouraged to adopt and enforce on-the-job seat belt policies and programs for their employees when operating company-owned, rented, or personally owned vehicles.
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l H.S Year 2000 Warranty--Non-Commercial Supply Items l l 1 l The contractor warrants that each non-commercial item of hardware, I l software, and firmware delivered or developed under this contract l and listed below shall be able to accurately process date/ time data (including, but not limited to, calculating, comparing, and _
sequencing) from, into, and between the twentieth and twenty-first l centuries, and the, years 1999 and 2000, and leap year calculations, to the extent that other information-technology, when used in combination with the information technology being acquired, properly exchange date/ time data with it, when used in accordance with the product documentation provided by the contractor. If the contract requires that the spcific listed products must perform as a system l H-5 I l
g l RES-99-046 Section H.
l . .
l in accordance with the foregoing warranty, then'that warranty shall
? apply.to those listed products as a system. The duration of this l ' warranty and the remedies available to the Government for breach of this-warranty shall be as defined'in,.and subject to, the terms and limitations of contractor's standard commercial warranty.or warranties contained'in this contract, provided that notwithstanding any provision to the contra n in such commercial warranty.or waranties, the remedies available to the Government under this
-warranty shall include repair or replacement of any listed product whose non-compliance is discovered and made known to the contractor in writing within' ninety (90)' days af ter acceptance. Nothing in-this. warranty shall be. construed to limit any rights or remedies the Government may otherwise have under this contract with respect.to
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defects other than Year 2000 performance.
. Items:
H.6 NRC FURNISHED MATERIAL--
Copies of NUREG and NUREG/CR publications and draft reports generated for'the NRC will be provided to the contractor upon request.
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H-6 i
RES-99-046 Section I j PART II - CONTRACT CLAUSES SECTION'I -
CONTRACT CLAUSES -
I.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE The following contract clauses pertinent to this section are hereby incorporated by reference (by Citation Number, Title, and Date) in accordance with the clause at FAR "52.252-2 CLAUSES INCORPORATED BY REFERENCE" in Section I of this contract.. See FAR I 52.252-2 for an internet address (if specified) for electronic access to the full text of a clause.
NUMBER TITLE DATE j FEDERAL ACQUISITION REGULATION (4 8 CFR Chapter 1) a 52.202-1 DEFINITIONS OCT 1995 I 52.203-3 GRATUITIES APR 1984 52.203-5 COVENANT AGAINST CONTINGENT FEES APR 1984-52.203-6' RESTRICTIONS ON SUBCONTRACTOR SALES TO JUL 1995 THE GOVERNMENT l 52.203-7 ANTI-KICKBACK PROCEDURES JUL 1995 )
52.203-8 CANCELLATION, RESCISSION, AND RECOVERY JAN 1997 '
OF FUNDS FOR ILLEGAL OR IMPROPER ACTIVITY 52.203-10 PRICE OR FEE ADJUSTMENT FOR ILLEGAL OR JAN 1997 IMPROPER ACTIVITY 52.203-12 LIMITATION ON PAYMENTS TO INFLUENCE JUN 1997 CERTAIN FEDERAL TRANSACTIONS 52.204-4 PRINTING / COPYING DOUBLE-SIDED ON JUN 1996 RBCYCLED PAPER 52'209-6
. PROTECTING THE GOVERNMENT'S INTEREST JUL 1995 WHEN SUBCONTRACTING WITH CONTRACTORS DEBARRED, SUSPENDED, OR PROPOSED FOR DEBARMENT 52.215-2 AUDIT AND RECORDS--NEGOTIATION AUG 1996 52.215-8 ORDER OF PRECEDENCE--UNIFORM CONTRACT OCT 1997 FORMAT 52.215-10 PRICE REDUCTION FOR DEFECTIVE COST OR . OCT 1997 PRICING DATA 52.215-12 SUBCONTRACTOR COST OR PRICING DATA OCT 1997 52.215-15 PENSION ADJUSTMENTS AND ASSET REVERSIONS DEC 1998 (DEC 1998) j 52.215-18 REVERSION OR ADJUSTMENT OF PLANS FOR OCT 1997 POSTRETIREMENT BENEFITS OTHER THAN PENSIONS (PRB) 52.215-19 NOTIFICATION OF OWNERSHIP CHANGES OCT 1997 ;
52.216-7 -ALLOWABLE COST AND PAYMENT APR 1998 52.216-8 FIXED-FEE MAR 1997 l 52.219-8 UTILIZATION OF SMALL, SMALL . JAN 1999 l DISADVANTAGED, AND WOMEN-OWNED SMALL ;
BUSINESS CONCERNS l I-1 ,
I l RES-99-046 Section I I 52.219-9 'SMALL BUSINESS SUBCONTRACTING PLAN JAN 1999 ALTERNATE II (JAN 1999) 52.219-16 LIQUIDATED DAMAGES-SMALL BUSINESS JAN 1999 SUBCONTRACTING PLAN l 52.222-3 CONVICT LABOR AUG 1996 52.222-26 EQUAL OPPORTUNITY FEB 1999 52.222-28 EQUAL OPPORTUNITY PREAWARD CLEARANCE OF APR 1984 SUBCONTRACTS 52.222-35 AFFIRMATIVE ACTION FOR DISABLED VETERANS APR 1998 AND VETERANS OF THE VIETNAM ERA 52.222-36 AFFIRMATIVE ACTION FOR WORKERS WITH JUN 1998 l DISABILITIES l 52.222-37 EMPLOYMENT REPORTS ON DISABLED VETERANS JAN 1999 AND VETERANS OF THE VIETNAM ERA 52.223-2 CLEAN AIR AND WATER APR 1984 l 52.223-6 DRUG-FREE WORKPLACE JAN 1997 j 52.225-11 RESTRICTIONS ON CERTAIN FOREIGN AUG 1998 PURCHASES 52.227-1 AUTHORIZATION AND CONSENT JUL 1995 52.227-2 NOTICE AND ASSISTANCE REGARDING PATENT AUG 1996 AND COPYRIGHT INFRINGEMENT 52.227-14 RIGHTS IN DATA--GENERAL JUN 1987 52.228-7 INSURANCE--LIABILITY TO THIRD PERSONS MAR 1996 52.230-2 COST ACCOUNTING STANDARDS APR 1998 52.230-6 ADMINISTRATION OF COST ACCOUNTING APR 1996 STANDARDS 52.232-17 INTEREST JUN 1996 52.232-22 LIMITATION OF FUNDS APR 1984 52.232-23 ASSIGNMENT OF CLAIMS JAN 1986 1 52.232-33 MANDATORY INFORMATION FOR ELECTRONIC '
AUG 1996 FUNDS TRANSFER PAYMENT 52.233-1 DISPUTES DEC 1998 52.233-3 PROTEST AFTER AWARD AUG 1996 ALTERNATE I (JUN 1985) 52.242-1 NOTICE OF INTENT TO DISALLOW COSTS APR 1984 52.242-3 PENALTIES FOR UNALLOWABLE COSTS OCT 1995 52.242-4 CERTIFICATION OF FINAL INDIRECT COSTS JAN 1997 52.242-13 BANKRUPTCY JUL 1995 52.243-2 CHANGES--COST REIMBURSEMENT AUG 1987 ALTERNATE I (APR 1984) 52.244-2 SUBCONTRACTS AUG 1998 ALTERNATE II (AUG 1998)
$2.244-5 COMPETITION IN SUBCONTRACTING -
DEC 1996 52.244-6 SUBCONTRACTS FOR COMMERCIAL ITEMS AND APR 1998 COMMERCIAL COMPONENTS 52.246-25 LIMITATION OF LIABILITY--SERVICES FEB 1997 52.247-67 SUBMISSION OF COMMERCIAL TRANSPORTATION JUN 1997 BILLS TO THE GENERAL SERVICES ADMINISTRATION FOR AUDIT 52.249-6 TERMINATION (COST-REIMBURSEMENT) SEP 1996 52.249-14 EXCUSABLE DELAYS APR 1984 52.253-1 COMPUTER GENERATED FORMS JAN 1991 I-2
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~RES-99-046 Sec. tion I l
- l. I.2' 52~232-25
. PROMPT PAYMENT (JUN 1997)
Notwithstanding.any other payment clause in this contract, the Government will make invoice payments and contract financing L payments under the terms and conditions specified in this clause.
l Payment shall be considered as being made on the day a check is dated or'the date of an electronic funds transfer. Definitions of pertinent terms are set forth in section 32.902 of the Federal Acquisition Regulation. All days referred to in this clause are calendar days, unless otherwise specified. (However, see subparagraph (a) (4) of this clause concerning payments due on Saturdays, Sundays, and legal holidays.)
(a) Invoice payments (1) Due Date. (i) Except as indicated in subparagraph (a) (2) and paragraph (c) of this clause, the due date for making invoice payments by the designated payment office shall be the later of the following two events:
(A) The 30th day after the designated billing office has received a proper invoice from the Contractor (except as provided in subdivision (a) (1) (ii) of this clause).
(B) The 30th day after Government acceptance of supplies delivered or services performed by the Contractor. On a final invoice where the payment amount is subject to contract settlement <
actions, acceptance shall be deemed to have occurred on the I effective date of the contract settlement.
(ii) If the designated billing office fails to annotate the invoice with the actual date of receipt at the time of receipt, the invoice payment due date shall be the 30th day after the date of the Contractor's invoice; provided a proper invoice is received and there is no disagreement over quantity, quality, or Contractor compliance with contract requirements.
(2) Certain food products and other payments. (i) Due dates on Contractor invoices for meat, meat food products, or fish; perishable agricultural commodities; and dairy products, edible fats 1 or oils, and food products prepared from edible fats or oils are--
(A) For meat or meat food products, as defined in section 2 (a) (3) of the Packers and Stockyard Act of- 1921 (7 U.S.C. 182 (3 ) ) ,
and as further defined in Pub. L.98-181, including any edible fresh or frozen poultry meat, any perishable poultry meat food product, fresh eggs, and any perishable egg product, as close as possible to, but not later than, the day after product delivery.
(B) For fresh or frozen fish, as defined in section 204 (3),
of the Fish and Seafood Promotion Act of 1986 (16 U.S.C. 4003(3)),
as close as possible to, but not later than, the day after product delivery.
(C) For perishable agricultural commodities, as defined in section 1(4) of the Perishable Agricultural Commodities Act of 1930 (7 U.S.C. 4 99a (4 ) ) , as close as possible to, but not later than, the i
loth day-after product delivery, unless another date is specified in I-3 1
RES-99-046 Section I
'ths contract.
(D) For dai n products, as defined in section 111(e) of the
-Daig Production Stabilization Act of 1983 (7 U.S.C. 4502(e)),
cdible fats or oils, and food products prepared from edible fats or oils, as'close as possible to, but not later than, the loth day .
cfter the date on which a proper invoice has been received. Liquid ;
milk, cheese, certain processed cheese products, butter, yogurt, ice cream, mayonnaise, salad dressings, and other similar products, fall within this classification. Nothing in the Act limits this classification to refrigerated products. When @estions arise )
regarding the proper classification of a specific product, prevailing industry practices will be followed in specifying a contract payment due date. The burden of proof that a classification of a specific product is, in fact, prevailing industry practice is upon the contractor making the representation.
(ii) If the contract does not require submission of an invoice for payment (e.g., periodic lease payments), the due date will be as specified in the contract.
(3) Contractor's invoice. The Contractor shall prepare and submit invoices to the designated billing office specified in the contract. A proper invoice must include the items listed in paragraph (a) (3) (i) through (a) (3) (viii) of this clause. If the invoice does not comply with these requirements, it shall be returned within 7 days after the date the designated billing office received the invoice (3 days for meat, meat food products, or fish; 5 days for perishable agricultural commodities, edible fats or oils, and food products prepared from edible fats or oils), with a statement of the reasons why it is not a proper invoice. Untimely notification will be taken into account in computing any interest penalty owed the Contractor in the manner described in subparagraph (a) (5) of this clause.
(i) Name'and address of the Contractor.
(ii) Invoice date. (The Contractor is encouraged to date invoices as close as possible to the date of the mailing or transmission.)
(iii) Contract number or other authorization for supplies delivered or services performed (including order number and contract line item number). l l
(iv) Description, quantity, unit of measure, unit price, and extended price of supplies delivered or services performed.
(v) Shipping and payment terms (e.g., shipment number and date of shipment, prompt payment discount terms). Bill of lading number l and weight of shipment will be shown for shipments on Government bills of lading.
l (vi) Name and address of Contractor official to whom payment l
is to be sent (must be the same as that in the contract or in a proper notice of assignment).
I-4
RES-99-046 Section I (vii) Name (where practicable), title, phone nunber, and m:iling address of person to be notified in the event of a defective invoice.
(viii) Any other information or documentation required by the contract (such as evidence of shipment).
(ix) While not required, the Contractor is strongly encouraged to assign an identification number to each invoice.
(4) Interest penalty. An interest penalty shall be paid automatically by the designated payment office, without request from the Contractor, if payment is not made by the due date and the conditions listed in paragraphs (a) (4 ) (i) through (a) (4) (iii) of this clause are met, if applicable. However, when the due date falls on a Saturday, Sunday, or legal holiday when Federal Government J
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offices are closed and Government business is not expected to be.
conducted, payment may be made on the following business day without incurring a late payment interest penalty.
(i) A proper invoice was received by the designated billing office.
'(ii) A receiving report or other Government documentation authorizing payment was processed, and there was no disagreement over term quantity, or condition. quality, or Contractor compliance with any contract (iii) In the case of a final invoice for any balance of funds due the Contractor for supplies delivered or services performed, the amount was not subject to further contract settlement actions between tha Government and the Contractor.
(5) Computing penalty' amount. The interest penalty shall be at the rate established by the Secretary of the Treasury under section 12 of the Contract Disputes Act of 1978 (41 U. S . C. 611) that is in effect on the day after the due date, except where the interest (e.g.,
penalty)is prescribed tariffs . This rate isby other governmental referred authority to as the " Renegotiation Board Interest Rate," and it is published in the Federal Register semiannually on or about January 1 and July 1. The interest penalty shall accrue daily on the invoice principal payment amount approved by the Government until the payment date of such approved principal amount; and will be compounded in 30-day increments inclusive from 1 the first day after the due date through the payment date. That is, i interest accrued at the end of any.30-day period will be added to the approved invoice principal payment amount and will be subject to interest penalties if not paid in the succeeding 30-day period. If the designated billing office failed to notify the Contractor of a 1 defective invoice within the periods prescribed in subparagraph i (a) (3) of this clause, the due date on the corrected invoice will be adjusted by subtracting from such date the number of days taken beyond the prescribed notification of oefects period. Any interest penalty owed the Contractor will be based on this adjusted due date.
Adjustments will be made by the designated payment office for errors I-5 1
l J
RES-99-046 Section I in calculating interest penalties.
(i) For the sole purpose of computing an interest penalty that might be due the Contractor, Government acceptance shall be deemed to have occurred constructively on the (unless otherwise specified in this contract) after the Contractor delivered the supplies or performed the servi;es in accordance with the terms and conditions of the contract, unless there is a disagreement over quantity, quality, or Contractor compliance with a contract provision. In the event that actual acceptance occurs within the constructive acceptance period, the determination of an interest penalty shall be based on the actual date of acceptance..The constructive acceptance
. requirement does not, however, compel Government officials to accept supplies or services, perform contract administration functions, or make payment prior to fulfilling their responsibilities.
(ii) The following periods of time will not be incluied in the determination of an interest penalty:
(A) The period taken to notify the Contractor of defects in -
invoices submitted to the Government, but this may not exceed 7 days (3 days for meat, meat food products, or fish; 5 days for perishable agricultural commodities. dairy products, edible fats or oils, and food products prepared from edible fats or oils).
(B) The period between the defects notice and resubmission j of the corrected invoice by the Contractor. l
\
(C) For incorrect electronic funds transfer (EFT) information, in accordance with the EFT clause of this co,ntract.
(iii) Interest penalties will not continue to accrue after the filing of a claim for such penalties under the clause at 52.233-1, f Disputes, or for more than 1 year. Interest penalties of less than
$1 need not be paid.
(iv) Interest penalties are not required on payment delays due to disagreement between the Government and the Contractor over the payment amount or other issues involving contract compliance or on amounts temporarily withheld or retained in accordance with the terms of the contract. Claims involving disputes, and any interest that may be payable, will be resolved in accordance with the clause i at 52.233-1, Disputes. -
(6) Prompt payment discounts. An interest penalty also shall be ;
paid automatically by the designated payment office, without request i from the Contractor, if a discount for prompt payment is taken I improperly. The interest penalty will be calculated as described in subparagraph (a) (5) of this clause on the amount of discount taken for the period beginning with the first day after the end of the discount period through the date when the Contractor is paid.
(7) Additional interest penalty. (i) a penalty amount, calculated in accordance with paragraph (a) (7) (iii) of this clause, shall be paid in addition to the interest penalty amount if the Contractor--
I-6
RES-99-046 Section I (A) Is owed an interest penalty of $1 or more;
()B) Is not paid the interest penalty within 10 days after the date the invoice amount is paid; and (C) Makes a written demand to the designated payment office for additional penalty payment, in accordance with paragraph (a) (7) (ii) of this clause, postmarked not later than 40 days after the invoice amount is paid.
_ (ii) (A) Contractors shall support written demands for additional penalty payments with the following data. No additional data shall be required. Contractors shall--
(1) Specificall that late payment interest is due under a specific invoice,y assertand request payment of all overdue late payment interest penalty and such additional penalty as may be required; (2) Attach a copy of the invoice on which the unpaid late payment interest was due; and (3) State that payment of the principal has been received, i including the date of receipt.
(B) Demands must be postmarked on or before the 40th day after payment was made, except that--
(1) If the postmark is illegible or nonexistent, the demand must have been received and annotated with the date of
. receipt by the designated payment office on or before the 40th day after payment was made; or (2) If the postmark is illegible or nonexistent and the designated payment office fails to make the. required annotation, the demand's validity will be determined by the date the Contractor has i placed on the demand; provided such date is no later than the 40th day after payment was made.
(iii) (A) The additional penalty shall be equal to 100 percent of any original late payment interest penalty, except--
(1) The additional penalty shall not exceed $5,000; !
l (2) The additional penalty shall never be less than $25; and (3) No additional penalty is owed if the amount of the underlying interest penalty is less than $1.
(B) If the interest penalty ceases to accrue in accordance
-with the limits stated in paragraph (a) (5) (iii) of this clause, the i i
amount of the additional penalty shall be calculated on the amount i
. of interest penalty that would have accrued in the absence of these l limits, subject to the overall limits on the additional penalty ,
specified in paragraph (a) (7) (iii) (A) of this clause. l I-7 1
F
! .RES-991046 Section I (C) For' determining the maximum and minimum additional j penalties, the. test shall be the interest penalty due on each L separate papent made for each separate contract. The maximum and 11 minimum additional penalty shall not be based upon individual L
invoices unless the invoices are paid separately. Where payments are consolidated for disbursing purposes, the maximum and minimum additional, penalty determination shall be made separately for each contract therein.
(D).The additional penalty does not apply to payments regulated by other Government regulations (e.g., payments under i
utility contracts subject to tariffs and regulation).
(b) Contract financing payments--(1) Due dates for recurring
- financing payments. If this contract provides for contract financing, requests for payment shall be submitted to the designated billing office as specified in this contract or as directed by the Contracting Officer. Contract financing payments shall be made on the day after receipt of a proper contract financing request by the designated billing office. In the event'that an audit or other review of a specific-financing request is required to ensure compliance with the terms and conditions of the contract, the designated payment office is not compelled to make payment by the due date specified.
(2) Due dates for other contract financing. For advance payments, loans, or other arrangements that do not involve recurring submissions of contract financing requests, payment shall be made in accordance with the corresponding contract terms or as directed by
~
the Contracting Officer.
(3) Interest penalty not applicable. Contract financing payments shall not be assessed an interest penalty for payment delays.
(c)' Fast payment. procedure due dates. If this contract contains the clause at 52.213-1, Fast Payment Procedure, papents will be made within'15 days after the date of receipt of the invoice.
I.3 52.252-2 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)
This~ contract incorporates one or more 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. Also, the full text of a clause may be accessed electronically at this/these address (es).:
http:\\www.arnet. gov /far/
i I-8 L R
p RES-99-046 Section J PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS SECTION J - LIST OF ATTACHMENTS l
ATTACHMENT NO.
MUMBER TITLE DATE PAGES A
- STATEMENT OF WORK / SPECIFICATIONS 1 Statement of Work - Hard Copy and Diskette 2 Clearance SOW Deliverable Sequence 3 Billing Instructions 4 NRC Handbook 3.8 5 Contractor Spending Plan (CSP) Instructions 6 SF 3381 - ACH Vendor Enrollment Form 7 Standard Form 1411 with Instructions 8 Subcontracting Plan I
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i RES-99-046 Section K PART IV -
REPRESENTATIONS AND INSTRUCTIONS SECTION K - REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS i
K.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY REFERENCE The following solicitation provisions pertinent to this section are hereby incorporated by reference (by Citation Number, Title, and Date) in accordance with the FAR provision at FAR "52.252-1 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE" in Section L of this solicitation. See FAR 52.252-1 for an internet address (if specified) for electronic access to the full text of a provision.
NUMBER TITLE DATE FEDERAL ACQUISITION REGULATION (48 CFR Chapter 1) 52.203-11 CERTIFICATION AND DISCLOSURE REGARDING APR 1991 PAYMENTS TO INFLUENCE CERTAIN FEDERAL TRANSACTIONS 52.222-21 PROHIBITION OF SEGREGATED FACILITIES FEB 1999 (FEB 1999)
K.2 52.204-3 TAXPAYER IDENTIFICATION (OCT 1998)
(a) Definitions.
Common parent, as used in this provision, means that corporate entity that owns or controls an affiliated group of corporations that files its Federal income tax returns on a consolidated basis, and of which the offeror is a member.
Taxpayer Identification Number (TIN), as used in this provision, means the number required by the Internal Revenue Service (IRS) to be used by the offeror in reporting income tax and other returns.
The TIN may be either a Social Security Number or an Employer Identification Number.
(b) All offerors must submit the information required in paragraphs.(d) through (f) of this provision to comply with debt collection requirements of 31 U.S.C. 7701(c) and 3325(d), reporting requirements of 26 U.S.C. 6041, 6041A, and 6050M, and implementing i regulations issued by the IRS. If the resulting contract is subject to the payment reporting requirements described in Federal Acquisition Regulation (FAR) 4.904, the failure or refusal by the l offeror to-furnish the information may result in a 31 percent reduction of payments otherwise due under the contract.
(c) The TIN may be used by the Government to collect and report K-1 l i
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RES-99-046 Section K.
-on any. delinquent amounts arising out of the offeror's relationship with the Government (31 U.S.C. 7701(c) (3) ) . If the resulting contract is subject to.the payment reporting' requirements described )
in FAR;4.904, the TIN provided hereunder may be matched with IRS records to verify the accuracy of the offeror's TIN.
(d) Taxpayer Identification Number (TIN).
[ ]
TIN:.--------------------------------------------------------
[ .) TIN has been applied for.
.[ ] TIN is not required because:
[ ] . Offeror is a nonresident alien, foreign corporation, or foreign partnership that does not have income effectively connected with the conduct of a trade or business in the United States and does not' have an office cn place of business or a fiscal paying agent in the United States;
[ j Offeror'is an agency or instrumentality of a foreign government;
[ ] Offeror is an agency or instrumentality of the Federal Government.
(e) Type of organization.
[ ). Sole proprietorship; ,
'[ ] Partnership;
[ ] Corporate entity (not tax-exempt);
[ ] Corporate entity (tax-exempt) ;
-[ ] Government entity (Federal, State, or local);
[ ] Foreign government;
.[ ] International organization per 26 CFR 1.6049-4;
[ ]
Other--------------------------------------------------------
(f) Common parent.
[ ] Offeror is not owned or controlled by a common parent as ;
defined.in paragraph-(a) of this provision. ;
i
[' ] Name and TIN of common parent:
Name---------------------------------------------------------------
K-2
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-RES-99-046 Section K TIN----------------------------------------------------------------
K.3 52.204-5 WOMEN-OWNED BUSINESS (OCT 1995)
(a) Representation. The offeror represents that it [] is, []
is not a women-owned business concern.
(b) Definition. Women-owned' business concern, as used in this provision, means a concern which is at least 51 percent owned by one or more women; or in the case of any publicly owned business, at least 51 percent of the stock of which is owned by one or more women; and whose management and daily business operations are controlled by one or more women.
I i
-K.4 52.209-5 CERTIFICATION REGARDING DEBARMENT, SUSPENSION, 1 PROPOSED DEBARMENT, AND OTHER RESPONSIBILITY MATTERS l (NAR 1996) l (a) (1) The Offeror certifies, to the best of its knowledge and I belief, that -
(1) The Offeror and/or any of its Principals -
(A) Are [] are not [ ] presently debarred, suspended, proposed for debarment, or declared ineligible for the award of contracts by any Federal agency; (B) Have [] have not [), within a 3-year period preceding this offer, been convicted of or had a civil judgment rendered against them for: commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, state, or local) contract or i subcontract; violation of Federal or state antitrust statutes relating to the submission of offers; or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion or receiving stolen property; and (C) Are [] are not [] presently indicted for, or otherwise criminally or civilly charged by a governmental entity with, commission of any of the offenses enumerated in subdivision (a) (1) (i) (B) of this provision.
(ii) The Offeror has [ -) has not [), within a 3-year period preceding this offer,'had one or more contracts terminated for l
default by any Federal-agency.
(2) " Principals," for the purposes of this certification, means K-3 l
RES-99-046 Section K officers; directors; owners; partners; and, persons having primary management or supervisory responsibilities within a business entity (e.g., general manager; plant manager: ~ head of a subsidiary, division, or business segment, and similar positions).
THIS CERTIFICATION CONCERNS A MATTER WITHIN THE JURISDICTION OF AN AGENCY OF'THE UNITED STATES AND THE MAKING OF A FALSE, FICTITIOUS, CR FRAUDULENT CERTIFICATION MAY. RENDER THE MAKER SUBJECT TO PROSECUTION UNDER.SECTION 1001, TITLE 18, UNITED STATES CODE.
(b) The Offeror shall provide immediate written notice to the Contracting Officer if, at any time prior to contract award, the offeror learns that its certification was erroneous wh^n submitted or has become erroneous by reason of changed circumstances.
(c) A certification that any of the items in paragraph (a) of this provision exists will not necessarily result in_ withholding of However, the certification will an award under this solicitation.
be considered in connection with a determination of the Offeror's responsibility. Failure of the Offeror to furnish a certification or provide such additional information as requested by the Contracting Officer may render the Offeror nonresponsible.
(d) Nothing contained in the foregoing.shall be construed to require establishment of a system of records in order to render, in good faith, the certification required by paragraph (a') of this provision. The knowledge and information of an Offeror is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.
(e) The certification in paragraph (a) of this provisi~on is a material representation of fact upon which reliance was placed when making award. If it is'later determined that the Offeror knowingly rendered an erroneous certification, in addition to other remedies available td the Government, the Contracting Officer may terminate the contract resulting from this' solicitation for default.
- K.5 52.215-4 TYPE OF BUSINESS ORGANIZATION (OCT 1997)
The offeror or respondent, by checking the applicable box,.
represents-that--
(a) It operates as [ ] an individual, [ ] a partnership, [ ]
a nonprofit organization, [ ] a joint venture, or [ ] a corporation incorporated under the laws of the State of (b) If the offeror or respondent is a foreign entity, it operates as [ ] an individual, [ ] a partnership, [ ] a nonprofit organization, [ ] a joint venture, or [ ] a corporation, registered for business in (country) .
K-4 1
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i RES-99-046 Section K '
4 K,6 52.215-6' ~ PLACE OF' PERFORMANCE (OCT 1997)
(a) The offeror or respondent,'in the performance of any contract
' resulting from this solicitation, [ ] intends, [ ]'does not intend [ check applicable block) to use one or more plants or facilities located at a different address from the address of the offeror or respondent as indicated in this proposaloor response to request 1for information.
(b). If the offeror or respondent checks " intends" in paragraph (a) of this provision, it shall insert in the following spaces the required information:
Place of performance (street Name and address of owner and (street address, city, state, operator of the plant or facility
-$$$SI['S$ .....------.....----.. $$ $[ I $$.$ $[$[ S[_[$$$$$ $$$ 4 1
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i K.7 52.219-1 SMALL BUSINESS PROGRAM REPRESENTATIONS (OCT 1998)
(a) (1) The standard industrial classification (SIC) code for this acquisition is. ;
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(2) The small business size standard is .
(3) The small business size standard for a concern which submits an offer in its own name, other than on a construction or service contract, but which proposes to furnish a product which it did not itself manufacture, is 500 employees.
(b) Representations. (1) The offeror represents as part of its offer that it [] is, [] is not a small business concern.
-(2) (Complete,only if offeror represented itself as a small
~ business concern in paragraph (b) (1) of this provision.) The offeror represents, for general statistical purposes, that it [] is, []
is not, a small disadvantaged business concern as defined in 13 CFR .
l K-5 i
RES-99-046 Section K 124.1002.
(3) (Complete only if offeror re business concern in paragraph (b) (1) of presented itself as aThe this provision.) small offeror represents as part of its offer that it [ ] is, [] is not a women-owned small business concern.
(c) Definitions.
"Small business concern", as used in this provision, means a
. concern, including its affiliates, that is independently owned and operated, not dominant in the field of operation in which it.is
' bidding on Government contracts, and qualified as a small business under the criteria in 13 CFR Part 121 and the size standard in paragraph'(a) of this provision.
" Women-owned small business concern", as used in this provision, means a small business concern--
-(1) Which is at least 51 percent owned by one or more women or, in the case of any publicly owned business, at least 51 percent of the stock of which is owned by one or more women; and (2) Whose management and daily business operations are controlled by one or more women.
(d) Notice. (1) If this solicitation is for supplies and has been set aside, in whole or in part, for small business concerns, then the clause in this solicitation providing notice of the set-aside contains restrictions on the source of the end items to be ~
l furnished.
, (2) Under 15 U.S.C. 64 5 (d) , any person who misrepresents a i firm's status as a small or small disadvantaged business concern in order to obtain a contract to be awarded under the preference
, programs established pursuant to sections 8 (a) , 8(d), 9, or 15 of l the Small Business Act or any other provision of Federal law that i specifically references section 8(d) for a definition of program l eligibility, shall--
l (i) ' Be punished by imposition of fine, imprisonment, or both; l
(ii) Be subject to administrative remedies, inc-luding
. suspension and debarment; and l
(iii) Be ineligible for participation in programs conducted under the authority of the Act.
K.8 52.222-22 PREVIOUS CONTRACTS AND COMPLIANCE REPORTS (FEB 1999)
The offeror represents that-- .
K-6 l i
RES-99-046 Section K' (a) It- [ ] has, [] has not participated in a previous contract or subcontract subject to the Equal Opportunity clause of this solicitation; the clause originally contained in Section 310 of Executive Order No. 10925, or the clause contained in Section 201 of Executive Order No. 11114; 0a) It [] has, [] has not filed all required compliance reports; and (c) Representations indicating submission.of required compliance reports, signed by proposed subcontractors, will be obtained before subcontract' awards.
K.9 52.222-25 AFFIRMATIVE ACTION COMPLIANCE (APR 1984)
The offeror represents that--
(a) It [] has deyeloped and has on file, [] has not developed ~
and does not have on file, at each establishment, affirmative action programs required by the rules and regulations of the Secretary of Labor (41 CFR 60-1 and 60-2) , or (b) It [] has not previously had contracts subject to the written affirmative action programs requirement of the rules and regulations of the Secretary of Labor.
K.10 52.223-1 CLEAN AIR AND WATER CERTIFICATION (APR 1984) l The Offeror certifies that--
i (a) Any facility to be used in the performance of this proposed
! contract is [), 1s'not [] listed on the Environmental Protection
! Agency (EPA) List of Violating Facilities;
- 03) The Offeror will immediately notify the Contracting Officer, before award, of the receipt of any communication from the Administrator, or a designee, of the EPA, indicating that any facility that the Offeror proposes to use for the performance of the contract is under consideration to be listed on the (EPA) List of Violating Facilities; and (c) The Offeror will include a certification substantially the same as this certification, including this paragraph (c), in every nonexempt subcontract.
K-7
RES-99-046 ,
Section K K.11 52.227-15 REPREHENTATION OF LIMITED RIGHTS DATA AND RESTRICTED COMPUTER SOFTWARE -(JUN 1987)
(a) This solicitation sets forth the work to be performed if a contract award results, and the Government's known delivery requirements for data (as defined"in FAR 27.401). Any resulting contract may also provide the Government the option to order additional data under the Additional Data Requirements clause at 1 52.227-16 of the FAR, if included in the contract. Any data delivered under the resulting contract will be subject to the Rights in Data--General clause at 52.227-14 that is to be included in this contract. Under the latter clause, a Contractor may withhold from delivery data that qualify as limited rights data or restricted computer software, and deliver form, fit,.and function data in lieu thereof. The latter clause also may be used with its Alternates II and/or III to obtain delivery of limited rights data or restricted computer' software, marked with limited rights or restricted rights notices, as appropriate. In addition, tse of Alternate V with this latter clause provides the Government the right to inspect such data i at the Contractor's facility. {
(b) As an aid in determining the Government's need to include any of the aforementioned Alternates in the clause at 52.227-14, Rights in Data--General, the offeror's response te this solicitation shall, to the extent feasible, complete the representation in paragraph (b) j of this provision to either state that none of tne dsLa qualify as i limited rights data or restricted computer software, or identify which of the data qualifies as limited rights data or restr$cted computer software. Any identification of limited rights data or restricted computer software in the offeror's response is not I determinative of the status of such data should a contrac't be ;
, awarded to the offeror. l
! I l REPRESENTATION CONCERNING DATA RIGHTS
! Offeror has reviewed the requirements for the delivery of data or l software and states (offeror check appropria a block)--
i
[] None of the data proposed l l for fulfilling such requirements qualifies as limited rights data or restricted computer software.
[] Data proposed for fulfilling such requirements qualify as limited rights data or restricted computer software and are identified as follows:
K-8
RES-99-046 Section K WOTE: " Limited rights data" and " Restricted computer software" are defined in the contract clause entitled " Rights In Data-- General."
K.12 52.230-l' COST ACCOUNTING STANDARDS NOTICES AND CERTIFICATION -(APR 1998)
NOTE:
This notice does not apply to small businesses or foreign-governments.
This notice is in three parts, identified by Roman numerals I through III. ;
If the offeror Part II does not apply unles,is an educational institution,s the contemplated contract will be subject to full or modified CAS coverage pursuant to 48 CFR 9903.201-2 (c) (5) or 9903.201-2 (c) (6) , respectively.
Offerors shall examine each part and provide the requested information in order to determine Cost Accounting Standards (CAS) requirements applicable to any resultant contract.
I. DISCLOSURE STATEMENT-COST ACCOUNTING PRACTICES AND CERTIFICATION.
(a) Any. contract in excess of $500,000 resulting from this solicitation will be subject no the requirements of the Cost Accounting Standards Board (48 CFR Chapter 99) , except for those contracts which are exempt as specified in 48 CFR 9903.201-1.
(b) Any offeror submitting a proposal which, if accepted, will result in a contract subject to the requirements of 48 CFR, Chapter 99 must, as a condition of contracting, submit a Disclosure Statement as required by 48 CFR 9903.202. When required, the Disclosure' Statement must-be submitted as a part of the offeror's proposal under this solicitation unless the offeror has already submitted a Disclosure Statement disclosing the practices used in connection with the~ pricing of this proposal. If an applicable Disclosure Statement has already been submitted, the offeror may satisfy.the requirement for submission by providing the information requested in paragraph (c) of Part I of this provision.
CAUTION: In the absence of. specific regulations or agreement, a l practice disclosed in a Disclosure Statement shall not, by virtue of '
.such disclosure, be deemed to be a proper, approved, or agreed-to practice.for pricing proposals or accumulating and reporting contract. performance cost data.
(c). Check the appropriate box below:
I K-9
RES-99-046 Section K
[- ] (1) Certificate'of Concurrent Submission of Disclosure y- Statement. The offeror hereby certifies that, as a part of the offer,. copies of the-Disclosure Statement have been submitted as follows: (i) original and one copy to the cognizant Administrative Contracting Officer (ACO) or cognizant Federal agency official
- authorized to act in that capacity (Federal official), as applicable, and (ii) one copy to the cognizant Federal auditor.
(Disclosure must be'on Form No. CASB DS-1 or CASB DS-2, as applicable. Forms may be obtained from the cognizant ACO or Federal official and/or from the loose-leaf version of the Federal Acquisition Regulation.)
Date-of' Disclosure Statement:
Name and Address of Cognizant ACO or Federal Official Where Filed:
1 The offeror further certifies that the practices used in estimating costs in pricing this proposal are consistent with the l
cost accounting practices disclosed in the Disclosure Sta'tement.
.[ 1] . (2) Certificate of Previously Submitted Disclosure Statement. The offeror hereby certifies that the required Disclosure Statement was filed as follows:
l Date of Disclosure Statement:
l l Name and' Address of Cognizant ACO or Federal Official Where Filed:
1 The offeror'further certifies'that the practices used in estimating costs in pricing this proposal are consistent with the cost' accounting practices disclosed in the applicable Disclosure Statement.
[ ] (3) Certificate of Monetary Exemption. The offeror hereby certifies that the offeror, together with all divisions, subsidiaries, and affiliates under common control, did not receive net awards of negotiated prime contracts and subcontracts subject to CAS totaling more than $25 million (of which at least one award exceeded'$1.million) in the cost accounting period immediately preceding the period in which this proposal was submitted. The
. offeror further certifies that if.such status changes before an award resulting from this proposal, the offeror will advise the contracting Officer immediately.
K-10 l
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RES-99-046 Section K
(- ] '(4) Certificate-of Interim Exemption. The offeror hereby
- certifies that (i) the offeror first exceeded the monetary exemption
- for. disclosure, as defined in (3) of this subsection, in the cost accounting period immediately preceding the period in which this offer was submitted and (ii)rin accordance with 48 CFR 9902.202-1,
! :the offeror is not yet rewired to submit a Disclosure Statement.
The offeror further certifies that if an award resulting frcm this proposal has not been made within 90 days after.the end of that period,. the offeror will immediately submit a revised ::rtificate to the Contracting Officer, in the form specified under subparagraphs (c) (1) or (c) (2) of Part I of this-provision, as appropriate, to verify submission of a completed Disclosure Statement.
CAUTION: Offerors currently required to disclose because they were awarded a-CAS-covered prime contract or subcontract of $10 million or more in the current cost accounting period may not claim this exemption . (4) . Further, the exemption applies only in connection with proposals submitted before expiration of the 90 day period following the cost accounting period in which the monetary exemption was exceeded. ,
4 II. COST ACCOUNTING STANDARDS ELIGIBILITY FOR MODIFIED CONTRACT COVERAGE If the offeror is eligible to use the modified provisions of 48 ;
CFR subpart 9903.201-2(b) and elects to do so, the offeror shall J
' indicate by checking the box below. Checking the box below shall mean that the resultant contract is subject to the Disclosure and Consistency of-Cost Accounting Practices clause in lieu of the Cost Accounting Standards clause. .
[. ] The offeror hereby claims an exemption from the Cost Accounting Standards clause under the provisions of 48 CFR subpart 9903.201-2(b) and certifies that the offeror is eligible for use of the Disclosure and Consistency of Cost Accounting Practices clause because during the cost accounting period immediately preceding the period in which this proposal was submitted, the offeror received less than $25 million in awards of CAS-covered prime contracts and subcontracts, or the. offeror did not receive a single CAS-covered award exceeding $1 million. The offeror further certifies that if such status changes before an award resulting from this proposal, the offeror will advise the Contracting Officer immediately.
CAUTION: An offeror may not claim the above eligibility for modified contract coverage if this proposal is expected to result in the award of a CAS-covered contract of $25 million or more or if, during its current cost accounting period, the offeror has been awarded a single CAS-covered prime contract or subcontract of $25 million or more.
III ADDITIONAL COST ACCOUNTING STANDARDS APPLICABLE TO EXISTING CONTRACTS The offeror shall indicate below whether award of the contemplated contract would, in accordance with subparagraph (a) (3) of the Cost l K-11 i
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l' RES-99-046 Section K
[
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-Accounting Standards clause, require a change in established cost accounting practices affecting existing contracts and subcontracts. I g ~
l [ ] YES [ ] NO I
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K.13 2052.209-70 QUALIFICATIONS OF CONTRACT EMPLOYEES The offeror hereby certifies by submission of this offer that all representations made regarding its employees, proposed subcontractor personnel, and consultants are accurate.
K 14 2052.209-71 CURRENT /FORMER AGENCY EMPLOYEE INVOLVEMENT (a) The following representation is required by the NRC Acquisition Regulation 2009.105-70 (b) . It is not NRC policy to encourage offerors and contractors to propose current /former agency employees to perform work under NRC contracte, and as set forth in the above cited provision, the use of such e:nployees may, under certain conditions, adversely affect NRC's consideration of non-competitive proposals and task orders.
(b) The offeror hereby certifies that there [ ] are [ ] are no current /former NRC employees (including special Government employees performing services as experts, advisors, consultants, or meders of advisory committees) who have been or will be involved,-directly or indirectly, in developing the offer, or in negotiating on behalf of the offeror, or in managing, administering, or performing any contract, consultant agreement, or subcontract resulting from this offer. For each individual so identified, the Technical and Management proposal must contain, as a separate attachment, the name of the individual, the individual's title while employed by the NRC, i
the date individual left NRC, and brief description of the l individual's role under this proposal.
K.15 2052.209-72 CONTRACTOR 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 [ ] does not [ ] involve situations or relationships of the type set forth in 48 CFR 2009.570-3 (b) .
(a) If the representation, as completed, indicates that situations or relationships of the type set forth in 48 CFR 2009.570-3 (b) are involved, or the contracting officer otherwise determines that K-12 i
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Section K potential organizational conflicts of interest exist, the offeror shall provide a statement in writing which describes in a concise manner all relevant factors bearing on his representation to the contracting officer. If the contracting officer determines that orga:a.",ational conflicts exist, the following actions may be taken:
(1) Impose appropriate conditions which avoid such conflicts,
-(2) Disqualify the offeror, or (3) Determine that it is otherwise in the best interest of the United States to seek award of the contract under the waiver provisions of 48 CFR 2009-570-9.
-(b) The refusal to provide the representation required by 48 CFR 2009.570-4 (b) , or upon request of the contracting officer, the facts required by 48 CFR 2009.570-3 (b) , must result in disqualification of the offeror for award.
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E j RES-99-046 Section L l
SECTION L - INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS l
L.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY REFERENCE The following solicitation provisions pertinent to this section are hereby incorporated by reference (by Citation Number, Title, and Date) in accordance with the FAR provision at FAR "52.252-1 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE" in Section L of this solicitation. See FAR 52.252-1 for an internet address (if specified) for electronic access to the full text of a provision.
NUMBER TITLE DATE FEDERAL ACQUISITION REGULATION (4 8 CFR Chapter 1) 52.214-34 SUBMISSION OF OFFERS IN THE ENGLISH APR 1991 LANGUAGE 52.214-35 SUBMISSION OF OFFERS IN U.S. CURRENCY APR 1991 52.215-1 INSTRUCTIONS TO OFFERORS--COMPETITIVE OCT 1997 ACQUISITION ALTERNATE I'(OCT 1997) 52.215-16 FACILITIES CAPITAL COST OF MONEY OCT 1997 52.222-24 PREAWARD ON-SITE EQUAL OPPORTUNITY FEB 1999 COMPLIANCE EVALUATION L.2 52.204-6 DATA UNIVERSAL NUMBERING SYSTEM (DUNS) NUMBER (APR 1998)
(a) The offeror shall enter, in the block with its name and address on the cover page of its offer, the annotation " DUNS" followed by the DUNS number that identifies the offeror's name and I address exactly as stated in the offer. The DUNS number is a l nine-digit number assigned by Dun and Bradstreet Information Services.
(b) If the offeror does not have a DUNS number, it should contact I Dun and Bradstreet directly to obtain one. A DUNS number will be I provided immediately by telephone at no charge to the offeror. For information on obtaining a DUNS number, the offeror, if located within the United States, should call Dun and Bradstreet at 1-800-333-0505. The offeror should be prepared to provide the following information: -
(1) Company name, j i
(2) Company address. i I
(3) Company telephone number. l
! (4) Line of business. ;
'L-1 4
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p-RES-99-046- Section L (5)- Chief executive officer / key manager.
(6) Date the-company was started.
(7) Number of people employed by the company.
-(8) Company' affiliation.
(c) ' offerors located outside the United States may obtain the location and phone number of the local Dun and Bradstreet Information Services office from the Internet home page at http://www.dnb.com/. If an offeror is unable to locate a local service _ center, it may send an e-mail to Dun and Bradstreet at globalinfo@ mail.dnb.com.
L.3 52.215-20 REQUIREMENTS FOR COST OR PRICING DATA OR INFORMATION OTHER THAN COST OR PRICING DATA (OCT 1997)
(a) Exceptions from cost or pricing data. (1) In lieu of submitting cost or pricing data, offerors may submit a written request for excaption by submitting the information described in the following subparagraphs. The Contracting Officer may require additional supporting information, but only to the extent necessary to determine whether an exception should be granted, and whether the price is fair and reasonable.
(i) Identification of the law or regulation establi'shing the
-price offered. If the price is controlled under law by periodic rulings, reviews, or similar actions of a governmental body, attach a copy of the controlling document, unless it was previously submitted to the contracting office. l (ii) Commercial item exception. For a commercial item exception, the offeror shall submit, at a minimum, information on prices at which the same item or similar items have previously been sold in the commercial market that is adequate for evaluating the
- reasonableness of the price for this acquisition. Such information may include--
(A) For catalog items, a copy of or identification of the catalog and'its date, or the appropriate pages for the offered items, or a statement that the catalog is on file in the buying office to which the proposal is being submitted. Provide a copy or describe current discount policies and price lists (published or unpublished), e.g., wholesale, original equipment manufacturer, or reseller. Also explain the basis of each offered price and its relationship to the established catalog price, including how the proposed price relates to the price of recent sales in quantities similar to the proposed quantities;
-(B) For market-priced items, the source and date or period of the market quotation or other basis for market price, the base L-2 i
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RES-99-046 Section L amount, and applicable discounts. In addition, describe the nature of the market;
.(C) For items included on an active Federal Supply Service Multiple Award. Schedule contract, proof that an exception has been granted for the schedule item. -
(2) The offeror grants the Contracting Officer or an authorized representative the right to examine, at any time before award, books, records, documents, or other directly pertinent records to verify any request for an exception under this provision, and the reasonableness of price. For-items priced using catalog or market
. prices, or law or regulation, access does not extend to cost or profit information or other data relevant solely to the offeror's determination of the prices to be offered in the catalog or marketplace.
(b) Requirements.for cost or pricing data. If the offeror is not granted an exception from the requirement to submit cost or pricing data, the following applies:
(1) The offeror'shall prepare and submit cost or pricing data and supporting attachments in accordance with Table 15-2 of FAR 15.408.
(2) As soon as practicable after agreement on price, but before contract award (except for unpriced actions such as letter
' contracts), the offeror shall submit a Certificate of Current Cost or' Pricing Data, as prescribed by FAR 15.406-2.
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L.4 '52.216-1
- TYPE OF CONTRACT (AP'R 1984)
The Government contemplates award of a Cost Plus Fixed Fee contract.resulting from this solicitation.
L.5 52.219-22 SMALL DISADVANTAGED BUSINESS STATUS (OCT 1998) i (a) General. This provision is used to assess an offeror's small )
disadvantaged business status for the purpose of obtaining a benefit on this solicitation. Status as a small business and status as a small disadvantaged business for general statistical purposes is covered by the provision at FAR 52.219-1, Small Business Program Representation.
(b) Representations.
(1) General. The offeror represents, as part of its offer, that it is a small business under the size standard applicable to this J
acquisition; and either--
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RES-99-046 Section L
[] . (i) It hns received certification by the'Small Business Administration as a small disadvantaged business concern consistent with 13'CFR 124, Subpart B;,and.
(A) No material change in~ disadvantaged ownership and control
-has occurred since its certification; (B) Where the concern is owned by one or more disadvantaged individuals, the net worth of each individual upon whom-the certification is based does not exceed $750,000 after.taking into account the applicable exclusions set forth at 13 CFR 124.104 (c) (2) ;
and (C) It is listed, on the date of this representation, on the register of small disadvantaged business concerns maintained by the Small Business Administration; or '
() (ii) It has submitted a completed application to the Small Business Administration or a Private certifier to be certified as a {
small disadvantaged business concern in accordance with 13 CFR 124, l Subpart B, and a decision on that application is pending, and that no material change in disadvantaged ownership and control has occurred since its application was submitted.
(2) [ ]- For Joint Ventures. The offeror represents, as part of its offer, that it is a joint venture that complies with the
-requirements at 13 CFR 124.1002 (f) and that the representation in paragraph (b) (1) of this provision is accurate for the small disadvantaged business concern that is participating in the joint venture. [The offeror shall enter the name of the small disadvantaged business concern that is participating in the' joint venture: .]
(c) Penalties and Remedies. Anyone who misrepresents any aspects of the disadvantaged status of a concern for the purposes of securing a contract or subcontract shall:
(1) Be punished by imposition of a fine, imprisonment, or both; (2) Be subject to administrative remedies, including suspension and' debarment; and l
(3) Be ineligible for participation in programs conducted under l the authority of the Small Business Act.
L6 52.233-2 SERVICE OF PROTEST (AUG 1996) i (a) Protests, as defined in section 33.101 of the Federal Acquisition Regulation, that are filed directly with an agency, and copies of any protests that are filed with the General Accounting
' Office (GAO), shall be served on the Contracting Officer (addressed
~
as follows) by obtaining written and dated acknowledgment of re' t .
from:
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i RES-99-046 Section L Mary H. Mace
-Hand-Carried Address:
U.S. Nuclear Regulatory Commission Division of Contracts and Property Mgt.
Attn: T-7-I-2 11545 Rockville Pike Rockville MD 20852 Mailing Address:
U.S. Nuclear Regulatory Commission Division of Contracts'and Property Mgt.
Attn: T-7-I-2 11545 Rockville Pike Washington'DC 20555 (b) The copy of any protest shall be received in the office designated above within one day of filing a protest with the GAO.
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, L.7 52.252-1 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE (FEB'1998) ,
This solicitation incorporates one or more solicitation provisions 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. The' offeror is cautioned that the listed provisions may include blocks that must be completed by the offeror and submitted.with its guotation or offer. In lieu of submitting the full text of'those provisions, the offeror may identify the provision by paragraph identifier and provide the appropriate
'information with its quotation or offer. Also, the full text of a solicitation provision may be accessed electronically at this/these address (es) :
http:\\www.arnet. gov /far/
L ~. 8 2052.215-76 DISPOSITION OF PROPOSALS After award of the contract, one copy of each unsuccessful proposal ;
is retained by the NRC's Division of Contracts and Property Management in accordance with the General Records Schedule 3 (5) (b) .
Unless return of the additional copies of the proposals is requested
.by the offeror upon submission of proposal, all other copies will be dastroyed. This request should appear in a cover letter accompanying L-5 l
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-RES-9S-046 Section L
- the proposcl. j L.9 2052.216-70 LEVEL OF EFFORT The NRC's estimate of'the total effort for this project is approximately 16,600 hours0.00694 days <br />0.167 hours <br />9.920635e-4 weeks <br />2.283e-4 months <br /> professional and 2400 hours0.0278 days <br />0.667 hours <br />0.00397 weeks <br />9.132e-4 months <br /> of clerical staff-years for the duration of this contract. This information is advisory and is not to be considered as the sole basis for the development of the staffing plan. For the purposes of the Government estimate, 2000 hours0.0231 days <br />0.556 hours <br />0.00331 weeks <br />7.61e-4 months <br /> constitute a staff year.
I L.10 2052.222-70 NONDISCRIMINATION BECAUSE OF AGE It is the policy of the Executive Branch of the Government that:
(a) Contractors and subcontractors engaged in the performance of Federal contracts may not, in connection with the employment, advancement, or discharge of employees or in connection with the terms, conditions, or privileges of their employment, discriminate against persons because of their age except upon the basis of a bona fide occupational qualification, retirement plan, or statutory requirements; and (b) That contractors and subcontractors, or person acting on their behalf, may not specify, in solicitations or advertisements for employees to work on Government contracts, a maximum age limit for employment unless the specified maximum age limit is based upon a bona fide occupational qualification, retirement plan, or statutory I
requirement.
l L 11 ESTIMATED DURATION (JUN 1988)
The duration of the contract is estimated to be two years.
L.12 USE OF AUTOMATED CLEARING HOUSE (ACH) ELECTRONIC l PAYMENT / REMITTANCE ADDRESS The Debt Collection Improvement Act of 1996 requires that all Federal papents except IRS tax refunds be made by Electronic Funds Transfer. It is the policy of the Nuclear Regulatory Commission to pay government vendors by the Automated Clearing House (ACH) i electronic funds transfer payment system. Item 15C of the Standard I Form 33 may be disregarded. j L-6 l
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RES-99-046- Section L L.13 TIMELY RECEIPT OF PROPOSALS All hand-carried offers including those made by private.
' delivery services (e.g., Federal Express and Airborne Express) must be. delivered to the NRC loading dock security station located at 11545 Rockville Pike, Rockville, Maryland 20852 and received in the i depository located in Room T-7-I-2. All offerors shall allow extra -
time for internal mail distribution. NRC is a secure facility with perimeter access-control and NRC personnel are not available to receive hand-carried offers except during normal working hours, 7:30 AM - 3:30 PM, Monday through Friday, excluding federal holidays.
L.14 AWARD NOTIFICATION AND COMMITMENT OF PUBLIC FUNDS (a) All offerors.will receive preaward and postaward notices in accordance with FAR 15.503.
(b) It is also brought to your attention that the contracting officer is the only individual who can legally commit the NRC to the expenditure of public funds in connection with this procurement.
This means that unless provided in a contract document or specifically authorized by the contracting officer, NRC technical personnel may not issue contract modifications, give informal contractual commitments, or otherwise bind, commit, or obligate the NRC contractually. Informal contractual commitments include:
(1) Encouraging a potential contractor to incur costs prior to receiving a contract; (2) Requesting or requiring a contractor to make changes under a contract without formal contract modifications; (3) Encouraging a contractor to incur costs under a cost-reimbursable contract in excess of those costs contractually allowable; and (4) Committing the Government to a course of action with regard to a potential contract, contract change, claim, or dispute.
L.15 PROPOSAL PRESENTATION AND FORMAT (a) Information submitted in response to this solicitation must be typed, printed, or reproduced on letter-size paper and each copy must be legible. Offerors are hereby notified that all information provided including all resumes, must be accurate, truthful, and I complete to the best of the offeror's knowledge and belief. The Commission will rely upon all representations made by the offeror L-7 i
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RES-99-046 Section L both in the evaluation process and for the performance of the work by the offeror selected for award. The Commission may require the offeror to substantiate the credentials, education, and employment history of its employees, subcontractor personnel, and consultants, through submission of copies of transcripts, diplomas, licenses, etc.
(b) The offeror must submit the following material which will constitute its offer, as defined by FAR 2.101, in two separate and distinct parts at the date and time specified in Block 9 of the SF 33 for receipt of sealed offers.
(1) Part 1 -
Solicitation Package / Offer. Two (2) original signed copies of this solicitation package / offer. All applicable sections must be completed by the offeror.
(2) Part 2 - Cost Proposal. One (1) original and 3 copies of the " Cost Proposal."
(i) The cost proposal shall be submitted separately from the ]
Technical and Management Proposal and Supporting Documentation.
The cost proposal and spending plan shall be presented on a subtask basis and an overall integration of the costs and work plan shall be presented as well as the work breakdown structure.
(ii) The offeror's request for an exception to submitting cost or pricing data shall be made in accordance with FAR 52.215-20 (a). ,
(iii) If the contracting officer does not grant th'e offeror I i
en exception from the requirement to submit cost or pricing data, i the offeror's cost proposal shall conform with the reguirements of FAR 52.215-20(b). Cost information must include pertinent details sufficient to show the elements of cost upon which the total cost is predicted in accordance with Table 15-2 of FAR 15.408.
(iv) When the offeror's estimated cost for the proposed work exceeds $100,000 and the duration of the contract period exceeds six months, the offeror shall submit a contractor Spending Plan (CSP) as part of its cost proposal. Guidance for completing the CSP is attached.
(v) For any subcontract discussed under the Technical and Management Proposal, provide supporting documentation on the selection process, i.e. competitive vs. noncompetitive, and the cost evaluation.
(3) Part 3 - " Written Technical and Management Proposal and Supporting Documentation" . One (1) original and Three (3) copies.
(i) The written Technical and Management Proposal and Supporting Documentation may not contain any reference to cost.
Resource information, such as data concerning labor hours and categories, materials, subcontracts, travel, computer time, etc.,
must be included so that the offeror's understanding of the scope L-8
u RES-99-04G Section L of work may be evaluated.
(ii) The offeror shall submit in the written Technical and Management Proposal and Supporting Documentation full and complete information as set forth below to permit the Government to make a thorough evaluation and a sound determination that the proposed approach will have a reasonable likelihood of meeting the requirements and objectives of this procurement on schedule.
(iii) The written Technical Proposal and Supporting Documentation must be tailored to assure that all information reflects a one-to-one relationship to the evaluation criteria.
(iv) Statements which paraphrase the statement of work without communicating the specific approach proposed by the offeror, or statements to the effect that the offeror's understanding can or will comply with the statement of work may be construed as an indication of thc offeror's lack of understanding of the statement of work and objectives.
(v) Written Technical and Supporting Documentation Requirements
-- Inst ructions .
- 1. PERSONNEL QUALIFICATIONS / EXPERIENCE The offeror shall demonstrate that the key personnel and subcontractor / consultant (s) personnel is competent in the skills required to reach the goals and objectives of the Statement of Work.
The competency shall be demonstrated through a combination of education, training, and experience. The written supporting documentation shall include resumes in the format stated below of key personnel that state the academic qualifications, relevant training and experience, and the length and variety of experience in similar tasks. If subcontractors are proposed, the offeror shall provide this information to support the qualifications of the subcontractors.
The offeror shall identify all individuals, including backup personnel and subcontractor / consultant personnel, anticipated to perform this effort and shall provide resumes for each individual in accordance with the format outlined below. The resumes should be directed to the specific needs of the contract and not be general in nature. The offeror shall indicate the extent to which each individual will be available to perform this effort. Offerors shall indicate which proposed professional personnel will be key personnel subject to Section H.2, entitled " Key Personnel."
The offerors shall provide the following two pieces of information for each key personnel in the technical areas addressed in the STATEMENT OF WORK (ATTACHMENT 1) and in section C below entitled, j " UNDERSTANDING OF THE GOVERNMENTS REQUIREMENTS FOR DELIVERABLES AND MEETING SCHEDULES":
A. which proposed key personnel (personnel subject to Section H.2 Key Personnel) will be responsible for providing expertise for L-9
U RES-39-046 Section L that technical area.
B. references for publications by the key personnel listed in
- a. above which demonstrate his or her experience in that technical crea. The references shall include an author list, title, type of publication, publisher, date of publication and abstract. Upon request by the contracting Officer, offerors shall provide a complete copy of the publication (book, paper, report, etc.).
State personnel qualifications / experience and current capabilities in the following areas:
Knowledge and understanding of NRC Regulations, guidance and technical reviews dealing with the materials and equipment associated ~with nuclear facilities with specific knowledge on the kinds, physical forms, amounts, amounts of associated radioactivity on a nuclide-by-nuclide basis, industry practices and processes for scrap materials and surplus equipment in the U.S.,
Research experience in conducting radiological assessments for clearance and for cost / benefit analysis associated with potential clearance of materials and equipment, and radiological transport modeling relevant for clearance.
Experience in designing and applying a structured, auditable Quality Assurance and Quality Control Program for every stage of radiological assessments for clearance and for cost / benefit analysis. Stages include: definition and' bases for scenarios and models, mathematical formulatiens, spreadsheet development and calculaticns, presentation of results, and production of ,the reports including conformance with NRC NUREG style requirements.
Usage of data management storage and retrieval systems compatible with those used for NUREG-1640, namely, Wordperfect 6.1 or higher and Excel 97 or higher.
Experience with documenting the results both orally and in writing before critical audiences.
RESUME FORMAT
- a. Name and Title
- b. Name of Firm with which associated
- c. Years of Experience with this Firm and with other Firms
- d. ' Education - Degree (s)/ Year / Specialization
- e. Description of experience and qualifications relative to the effort described in Section C of this solicitation
- f. State whether the person proposed will fill a Key Personnel position'and indicate the percentage of time this person will commit to this effort.
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RES-99-046 Section L l
The offeror shall cescribe the composition of the proposed project
! team (s) to be assigned to this effort, and delineate the responsibilities of the team members inclusive of technical, l management, and administrative functions.
1 All designated contractor employees should be in the employ of the offeror or designated subcontractor (s) at the time of proposal submission. If any of the personnel are not employed by the offeror or proposed subcontractor at that time, firm written commitments assuring the availability of such individuals are to be included in the proposal.
Identify any former NRC employees that may be utilized in the performance of the contract including their NRC employment history.
- 2. PAST PERFORMANCE The offeror shall demonstrate the extent to which the proposed personnel have successfully completed timely, quality work of the same scope and complexity on past contracts to perform the effort as outlined in the SOW. ,
The offeror shall describe all corporate qualifications and experience in performing contracts, similar in size and scope to this procurement, over the past 3 years in the format outlined below. Provide a concise summary of the size and scope of the work conducted and a description of how that work demonstrates that the offeror has completed timely, quality work of the same scope and complexity as the work required by the SOW and the extent to which the necessary knowledge, experience and skills remain available within the organization.
l The NRC will contact the references provided and request they .
complete a survey questionnaire. This information will be used to I svaluate the degree of the offeror's success in past performance.
Contract No.: Name and address of Government / commercial entity:
Point of contact: Contracting Officer: Telephone number: Technical representative: Telephone number: Date contract awarded: Contract period of performance with extensions: Dollar value of the contract:
Dollar value of any contract modifications: Type of contract awarded: Brief description of the work:
- 3. UNDERSTANDING OF THE GOVERNMENT'S REQUIREMENT FOR DELIVERABLES AND MEETING SCHEDULES The offeror shall use the statement of work to discuss its overall technical capability and approach to perform the various tasks in the elements of the scope of work. This discussion should be as specific as appropriate and be organized to track with the RFP as appropriate.
The offeror shall demonstrate an understanding of the NRC staff needs in development of an estimate of inventories of potentially cleared materials and equipment, radiological assessments, and cost / benefit analyses.
L-11 1
m RES-99-046 Section L The offeror shall demonstrate that the data collection and analysis L. techniques are practical, sound, and. timely, and reflect both an awareness of' potential methodological and inferential problems and proposed solutions for resolving them.
The offeror shall describe plans for quality assurance and scheduling, and discuss problem resolution abilities available, to assure on-time delivery and approval of all required services under this contract.
The offeror shall demonstrate that the proposed work is based on high-quality databases'or such databases will be developed as necessary for'the work described in the RFP.
- 4. CORPORATE EXPERIENCE The offeror shall describe, in general terms, the resources and planning mechanisms that it has successfully used to perform similar technical assistance contracts to the satisfaction of the customer and on' schedule, and in particular, what the offeror proposes to ensure success in the performance of the proposed work.
In addition, the offeror shall describe its specific organization research experience and capabilities in the following areas:
The managerial ability to achieve delivery or performance requirements as demonstrated by the proposed use of management and other personnel resources, including subcontractors.
The administrative framework is satisfactory for maintain ~ing quality control over the required deliverables to the NRC and other contractors involved in this study.
Support facilities, resources and access to necessary data for applying and evaluation of inventory of potentially cleared materials and equipment, practices and processes applicable to clearance, Computer workstations, INTERNET access, graphic, and computer data management software and systems.
L.16 SUBMISSION OF QUESTIONS BY OFFERORS It shall be the obligation of the offeror to exercise due diligence to discover and to bring to the attention of the
' Contracting Officer at the earliest possible time, but prior to the closing-date, any ambiguities, discrepancies, inconsistencies, or conflicts between the statement of work and other documents attached hereto or' incorporated by reference herein. Formal communications such as reguests for clarification and/or information concerning this solicitation should be submitted in writing to the address listed.below:
U.S. Nuclear Regulatory Commission ATTN: Sharlene McCubbin, MS-T-7-I2 Washington, DC 20555 All written inquiries are requested within two weeks from the L-12
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RES-99-046 Section L E solicitation issuance date. The closing date will not be extended
'for the purpose of responding to offeror's questions received after that period of time.
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E RES-99-046 Section M SECTION M - EVALUATION FACTORS FOR AWARD I
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l M .1- 2052.215.84 CONTRACT AWARD AND EVALUATION OF PROPOSALS--TECHNICAL MORE IMPORTANT THAN COST (a) By use of numerical-and narrative' scoring techniques, proposals are evaluated against the evaluation factors specified in paragraph l (EVAL-PARA) ' below. These factors are listed in their relative order
~ of importance. Award.is made to the offeror:
(1) Whose proposal is-technically acceptable; (2) Whose technical / cost relationship is most advantageous to the Government; and j l
(3) Who is considered to be responsbile within the meaning of Federal Acquisition Regulation Part 9.1.
(b) Although cost is a factor in the evaluation of proposals, technical merit in the evaluation criteria set forth below is a more significant factor in the selection of a contractor. Further, to be selected for an award, the proposed cost must be realistic and reasonable.
(c) The Government may:
(1) Reject any or all offers if the action is in the public interest; (2) Accept other than the lowest offer; and (3) Waive informalities and minor irregularities in offers received.
(d) The Government may award a contract on the basis of initial offers received, without discussions. Therefore, each initial offer should contain the offeror's best terms from a cost or price and technical standpoints.
(e) A separate cost analysis is performed on each cost proposal. To provide a common base for evaluation of cost proposals, the level of effort data must be expressed in staff hours. Where a Contractor Spending Plan (CSP) is required by other provisions of this solicitation, consideration is given to the Plan for completeness, reasonableness, and as a measure of effective management of the effort.
(f).In' making the above determination, an analysis is performed by the Government that takes into consideration the results of the technical evaluation and cost analysis.
M-1 i
rw-RES-99-046 Section M M.2 EVALUATION CRITERIA
- 1. PERSONNEL QUALIFICATIONS / EXPERIENCE (35)
Extent to which the Offeror demonstrates that the proposed personnel possess the required qualifications and experience to perform the work described in Section C of this solicitation, including, as a minimum the specific information necessary to address the Personnel Qaalification Requirements described in Section L. The extent to which the offeror ensures the availability of qualified personnel and project teams to perform the work required by Section C.
- 2. PAST PERFORMANCE (35)
Extent to which the Offeror demonstrates successful performance on past contracts for work similar to that described in Section C of this solicitation and the extent to which the necessary knowledge, experience and skills remain available within the organization.
- 3. UNDERSTANDING OF THE GOVERNMENT'S REQUIREMENT FOR DELIVERABLES AND MEETING SCHEDULES (20)
Degree to which the offeror demonstrates an understanding of the required tasks and deliverables described in Section C of this solicitation and can meet or exceed deliverable schedules. The extent to which the offeror demonstrates a coherent plan to accomplish the contract requirements, resolve problems, assure quality deliverables, and meets achedules. As a minimum, the offeror shall address the specific information necessary to address Technical Appro,ach described in Section L.
- 4. CORPORATE EXPERIENCE (10)
Extent to which the offeror and its principal subcontractors have resources and planning mechanisms, sufficient managerial support, personnel resources, administrative control of quality control, and facilities and equipment to achieve deliverable and performance requirements on schedule. This criterion shall be evaluated in comparison to past contracts for work similar tc that described in Section C of this solicitation, including manage ment of the spending on a subtask basis and providing sufficient planning and resources to meet schedules.
TOTAL WEIGHT: 100 POINTS i
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,v ATTACHMENT 1 STATEMENT OF WORK RES-99-046 TITLE: TECHNICAL ASSISTANCE SUPPORT FOR CLEARANCE OF MATERIALS AND EQUIPMENT -
- 1. INTRCOUCTION 7 The technical basis for conducting a rulemaking on clearance is incomplete, and this statement of work is designed to provide technical assistance for the remaining technical information on collective dose an J some related costs as required by the Commission for
. their consideration of regulatory altematives in the matter of clearance.
II. BACKGROUND The Commissio'n, in an Staff Requirements Memorandum (SRM) dated June 30,1998, directed the NRC staff to proceed with rulemaking on clearance of materials and equipment having residual radioactivity. Specific directions regarding the content of a clearance rule contained in the SRM are that: (1) it will not be a detectability standard but will instead be a dose-based regulation focusing on codified clearance levels above background for unrestricted use that are adequately protective of public health and safety'; (2) it will base standards on realistic scenarios of health effects from low doses; and (3) it will be a comprehensive rule applicable to all metals, equipment, and materials, including soil, unless a narrower scope is justified based on problems with
, applying the rule to certain categories of materials that could delay completing the rulemaking. The SRM also includes direction concerning the conduct of the rulemaking process, specifically that it will include an enhanced participatory rulemaking process
- similar to the 10 CFR Part 35 revision process to solicit early public input on the major issues of the rulemaking.
A substantial portion of the technical assistance already has been started with the ,
, preparation of the draft, " Recycle / Reuse Literature Search Report" SAIC , December l 1998, and the Draft NUREG-1640, Volumes 1 and 2," Radiological Assessments for Clearance of Equipment and Materials from Nuclear Facilities," February 1999. The latter report established dose assessments for individuals in a broad spectrum of j scenarios. The scenarios were designed to cover the probable fates of iron and steel, copper, aluminum, concrete ano equipment for reuse , and equipment for reuse were they to enter the general stream of U.S. commerce from a nuclear facility. 'These scenarios were also designed to reveal the critical group of individuals-the homogeneous group of individuals reasonably likely to receive the highest dese.
'Using input from an Intemational Atomic Energy Agency interim report, frcm analyses
' by the NRC's technical assistance contractor (s) and from ongoing practice with regard to NORM and NARM. 1 i
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l RES-99-046 j Yet to be established are the collective doses for these same materials and for the scenarios already established for individual dose. In addition to the scenarios already ]
established, there may be significant potential population doses from additional scenarios-scenarios that were not candidates for identifying the critical group. The Commission requested that the rulemaking be comprehensively applicable to all ,
materials. Thus, the feasibility and timing of this approach needs to be evaluated. The radiological assessment for clearance of other materials may be required.
Further, the amounts (tonnes) of materials and equipment and the kinds and amounts (Bq) of radioactivity associated with the various grades of scrap need to be established in relationship to the potential regulatory attematives for clearance (pSv/a). This information is required to both calculate collective doses and to estimate the cost trade-offs of regulatory alternatives. Hence, it is most effective and efficient for the same !
contractor to evabate the generic technical basis for both the collective doses and cost impacts of regulatory attematives. Collective doses and cost impacts are required for the development of the Generic Environmental Impact Statement (GEIS) and the Regulatory Analysis (RA) under development by the NRC staff with technical assistance from a j centractor distinct from the award of the contract solicited by this Statement of Work. l Therefore, the contractor awarded the contract for this Statement of Work can !
reasonably expect to require from time to time clarification of the context and appror5 I of work by others under a separate contract in the development of the GEIS and RA.
Ill. OBJECTIVEi The objective of the work described herein is to provide the remaining necessary technical assistance for both individual and collective dose assessments and specified cost impacts of potential regulatory altematives for the clearance of raaterials and ,
equipment with sufficient quality, defensibility, and quantity to support an NRC clearance rulemaking. Soils are specifically excluded from analysis as a material for clearance in this contract, because it will be addressed separately by NRC staff. Specific design objectives of the work are described below in Scope of Work.
IV. SCOPE OF WORK
- 1. . Broad overview of work to provide analyses and technical assistance The scope of work is categorized into three general, but inter-related concepts:
Inventorv-both of the kinds and amounts of scrap and equipment that can be potentially cleared, and the kinds and amounts of radioactivity associated with the potential!y cleared materials, and further, the potential for build-up of radioactivity in materials; Dose Assessment-collective doses for the 79 scenarios already analyzed, individual and collective doses for new scenarios, and multiple sources; and Costs-the characterization of the inventory is a direct input for estimating the associated costs of disposal, transportation, etc.
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l Design objectives for analyses The list of regulatory alternatives in terms of individual dose is, for the purposes of the analyses in this contract: 100 pSv/a (10 mrem /y),10 pSv/a (1 mrem /y) , and 1 pSv/a (0.1 mrem /y), and no regulatory change. The methods used to assess doses generally i can only distinguish between regulatory alternatives that differ by orders of magnitude I due to uncertainties in assessing doses, thus analyses of intermediate doses would not l provide meaningful, additionalinformation. The " Regulatory Analysis Guidelines of the U.S. Regulatory Commission" states that alternatives can be eliminated on the basis "such factors as (1) clearly exorbitant impacts in relation to values, (2) technological l impracticality, or (3) severe implementation difficulties." [See NUREG/BR-0058, Revision l 2, pg.18, first full paragraph.]
Analyses shall include complete descripti:A 1 rationales as part of the technical asssistance to s'upport a rulemaking on cle. % e of materials and equipment.
Complete descriptions include scenarios, m%em, intermediate results such as material flow in by-products, dose factors from the respective exposure pathways, and associated uncertainties. Technical assistance shall include clarification of analyses and rationales i by telephone conversations, meetings, and written communications. Specifically:
1.1 Provide the NRC Project Officer with reports of analyses specified by their respective i design objectives under item 2. below.
l l 1.2 At the NRC Project Officer's request, provide up to three each, two-day briefings at NRC [
headquarters on the status of the analyses under Meetinas and Travel Reauirements below. L, J 5.1 1.3 At the NRC Project Officer's request, provide up to three each, one-week project reviews l at the central workplace of the contractor. These meetings shall be open to the public and the NRC Project Officer may invite technical experts from various interests to participate in the technical dialogue at their own or NRC expense.L J5.2 i
l PART 1. INVENTORY 2 DESIGN OBJEC7IVES FOR THE KINDS AND AMOUNTS OF RADIOACTIVITY ASSOCIATED WITH THE KINDS AND AMOUNTS OF POTENTIALLY CLEARED l MATERIALS AND EQUIPMENT Assessments of both the potential collective dose and the potential costs and benefits of a clearance rule depend on estimates of the amounts and kinds of radioactivity (how I much of what nuclides) are applicable to a particular scenario and the amounts and kinds of materials and equipment potentially associated with that radioactivity. An -
accurate analysis of either the collective dose or the costs and benefits is not possible by simply associating the total number of Becquerels of a radionuclide with the total l Page 3 of 21 l
I RES[99-046 estimated tonnage or volume of a material, The application of a particular scenario depends on whether a particular kind of scrap likely would be used, and if so, how much is available. Similarly, the value of scrap or the costs for its disposal depends on its form, quality, quantity, and volume. In short, details are required and those data relate collective dose and costs.
2.1 The contractor sha!! submit a letter rcport based on the review of available written sources of information of the amount and kinds of radionuclides associated with potentially cleared materials and equipment. The contractor shall consult the draft,
" Recycle / Reuse Literature Search Report," SAIC, December 1998, and Recycle / Reuse Literature Search and the EPA Cost Benefit Ana!ysis (CBA) on this topic. (See:
http://www.eoa.aov/ radiation /cleanmetals/scraooub.htm#cba ) The report shall take into account the quality and type of scrap its tonnage and the kinds and amounts of radioactivity that is associated with each category as appropriate for the dose assessments and costs estimates analyses below [2.1 - 2.5]. The contractor shall collect data of sufficient quality to use in the cost / benefit analyses as well as in calculating the collective doses. Also, the quality and format of this letter report must be readily usable by others under separate contract for the full cost benefit analysis. The collection of data shall give priority to sources of information on materials and equipment with the potential for clearance by NRC and Agreement State licensees. To the extent that radioactivity associated with materials and equipment qualifiable for clearanca from other generators, such as DOE, other industries, and imports affect the cost /bensfit analysis, other sources of data shall be consulted and used as appropriate for the objectives of the analysis.
(See Section 2.5.1.2 .4.)P 1 2.5.1.5 2.1.1 The contractor shall, in a second letter report, identify needed data that are not readily obtairiable from the written sources reviewed in 2.1 above. The identification of @ta needs shall identify the critical or significant roles of those data in the analyses, ,
approach for obtaining the data, a rough estimate of the level of effort required tb get the data, and any additional costs of obtaining the data on the schedule for completion.
Also, the quality and format of this letter report must be readily usable by others under
. separate contract for the full cost benefit analysis.
2.1.2 The contractor shall, after the written approval and direction of the NRC Project Officer,
, obtain the needed data. Up to five trips to collect data and information shall be allowed.
6.1 2.1.3 The contractor shall prepare a draft summary report describing the work and results in 2.1 and 2.1.1.2 above including references; after a QC review the contractor shall then submit the draft report for a parallel review by the peer reviewer (s) and the NRC Project Officer. The contractor shall then resolve the comments from the first round of reviews and submit a detailed report for publication as a Draft NUREG/CR for public review and cc m m ent. 4.3 Page 4 of 21
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RES-99-046 2.2 DESIGN OBJECTIVES FOR THE ANALYSIS OF THE BUILD-UP OF RADIOACTIVITY IN MATERIALS FOUND IN GENERAL COMMERCE THATIS ATTRIBUTABLE TO CLEARANCE This analysis will require a great deal of prognostication with compounding uncertainties and is divided into parts to separate the contributions of the uncertainties: establishment of baseline levels of nuclides in materials; the projected contribution of changing international trade and domestic trade practices to changing baseline levels; the potential contribution of clearance of materials from NRC licensees; the potential contributions of clearance of materials from federal facilities (DOE, DOD, etc.); the potential contributions due to entry into general commerce of radioactively contaminated materials from other domestic sources (e.g., oil and gas industries), and the potential contributions from-adoption of international clearance levels (e.g., European Community, IAEA).
2.2.1 NORM and NARM Practices: The contractor shall review and summarize in a letter report available literature on actual practices directly applicable to the release of NORM and NARM into the general commerce of materials and equipment. To the extent that the information is available, the report shall include brief descriptions complete with citations of the practice, the nuclides, the individual dose distributions, the collective dose distributions, and associated uncertainties. A summary table with the above listed information shall be in the report. The table shall also indicate explicitly where information is not readily available. This information shall be used as the NORM and NARM input for estimates of the baseline rate of radioactivity entering general commerce due to industry practices (See 2.2.4.3). This work is responsive to the Commission's direction and is different from Section 2.2.4.3, below in that some of the NORM and NARM practices are licensed by the NRC or Agreement States and others are not.
Conversely, Section 2.2.4.3 assumes that clearance levels adopted by the NRC are also adopted by industry. Further, Section 2.2.4.3 can include, in concept, nuclides that are neither NORM nor NARM, e.g., Cs-137 in wood ash. The report shall draw from industry reports, trade journals, society journals, among others, and specifically from NCRP Report No. 95, " Radiation exposure of the U.S. Population from Consumer Products and Miscellaneous Sources,"" Risk Assessment of Exposure to Radon in Drinking Water" NAS 1998," Evaluation of Guidelines for Exposures to Technologically Enhanced !
Naturaly Occurring Radioactive Materials," National Research Council,1999, Federal i Register 53: 13459-75, March 19,1998, on 40 CFR Part 302.6 and 355.40, "1996 Buy- l Recycled Series: Construction Products," EPA 530-F-96-020, August 1996, and <
Superfund guidance on NORM in soil clean-up [See http://www.eoa aov/superfund/ resources / soil / cleanup.htm. ].L,,,,,,J4.4 1
2.2.2 Baseline radioactivity in materials in general U.S. commerce with current clearance practices: The contractor shall identify sources of information that report, in a technically reproducible and accurate manner, the current levels of radioactivity in general U.S.
commerce for ferrous metals, aluminum, copper, concrete and equipment for reuse and Page 5 of 21
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l l RES-99-046 for the radionuclides analyzed in the Draft NUREG-1640. In a letter report, the contractor shall summarize the available data, estimate the uncertainty of each reported i
level, and list in table format which data are and are not available.
2.2.2.1 In a separate letter report, the contractor shall provide the approach and resu!ts of a feasibility study on making measurements of ferrous metals, aluminum, copper, and concrete to establish current levels for radioactivity in general U.S.
cornmerce for a nuclides reported in the Draft NUREG-1640. Information sources and citations shall be reported and complete to enable independent consultation of the source.
2.2.2,2 After review and comment of the letter report generated in 2.2.2.1 above and as directed by the NRC Project Officer, the contractor shall characterize the baseline levels of radioactivity for up to ten nuclides in each of five samples in ferrous metals, aluminum, copper, and concrete (up to 200 analyses). The NRC Project Officer will provide the detailed design objectives for those analyses at that time.
In general, the design objectives will require technical defensibility with respect to both the measurements and the representativeness. The contractor shall report l in NUREGICR format the results of the work performed in 2.2.2 and 2.2.2.1.2 along with the methods and results of the analyses performed in this sub-task.
Information sources and citations shall be reported and complete to enable independent consultation of the source.U4.5 .
2.2.3 Estimated build-up of radioactivity in materials in general commerce due to dose-based clearance levels:
2.2.3.1 Attributable to NRC and Aareement State Licensees _: The contractor shallin a letter report use the information used to estimate the kinds and amounts of radioactivity and kinds and amounts of scrap and equipment with a potential for clearance to estimate the build-up of radioactivity in ferrous metals, aluminum, copper and concrete materials and equipment due to implementation of a clearance rule by NRC and Agreement State licensees for each alternative specified in Section 1. above. Additionalinformation sources and citations shall be complete and reported to enable independent consultation of the source. The background information, methods, and results shall be submitted for publication as a NUREG.
2.2.3.2 Attributable to Federal Facilities: The contractor shall in a letter report estimate the build-up of radioactivity in ferrous metals, aluminum, copper and concrete materials due to implementation of alternative clearance rules by Federal facilities, such as those of DOE and DOD, at the same levels as specified in 1.
above. Additionalinformation sources and citations shall be reported and complete to enable independent consultation of the source. The background information, methods, and results shall be submitted for publication as a NUREG.
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l l RES-99-046 2.2.3.3 Attributable to other Domestic Generators: The contractor shall in a letter report estirnate the build-up of radioactivity in ferrous metals, aluminum, copper and concrete materials due to implementation of alternative clearance rules by non-Federal domestic generators not accounted for in 2.2.4.1 and 2.2.4.2 above, such as from industries (e.g., oil and gas, paper, gypsum), at the same levels as specified in 1. above. Additionalinformation sources and citations shall be reported and complete to enable independent consultation of the soulce. The background information, methods, and results shall be submitted for publication as a NUREG.
2.2.3.4 Attributable to Foreian Trade: The contractor shall in a letter report estimate the build-up of radioactivity in ferrous metals, aluminum, copper and concrete l materials due to implementation of alternative clearance rules by foreign trade, {
at the same levels as specified in 1. above. Information sources and citations shall be~ reported and complete to enable independent consultation of the source.
The contractor shall in the same letter report as a part of the baseline information l
(no regulatory change) summarize the current information available on the current ratu >f introduction of radioactivity into materials and equipment in the l U.S. general commerce, for example, from the trade of radioactively I contaminatea metals from foreign countries, including the former Soviet Union, and accidental melting of sealed sources. In the same letter report, the contractor shall estimate the effects on the baselines of radioactive concentrations from no further entry of radionuclides, continued entry at the current rates, both planned and accidental, and as an increased entry as a pulse over a relatively short time (e.g., ten years). Information sources and citations shall be reported and complete to enable independent consultation of the source.
4.6 2.2.3.5 The background information, methods, and results for Sections 2.2.3.1.4 above shall be combined in a unified written report and submitted for publication as a Draft NUREG/CR for public review and comment. 4.7 PART 2. DOSE ASSESSMENTS 2.3 DESIGN OBJECTIVES FOR COLLECTIVE DOSE CALCULATIONS:
Definition: Collective dose is defined for the purposes of this work as the product of the annual individual dose for a scenario and the number of people exposed in that scenario, i.e., (scenario dose factor) x (activity concentration in cleared material or equipment for the scenario) x (number of people exposed in the scenario), summed over all reasonable scenarios that apply to clearance of that material or equipment.
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RES-99-046 Regulatory use: Where uncertainties are small enough to provide value in risk assessment, collective dose will be used among other socio-economic factors to evaluate the costs and benefits of regulatory alternatives for clearance. (NCRP 121 Recommendation 1)
Decision to be made: Taking socio-economic factors into account, what are the optimum trade-offs in terms of collective dose and individual dose at various regulatory attematives for clearance levels? [See principles described in IAEA-TECDOC-987 Appendix II.] There are prima facie socio-economic factors that directly affect the additional analyses needed.
Demographic projections used in collective doses shall be calculated for only a few decades into the future as appropriate for the scenario (NCRP 121, Section 4.2.2.1). As a reference value, demographt rs typically will not make projections of populations more l
i than a quarter of a century.
Populations in scenarios shall be well characterized with respect to number, age, .
L location, and gender distributions, including objective or subjective uncertainties and the bases for using the values. ,
Data needed for collective dose calculations: 1) Probability distributions for the activity concentrations in materials and equipment; 2) Probability distributions for the -
i surface to mass ratios in materials and equipment; 3) Probability distributions for the
, number of people exposed in on a scenario-by-scenario basis l
2.3.1 Design objectives using existing scenarios: The contractor shall submit the report on collective doses arising from the Draft NUREG-1640 scenarios in an acceptable format for publication as a Draft NUREG/CR for public review and comment. The contractor shall use the scenarios and dose factors in the Draft NUREG-1640, [all 79 candidate scenarios that were used to identify the critical groups) as a basis to calculate and report an estimate of collective doses associated with the clearance of ferrous metals, copper, aluminum, concrete and equipment for reuse as addressed in the~ Draft NUREG-1640.
The report shall include the incremental information used in the calculations, including:
background information and data, references, mathematical formulations, rationales for parameter selections, and results in a manner consistent with the style and format of the Draft NUREG-1640. Basic design objectives listed below shall apply to all calculations and repoas.
' The calculauons shall be designed to be:
(a) realistic, i.e., based on current conditions, i.e., current industrial and societal conditions and no regulatory change with respect to clearance, and address collective dose based on regulatory alternatives of individual doses to the average member of the critical group equal to 100 pSv/a,10 pSv/a and 1 pSv/a, and no regulatory change; Page 8 of 21
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l RES-99-046 l (b) calculated with a formal probabilistic approach; and 1
-(c) reported as means with 5,50, and 95* percentiles.
(d) probabilistically calculated dose factors for each significant pathway in each scenario shall be reported in the NUREG.
Sensitivity analyses shall be performed to indicate which input factors are most important with respect to uncertainty with the objective to indicate where specific research or data collection would be most effective in reducing uncertainty, if for the scenarios included in the collective dose calculations, the individual doses span several orders of magnitude, the corresponding collective dose calculations shall be grouped into ranges according to the individual doses, each covering no more than two or three orders of magnitude, with the population size, mean individual dose, collective dose and uncertainty being considered separately for each range. (NCRP 121
. Recommendation 7)
If the uncertainty in the number of individuals in the scenario population used to calculate collective dose is an order of magnitude or more, the collective dose calculations should be segregated from the less uncertain calculations and grouped by relative uncertainty.
(NCRP 121 Recommendation 3). 4.8 2.3.2 Design objectives for additional scenarios on collective dose from ferrous metals, AI, Cu, and concrete: Since the scenarios in the Draft NUREG-1640 were designed to identify the critical group from likely candidates groups, the scenarios were picked as
~
likely to have the highest annual dose to an individual. The scenarios in the Draft NUREG-1640 are intended to represent the entire collection of persons who would be in closest contact and for the longest times with the processes likely to occur after clearance. Thus, the greatest individual contributions to collective dose are expected to arise from the Draft NUREG-1640 scenarios. However, there may be other reasonable scenarios that could result in significant contributions to collective dose because of the large number of people exposed, even though there is a relatively small individual dose.
In general, scenarios are not useful, and thus should not be included, if they either have such great uncertainty that the 95* percentile confidence interval used includes zero dose or if the contribution of the scenario to the overall collective dose would not change j the decision to be made. NCRP Report No.121," Principles and Application of Collective 1 Dose in Radiation Protection," provides guidance: " Collective dose should be used for risk assessment only if both of these components ((1) the exposed population, and (2) the radiation dose to its members] are very well characterized, /.e., only then can the uncertainties in the calculated collective dose be small enough to trake the calculation of value." [ boldface italics are in original; See Section 4.2)
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RES-99-046 Specific design objectives for collective dose calculations for additional scenarios 2.3.2.1 The contractor shall submit for approval by the NRC Project Officer a list and brief description of no more than twenty scenarios and the models proposed for calculation of additional scenario collective doses. The list shall provide the rationale for candidate additional scenarios (e.g., use of small tools) to calculate collective doses from ferrous metals, Al, Cu, concrete, and equipment, taking into account the guidance in 2.3.1 above. The contractor shall consider more common operations and practices that fit the design objectives for collective dose, i.e., where identification of the critical group is not the objective, in proposing the analysis of new scenarios. (See the characterization of steel mills in Appendix A. of the NCRP peer review report of the EPA Technical Support Document.) Additional scenarios associated with continuous casting of steel and sale of scrap by the generator to a radioactive waste broker are required.
Similarly, the list shall include scenarios that were specifically excluded and the rationale for exclusion. Upon approval and direction from the NRC Project Officer, the contractor shall proceed with the analyses for inclusion in the report.
2.3.2.2 As directed by the NRC Project Officer, the contractor shall calculate individual dose factors and collective doses for up to ten additional scenarios and shall describe the scenarios, models, calculational approach, and results in the same manner as those in the Draft NUREG-1640. .
2.3.2.3 The contractor shall re-examine the materials flow for steel refining with respect to the mass and partitioning of radionuclides in mill scale and its by-products and in process water. The description of the re-examination and its results shall be described in a letter report.
2.3.2.4 The contractor shall describe in a letter report considerations and rationales, including realistic assessments of individual dose factors and collective dose factors, of up to three potential accidents with cleared materials or equipment where calculated doses from hypothetical accidents that at the outset appear to have the potential to result in dose factors greater than thdse in non-accident l scenarios. Accident scenarios involving a fire in a scrap yard or a crash of a scrap transporter appear to be candidate accident scenarios. (See Table S-4 10CFR51.52.] If no such scenarios can be identified, then the contractor shall ,
report the rationale for such a conclusion in the letter report.
]
2.3.2.5 The contractor shall evaluate the potential for a significant dose (TEDE) contribution due to the migration of contamination to the surface of materials and equipment. The contractor shall report the findings of a literature search on the migration rates of radionuclides in the materials studied in these analyses in a letter report. The letter report shall also provide the calculations and their bases for estimates of the incrementalincrease of the dose factor due to the migration phenomenon, if the data in citable sources are of sufficient quality and quantity to Page 10 of 21
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RES-99-046 use. The calculations may be bounding calculations, if the incremental
, contributions are less than a twenty percent increase of the TEDE dose factor for the scenario, incremental contributions greater than a twenty percent increase L shall be calculated probabilistically and summed in the TEDE dose factors for j those scenarios. J 1
- j. 2.3.2.6 The contractor shall compile, describe and report the work done under 2.3.2.1 .5 l . above in a Draft NUREG/CR for public review and comment. 4.g l 2.3.3 Design objectives for a user's manual on spreadsheet use for customized
! calculations: The contractor shall submit for publication as a NUREGICR a manual for l the benefit of the NRC staff on the structure of the Excel spreadsheets used in the Draft j L NUREG-1640 and in this contract, and how they can be manipulated to calculate l' customized calculations. Dec.coption of the spreadsheet structure shall be detailed i enough to facilitate implementation in other spreadsheet software and future versions of l Excel. The manual shall not be a duplication of the general user's manual for the spreadsheet that is provided with the software, rather it should be designed to sur>plement the Microsoft user's manual to apply specifically to the spreadsheets used for these calculations. " 4.10 l
l 2.3.4 Design objectives for assessing exposure of individuals from multiple sources:
l
, Exposure of individuals to multiple sources is a matter of conditional probability. This is a !
I l conditional probability problem. An estimate of the probability of an individual exposed by a scenario is the estimated number of persons exposed in the scenario divided by the l
! total potential number of persons who could be exposed. Assuming the scenarios are j independent mathematically, the probability of multiple source exposure is simply the l product of the component probabilities.. Exposures to multiple materials as well as multiple exposures to the same cleared material shall be considered. The individual l dose from multiple ' sources is the sum of the doses from distinctly separate sources.
l l Data needed for exposure of individuals from multiple sources: Probability '
distribution characterizing the probability that the scenario will occur for each of the
- scenarios analyzed l
2.3.4.1 The contractor shall provide to the NRC Project Officer a list and brief description of up to five, realistic, potential multiple-source scenarios and the rationales, including their relative probability of occurrence, for their selection that could lead
, . to the largest cumulative individual or collective doses as a result of clearance.
2.3.4.2 As directed by the NRC Project Officer, the contractor shall submit a report for publication as a Draft NUREG/CR for public review and comment, complete with QC and peer review, that describes the scenarios, models and the estimated -
cumulative dose factors from multiple sources and their probability of occurrence.
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RES-99-046 The analysis should use a probabilistic approach, starting with the mean individual dose factors and their uncertainties calculated in the Draft NUREG-1640. 4.11 2.4 DESIGN OBJECTIVES FOR CLEARANCE DOSE ASSESSMENTS OF ADDITIONAL MATERIALS 2.4.1 Various rubbles and sediments-As directed by the NRC Project Officer, the contractor shall analyze up to cix individur and six collective doses from clearance scenarios for various rubbles or sediments such as gravel, asphalt paving, roofing materials, sludges, resins, and sediments. The design objectives shall be adapted to be consistent with those in the Draft NUREG-1640 for individual doses and as stated above under item 2.3.1 for collective doses. The contractor shall report the results of these evaluations complete with scenarios, models, calculations, and results suitable for publication as a Draft NUREG/CR for public review and comment. complete with QC and peer review, companion report of the Draft NUREG-1640. 4.12 2.4.2 Other materials-As directed by the NRC Project Officer, the contractor shall analyze up to five individual and five collective doses from clearance scenarios for various other materials such as lead, glass, wood, paper, and plastic. The design objectives shall be adapted to be consistent with those in the Draft NUREG-1640 for individual doses and as stated above under item 2.3.1 for collective doses. The contractor shall report the results of these evaluations complete with scenarios, models, calculations, results suitable for publication as a Draft NUREG/CR for public review and comment, complete with QC and peer review companion report of the Draft NUREG-1640.Q4.13 i
PART 3. COSTS 2.5 DESIGN OBJECTIVES FOR TECHNICAL ASSISTANCE TO SUPPORT A REGULATORY ANALYSIS AND A GENERIC ENVIRONMENTAL IMPACT '
STATEMENT }
l
. Principles and general requirements: The justification principle of radiation protection !
requires, by inference, that a rulemaking result in a net benefit taking socio-economic factors into account. The optimization principle requires that the benefit be optimized with respect to cost and again taking socio-economic factors into account. [See Intemational Basic Safety Standards for Protection against lonizing Radiation and for the Safety of Radiation Sources, IAEA Safety Series No.115, pp. 22-23,1996.] These principles are ir.corporated in the administrative requirements for rulemaking in the NEPA requirement to prepare an environmental impact statement (EIS) and in the NRC l policy to perform regulatory analyses (RA), in the spirit of President Clinton's September l 1993, Executive Order 12866. Cost / benefit analyses are an essential element of both an EIS and an RA. !
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RES-99-046 Overarching Design Objectives: Collective dose is only one of many projected costs j to be weighed against the value of projected benefits. The NRC considers collective i dose as a cost at the rate of $2000/ person-rem (Regulatory Analysis Guidelines of the l U.S. Nuclear Regulatory Commission, NUREG/BR-0058, Revision 2, Section 4.3.3, p. l 22,1995.). Costs also include monetizing non-radiological risks associated with the various scenarios, for example the risk of a highway crash with a scrap truck. Benefits such as cost avoidance are expressed as negt.tive costs. A significant amount of the data needed to calculate collective dose also may be used to calculate other costs and benefits. However, additional data may be required. The following requirements focus on the costs associated with the flow of materials and equipment in the general commerce.
Design objective attributes for costs:
The " Regulatory Analysis Technical Evaluation Handbook (NUREG/BR-0184, January 1997) provides guidance for the attributes of a cost / benefit analysis. The scope of the analyses shall be limited to those attributes listed below. The remaining attributes will be ;
analyzed by others under a separate contract, and the costs analyzed and the results under this contract shall be input for the broader cost / benefit analysis by others. The level of detail performed under this contract shall be commensurate with the level of uncertainty and the importance of the expected information to the decision on selection of an attemative clearance level.
- 1) Public Health (Accident)-The contractor shall use the results of accident scenarios from 2.3.2.4 above to estimate the costs to the public due to accidents from cleared materials. If, as expected, the total quantities of radioactivity are shown to be small and the exposures to the public limited, the contractor may provide a bounding estimata of costs. .
- 2) Public Health (Routine)-The contractor shall use as a basis all scenarios from Section 2.3 above that address exposures not received occupationally. The corresponding collective doses from Section 2.3 above shall be used as the public health cost.
- 3) Occupational Health (Accident)-The analysis shall separately treat occupational health according to occupations in industries or operations specifically licensed by the NRC or Agreement States (e.g., nuclear power reactors and fuel cycle facilities) and occupations in industries or operations not specifically licensed by the NRC or Agreement States (e.g., emergency workers).
- 4) Occupational Health (Routine)-The analysis shall separately treat occupational health according to occupations in industries or operations specifically licensed by the NRC or Agreement States (e.g., nuclear power reactors and fuel cycle facilities) and occupations in industries or operations not specifically licensed by the NRC or Agreement States (e.g., scrap transporters and metal refinery workers).
Page 13 of 21
RES-99-046
- 5) General Public-The contractor shall consider incremental costs that would likely result from a clearance rule due to changes in property value, if any, changes in the time required to perform tasks, and changes in the costs of consumer products.
- 6) industrial Operations Not Licensed by the NRC-implementation-The contractor shall consider the costs to industries not licensed by the NRC (e.g., scrap dealers, metal refiners, truck and rail transporters, landfill operators) to acquire equipment, generate procedures or processes to ensure continued conformance with laws and to implement ordinances, and policies as a result of establishment of a clearance rule.
- 7) Industrial Operations Not Licensed by the NRC-Operations-The contractor shall consider incremental operational costs and benefits of industries not licensed by the NRC during operations (e.g., increased frequency of sorting scrap loads to discriminate !
between cleared scrap and a sealed source in the scrap, increased frequency of false j alarms at refineries, effects on industrial gauges, etc.) l The contractor shall determine or estimate the uncertainties of the costs for the attributes listed above to the extent practicable. In cases where judgement is used, the rationales i leading to the judgement shall be explicitly stated. Likewise, sensitivity analyses shall be performed and reported. In cases where the costs are qualitative, the contractor shall i address uncertainty and sensitivity in a qualitative or semi-quantitative manner and l provide rationales leading to the conclusions explicitly. .
l l
2.5.1 Specific design objectives for estimated costs of dose-based clearance levels for materials and equipment entering general commerce: As an overview, the contractor shall take into account the design objectives of all sections under 2.3 and of 2.5 above.
2.5.1.1 The contractor shall use the information in 2.1.3 above to estimate the incremental U.S. costs of regulatory attematives [ doses specified in 1. above) associated with ma'erials and equipment potentially cleared by NRC and Agreement State licensess. The contractor shall also account for non-radiological risks and benefits such as cost avoidance. Additional information sources and citations shall be reported and complete enough to enable independent consultation of the source. The background information, methods, and results shall be submitted as a finalletter report, complete with QC and peer review. Up to five trips to gather cost information from industry and govemments shall be allowed. 4.14 6.2
- 2.5.1.2 The contractor shall, in a letter report, estimate the U.S. costs of regulatory alternatives [specified in 1. above] associated with materials flow due to Federal facilities, such as those of DOE and DOD. For this analysis the contractor shall hypothesize that other Federal agencies would use the same clearance levels that the NRC establishes. The contractor shall also account for non ~diological risks and benefits such as cost avoidance. Additional information sources and Page 14 of 21 L.
l l RES-99-046 l
- citations shall be reported and complete to enable independent consultation of
!~
- the source.
2.5.1.3 The contractor shall, in a letter report, estimate tr.e U.S. costs of regulatory l _ alternatives [specified in 1. above) associated with materials flow due to non-l Federal domestic generators not accounted for in 2.5. ; 1 above, such as from
- industries (e.g., oil and gas, paper, gypsum). For this analysis the contractor shall hypothesize that the generators would use the same 10 vel of radioactivity in l general commerce of materials and equipment that the NRC astablishes for
- l. clearance. The contractor shall also account for non-radiological risks and benefits such as cost avoidance. Additionalinformation sourcer and citations shall be reported and complete to enable independent consultation of the source.
2.5.1.4 The contractor shall, in a letter report, estimate the U.S. costs of regulatory l alternatives (specified in 1. above) associated with materials flow due to international trade. For this analysis the contractor shall hypothesize that other countries would use the same clearance levels that the NRC establishes. The l contractor shall also account for non-radiological risks and benefits such as cost avoidance. Additional information sources and citations shall be reported and complete to enable independent consultation of the source.
l 2.5.1.5 The background information, methods, and results from 2.5.1.1.4 above shall be
- submitted as a final letter report, complete with QC and peer review. 4.15 1
i I
V. REPORTING REQUIREMENTS l
, I 3 Monthly letter status reports shall report the monthly level of effort by various levels of '
l pay, the technical work performed corresponding to the billing, technical and l administrative issues, a log of the expenditures, and a projection of the spending plan by sub-task. Vouchers billing work performed shall be preceded by or accompanied with a monthly letter status report corresponding to and accounting for the billing. The monthly j letter status report shall break down the number of hours billed and percent of effort by .l' l staff level corresponding to the billing. Project spending plans and billings shall be at the sub-task level. The monthly letter status report or billing shallinclude a tracking of the l
, spending plan, a cumulative accounting of the spending, as well as the current buling.
L The monthly status letter report shall include a section that clearly identifies issues, I
difficulties, needed decisions on the part of the NRC Project Officer, and financial '
concerns.
- l. 3.1 The technical lead or contractor Manager shall provide a weekly telephone update to the
! NRC Project Officer or his designee on the detailed status of the work performed.
Page 15 of 21 L
. 4 l
l l l RES-99-046 i 3.2 Analyses for inclusion in published reports shall be explicitly reported in NUREG format, technically edited and publication ready, complete with background information, l
, elaboration of rationales used, methods transparent to the reader, and reproducible by l l
the reader. Letter reports and intermediate reports shall be submitted in both hard copy and electronically. Word processing submissions shall be in Wordperfect
- version 7.0 or .
greater; spreadsheets in EXCEL * , version 5.0 or greater with design specifications to l l enable sufficient to enable implementation in different spreadsheet software or in later l
versions. Other electronic formats shall be agreed upon with the NRC Project Officer.
I Summary tables in letter reports and other communications may be submitted in spreadsheet format.
3.2.1 Tha final reports for pub lication shall be delivered in Wordperfect, version 7.0 or greater electronic format, with one camera-ready, single-sided version, and three double-sided copies. I 3.2.2 The contractor shall plan on two complete drafts for two rounds of review, including two rounds of peer review, and comment prior to finalizing the report.
l 3.2.3 The reports' styles shall be the same as for the Draft NUREG-1640 with the intent that j they will be companion reports.
3.2.4 Analyses shall be performed with EXCEL spreadsheet files and shall be. deliverable with the hard copy reports.
VI. DELIVERABLES AND DELIVERY SCHEDULE 4 Written and calculated deliverables shall conform to the reporting requirements above.
4.1 Monthly letter status reports shall be due to the Project Officer 20 days after the end of j the month being reported throughout the entire period of performance.
4.2 Weekly telephone status calls shall be scheduled, but flexible as to the date and time as mutually agreeable.
4.3 The contractor shall submit two letter reports on the available and needed data on the tonnage, types, quality of scrap materials and equipment that are potentially available for clearance and the respective kinds and amounts of radioactivity associated with the ,
materials and equipment. The quality and format of these letter reports must be readily I usable by others under a separate contract for the full cost benefit analysis. Both of these letter reports are due 4 months after the award of tre contract. The Draft NUREG/CR for public review and comment that summarizes the letter reports and the methods and results of additional data gathering is due 6 months after the award of the contract. I 12.1 Page 16 of 21
RES-99-046 4.4 The contractor shall prepare a letter report that summarizes the current practices that
! cause NORM and NARM to enter the general commerce of materials and equipment.
This report shall be due 6 months after award of the contract L J2.2.1 4.5 The contractor shall prepare a Draft NUREG/CR for public review and comment describing the current baseline levels of radioactivity in cleared materials analyzed in 2.2.2 above. This NUREG/CR will be preceded by two letter reports: the first is on a literature search on this sub-task topic which is due 4 months after the award of the contract; the second is a feasibility study on making measurements to supplement the data taken from the literature and is due 6 months after the award of the contract. The NUREG/CR shall follow the directions and design objectives from the NRC Project Officer and is due 6 months after that direction is given.L 12.2.2 l
4.6 The contractor shall prepare a series of four letter reports on the contributions of various sources of potentially cleared materials to the build-up of radioactivity in Fe, Al, Cu, and concrete materials and equipment in the general commerce of the U.S.A. These reports are dependent on the estimation of the baseline levels of radioactivity in general commerce [due 11 months after contract award], and hence they are due 15 months 3 after the award of the contract.L J2.2.3 !
4.7 The contractor shall prepare a summary Draft NUREG/CR for public review and comment on the build-up of radioactivity from cleared materials entering general i commerce in materials and equipment. This Draft NUREG/CR, complete with QC and peer review, based on the letter reports produced in 4.6 above, shall be due 22 months q after the award of this contract.1 12.2.3.5 4.8 The Draft NUREG/CR for public review and comment on collective doses arising from the Draft NUREG-1640 scenarios is due 12 months after the award of the contract. A dsaft of the NUREG/CR for peer and NRC review is due 10 months after award of the l contract. R2.3.1 )
4.9 The Draft NUREG/CR for public review and comment on individual and collective doses on additional scenarios for ferrous metals, copper, aluminum, concrete and equipment for reuse is due 13 months after the award of the contract. This necessarily has several sub-task deliverables, namely, a list of scenarios to be added and a list to be excluded and the respective rationales for both. These lists are due 1 month after the award of the contract. A draft report on the additional scenarios is due in NUREG/CR format 6 months after receiving the direction from the NRC Project Officer on which scenarios to add. Three letter reports are also required under this sub-task and are to be incorporated in the NUREG/CR: consideration of mill scale and process water is due 3 months after award of the contract (2.3.2.3); consideration of accident scenarios is due 4 months after award of the contract (2.3.2.4); and consideration of the migration of nuclides to the surface from volumetric contamination is due 5 months a'ter the award of the contract (2.1.2.5). A draft of the NUREG/CR for NRC and peer review is due 11 months after award of the contract. L ,J2.3.2 Page 17 of 21
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i RES-99-046 1
i 4.10 The NUREG/CR user's manual on the structure and use for customized calculations of l
the EXCEL spreadsheets used to develop the Draft NUREG-1640 is due, complete with QC, 4 months after the award of this contract. A manual supplement that addresses the structure and use of the EXCEL spreadsheets used for this contract shall be submitted, I complete with QC, in NUREG/CR format 19 months after the award of this contract. !
2.3.3 4.11 The Draft NUREG/CR for public review and comment on the cumulative doses from multiple sources and their likelihood is due 18 months after the award of this contract.
Preceding this delivery date is the list and brief descriptions of scenarios, rationales, and relative probability of occurrence which is due to the NRC Project Officer 6 months after j the award of the contract.L J2.3.4 4.12 The Draft NUREG/CR for public review and comment describing individual and collective doses from clearance of rubbles and sediments shall be submitted 24 months after the !
direction of the NRC Project Officer to sta t.L ,,J2.4.1 l 4.13 The Draft NUREG/CR for public review and comment describing individual and collective i doses from clearance of other materials such as wood and plastics shall be submitted 24 months after the direction of the NRC Project Officer to start.L J2.4.2 4.14 The contractor shall submit for publication as a letter report, complete with QC and peer review on the costs associated with implementation of a clearance rule by the NRC and Agreement States' licensees. The contractor shall submit an interim letter report on the costs model structure and the data and spreadsheet formats for the analyses 5 months after the contract is awarded. After review and comment by the NRC and its contractor, I I
the letter report shall be finalized by the contractor and submitted 7 months after the contract is awarded. The final letter report shall be due 15 months after the award of the contract. l- 12.5.1.1 ,
4.15 The contractor shall submit a letter report on the costs to the U.S. associated with implementing a clearance rule with respect to Federal facilities, ndn-federal domestic l industries not accounted for in 2.5.1.1 above, and from international trade. A draft letter report is due 12 months after the contract is awarded. Following review and comment provided by the NRC Project Officer, the contractor shall submit the revised the reports with the resolution of comments for publication as a final letter report, complete with QC ;
and peer review. This final letter report shall be due 18 months after the award of the contract.1 12.5.1.2 4.16 The contractor shall submit as a deliverable after the termination of the contract or upon request from the NRC Project Officer the Quality Assurance / Quality Control Engineering Design files.U7 QA Page 18 of 21
q l
l RES-99-046 4.17 The contractor shall submit to the NRC Project Officer a Peer Review Plan and a list of nominees and their qualifications as qualified peer reviewers to place under subcontract.
This deliverable is due 1 month after the award of the contract. The finalized peer review plan is due within 1 month after receiving the NRC Project Officer's approval. Peer review reports from the subcontractor it.8 be deliverable as stated in the approved Peer Review Plan. 8 QA Vll. MEETINGS AND TRAVEL REQUIREMENTS 5 MEETINGS 5.1 Project status briefings: 3 trips for two persons for each for 2-day briefings in Rockville, M D U 1.2 ,
5.2 Program review meetings: 3 trips for one person on the contractor's team to travel to the !
contractor's central workplace to participate in one-week program review by the NRC l Project Officer. 1.3 1
6 TRAVEL REQUIREMENTS 6.1 Data gathering travel for kinds and amounts of radioactivity and associated kinds and ,
materials of scrap and equipment: 5 trips for one person for up to 3 days each. l l' '82.1.1.1 ;
- l 6.2 Data gathering travel to industry and governmental locations for costs associated with establishing a clearance rule: 5 trips for one person for up to 3 days each.
I E2.5.1.1 Vill. LEVEL OF EFFORT Level of effort shall be separated into professional (technical and managerial) and clerical for up to six sub-categories specifically for each task. Effort for monthly letter i_
status reports shall not be separately stated, rather that effort shall be integral to performance of the tasks. An overall estimate of the efforts for the entire contract is l approximately 16,600 hours0.00694 days <br />0.167 hours <br />9.920635e-4 weeks <br />2.283e-4 months <br /> of professional effort over two years and 2,400 hours0.00463 days <br />0.111 hours <br />6.613757e-4 weeks <br />1.522e-4 months <br /> of l
clerical effort over two years.
IX. PERIOD OF PERFORMANCE The period of performance is for two years from the start of the contract.
X. TECHNICAL DIRECTION Page 19 of 21
RES-093J46 Robert A. Meck is the Project Officer and can be reached on (301) 415-6205.
XI. PUBLICATIONS .
Publication of work under this contract in peer reviewed joumals is encouraged, with approval of the NRC Project Officer. However, the costs of such publications is not a part of this contract and shall not be reimbursed by the NRC, unless a contract modification specifically provides for such costs.
- XII. QUALITY ASSURANCE & QUALITY CONTROL 7 At the outset of the contract the contractor shall provide a QA/QC plan or procedure to the NRC Project Officer for approval. The contractor shall actively maintain and keep current a formal quality assurance program for all analyses as described in Section 8 of the Draft NUREG-1640. -Quality control files shall be kept current and maintained in En ineering Design Files that are deliverable following termination of the contract. ,
" ' 4.16 !
I 8 The contractor shall subcontract for independent peer reviews of the analyses performed I under this contract. Prior to award of the subcontract, the contractor shall submit a peer review plan and nominations, complete with qualifications of the nominees, for the approval of the NRC Project Officer. The contractor shall submit the firtalized peer review plan to the NRC Project Officer. Any changes to the peer review plan after finalization, shall require written approval from the NRC Project Officer. The j subcontractor shall maintain independence from the contractor's analyses, however the i contractor may consult the peer review subcontractor for clarification of comments on the I contractor's analysis. Different peer review subcontractors may be necessary for ;
different parts of the analyses, depending on the qualifications of the peer reviewers. ]
The peer reviews shall be timely so as not to adversely impact the schedule of deliverables and shall culminate with a letter report submitted to both the contractor and the NRC Project Officer. 4.17 Xill. NRC-FURNISHED MATERIALS Copies of NUREG and NUREG/CR publications and draft reports generated for the NRC will be provided to the contractor upon request.
XIV. QUALIFICATIONS OF KEY PERSONNEL l Minimum requirements for key personnel developing scenarios, models, and performing calculations under this contract are demonstrable, and significant scenario and model development in the specific area of clearance of metals and concrete and calculations for those scenarios under a formal quality assurance and quality control program within two years prior to the request for proposal for this contract. Similarly, costs estimators must demonstrate significant and current results specifically on the estimation of inventories Page 20 of 21
RES-99-046 and costs associated with materials that have a potential for clearance from nuclear facilities.
XV.- REFERENCES AND ATTACHMENTS As cited in the text of this Statement of Work.
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i ATTACHMENT 2 RES-99-046 CLEARANCE SOW DELIVERABLE SEQUENCE Due- Description Prerequisite After This synopsis is an overview of the Award deliverables and delivery schedule in Part VI (months) of the SOW. The SOW shall take precedence.
2' 4.17 Peer Review Plan (Final Peer Review none Plan); Draft for approval due 1 month 6 INVENTORY none 4.3 Kinds and amounts of radioactivity and potentially cleared materials and equipment
[ Draft NUREG/CR for public review and comment]
Letter report on results of literature survey due 4 months; Letter report on needed data due 2 months;
[ leaves 2 months to gather needed data and summarize results in usable format for cost and collective dose calculations-with complete OC, peer review, and two rounds of review and comment resolution]
6 INVENTORY none 4.4 NORM and NARM practices entering commerce into general commerce-literature review [ Letter report]
4 122 DOSE ASSESSMENT 4.3 kinds and amounts 4.8 Collective doses from NUREG-1640 due 6 months after award scenarios [ Draft NUREG/CR for public review and comment]
A draft of the NUREG/CR, complete with QC is due for NRC and peer review 10 months after contract award.
' includes time for NRC Project Officer review and direction.
alncludes 1 month for NRC Project Officer and peer review.
Page 1 of 4 c
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- RES-99-046 13 DOSE ASSESSMENT 4.3 kinds and amounts !
l 4.9 Collective doses on all other scenarios due 6 months after award
! for Fe, Cu, Al, concrete and equipment for reuse [ Draft NUREG/CR for public review and comment]
l List of additional scenarios due 1 month; I l Letter report on mill scale and process water
! due 3 months-Letter report on accident scenarios due 4 months Letter report on nuclide migration to surfaces due 5 months draft NUREG/CR for NRC and peer review due 11 months 13' INVENTORY 4.4 NORM and NARM l 4.5 Baseline radioactivity in general practices entering commerce (Draft NUREG/CR for public review commerce into general and comment, literature search and results of commerce 6 months (input measurements)) to 2.3.1) .
Letter report on literature search 4 months Letter report on feasibility of measurements to complete data 6 months 15 INVENTORY 4.3,4.4,4.5 establish l 4.6 Radioactive build-up in Fe, Al, Cu, and baseline radioactivity in j concrete due to various sources general commerce (11 i l [4 letter reports] months) 1 l
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- includes time for NRC Project Officer review and direction.
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RES-99-046 15 COSTS 4.3, 4.8, & 4.9 collective
)
4.14 Costs due to clearance by NRC doses on all scenarios for j licensees & Agreement States for attributes: Fe, Cu, Al, concrete (9 Public Health (accident; routine), months)
Occupational Health (accident; routine), and General Public [ final letter report) !
interim letter report on data and spreadsheets formats 5 months J finalletter repod 7 months j
[1 month after all collective doses are available, the contractor shall have completed up to 5 trips to gather cost information, write the report, QC, peer review, NRC review and comment, and ,
submit for publication.] ]
18 DOSE ASSESSMENT 4.3,4.8, & 4.9 collective 4.11 Doses from multiple sources (Draft doses on all scenarios for NUREG/CR for public review and comment] Fe, Cu, Al, concrete 9 Descriptions c.f scenarios, relative months l probability, etc. due 6 months i 18 COSTS 4.3,4.8,4.9, & 4.14 Costs 4.15 Costs due to clearance by OTHER to due to clearance by THAN NRC licensees & Agreement States NRC licensees &
for attributes: Public Health (accident; Agreement States due 10 routine), Occupational Health (accident; months routine), and General Public Final letter report with QC and peer review l draft letter report due 12 months Resolution of comments by NRC 19 DOSE ASSESSMENT none 4.10 Spreadsheet user's manual-analyses in this contract (Supplement to NUREG/CR on NUREG-1640 scenarios]
NUREG/CR user's manual on NUREG-1640 scenarios due 16 months-with completc QC l
l Page 3 of 4
L RES-99-046 22 4.7 Combined summary of letter reports on 4.6 letter reports due 15 radioactivity build-up in Fe, Al, Cu, concrete months and equipment [ Draft NUREG/CR for public review and comment) 24- DOSE ASSESSMENT none 4,13 other materials-wood, plastics, etc.
Individual and collective doses (Draft NUREG/CR for public review and comment]
NOTE: due is 24 months after NRC stads it 24 DOSE ASSESSMENT none 4.12 rubbles and sediments-individual and collective doses [ Draft NUREG/CR for public review and comment]
NOTE: due is 24 months after NRC starts it 36 4.16 Engineering Design Files after contract all analyses and reports i termination [ electronic and hard copy]
4
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Page 4 of 4 l
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I' ATTACHMENT 3 (MARCH 1996)
Page 1 of 10 I
BILLING INSTRUCTIONS FOR l COST REIMBURSEMENT TYPE CONTRACTS I
General: The contractor shall prepare vouchers / invoices for I reimbursement of costs in the manner and format described herein. {'
FAILURE TO SUBMIT VOUCHERS / INVOICES IN ACCORDANCE WITH THESE INSTRUCTIONS WILL RESULT IN REJECTION OF THE VOUCHER / INVOICE AS IMPROPER.
I Number of Cooies: An original and three copies, including supporting documentation shall be submitted. A copy of all supporting documents must be attached to each copy of your voucher / invoice. Failure to submit all the required copies will result in rejection of the voucher / invoice as. improper.
Desionated Acency Billino Office: Vouchers / invoices shall be l submitted to the following address:
U.S. Nuclear" Regulatory"Commissi6n Division of Contracts - T-7-I-2 Washington, DC 20555 HAND 1 DELIVERY OF VOUCHERS / INVOICESIS DISCOURAGED AND WILLNOT ~
EXPEDITE PROCESSING BY-NRC. However, should you choose-to ~ ~
delivef" vouchers / invoices by handi-includidg delivery by'any~
- express' mail services or special delivery services which use a courier or other person to deliver the voucher / invoice in person to.ths-NRC,-suchJ. vouchers / invoices must -bb-addressed i toLthe above Designated Agenb Billing
Office and'will?only
'~ ~
be: accept
' ~~ '~
6d at the following7-locationi - -
U.S. Nuclear Regulatorp' Commission ~V---
One White Flint North
~"
-11555 Rockville' Pike - Mail Roomi 4 'Rockville, MD' 20852 HAND-CARRIED SUBMISSIONS WILL"NOT'BE ACCEPTEDiAT OTHER THAN THE ABOVE ADDRESS. . .
Note that the official receipt date for hand-delivered ~ ~
vouichs~rs/fiivoi'ces' w'ill' be the' da' t e it 'is r~ec'eive'd by the' official
~
~
~
a'geh~cy"billiiig'off' ire in Ehe Divis~ ion of f Cohtrscts'~ .' * ? :-
u . :. <: , - :
.. =
Acency PaymenN Office: ~ Patment- will continue" to: be m'ade bt' the of fice: designated in~ the contract"in' Block 12iof' SF- 26 or Blocki " ~
.~
~
25 'of- SF 33,' which~ever' 'i's a'pplicable. - ;
~
8:
. - c. ; -: .. .
8 W
n . .:.
n~ ,
BILLING INSTRUCTIONS FOR COST REIMBURSEMENT TYPE CONTRACTS -
(Page 2 of 10)
Frecuencv: The contractor shall submit claims for reimbursement once each month, unless otherwise authorized by the contracting Officer.
Format: Claims should be submitted in the format depicted on the attached sample form entitled " Voucher / Invoice for Purchases and Services Other than Personal" (see Attachment 1). The sample format is provided for guidance only. The format is not required for submission of a vouchec/ invoice. Alternate formats are permissible provided all requirements of the billing instructions~
are addressed. The instructions for preparation and itemization of the voucher / invoice are included with the sample form.
Task Orderina C'ontracts: If the contractor bills for more than one task order under a voucher / invoice, detailed cost information for each individual task order shall be submitted, together with a cumulative summary of all charges billed on the voucher / invoice. This includes all applicable cost elements discussed in paragraphs (a) through (n) of the attached instructions.
Fee Recoverv Billines: Pursuant to the provisions of 10 CFR Part 170 and 171 on license fees, the NRC must recover the cost of work performed. Accordingly, the contractor must provide the total amount of funds billed during the period, fiscal year to date and the cumulative total for each task or task assignment by I facility or report. The fee recovery billing reports shall be on a separate page, and shall be in the format provided in Attachment 2. The billing period for fee recovery costs should be from the first day of each calendar month to the last day of the same month. Each separate fee billing report must be attached to the monthly invoice and cover the same period as the invoice.
Each report will contain a docket number or other unique identifier. The NRC will provide a unique identifier for all work perfnrmed. Costs should be reported as whole number to the nearest cent. For work that involves more than one facility at the same site, each facility should be listed separately and the costs should be split appropriately between the facilities.
Common costs, as defined below, shall be identified as a separate line item in the fee recovery billing report each month.
l Common costs are those costs that are not licensee unique and i associated with the performance of an overall program that benefit all similar licensees covered under that program or that i are required to satisfactorily carry out the program. Common I costs include costs associated with the following: preparatory l or start-up efforts to interpret and reach agreement on l methodology, approach, acceptance criteria, regulatory position, L
BILLING INSTRUCTIONS FOR COST REIMBURSEMENT TYPE CONTRACTS -
(Page 3 of 10) or technical reporting requirements; efferts associated with the l " lead plant" concept that might be involved during the first one l or two plant reviews; meetings and discussions involving the above efforts to provide orientation, background knowledge or l guidance during the course of a program; any technical effort applied to a docket or other unique identifier; and project management. Common costs must be reporting monthly for each docket or unique identifier. Common costs must be computed based on the proportion of direct costs incurred against each docket or unique identifier for the billing period.
l l Billino of Cost After Exoiration of Contract: If costs are
- incurred during the contract period and claimed efter the l contract has expired, the period during which these costs were incurred must be cited. To be considered a proper expiration l voucher / invoice, the contractor shall clearly mark it " EXPIRATION VOUCHER" or " EXPIRATION INVOICE".
l Final vouchers / invoices shall be marked " FINAL VOUCHER" or " FINAL INVOICE".
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 vouchers / invoices paid under the contract may not exceed the total U.S. dollars authorized in the contract.
gupersession: These instructions .cupersede any previous billing instructions.
BILLING INSTRUCTIONS FOR COST REIMBURSEMENT TYPE CONTRACTS (Page 4 of 10) -
ATTACHMENT I INVOICE / VOUCHER FOR PURCl!ASES AND SERVICES OTHER THAN PERSONAL (SAMPLE FORMAT)
Official Aaency Billino Office (a) Contract Number U.S. Nuclear Regulatory Commission Division of Contracts MS: T 7-I-2 Task Order No. (If Applicable)
Washington, DC 20555 0001 Pavee's Name and Address (b) Voucher / Invoice #
(c) Date of Voucher / Invoice Individual to Contact (d) Fixed Fee Regarding this Voucher Name:
Tel. No.:
(e) This voucher represents reimbursable costs for the billing period for the billing period from through .
Amount Billed Current Period Cumulative l
(f) Direct Costs (1) Direct labor *.............................
(2) Fringe benefits
( %. if computed as percentage)......
(3) Capitalized nonexpendable equipment ($50,000 or more -
see instructions)*......................
(4) Non capitalized equipment, materials, and supplies.................
(5) Premium pay (NRC approved overtime).......
(6) Consultants *..............................
(7) Travel *...................................
(8) Subcontracts *.............................
(9) Other costs *..............................
Total Direct Costs (g) Indirect Costs (A) Overhead
- of *
(Indicace Base).........
(B) General & Administrative Expense
% of Cost Elements Nos. ....................
l l
Total Direct & Indirect Costs (h) Fixed Fee (Cite Formula):
(1) Total Amount B111ed............................. 1 (j) Adjustments..................................... f (k) Grand Total s . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
l 0 (Requires Supporting Information - See Attached)
L
BILLING INSTRUCTIONS FOR COST REIM34RSEMENT TYPE CONTRACTS (Page 5 of 10 (Cont.) ATTACHMENT 1 SAMPLE SUPPORTING INFORMATION
- 1) Direct Labor $2400 Labor Hours Cumulative Cateaory Billed Rate Total Hrs. Billed Senior Engineer I 100 $14.00 $1400 975 Engineer 50 $10.00 $500 465 Computer Analyst 100 $5.00 $500 320
$2400
- 3) Capitalized Non-Expendable Eauipment Prototype Spectrometer item number 1000 01 $60.000
- 4) Non caDitalized Eauioment. Materials. and Supplies 10 Radon tubes @ $110.00 = $1100.00 l 6 Pairs Electrostatic gloves @ $150.00 = $900.00 .
. $2000.00 l
- 5) Premium Pay l Walter Murphy 10 hours1.157407e-4 days <br />0.00278 hours <br />1.653439e-5 weeks <br />3.805e-6 months <br /> @ $10.00 Per Hour = $100 (This was approved by NRC in letter dated 3/6/95).
- 6) Consultants' Fee Dr. Carney 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br /> @ $100 = $100 l
- 7) Travel Start Date Destination Costs 3/1/89 Wash., DC $200 l
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BILLING INSTRUCTIONS FOR COST REIMBURSEMENT TYPE CONTRACTS (Page 6 of 10) -
ATTACHMENT 1 (Cont.)
INSTRUCTIONS FOR PREPARING COST INFORMATION FOR NRC CONTRACT V0UCHERS/ INVOICES Preparation and Itemization of the Voucher / Invoice: In order to constitute a 3 roper 1rvoice, the contractor shall furnish all the information set forth yelow. These notes are keyed to the entries on the sample voucher / invoice. !
Official Agency Billing Office: Address the original and 3 copies of the voucher / invoice, together with supporting documentation attached to each copy to: U.S. Nuclear Regulatory Commission, Division of Contracts, MS: T7I2, Washington, DC 20555 0001.
Vouchers / invoices delivered by hand, including delivery by express mail or special delivery services which use a courier or. other person to deliver the .
voucher / invoice in person to the NRC, should be addressed in accordance with j the foregoing and delivered to: U. S. Nuclear Regulatory Commission One White Flint North,11555 Rockville Pike - Mail Room, Rockville, Maryland 20852. Hand delivered vouchers / invoices will not be accepted at other than the above address. Note, however, that the official receipt date for hand-delivered vouchers / invoices will be the date it is received by the official agency billing office in the Division of Contracts.
Payee's Name and Address. Show the name of the contractor as it ap) ears in the contract and its correct address. When an approved assignment 1as been made by the contractor, or a different payee or addressee has been designated, insert the name and address of the payee. Indicate the name and telephone number of the individual responsible for answering any questions that the NRC may have regarding the invoice. The following guidance corresponds to the i entries required on the sample form.
(a) Contract Number. Ir. sert the NRC contract number.
Task Order Number, if applicable. Insert the task order number. )
(b) Vouch:r/ invoice number. The aapropriate sequential number of the voucher / invoice, beginning wita 001 should be designated. Contractors may also include an individual internal accounting number, if desired, in addition to the 3 digit sequential number.
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BILLING INSTRUCTIONS FOR COST REIMBURSEMENT TYPE CONTRACTS (Page 7 of 10) -
ATTACHMENT 1 (Cont.)
(c) Date of Voucher / Invoice. Insert the date the voucher / invoice is prepared. j (d) Fixed Fee. Insert total fixed fee. Include this information as it applies to individual task orders as well.
(e) Billing Period. Insert the beginning'and ending dates (day, month, year) of the period during which costs were incurred and for which reimbursement is claimed.
(f) Direct Costs Insert the amount billed for the following cost elements, adjustments, suspensions, and total amounts, for both the current billing period and for the cumulative period (from contract inception to end date of this billing period).
(1) Direct Labor. This consists of salaries and wages paid (or accrued) for direct performance of the contract itemized as follows: .
l Labor Hrs. Cumulative Cateoorv ,
Billed Rate Total Hrs. Billed (2) Fringe Benefits. This represents fringe benefits applicable to direct labor and billed as a direct cost. Where a rate is used 4 indicate the rate. Fringe benefits included in direct labor or in i other indirect cost pools should not be identified here.
(3) Ca'pitalized Non Expendable Equipment. List each item costing
$50,000 or more and having a life expectancy of more than one year. List only those items of equipment for which reimbursement is requested. For each such item, list the following (as applicable): (a) the item number for the specific piece of equipment listed in the property schedule of the contract; or (b) the Contracting Officer's approval letter if the equipment is not l covered by the property schedule.
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4 BILLING INSTRUCTIONS FOR~ COST REIMBURSEMENT TYPE CONTRACTS (Page 8 of 10) -
ATTACMMENT 1 -(Cont.)'
(4) 'Non capitalized Equipment'.. Materials, and Su> plies. These are equipment other .than that described in (3) a>ove, plus consumable materials, supplies. List by category. List items valued'at $500 or more separately. Provide the item number for each piece of equipment valued at $500 or more.
(5) Premium Pay. This enumeration in excess of the basic hourly rate.
(Requires written approval of the Contracting Officer.)
-(6) Consultants. 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. Total costs associated with each trip must be shown in the following format:
Start Date Destination Costs From. To From To $
(8) Subcontracts. Include separate detailed breakdown of all costs paid to approved subcontractors during the billing period.
(9) Other Costs. List all other direct costs by cost element and dollar amount separately.
-(g)~ Indirect Costs-(Overhead and General and Administrative Ex mnse). Cite the formula (rate and base) .in effect in accordance with tie terms of the contract, during the time the costs were incurred and for which reimbursement is claimed.
(h) 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. The contractor may bill for fixed fee only up to 85% of total fee.
(i) Total Amount Billed. ' Insert the total amounts claimed for the current and cumulative periods.
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c ,
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-BILLING INSTRUCTIONS FOR COST REIMBURSEMENT TYPE ~ CONTRACTS (Page 9 of 10) -
ATTACHMENT 1 (Cont.)
I I
(j) Adjustments. For cumulative amount. include outstanding suspensions. l (k) ' Grand Totals.
i Further itemization of vouchers / invoices shall only be required for items having specific limitations set forth in the contract. )
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1 BILLING INSTRUCTIONS FOR COST REIMBURSEMENT TYPE CONTRACTS (Page 10 of 10) -
ATTACHMENT 2 (Cont.)
FEE REC 0VERY BILLING REPORT FIN:
Facility Name or Report
Title:
TAC or Inspection Report Number:
(or other unique identifier)
Docket Number (if applicable):
Period Fiscal Year Total Cost Categories Period Amt. Cost Incurred To Date Costs Cumulative Costs Labor Materials Subcontractor /
Consultant Travel Other (specify)-
Common Costs Total Remarks:
R:\ BILLING.396
ATTACHMENT 4
\
Unclassified Contractor and Grantee Publications in the 1 NUREG Series
==_===m- _m_=____=_ l Handbook 3.8 0
i h.MIdDiE1Ym>E$. NE.[,M2N5E[wYSEdwTb$A.%E1250D $$$$.711YEE5,7b5$YdC2ENENNEI[ENE57dNN8I[G.vY$NE 0/r '% yQ, u s cw w f t) - 4([-
n L
V:lume 3, Part 1 - Publicati:ns, Mail, and Infcrmation Discl sure Unclassified Contractcr and Grcntee Publicati:ns in the NUREG Series i Handbook 3.8 Parts I - VI l Contents l
l l Part I i
In trod u ction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
)
Part II j
Preparing Publication Requirements for Statements of Work for Con tracts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Specifying Publication Requirements (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Publishing Formal Reports (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 Publishing Unclassi5ed Information in the Open Literature and Presenting Papers (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 Repons Contammg Sensitive Unclawfied and Clawified Information (D) . . . . . . . 6 Conference and Workshop Proceedings (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 l
Distribution of Reports to Contractors (F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Coordinating Contractor Press or Other Media Releases ofInfonnation (G) . . . . 7 Part III -
Draft and Final NUREG Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Identification Information (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 NUREG Number (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Authors' Names (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Organizational Identification (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Previous Reports in Series (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Report Dates (5) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Report Organization and Components (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . , 9 Pre-Publication Reviews (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Patent Review (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 Security Review (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 l
l Copyright Review (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Color Printing (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10 Mi cro5 che (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12 Disclaimers (F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 j i
Approved: June 17,1991 l (Revised: July 9,1995) m 1
V:lume 3, Part 1 - Publicati:ns, Mail, cnd Infcrmati:n Disclosure Unclassified Contracter and Grantee Publicati:ns in the NUREG S:riss Handbook 3.8 Parts I - VI Contents (continued) .
Part III (continued)
Availability Information (G) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Reference Material (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Reports (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Fo rms (H) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 Bibliographic Data Sheet (NRC Form 335) (1) . . . . . . . . . . . . . . . . . . . . . . . . . 14 Release To Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A) (2) . . . . . . . . . . . . . . 14 Printing and Reprinting (I) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 Distrib ution (J) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 Part IV l International Agreement Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 l Background and Rationale (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 i
Identification Information (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 Cover $md Title Page (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 NRC Report Number (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16 l Previous Reports in Series (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 Repon Organization and Components (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 i Availability Information (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 References and Bibliographies (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 Reports (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 Disclaim er (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18 Forms (F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 Bibliographic Data Sheet (NRC Form 335) (1) . . . . . . . . . . . . . . . . . . . . . . . . . 19 Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A) (2) . . . . . . . . . . . . . . 19 Classified or Sensitive Unclassified Information (G) . . . . . . . . . . . . . . . . . . . . . . . . . 19
, Approved: June 17,1991 iv (Revised: July 9,1995)
W]une 3, Part 1 - Publicatiocs, Mail, and Inf:rmati:n Discl: sura Unclassified Ccntract:r and Grantee Publicati:ns in the NUREG S:ri:s Handbook 3.8 Parts I - VI l
Contents (continued)
Part V Books................................................................. 20 G e neral ( A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 D e 5ni ti on (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 Fo n n a t (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 NRC Document Number (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 Availability of Reference Materials (E) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21 Revi e ws (F) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 Pe e r ( 1 ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 Copyright (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Se curi ty (3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Pa t e nt ( 4 ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Publishing Authorization Forrn (G) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Disclaim e rs (H) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23 Pri n ti n g (I ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 Distn bution and Sales (J) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 l Part VI G ran t P ublications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Background and Rationale (A) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Publication of Results (B) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Publication by NRC (1) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Publication by a Grantee (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Publication by a Grantee in the Open Literature (3) . . . . . . . . . . . . . . . . . . . . 25 Reprints of Open Literature Publications (4) . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 Identi5 cation Information (C) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 Pre-Publication Reviews (D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
. G l o s s a ry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28 l
Approved: June 17,1991 (Revised: July 9,1995) V
Vclum 3, Part 1 - Publicati:ns, Mail, and Infcrmatirn Disclnsure Unclassified Contractcr and Grantee Publicati:ns in the NUREG S ries Handbook 3.8 Perts I- VI Contents (continued)
.I Exhibits
- 1. NRC Fonn 426A, " Release to Publish Uncludfied NRC Contractor, Consultant, or Conference Proceedings Reports" . . . . . . . . . . . . . . . . . . . . . . . . 32
- 2. NRC Form 335, " Bibliographic Data Sheet" . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
- 3. Microfiche Sheet Sampl- 35
{
l 9
m Approved: June 17,1991 vi (Revised: July 9,1995)
Valum 3, Part 1 - Publications, Mail, and Infcrmati:n Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part I Part I Introduction This handbook specifies the procedures that the Nuclear Regulatory Commission (NRC) contractors and grantees need to follow when preparing the following publications for the hTC: (A)
. Final NUREG reports (1)
. International agreement reports (2)
Books (3)
. Grant publications (4)
The handbook is divided into six major parts and includes a glossary and exhibits. Part II provides general information for staff consideration in preparing statements ofwork. Parts III,IV, V, and VI provide publishing guidelines specific to, respectively, contractor reports, international agreement reports, books, and grantee publications. (B) i' Contractor means a private contractor, consultant, expert, another State or Federal agency working under an interagency agreement, or a l Department of Energy (DOE) facility or subcontractor, such as a nationallaboratory, working under the DOE /NRC Memorandum of Underending of February 24,1978, and any subcontractors of these orgamzations. (C)
This directive and handbook, as well as a copy of " Publishing Documentsin the NUREG Series" (NUREG-0650, Revision 1), must be included or referenced in all contracts, interagency and l international agreements, and grants for which the publications l
previously listed are contract deliverables or grant obligations. In addition to the guidelines specific to each type of publication that appear in subsequent parts of this handbook, all statements of work must contain the applicable guidelines outlined in Pan II. (D) i .
l Approved: June 17,1991 (Revised: July 9,1995) 1 L
V;lume 3, Part 1 - Publicatirns, Mail, and Information Disclesure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part II Part II Prep'aring Publication Requirements for Statements of Work for Contracts Specifying Publication Requirements (A)
List and describe the type of technical reports required from each project, task, or subtask, as applicable. State when, how many, and to whom the reports should be submitted and the scope ofinformation they should contain. These reports may be unclassified, sensitive unclassified, or classified. For guidelines and requirements covering sensitive unclassified and classified publications, refer to Management
. Directive (MD) 12.2, "NRC Classified Information Security Program," and MD 12.6, "NRC Sensitive Unclassified Information Security Program."(1)
This directive and handbook penain to publications that will be issued in the NUREG/CR, NUREG/IA, and NUREG/GR series. (2)
Publishing Formal Reports (B).
NUREG series reports will be printed and distributed by hTC from camera-ready copy submitted by the contractor to the Publications Branch, Mailstop T-6 E7, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The camera-ready copy is to be prepared in accordance with the provisions of this handbook.
Recommended guidelines for the organization and format of formal reports are specified in " Publishing Documents in the hTREG Series" (NUREG-0650, Revision 1). (1)
When the repon contains sensitive unclassified or classified information, the contractor must comply with MD 12.2. (2)
Approved: June 17,1991 2 (Revised: July 9,1995)
r Wlume 3, Part 1 - Publicati:ns, Mail, and Informati:n Disclosure Unclassified Centract:r and Grantee Publicatirns in the NUREG S: ries Handbook 3.8 Part H l
Publishing Formal Reports (B)(continued) s If a draft is desired before completing a final report, specify in the j statement of work (SOW) the due date for delivering the final l camera-ready copy after receiving comments from NRC staff or panicipants (if applicable) on the draft. State that all draft material be submitted to the cognizant NRC contact. (3) I
- When the contractor is to submit draft material for comment before preparing the final report, state that the contractor will be asked to make changes if there are comments from NRC staff or participants. If agreement on the changes is reached, the NRC contact will authorize the contractor to prepare the final copy and submit it to the NRC contact ifit is a letter report or input to a Safety Evaluation Report or an Emironmental Statement, or to the Director, Division of Freedom of Information and Publications Services (DFIPS) if it is a camera-ready copy for printing and chstribution. This procedure will ensure proper publication, handling, chstribution and, among other
, things, preclude further changes that might nullify the agreement. (4)
If special caveats were agreed to between the contractor and the NRC contact, the caveats should accompany the NRC Form 426A (Exhibit 1) for approval when it is sent to the NRC contact. A copy of special caveats should also accompany the camera-ready copy sent to DFIPS. (5)
If agreement on changes to a formal technical repon to be issued in the NUREG/CR series is not reached, the NRC contact may request the contractor to prepare the camera-ready copy with, in addition to the standard disclaimer required on all contractor formal reports (see Section (F), Part III of this handbook), any caveats deemed necessary to cover NRC objections. These caveats may range from "The views expressed in this repon are not necessarily those of the U.S. Nuclear Regulatory Commision" to the addition of a preface setting fonh the NRC opinion or footnotes at appropriate locations within the text. (6)
If NRC objections cannot be covered in this manner, NRC can refuse to publish the repon. In the case of DOE / national laboratory reports, the DOE Operations Office Manager responsible for the laboratory should be informed by the NRC office director or regional
! adminimator of the decision and the reasons therefor. A copy of the i decision should be sent to the laboratory director. In the case of another Federal agency, a State, or a private contractor, the person who entered into the contract should similarly be informed by the l Approved: June 17,1991
! (Revised: July 9,1995) 3 i
l Volum2 3, Pcxt 1 - Publicati::ns, Mail, and Information Disclosure Unclassified Contract:;r and Grantee Publications in the NUREG Series Handbook 3.8 Part II Publishing Formal Reports (s)(continued)
~
NRC contracting officer. The contractor is then free to publish the repon without identifying NRC as the funding sponsor of the repon i and without the NRC disclaimer. Decisions by the office director or !
designee may be appealed to the appropriate Deputy Executive Director for Operations. (7)
Publishing Unclassified Information in the Open Literature and Presenting Papers (C)
Specify whether the contractor's principal investigator is permitted to
- publish in the open literature instead of submitting a final report and/or to present papers at public or association meetings during the course of the work. If this arrangement is authorized, add the following statement to the SOW: (1) pmp rnme xmemmmmybli5ti tlier.:::vmmnynm.esultsoftiusworkm n jThe.prmcapalmvestigatonmaypu
[tidsped litEiaihrEinsifsd dfsahinittidg 7 drnA517epdrfisFinays ihreseri'tMapeksistfidiblicl6rfassociationimeedngsiidinthiin '
ig eggg ggfqfgemay swm : :
Lfg,w._ *m.+,.esumWasansG&mnsstiaQ LMMC
, If the NRC contact wants to review the paper or joumal article before presentation or submission for publication, so state in the SOW, as l follows: (2) i mmergwwwmmmwmmw=mmmgam iTheprmcapalmvestigatormaypablish theresults ofitus workm ;
he sd%fssbmidingisifinsIIephonmay; ilthden,n!!iih560$finsti,icwrcassocistion;
.ww v.
- presentipaperstatipubl
~= e w= . .w. - .n n .~. meetings sa singes %fthsnorkiftlislarEls srpaiperhns$eissiswed.fiftlie!
iNRCsoni5ctlinidrift fordiMediaste5issdiss~:been reactied'snj M N E ilA Re b & d L A 2i k A If agreement is not reached, NRC may also require that the paper include in add' tion to the standard statement " Work supported by the ,
U.S. Nuclear Regulatory Commission," any caveats deemed necessary j to cover NRC objections. If NRC objections cannot be covered in this l manner, NRC may refuse to authorize publication in the open !
literature and/or presentation of papers. (3) l In the latter case, NRC will inform the contractor of the decision, as previously stated. The contractor is then free to publish without idennfymg NRC as the funding sponsor of the information. Decisions by office directors or designees may be appealed to the appropriate NRC Deputy Executive Director for Operations. (4)
)
Approved: June 17,1991 )
4 (Revised: July 9,1995)
Vclume 3, Part 1 - Publications, Mail, and Infermation Disclosure Unclassified Contractor end Grantee Publications in the NUREG Series Handbook 3.8 Part H Publishing Unclassified Inforniation in i the Open Literature and Presenting l Papers (C)(continued) l If the contractor proposes to publish in the open literature or present the information at meetings in addition to submitting the required technical rmorts, approval of the proposed article or presentation should be ootained from NRC. NRC shall approve the material as
, submitted, approve it subject to NRC-suggested revisions, or disapprove it. In any event, NRC may disapprove or delaypresentation of papers on information that is subject to the Commission's approval 1 -
that has not been ruled upon or that has been disapproved. (5)
If the contractor requests permmion to publish in the open literature even though the contract does not explicitly provide for this type'of l publication, the contract can be modified to provide for such presentations. (6)
When the contractor submits journal articles for publication, each must be accompanied by the following statement: (7) r-mwmdmewmmmmm Nnshastte manuscript:hasbeen:autt mmmew n iefedbyaicontractorof ISEUSfGeiE5ranadhaderM*w**WA? ! AAccishlidgif5E l U5fGoviEsidiihat%EiiM$linisclusi$royaltyffAE31icensshe
{psidistisifWini$$$EEEjiablished Iillow$5EE(-
u-n cssg@U.SfGuiernament purp~oseww"a"nn s1 dk idrn
-a . .
j l
All published papers and articles must include the following I disclaimer:(8)
V y w *~hk"?
kThtsItpo was warm"v s m W cncmv pitghtredfas'an: accountwOfiuoIk w mnwn w v m w by sponSered m bliiisMgenc/g T+ h,:. -
d ' tindUnitedSiateNECE2NeisitsdihEU.-
. ::.$9,:x.s, ,.. ,
., .*n
%ditsd w.s s
%S$%9atestCo the' reof'/an. er:any usamunw m >onmem a * '.9e.g.n,.:- -tinor;any[<a'4"ge:%<ncy;w y.. . evex::%thEir on Lu .. s DGRPl ayees,1maEw*eganyimarsasity,, expressed,,er..m(s.
r n
i :ampEedso.m r
yammmis$7mgif
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- 5partf, staseier
"'"'w itiiabilit m,y@.?responsibilitMiiMheyf, third desultsv.,rrsuchi.
e
-ufpef:.any use my;u suforma 'en; ti n
- ma
. .n . wm
~
m,.
q;apparatusp p>ro$.hwnn etperfprocessidis c u:w w vblosed y an edus rreportner I w.Mg,ireiiEUditniEiddisEM+55:h vw thini partf~ii5$1d$siiMN J;pa dye.meedrig - x, . hts.31 evaeu.w c sa. w w ..mn:a.n...
., asexpressedinthispaperare:c mot a Weseessailly thesefertiidMNEleaERegninddrfCodimidied3 idankmm&wiescenJ5W ^ ' Wh!&an d:IMZemun:i
- For DOE work orders, the appme-ic job code number h apphenble.
Approved: June 17,1991 (Revised: July 9,1995) 5
Vclume 3, Part 1 - Publicaticns, Mail, and Inforrnation Disclosure Unclassified Ccntracter and Grantee Publications in the NUREG Series Handbook 3.8 Part II I
Publishing Unclassified Inforniation in j the Open Literature and Presenting Papers (C)(continued)
If the contractor is requested by the journal or other publisher to transfer the copyright, the contract author will respond to the journal or other publisher in writing in accord with the sample letter shown as follows:(9)
_ _ . - _ - _ _ , _ _ _ _ _ ,:- _ ,. ~ ,7 p(Copyright Holder's Name):> , , , .
~
[We ^recently receiveFa" document for, signature assigning '
. j'coppight,.and republication dghts in' the submitted article
! (title) to (name of publication).'This letter is offered in lieu of l the' document ,as.a',means ef completing the : transfer' of<
iownership. ,Accordingly,2we bestby, expressly' transfer and
- assign our rights of ownership in the above-cited work'to
!(name of publisher).'e ' ' ' 7 3 g v , , a, >;n ::u::tv- - ,.,s, .
l Yan'are' advised, however; that the above'assigene'nt and any -
'lpubHestian or repubMeafion of the abov4-cited workis subject ' '
} t 'the following'Governa;ent riA*e- j " - <
~> ,::.
e - '
',,2,,,- ,s:, - : ~^
j The'subsidid =====meripthas been authored by a' contractor i of.the U.s[Goitridment sAder Contract,No. ~'
~
! AcEentic';1y," the ' U.S. Gomniment ,has ; a nonexclusive,l'
[iisyalty-free licensk' to,publistior repinduce the published; I ; form of this contritiution, or' allow others to do se,for U.s; ^
^ '
j'Governmentpurposes.,v:c'
- := ., ;mN
,: '"f ' ,,; ; .,
i
, y~. ' <,~ ;,,>e, .
s t * 's '>' ,
'~~,'
,l
', ' ' (< (2^ ,' ) ]l+ , .-> .I, ,
, bknCert} ,,' $.
f,,s 3
's e ,aqr v. ' '
$w.,>wda,:, 4. ' * ' ' ^ An,x. .,r.~.i'ul If NRC approves open literature publication and page charges and travel costs are required for the presentation of papers, see MD 3.9, "NRC Staff and Contractor Speeches, Papers, and Journal Articles on Regulatory and Technical Subjects." (10)
Reports Containing Sensitive Unclassified and Classified Information (D)
Examples of the proper marking of reports designated Official Use Only, Iimited Official Use, Proprietary Information, Safeguards l
Information, and classified (CONFIDENTIAL, SECRET, and TOP SECRET) are specified in MD 12.2.
Approved: June 17,1991 6 (Redsed: July 9,1995)
i V: lum 2 3, Part 1 - Publications, Mail, cnd Inf:rmiti:n Discl:surc Unclassified Contract:r and Grantee Publicatirns in th? NUREG S:ri s Handbook 3.8 Part II Conference and Workshop Proceedings (E)
If NRC approves publication of compilations of papers presented at NRC-sponsored or cosponsored meetings, conferences, and symposia, I see MD 3.11, " Conferences and Conference Proceedings."
Distribution of Reports to Contractors (F) i Up to 50 copies of printed unclassified NUREG/CR, NUREG/GR, i and NUREG/IA reports will be bulk shipped to the contractor by NRC. (The Joint Committee on Printing's Government Pdnting and l Binding Regulations permit contractors to receive free of charge up to
- 50 copies of reports they have produced for NRC.) If fewer than 50 :
copies are needed, indicate the desired quantity on NRC Form 426A (Exhibit 1). Contractors requesting single copies for specific individuals in orgamzations other than the contractor's organization who are not included in the distribution requested by the NRC contact may address such a request, with written justification, to the hTC ,
contact. If the additional distribution is apprcved by the NRC contact, the contractor shall send address labels with the camera-ready copy to the Publications Branch, DFIPS, USNRC, Washington, DC 20555-0001, and that distribution will be made along with the standerd distribution.
Coordinating Contractor Press or i
Other Media Releases ofInforination (G)
A contractor may request permission to issue a press or other media release on the work being done. That request must be made to the NRC office director or designee, who will consult with the staff of the Office of Public Affairs. The contractor must not issue a press release on nonroutine information without this prior approval. This approval l may be obtained by a telephone call to the office director or designee to expedite the request. The contractor may appeal decisions not to authorize the release ofinformation or delays in handling the request to the appropriate Deputy Executive Director for Operations.
Approved: June 17,1991 (Revised: July 9,1995) 7
Vclum3 3, Part 1 - Publicati:ns, Mail, and Infcrmation Disclcsure l Unclassified Contractor and Grantee Publications in the NUREG Series l
Handbook 3.8 Part III ,
j i
i l
I l
l l Part III Draft and Final NUREG Reports Identification Information (A) l NUREG Number (1)
Each contractor repon published by NRC must be identi5ed by a unique alphanumeric designation controlled and maintained by the Division of Freedom of Information and Publications Services (DFIPS). To obtain an NRC repon number, call the Publications l
Branch, DFIPS, at (301) 415-7008. (a)
The NRC identification numbers will have one of the following fonns:(b) l l
e NUREG/CR-0000 ;
e NUREG/GR-0000
= NUREG/IA-0000 1
CR indicates contractor report, GR indicates grant report, and IA indicates international agreement report. The contractor repon number,if any, will be placed below the NUREG number on the title page and cover. (c)
When a repon consists of more than one volume or binding, or is issued in more than one edition, an appropriate volume, number, supplement, pan, addendum, or revision designation must appear immediately below the NRC repon number and the contractor's l repon number,if any. (d)
Authors' Names (2)
I Authors' names must appear on the repon cover and title page, unless placing them there is impractical, as for an annual repon having many contributors. Editors or compilers with subject-area expertise may also be identified as such on the cover and title page. The authors' 8 Approved: June 17,1991 (Revised: July 9,1995)
[ _ . _ - - - - - _ - - - - - - - . - - _ . - - - - - _ - - - - - - --
3 l
Wlum3 3, Part 1 - Publicati:ns, Mail, and Inf rmati:n Disclosure Unclassified Ccntracter and Grantee Publicati:ns in the NUREG Series Handbook 3.8 Part IH 1
Identification Information (A)(continued) 1 Authors' Names (2)(continued) affiliation need not be listed unless it differs from the organization creating the report.
Organizational Identification (3)
The Publications Branch, DFIPS, prepares the covers and title pages for all reports and will list information about the organization that created the repon as it is provided. l l
Previous Reports in Series (4)
If the report being prepared is one in an ongoing series, list all presious '
repons in the series. Include repon numbers and issuance dates. Place this list on the back of the title page. If this list cannot he placed on a single page, place the pages at the end of the front 1. tr rather than on the back of the title page.
Report Detes (5)
The report dates are shown on the title page. These dates include the month and year the repon is completed and the month and year it is
. published.
Report Organization and Components (s)
The organization and components of contractor repons vary, depending on their purpose and scope. Recommended format and organizational guidelines appear in " Publishing Documents in the NUREG Series" (NUREG-0650, Revision 1). (1)
Each draft and final repon prepared for NRC must include an abstract of 200 words or less that appears on a separate page preceding the table of contents. The abstract also must appear on the " Bibliographic Data Sheet," NRC Form 335 (Exhibit 2). Instructions for completing NRC Form 335 appear on the back of the form. Guidelines on the special writing requirements for preparing abstracts appear in Section 5.5 of NUREG-0650, Revision 1. (2)
Pre-Publication Reviews (c)
Patent Review (1)
Patent implications must be considered before approval of repons for public release so that disclosure will not adversely affect the patent Approved: June 17,1991 (Revised: July 9,1995) 9
V: lum 2 3, Part 1 - Publicati::ns, Mail, and Inf:rmati n Disclesure Unclassified Orntractcr and Grantee Publicatirns in the NUREG Series {
l Handbook 3.8 Part III -
Pre-Publication Revie.ws (C)(continued)
Patent Review (1)(continued) rights of NRC or the contractor. If the work being reponed is contractually managed through another Government agency (e.g.,
DOE national laboratories), the contractor should request that Government agency to perform the patent review. The result of the l review must be reponed on NRC Form 426A under item 8 (see Exhibit 1). (a)
If NRC directly administers the contract, or the contractor is unable to obtain a patent clearance from the Government agency administering l
the contract, the responsible NRC contracting officer must be consulted, and the responsible NRC technical contact shall consider the patent implications. If the repon does not require a patent review
! because the repon does not contain any description of novel technical developments that may be of an inventive nature, mark "N/A" on the NRC Form 426A in the space for the Patent Counsel's signature. If a possibility exists that developments of an inventive nature are disclosed, the contracting officer shall request assistance from the NRC Assistant General Counsel for Mminictration, Office of the General Counsel, on (301) 415-1553. (b)
Security Review (2)
If a repon of sensitive unclassified or classified work is required, the NRC contact must work with the NRC Division of Security to establish the appropriate procedures and inform the contractor of these procedures through the contracting officer. The standards for marking
, and. handling these reports are given in Management Directive (MD) 12.2, "NRC Classified Information Security Program."
Copyright Review (3)
Copyrighted material must not appear in NRC-sponsored publications without written permission from the copyTight holder.
See Section 3.4 of NUREG-0650, Revision 1, for information about obtaining copyright permission.
Color Printing (D)
Regulations issued by the Joint Committee on Printing (JCP) restrict the use of color in printed materials to those uses that are of demonstrable value. JCP regulations specify that " demonstrably valuable multicolor printing" includes the following categories: (1)
Approved: June 17,1991 10 (Revised: July 9,1995) ,
I
n Vclumm 3, Part 1 - Publicati ns, Mail, and Infcrmati:n Disclosure Unclassified Centractor and Grantee Publicati:ns in th2 NUREG Series Handbook 3.8 Part III i
Color Printing (o)(continued) l . Maps and technical diagrams for which additional color is necessary for clarity. (a)
Object identification (medical specimens, diseases, plants, flags,
~ uniforms, etc.). (b) e Safety programs, fire prevention, savings bonds programs, and competitive areas of personnel recruiting. (c) 1 e
~ Areas wherein clearlyidentifiable savings in costs can be soundly predicated on multicolor use. (d)
. - Printing for programs required by law, whose relative success or i
failure is in direct ratio to the degree of public response, and for i which that response can be logicallyatuibutable to the number of colors planned and the manner in which they are proposed to be used. (e)
Color forpromotional or motivational purposes, such as programs conceming public health, safety, and consumer benefits, or to
. j encourage utilization of Government facilities, such as programs ;
for Social Security, Medicare, and certain areas of need for i veterans. (f) l The regulations indicate that the following categod". do not meet the
" demonstrable value" criteria:(2) e Printed items wherein additional color is used primarily for i decorative efh,;t. (a) !
i e Printed items for which additional color is used primarily in lieu of effective layout and design. (b) !
e Printed items for which additional color is used excessively, that is, four colors when two or three will fulfill the need, three colors !
' when two are adequate, two colors when one is adequate. (c) e l
l Printed items wherein the inclusion of multicolor does not reflect careful, competent advance planning that recognizes the contribution that the use of color is expected to make to the ultimate end--purpose. (d)
Approved: June 17,1991 (Revi:;ed: July 9,1995) 11
V:lume 3, Part 1 - Publicat'ons, Mail, and Infcrmati:n Disclasure Unclassified Contracter and Grantee Publicati:ns in the NUREG Serits Handbook 3.8 Part IH Color Printing (D)(continued) .
If color printing is anticipated when the statement of work or standard order for DOE work is being prepared, contact the Publications Branch, DFIPS. Prior approval must be granted by the Director of DFIPS. If a requirement for color printing arises as the report is being prepared, submit a written justi5 cation for its use to the Director of DFIPS. (3)
Microfiche (E)
NRC contractors and DOE laboratories submitting microfiche with
~ reports must submit a hard copy of each micro 5che, include headers on each microfiche as shown in Exhibit 3, and conform to the following NRC speci5 cations.*
Microfiche must conform to either the 24/98 format for source documents with 14 columns and 7 rows (reduction ratio of 1 to 24) or the 48/270 format for computer output micro 61m with 18 columns and 15 rows (reduction ratio of 1 to 48). (1) e The microfiche sheet must be standard 105 mm by 148 mm. (2) e
~ The microfiche must be either a silver-halide master or a black or blue-black diazo placed in acid-free envelopes. (3) e The micro 5che must contain headers as shown in the sample in Exhibit 3. Speci5cally, the first block of the header must contain the NUREG number (include volume or revision, if applicable),
the contractor identi5 cation number, and the classification (e.g.,
unclassified, proprietary). The second block must contain the description of the microfiche and may include the contractor's name. The third block must contain the publication date, and the sheet identification. (4) e The header information must be eye readable on a clear background. (5) e A foldout page must be microfilmed in sections if the page is too large to be microfilmed in a double frame. No less than 25-mm overlap of original material is acceptable. (6)
'With the cacephon of hems (3), (4), and (8), thee g=T=-w are consistent with the American Nanonal standards Instimte standard for Macy.glss-Microfiche, ANSI /AHM Ms5-1985." Copies of this standard are available from the Amencan National standards f='*t ATIN: saks IWo cat,11 West 42nd street,13th Door, New York, NY 10036 (212) 642-4900, or ffom the Awistion for Information and Image M: ==t, ATN: Pubbcations Section,1100 Wayne Avenue, silver sprmg. MD 20910 (301)587-8202.
Approved: June 17,1991 12 (Revised: July 9,1995)
p V:lume 3, Part 1 - Publicati:ns, Mail, and Inforrnati:n Disclosure Unclassified Ccntract:r and Grantee Publications in the NUREG Series Handbook 3.8 Part'IH !
Microfiche (E)(continued). ;
e The first frame must be blank (on the first sheet only), and the second frame must contain the National Institute of Standards and Technology's (NIST's) Reference Material resolution target in Microcopy Test Charts (NBS SRM 1010A). (7) l
- Jacketed microfiche is unacceptable. (8) !
Disclaimers (F) I 1
The following notice will be added by the Publications Branch, DFIPS, l
. before the printing process on the inside front cover: (1) !
p.
ymmemmmn~mmmmww'of 6Thispeport/was; prepared :as;sniaecount workge xw b,y spoasored 3an agenififthe United SihtEE GOeitunenUNiithhr thetnited
@ States /GoVernmeh6N&lanNajeshi$tkredffino,hans6fitliein 7 a:- a u.- : nn~ c ;e; n -
JesployeesJntakn.:n. aesgny3 warranty,9expressedf ora implisd/cw. gor Rassianissaby lsdaldiabilitfioNrssponsibilithfdr.ikanyftnihd Dps%'husMo{rithE!resuldidiluctEu5" e d ofsanf{inford 7;~ app
, . -- +aidiss$r$dd@n or tplioces x.n.~i[disclsssdfinithisfirisp%6r u.- ~:- c .. -
Jrepresentsithsfits:use by:suchLthir.,d!part m asa mtwaacawa a m ww 'wAwa:aam NM ' i s~
- u)rifsielpeshiediishisE^
% MdQif 'ywould:iistiinfrm,ge The branch will print the additional statement, "The siews expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission," below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed. (2) !
1 Availability Information (G)
Reference Material (1)
Reports or other documents referenced in text, reference secdons, l bibliographies, and appendixes of unclassified regulatory and l 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 I Printing Office (GPO), at the National Technical Information Service (NTIS), or at other reference or sales outlets) or in the NRC Public Document Room (PDR). 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, and Official Use Only). If the unretrievable information is important and unrestricted, quote it in Approved: June 17,1991 (Revised: July 9,1995) 13
Wlum: 3, Part 1 - Publicatirns, Mail, and Informati:n Disci: sura Unclassified C1:ntract:r and Grantee Publications in the NUREG Sari:s Handbook 3.8 Part III e
Availability Informatiori (o)(continued)
Reference Material (1)(continued) the text or in footnotes. Provide any credit due to individuals in the text or in an acknowledgment section. Availability may be stated collectively for all entries. (a)
Although proprietary reports may not be included in a list of references, listing or identification of proprietary repons may be included in an appendix or in a separate listing following the reference section titled " Proprietary Sources ofInformation." (b)
, In addition, reference to Institute of Nuclear Power Operations -
(INPO) documents may not be made without prior approval from INPO. Approval to reference INPO documents must be stated on the NRC Form 426A. (c)
GuideFnes for developing and presenting reference material are provided in NUREG-0650, Revision 1. (d)
Reports (2)
Most final reports are sold by GPO and NTIS. A statement indicating this availability is added to each report, as appropriate, by the Publications Branch staff before the report is printed. (a)
Draft reports for which comments are requested are typically announced in the Federal Register as being available from the NRC.
These repons are not sold at GPO or at NTIS. (b) I i
Forms (n) l Bibliographic Data Sheet (NRC Form 335) (1)
All published NRC reports must include an NRC Form 335 as the final right-hand page of the manuscript. Instmetions for completing the ,
NRC Form 335 appear on the back of the form. A completed NRC j Form 335 must be submitted en the Technical Publications Section, '
DFIPS, with the camera-ready copy of the report. Exhibit 2 shows a completed NRC Form 335.
Release To Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A) (2)
The NRC contact must submit a completed NRC Form 426A (see Exhibit 1) with the camera-ready copy of the report to the Technical Publications Section, DFIPS. NRC Form 426A must be signed by the staff member designated by the appropriate office director.
Approved: June 17,1991 14 (Revised: July 9,1995)
I I
Vclume 3, Pcrt 1 - Publicati:ns, Mail, and Infcrmati:n Discl:sure l Unclassified Contractor and Grantee Publicati:ns in the NUREG Series Handbook 3.8 Part III Printing and Reprinting (1)
The Publications Branch, DFIPS, will review the camera-ready report submitted for printing for its adherence to the standards and requirements set forth in this directive and handbook, as well as any relevant guidelines from NUREG-0650, Revision 1. Unsatisfactory manuscripts will be returned to the NRC contractor for appropriate action. (1)
Submit a memorandum requesting a reprint to the Director, DFIPS, or designee, for approval. Include with. the request a written justification and the approval of the office director or designee for reprinting. Also provide address labels for recipients not on hTC j standard distribution lists. (2) l Distribution (J)
The Publications Branch, DFIPS, will arrange distribution for all l copies of unclassified formal contractor reports in accordance with instructions on NRC Form 426A (Exhibit 1). The Publications Branch i will also arrange automatic distribution of these reports to NRC NUDOCS, the NRC PDR, NTIS, GPO, and the GPO Federal j
. Depository Library Program. (1) l Sensitive unclassified and classified reports will be distributed by the NRC sponsoring office on a case-by-case basis. (2) i .
l Approved: June 17,1991 -
(Revised: July 9,1995) 15 L
V: lum: 3, Part 1 - Publicati:ns, Mail, and Infcrmati:n Disclosura Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part IV Part IV I.nternational Agreement Reports Background and Rationale (A)
' NRC has cooperative nuclear safety.research programs that involve either or both foreign governments and organizations and U.S.
indusuy. These programs include monetary contributions, information exchange, and comments on program plans and results as authorized in the Energy Reorganization Act of 1974. To this end, international and U.S. industry agreements have been signed that provide for transmitting unclassified technical information from foreign parti cipants to NRC. These procedures apply only to NRC-managed work. (1)
The interests of all NRC international nuclear safety research program participants are served best by formal dissemination ofinformation on these programs or codes developed for or in cooperation with -
NRC. (2)
Identification Information (B)
Cover and Title Page (1)
The cover and title page will contain a title, a subtitle (if appropriate),
the names of the authors, the performing organizatior, and the NRC office sponsoring the project. The cover t.nd title page will be prepared by the Publications Branch, Division of Freedom ofInformation and Publications Services (DFIPS).
NRC Report Number (2)
Each report must be identified by an NRC-controlled alphanumeric number as the prime number unique to that report. The centralized j document control system for unique identification is maintained by l
DFIPS. Numbers may be obtained by callmg the Publications Branch at (301) 415-7008. (a) 16 Approved: June 17,1991 (Revised: July 9,1995)
Vclum2 3, Part 1 - Publications, Mail, and Infcrmation Disclosure Unclassified Contracter and Grantee Publicati:ns in the NUREG Series Handbook 3.8 Part IV Identification Information (B)(continued)
NRC Report Number (2)(continued)
The NRC identification number will have the form "NUREG/IA-000," where IA indicates "intemational agreement."
The foreign participant's repon number, if any, may be insened below the NUREG number on the cover, if desired. (b)
When a repon consists of more than one volume or binding oris issued in more than one edition, include an appropriate volume, number, supplement, pan, addendum, or revision designation below the repon number and the foreign panicipant's repon number, if any. (c)
Pmicus Reports in Series (3)
If the repon being prepared is one in an ongoing senes, list all previous repons in the series. Include repon numbers and issuance dates. Place this list on the back of the title page. If this list cannot be placed on a single page, place the pages at the end of the front maner rather than on the back of the title page.
Report Organization and Components (C)
The organization and components of cooperative agreement repons
, vary somewhat, depending on their purpose and scope. Each of these reports must include an abstract of200 words or less that appears on a separate page before the table of contents. The abstract must also ;
appear on the " Bibliographic Data Sheet," NRC Form 335 (Exhibit 2). !
Instructions for completing NRC Form 335 appear on the back of the !
form (Exhibit 2). Guidance on the special writing requirements for '
preparing abstracts appears in Section 5.5 of NUREG-0650, Revision 1.
Availability Information (D) !
References and Bibliographies (1)
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 i either in the public domain (as in a public library, at the Government l Printing Office (GPO), at the National Technical Information Service (NTIS), 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, interviews, and unpublished infonnation
.with restricted distribution (e.g., proprietary, National Security, Official Use Only). If the unretrievable information is important and Approved: June 17,1991 (Revised: July 9,1995) 17
Vcluma 3, Part 1 - Publicati:ns, Mail, cnd Infcrmati:n Disclasure i Unclassified Centractsr and Grantee Publicati:ns in the NUREG Series Handbook 3.8 Part IV i
Availability Inforniation (D)(continued) l References and Bibliographies (1) (continued) unrestricted, it can be quoted in the text, in footnotes, or in appendixes. If the title of a document containing proprietary information is unclassified, it can also be quoted in the text or in a footnote. If credit is due to individuals, they can be mentioned in the text or in an acknowledgment section. Availability may be stated collectively for all entries. (a) i Although proprietary reports may not be included in a list of references, listing or identification of proprietary reports may be
, included in an appendix orin a separate listing following the reference section titled " Proprietary Sources of Infonnation." (b)
In addition, reference to Institute of Nuclear Power Operations (INPO) documents may not be made without prior approval from i INPO. Approval to reference INPO documents must be stated on the NRC Form 426A. (c)
Guidelines for developing and presenting reference material are provided in NUREG-0650, Revision 1. (d)
. 1 Reports (2)
These reports will be made available for sale by GPO and NTIS.
Disclaimer (E) l The following notice will be added by the Publications Branch, DFIPS, on the inside front cover before printing. ,
l,; ;
La:~'] 'l.;
n j;j)::m'i'l u , .
':%Q),';^,;<,;,j,'
- .a n : ;:a = ~: ' ,' 2,,,/,'~
w:.~ 't V ' ,
This report;was,'pnpared+aiuter;an'internatianal' cooperative agreensent for the exchange'erta4=icaunferination. Neither the ,
' lUnitedStatesGoveriimeistsierminy'as sciin'ithiereof,neranyertheir . l
~5mployees, snaManywinrassey, expreised er iinpEed, er aamed l anylegalliabilityoir. ,~ ""'iM3iiai l ireMdts of sucli usk ofanji.; ~ S';yasisitpartfsase,ortime; 5pparatust product,'sr;
~pruiceIss dis' losed in thii'rejieft,'ir'Q that its use by'such c
- thiril party would
- ,a ~ :_ .
not infringe ~ privately
.:. , ~ - ~ . -
owned rights. ^;;c if ' :
- .~ ; ~ ~.:n i
l Approved: June 17,1991 18 (Revised: July 9,1995)
l Velune 3, Part 1 - Publicati:ns, Mail, and Infermation Disclssure ,
Unclassified Crntract:r cud Grantee Publicati:ns in the NUREG Series Handbook 3.8 Part IV j
{
Forms (F)
Bibliographic Data Sheet (NRC Form 335) (1)
Submit a typed NRC Form 335 (Exhibit 2) with the camera-ready copy to the Technical Publications Section, DFIPS, as the final right-hand Page.
' Release to Publish Unclassified NRC Contractor, Consultant, or '
Conference Proceedings Reports (hTC Form 426A) (2) l An NRC Form 426A (Exhibit 1) must be completed and signed by the
, office director or designee and submitted with the camera-ready copy of the report to the Technical Publications Section, DFIPS.
l Classified or Sensitive Unclassified Information (G)
The NRC contact should refer to Management Directive 12.2 or call the Division of Security for anwers to questions about the status of classi5ed or sensitive unclassified information in blJREG/IA reports.
l Approved: June 17,1991 (Revised: July 9,1995) 19 c
Valuine 3, Part 1 - Publicaticns, Mail, and Infcrmati::n Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part V
+
Part V Books General (A)
These guidelines apply to books written by contractors and grantees i that are printed by NRC. See Part VI of this handbook for guidance on '
publications, including books, by grantees.
Definition (B) ,
1 A book refers to a publication intended as a permanent reference or as j a textbook or major critical review of a technical or regulatory topic.
Format (C)
~
Books are usually 6 by 9 inches in trim size, but size will be based on requirements such as ease of use and legibility for graphics, foldouts, and the like. The binding (casebound or paperback) will be chosen according to the need for durability. Additional guidance on manuscript preparations can be found in the U.S. Government Printing Office Style Manual and the Chicago University's A Manual of Style.
Refer also to NRC's " Publishing Documents in the NUREG Series" (NUREG-0650, Revision 1). (1)
The contractor shall submit to the NRC project manager the typeset (photocomposed) manuscript suitable for printing. The NRC contact shall submit the manuscript to the Chief, Publications Banch, 1
Division of Freedom of Information and Publications Services, (DFIPS), where it will be reviewed for adherence to the standards set forth and referenced in this directive and handbook. The manuscript will also be reviewed forprinting acceptability by the Printing and Mail Services Branch, DFIPS. Unsatisfactory manuscripts will be reported to the NRC contact for appropriate contractual action by the NRC contracting officer or, in the case of Government agency or interagency agreement work, the publications manager of the performing orgamzation. (2)
Approved: June 17,1991 20 (Revised: July 9,1995)
. V:Ium2 3, Part 1 - Publicatirns, Mail, and Inftrmation Discl:sure Unclassified Ccntractor and Grantee Publicati:ns in the NUREG Seri:s
, Handbook 3.8 Part V ;
}
! Format (c)(continued) 1 \
DFIPS will approve the design of the cover and title page containing appropriate information concerning-(3) l Authors' names (a) e Organizationalidentification (b)
- Public availability and sales (c)
, All books must include a comprehensive subject index of the book's contents, unless the book is made up almost exclusively of graphical or tabular matter. See NUREG-0650, or The Chicago Manual Style 1 (13th ed.) for guidelines on creating an index. (4) i NRC Document Number (D)
Each book must be identified by an NRC-controlled alphanumeric code unique to that book. The alphanumeric code will have the form NUREG/CR for books prepared by contractors and NUREG/GR for books prepared by grantees. (1)
When a book consists of more than one volume or binding, or is issued in more than one edition, include an appropriate volume, number, supplement, part, addendum, or revision designation directly below the document number. (2)
Numbers are assigned by the Publications Branch, DFIPS. The number may be obtained before the manuscript is submitted to DFIPS for printing by calling the Publications Branch at (301) 415-7166. The DFIPS staff will arrange to meet with the NRC contact for the project and, when appropriate, the author (s), to discuss the publication production requirements and the schedule for the book. (3) 1 Availability of Reference Materials (E)
The guidelines for avnilability of reference material given in Section G of PartIII of this handl>ook also apply to books prepared by contractors and grantees that are published by NRC.
l Approved: June 17,1991 (Revised: July 9,1995) ,
21
V: luma 3, Part 1 - Publicatisns, Mail, and Inf:rmation Disclosure Unclassified Centracter and Grantee Publications in the NUREG Serizs Handbook 3.8 Part V Reviews, (F)
Peer (1)
Books published by NRC must undergo peer review by experts within and outside NRC. Peer review refers to a critical evaluation of the technical contents of a publication. These reviews may be conducted anonymously by reviewers from the author's own or a related field who are totally independent of the work leading to the manuscript. (a)
. Reviewers should be chosen by the NRC office sponsoring the book from the potential audience for the publication and should provide an independent judgment about whether the publication successfully
' accomplishes the author's aims. Peer reviewers should be chosen for their expenise in the subject matter of the book. They may come from academia, the national laboratories, other Federal agencies, or from other research institutes or consulting firms. They may be identified from the membership rolls of professional societies, American National Standards Institute (ANSI) subcommittees, and the like. Do not choose more than one reviewer from the same organization. (b)
When assessing potential peer reviewers, screen for demonstrated competence and achievement in a specific discipline or research specialty. Assess competence based on the quality of research accomplished, publications in refereed journals, and other significant technical activities, achievements, and honors. Consider the judgment, perspective, and objectivity of reviewers. Consider also the personal integrity of those selected to ensure the confidentiality of information reviewed. Finally, avoid real or perceived conflicts of interest. Do not choose reviewers who are licensees or consultants to licensees, nor reviewers from intervenor groups. Likewise, do not choose reviewers who may proSt financially from inDuencing the information reviewed. (c)
The services of reviewers from outside the agency may be acquired through consultant services contracts. The decision as to whether to reimburse peer reviewers should be made on a case-by-case basis, l however. Recognize that reimbursmg peer reviewers may give the
- appearance of a conflict ofinterest, suggesting to some that because ,
NRC is pt.ying for this service, the agency will seek only reviewers thought tc, be favorably disposed to the material reviewed. One way to 4 offset this impression is to seek recommendations for peer resiewers from independent organintions, such as the American Physics Approved: June 17,1991 22 (Revised: July 9,1995)
n Volum2 3, Part 1 - Publicati:ns, Mail, and Infsrmati:n Discl:sure l
Unclassifi:d Ccutractor and Grantee Publications in the NUREG Seri:s Handbook 3.8 Part V l
Reviews (F)(continued)
Peer (1)(continued) l l
Society, the American Nuclear Society, the American Society of Mechanical Engineers, or appropriate universities. Reimbursement could then be made to the organization. (d)
Copyright (2) '
~
Copyrighted material must not be reproduced in NRC books without appropriate authority, usually written permission of the copydght
, holder. See Section 3.4 ofNUREG-0650, Revision 1,forinformation about obtammg copyright permission.
Security (3)
On the basis of the knowledge of the information sources used, the authoris responsible for ensuring that the manuscript does not contain classiEed or other access-controlled information. If uncertainty exists with respect to the security classification of a reference document or manuscript, an authorized classifier or the NRC Disision of Security should be contacted for assistance. See also Management t Directive 12.2, "NRC Classified Information Security Program."
Patent (4)
The patent review guidelines for draft and final formal reports specified in Section (C)(1) of Part III of this handbook also apply to books prepared by contractors and grantees.
Publishing Authorization Form (c)
A completed NRC Form 426A (Exhibit 1), signed by the office director or designee or by a DOE national laboratory authorized ofEcial if the publication is prepared for the ' Office of Nuclear Regulatory Research, must be submitted to DFIPS with the book manuscript.
I Disclaimers (a) l The following standard U.S. Government notice will be added before printing:(1)
Approved: June 17,1991 (Revised: July 9,1995) 23 l
Volume 3, Part 1 - Publicati:ns, Mail, and Information Disclesure !
Unclassified Contracter and Grantee Publicati:ns in the NUREG Series Handbook 3.8 Part V Disclairners (n)(continued)
PDiisATE~Missskifspesd sisissEisiisfo~ fssink^sponssiFEl
$jn in sn,an EU5 f s iency:.lG.
. ed. States
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.4 nt: o,ve.rnm,eu.w.nn,d,gNhe:D$
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=
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pw a csoe/ar, v. ; :.y . , . -
~2 rassumes;u,s any4 . IfzlinBHi ;;; oraresponsi sue m ;u;;.,;n... ..;.;biliti;e; janyyt for. ; ,;., <n;c~h:ir..d an .m: _
rp v ~wnw. tuseg
. papparatus; xo.. era ~Ei,w_tiexm, ., +fo,rm.
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or
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pyresents. ';ts
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suc ';,.h' '::Rsh:.g s..,.:ird partywould"%inot ' o - . ..w.:infr"in...Jge' IIPMhh5$dtEs%$[hgd[hM[Jdfg The following additional statement may be printed below the standard disclaimer, if authorized by the NRC office director or designee: (2)
$Md5EniEE5EGiEiI)FaiEdTd6"ddifs?REElEEENe~jEiii3ffi ,
ICeesiksisMDMCHCon6AedNsi? ~ MTisE6piniulV'! l fr$dn Aidiiis6mujIsindations e6rd$$dlinein l ErE%@ss66ntisi5s@4RFisifW%i%seeearugscence sM&rhWEnih I Nigggggggeystag5 tm m m mmamaww;u.am% m;m dammam - .
grw ' >
, Other qualifying statements may be added, if needed. (3)
Printing m i DFIPS will submit book manuscripts to GPO for printing. The printing cycle requires from 6 to 8 weeks.
Distribution and Sales (J)
The DFIPS staff will arrange distribution in accordance with distribution guidance provided by the NRC project manager on NRC Form 426A (Exhibit 1). (1)
Free distribution should be limited to those who contributed materially to the book or to those for whom the book's subject matter bears directly on their work at or for NRC. (2)
DFIPS will arrange to make the book available for sale through GPO.
DFIPS also will arrange to have it made available at the NRC PDR and for the GPO Federal Depository I.ibrary Program. (3)
Approved: June 17,1991 24 (Revised: July 9,1995)
1 Vclume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part VI Part VI Grant Publications Background sud Rationale (A)
The Nuclear Regulatory Commission funds grants for educational and nonprofit institutions, State and local governments, and professional societies for the expansion, exchange, and transfer of knowledge and ideas pursuant to the Atomic Energy Act of 1954, as amended, Sections 31.a and 141.b.
Publication of Results (s) l l
The grant will specify the publication requirements of the award.
Grant results may be published by NRC, by the grantee, or in the open literature.
Publication by NRC (1)
This publication option must be governed by the guidelines specified in Part HI of this handbook for reports or in Part V of this handbook for books, as appropriate. See " Identification Information,"
Section (C) of this part.
Publication by a Grantee (2)
When the grant specifies that the grantee is to publish the results of his or her work, the grantee must grant to the Government a royalty-free, nonexclusive, irrevocable license to reproduce, translate, publish, use, and dispose of all copyrightable material first produced or composed in the grantee's performance under the grant.
Publication by a Grantee in the Open Literature (3)
When the grantee submits joumal articles for publication, each article must be accompanied by the following statement: (a)
Approved: June 17,1991 (Revised: July 9,1995) 25
V:lume 3, Part 1 - Publications, Mail, and Infcrmation Disclosure Unclassified Centracter and Grantee Publications in the NUREG Series Handbook 3.8 Part VI Publication of Results.(s)(continued)
Publication by a Grantee in the Open Literature (3) (continued) rmmmmmmmweerw w by:
fThes. .ubau ith,e!U.S$G.tt.id.Lman._us_enpt.,,:
, . ~
r.
.-m overnmeist;underGran.tNoW_ . 4M,a.
4 igrante,e r ,.c,cordm, gly;t bise be..e..,n
'oD thas e
rih...eU.S!Go,,vernmen.,.-m.m,a.m.,,
e.n n -
.m.~. - - ~m. h.._. -eenm.- ,a p W &- .- -i formirthis conti;ilis. -
seto=s MIN #bd&pieduceibsano.nexcl,us,,ive pobEsh or=dr
.s.w urp- .aa?M tisn3 un.auw 5W5E6ff6EdMGNEirssiedEh.n..
.m.u- n. .w- oses. m All open literature publications prepared under this grant must
, contain the following statement: (b)
-m wmnnnv , - - ~ .-- , . -
4 This paperwas purpared with the support of the U.S. Nuclearc
[ Regulatory Commission (NRC) under Grant No. '
. .The' iopinions,G' findings,o,concl=ciaas,: cand recommendations
- expressed.herein are;those of the. author (s);and do/n5t ^
- ,l necessariff reflect
. ,. s the'
. - views, of th. e NRC.' f/ u. c . ' < < ' -
k'.n o ve Qwa hwd e.=./v>+44 :.:ww%%%./ .sbu s, ^ve 4.www .v eb %
. i<4.. > w +ve ww.4d b%s ,A<w %v #%/N If the grantee is requested by the journal or other publisher to transfer
. the copyright, the grantee author will respond to the journal or other publisher in writing in accord with the sample letter shown as follows- (c)
'Ddaf3Pablidier's~Nauhe')p".~~~w^~
s - >a: .a < :.s.> 'es ~-'"^' " '^;~^'- O'
~
. ~^: ^ " ~^~ '+-^ ~ ^
Mrecently received a_decument for, signature assignmg copynght
- and republication rights in'the submitted article (title)'to (na'me of
' publication). Thisletterisafferedin lieu ef the dec6Anent as a'means
,0f ceaspleting,the' transfer of ennership.' Accordingly,'we:hereby expressly < transfer;and, assign our'l rights:of ownershiip,In' the
"t ' ^ -
tabove-cited
- . <: ,, . .a werk - <s,+,, to (adme w; ofl=Ambr); O Z:e , .w ^' . v: y - ' '
- Yaniare
- adiised,* bowsv'er;'that the:above accie=$and any.
ipulilication orsep,ublication of tiiesbeve-cited workissubject to the.
~
ifAllMhng
- m.~ gem $mneuffiNiiOEhFM$ % % - n.~. @@<i$i@'k$$7%
k .n. dL,. ~~
sTh.:.,:.r,n angswo, x..,.v.-w %%been.s..d...,e. x y ssd r .
.horedb<%ceyagrantecofth.
e mann aut -
- l
- Gover== cat under Grand No; ;C > " 51': ^ i Accordingly, the U S. .
?
GeMiinment his~a n'o6Achaive,< royalty-free license'to publish or.
[ reproduce the publishedform of this chatributiv '
idsinfin1LSAGevern5IbliiWrjniisesl@
www. .g;ae , m , ya d R %gy?
q.;@w@eQTP MM:orallowethe m e g+
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&ahg ieg.mny,a ss e/dM* r,.q + n% "r'x.ma g6 &. pgyen mag a ga&Sincerelyg,s..,,,
x gewya .y.J Approved: June 17,1991 26 (Revised: July 9,1995) 5, m. . a.r . _ . - _ . _ . - . . - - - - - _ . - . - -. - .
t
Volume 3, Part 1 - Publicati:ns, Mail, and Infernution Disclosure Unclassified Contre.ctor and Grantee Publicatisns in the NUREG Stries Handbook 3.8 Part VI l 1
Publication of Results (B)(continued) i Reprints of Open Literature Publications (4)
When any article resulting from work under the grant is published in a scientific, technical, or professional journal, two reprints of the '
publication must be sent to the cognizant NRC program officer, clearly labeled with the grant number and other appropriate identifying information.
Identification Information (C)
- Each report or book published by NRC that results from a grant must ;
be identified by an alphanumeric number, "NUREG/GR-000,"
where "GR" indicates " grant report." (1) i When the publication consists of more than one volume, number, supplement, part, or binding, or is issued in more than one edition, an j appropriate volume, supplement, part, or revision designation must appear below the NUREG/GR number. (2)
Numbers may be obtained from the Publications Branch at
. (301) 415-7008.(3)
Pre-Publication Reviews (o)
The U.S. Congress characterizes the relationship between a Federal agency and a grant recipient as one in which "the recipient can expect 1
to run the project without agency collaboration, participation, or intervention as long as it is run in accordance with the terms of the instrument."
l l
}
Approved: June 17,1991 (Revised: July 9,1995) 27
r V:lumn 3, Part 1 - Publicati: ins, Mail, cnd Infcrmatirn Disclasure l Unclassified Contractor and Grantee Publications in the NUREG Series )
Handbook 3.8 Glossary
{
I Glossary
- Book. Apublication intended as a permanent reference or textbook or
- as a major critical review of a technical or regulatory topic. It may be casebound (hardback) or paperbound. i Camera-Ready Copy. Pages ready for printing by the offset printing l process. This is a colloquial term used even though the printing process may not involve the so-called copy camera (see also reproducible masters).
I Casebound. Term denoting a book with a hard cover.
Compose. To arrange letters, in type or film, for printing. Usually synonymous with typesetting.
Composition. The process of setting type by hot-metal casting, phototypesetting, or electronic character generating devices (e.g., ,
computers) for the purpose of producing camera-ready copy, '
negatives, a plate, or an image to be used in the production of printing or microform.
Contractor Report. Record of work done (a report) prepared in (
accordance with the provisions of a contract or under or pursuant J
to an mteragency agre.ement. -
Copyright. A form of protection provide'd by the laws of the United States (Title 17, U.S. Code), to the authors of " original works of
)
1 authorship," including literary, dramatic, musical, artistic, and certain other intellectual works. This protection is available to both published and unpublished works. Generally, copyrighted material may not be reproduced without the permission of the author or the publisher.
Disseminate. To announce the publication of reports and make them available for free distribution, sale, or copying.
wonts in isaria in desnitions are also dermed in the rJossary.
Approved: June 17,1991 28 (Revised: July 9,1995)
L
r- 1 Vclume 3, Part 1 - Publicatirns, Mail, and Infcrmatian Disclosure Unclassified Centract r and Grantee Publicatitns in th: NUREG S ries Handbook 3.8 Glossarv Glossary (continued)
Distribution. Repons dispensed to specific orgamzations and individuals to ensure their panicipation in the regulatory process and suppon of research and technological investigations. Such distribution may be accomplished by the use of standard distribution lists established and maintained by the Disision of Freedom ofInformation and Publications Senices at the request of the originating office or region.
Documentation. Classification and associated markings required for
' classified or sensitive unclassified documents, the NRC repon number unique to the repon, title (and subtitle, if any), author or correspondent (if any), organization identification and contract number (or job code number), date, and availability.
Edition. All copies of a book printed from the same type. Edition also refers to format, such aspaperback, casebound, or to the text, as revised, expanded, and so on. If extensive revisions have been made to the text and the book is reprinted, the revised version is the new edition.
, Grant. A legalinstrument which defines the relationship between the Government and a recipient for the transfer of money, property, senices, or anything of value to the recipient for the accomplishment of a public purpose of suppon or stimulation authorized by law. A grant presumes a limited amount of involvement by the agency in the performance by the recipient.
Grant Report. Arecord of work done prepared in accordance with the {
provisions of the grant.
Inder. An alphabetical list of all major topics discussed in a book. It cites the page numbers where each topic can be found. The indexis the last 'ection of a book.
International Agreement. Cooperative nuclear safety research programs that involve either or both foreign governments and organizations and U.S. industry. Such involvement, authorized under 42 U.S.C. 5801, includes monetary contributions, !
information exchanges, and comments on program plans and j results. !
I International Agreement Report. A record of work done prepared in l accordance with the provisions of an intemazional agreement. i l
Approved: June 17,1991 (Revised: July 9,1995) 29 I
i Vclume 3, Part 1 - Publicati:ns, Mail, and Infcrmition Disclosure Unclassified Centracter and Grantee' Publications in the NUREG Series Handbook 3.8 Glossary
. Glossary (continued) -
Manuscript. A handwritten, typewritten, or composed version of a document. as distinguished from a printed copy.
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. -
Paperback. Abook with a flexible paper cover.
~
Peer Review. A critical evaluation of the technical contents of a publication. These reviews are conducted by reviewers from the author's own or a related field who are totallyindependent of the work leading to the manuscript. Reviewers should be chosen from the potential audience for the publication and should provide an independent judgment about whether the publication successfully accomplishes the author's auns.
Photocomposition. Typesetting performed when photosensitive paper or film is exposed to light in the form of letters and characters.
Photocomposition is to be distinguished from hot-metal and typewriter composition.
Printing. As defined by the Joint Committee on Printing, includes and applies to the process of composition, platemaking, presswork, collating, and microform; the equipment used in such processes; or the end product produced by such processes and equipment. ;
Proprietary Information. Trade secrets; privileged or confidential research, development, commercial, or financial information exempt from mandatory disclosure under 10 CFR Part 2 (Sections 2.740 and 2.790) and under 10 CFR Part 9 (Section 9.17);
and other information submitted in confidence to the NRC by a foreign source and determined to be unclassified by the NRC.
Public Domain. Materials for which a copyright never existed, such as U.S. Government publications, or for which a copyright has expired. i 1
Publicly Available Documents. Information (reports and references)
. that is available in the NRC Public Document Room (PDR) for
- public inspection and copying or available in the public domain.
' Approved: June 17,1991 30 (Revised: July 9,1995)
l Wlum2 3, Pcrt 1 - Publications, Mail, and Informati:n Disclasure Unclassified Centracter cnd Grantee Publications in the NUREG Series i Handbook 3.8 Glossarv i
Glossary (continued) l l l Reproducible Masters. Camera-ready copy that includes (1) odginals t
l ofline drawings (or prints that can be copied); (2) glossy prints of I black and white photographs; (3) original typeset or pdnted ten, tables, cover, title page, contents, and abstract; or (4) other forms of the materials that a printer can reproduce.
Trim Size. The final size of the whole page, margins included.
Typesetting. The placement of type on a page (letters, numbers, and
, other characters)in conformance with specific style and layout instmetions.
Unique Identification. NRC identification (NUREG number) usod on a report and its attachments, revisions, and supplements that is not
, used on any other publication.
I l
l l
Approved: June 17,1991 (Revised: July 9,1995) 31 I
Volume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Exhibits Exhibit 1 ,
NRC Form 426A, " Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports" g .e .a. s.nucana ansa asonv - - t nuons uumeta m a
...t a=,
0 RE!IASE TO PUBUSH UNCLASSIFIED NRC CONTRACTOR.
CONSULTANT, OR CONFERENCE PROCEEDINGS REPORTS h3 ~
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32 Approved: June 17,1991 (Revised: July 9,1995)
Wluine 3, Part 1 - Publicaticas, Mail, and Inferrnati:n Disclosure I Unclassified Centract:r and Grantee Publicatians in th2 NUREG S: ries Handbook 3.8 Exhibits Exhibit 2 NRC Form 335, " Bibliographic Data Sheet" m .o .......,o.., .. i. ...o.
= .., _ ,_.
BIBLIOGRAPHIC DATA SHEET
~ ~ ~~*
- s. va6a o war.vta fiUREG/CR-5603 EGG-2607 Pressure-Dependent Fragilities for Piping Components : 2.
Pilot Study on Davis-Besse Nuclear Power Station '
o.teatroni e s to r '- .... i October l 1990 l k Aa/rMORC.e b$gff A TYP FREPOP D.A. Wesley T.R. Kipp, D.K. Nakaki, H. Hadidi-Tanded ch'nic'
. A 7
asoc covw a.esasoa.-c onsanu.r.on - u t ano co.m. 6, -
4 ~ .a c -
EfdE%rporation Under contract to: \ '
27401 Los Altos, Suite 480 Idaho National Engi erf Mission Viejo, CA 92691 Laboratory EG&G Idaho. Inc.
Idaho Falls, ID 8341 m _ .- .._m.. _ - . o _ . m . _ . s \- b
.y _ .
Division of Safety Issue Resolution n- '
Office of Nuclear Regulatory Research '
U.S. Regulatory Corrrnission
-/ )
Washinoton. D.C. 70555 A
/ x y x- s The capacities of four, low-pres reff uid.s st to wittistand pressures and tempera-tures above the design lev were es ishe for ion. The results will use 'n e alu ' g :t e Da s-Besse Nuclear Power Stat-facing System Loss of lant Ac ~ e ts, pro ity of plant damage frorn Inter-OCA)- part of the probabilistic risk as-sessment of the Davis- sse clear r. Ton.o ertaken by EG&G Idaho, Inc. In-cluded in this evaluatio are:
flanged connections for ea -sys tanks. s h t e ngers, filters, pumps, valves, and
'The'p bab ities of failure, as a function of in-ternal pressu e evalua d as 1 s4he variabilities associated with them. Leak rates or lea reas e esti ed fo the trolling modes of failure. The pressure capacities f .th pi and ye els a various failu evaluated using limit-state analyses for the
.mo con.' ered. The- pacities are dependent on several factors, in-cluding the mat ria pert , so 1 assumptions, and the postulated failure cri-
- teria. The fail re d ~for g ete -flange connections, valves, and pumps do not lend th to eva ati 1 rely rimaril oni er,1 y t:onver 'onal structural mechanics technioues and evaluation from ongoing gasket research test programs and avail-le sv r infonna on .a test data, i
atv-+ M no1 -'
rag es Unlimited
% ping.com pres M ependen sc I erfaci Sy em Lc ss of Coolant Accidents (ISLOCA) a.
pre . . st
- i sk - a' .sessment Davis-Bes uclea Power Station Uncl assified n~
Unclassified a u-un on ..cas e & .4 act c
Approved: June 17,1991 (Revised: July 9,1995) 33
V:lume 3, Part 1 - Publicati:ns, Mail, and Infcrnetion Disclosure Unclassified Centractor and Grantee Publications in the NUREG Series Handbook 3.8 Exhibits Exhibit 2 (continued) ,
DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT msTaucTxas NRC FORM S35, DISLIOGRAPHIC DATA SHEET, IS BASED ON GUIDEUNES FOR FORMAT AND PRODUCTION OF SCIENTIFIC AND TECHNICAL REPORTS, ANSI 229.18.-1987 AVAILASLE FROM AMERICAN NATIONAL STANDARDS INSTITLTTE.1430 BROADWAY, NEW YORK. NY 80018. EACH SEPARATELY SOUND REPORT-FOR EXAMPLE, EACH VOLUME IN A MULTIVOLUME SET-SHALL HAVE ITS UNIQUE SIBUDGRAPHIC DATA SHEET.
- 1. RhP0flT NUMBER. Emeh indivistuelly Isound soport must 8. PERFORRAING ORGANIZATION NAME AND e4 AILING earry a smindse asphemsmere esmuyisuon (NUREG) assegmed ADDRESS. Gwe rimme. street, sty. staet, and ZIP cause, by the Regulosory Publiestions Branch, Divlson of Freedom List no mese than two levels of an orgmanasuonet hserarchy.
of internetson and Pubhasesons Servsmes, an _ w ith Delsy the name of the organsamtson osactly as folksuus:
Apennen hostional Sunderd ANS! Z39.23-1983, Simndard Davisata, Offsee, Organization or Government spency, and Technmal Reusert Number (STRNL use upoersuse estters, assdres.
Aruble puenerais, slashes.and hyphrves only, as in the falassv.
sne esempass: NUREG.0100. NUREG/CP.0010. NUREC/ 9. SPONSORING ORGAN!ZATIOnL ff NRC, type "Same as CR4100, and NUREG/ssG41L For reports in a series add above"; if contractor, provute NRC Devenson, Offsce or Regen, Vol. Sep., Rev and Adeandurra, ushen sisessaary. Add UA Nuolmer Reguistory Conwnesman, and mailing esesfreas, consrunter erunweterense identificarsen number Of any) beisur NUREG. series number, e.g. PNL,XXXX. SANDXX. 10. SWPLAMENTARY NOTES. Eerser information not inciussed XXXX. sal.XXXX. ; best useful, such ast hepared in - , _ _ guith Psamensed at esseforense of . To be r-* 8h . Docket No.
- 2. TITLE AND SU5 TITLE. Tsite should insrasmus cesarty anst "* *'"*'* * * "'" '"'"'
brie 0y tese subiset issuuruse) of the report; inseusEng arry "
w W e1 e. e suport b M in nuwe the one wonunu, repast the N tide, add eme e 11. A357RACT. Include a turief (200 worth or less) factuel aJm.
- 3""** U's asiper and snary
,,,,,,, of
,, the
,g, enest
,,,,,, segnitar
,,,,,,,, ,set informa, tion conta,,ined in tne
'em"d me ame * "88888' netwes, toutcuorm
"' 'w#8' comsuer ende nomes. Do ,3,,,g,,,,g,,, ,,,,,,,
heersene marvey or munspie voaumes, rnantion it hese. Abstract not use acronyms and initialisms in tseas; rasy be added in peranthesto is to tse propssed by authser ser prosect siswissw tz. KEY gooRDs/DEScRIPTORS. Sehet from ww Energy Duca 3, DATE REPORT.PUBUSHED. Each report must carry a sense same Sutiiect Thesaurtas. DOE / TIC.700R R.5, the proper indmasang monts: and veer published authermed arms that islentify the maior concept of the rumorth and are suffiumently specific said presse to be samed
- 12. AVAILABBLITY STATEhlENT. Demose putdic relemsst# sty, for suonote "uniinled*, or limhsmon ser reasons other
- 5. AUTHOfstSL Gwe name(s) in consentsanal erster (e.g John thei ssensrity.
R. Doe, J. Robert Doek Ust author's afJirastion if it is afiffur- -
ent frorn the .L . ssagenstemon,
- 14. SECURITY CLASSIFICATION. Enser U.S. Securroc Clmmifi.
estian in senosdanse with U.S. $seurity Regulatsons tie.,
- I*
E TYPE OF REPORT. Samm draft, Sant, proibitinary, sopical.
"'"""I* 8"I*'Y' *8"" "dYa'"-
- 13. NLAABER OF PAJES.1sme blank. (Added by NTIS)
- 7. PER800 COVEREtt Addine6Jsive deses 16. PR8CE. Lasse tsienk. (Asheed by NTis) as enemme numssamt um e a Approved: June 17,1991 34 (Revised: July 9,1995)
i Volume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Exhibits Exhibit 3 1
Microfiche Sheet Sample i
I e $0 NO. e.g. p n )
MICROFI'CHE PUBU T!ON ATE CONTRACTOR NAME ( ) V >
1 55 $ l 5
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Approved: June 17,1991 (Revised: July 9,1995) 35
o ATTACHMENI g CONTRACTOR SPENDING PLAN - INSTRUCTIONS The Contractor Spending Plan (CSP) is an important tool for projecting and tracking contract costs and progress each task under the contract.
Applicability The Nuclear Regulatory Commission (NRC) requires that the CSP be completed for cost reimbursement contracts when the award amount is expected to exceed
$100,000 and the period of performance is expected to exceed 6 months. For task order type contracts, a CSP is required when an individual cost reimbursement task order is expected to exceed the above thresholds. When a contract or task order modification increases the contract or task order i amount of a cost reimbursement contract or task order to over $100,000 and I the period of performance from the effective date of the modification to the contract or task order expiration exceeds 6 months, a CSP is required for all contract work to be performed af ter the effective date of the modification.
Submission
- 1. A CSP is required:
- a. as part of the cost proposal for a cost reimbursement contract or individual task order, or modification to a contract or task order which meets the above thresholds;
- b. as part of the Best and Final Offer (if requested) as a result of negotiations;
- 2. Updated CSP information is required on a monthly basis or as approved by the CO as part of the " Financial Status Report" (Ref: Section F.3,
" Financial Status Report").
Format ,
The attached CSP sample format may be duplicated and used by the Contractor, i or modified to permit more accurate reporting or to meet other needs of the contractor. For instance, the sample format provides spaces to report projected costs for 12 months,,but the contractor may wish to alter the l sample format for shorter or longer contract / task order periods. The contractor may also wish to alter the sample format for ease of typing or automated production. So long as complete information is provided on actual and projected costs or accomplishments, changes to the format to improve relevance to the circumstances are encouraged. ,
It is up to the discretion of the offeror to determine the appropriate level of cost detail to be presented based on the complexity of the effort. This plan reflects only the minimum requirements for submission of cost details which will be considered for completeness, reasonableness, and as a measure of effective management of the effort. The Contracting Officer reserves the right to request addit.ional cost information, if deemed necessary.
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l ACH VENDOR /MISCELLANEO'JS PAYMENUITACHME.N.,T..'.s = ~ ~ ' '" ;,.."',~-
- ~~ ~
' 1 ENROLLMENT FORM This fortn is used for Automated Clearing House (ACH) payments with an addendum record that ;;rtatns pa,mr related information processed through the Vendor Express Program. Recipients of these payments should Dring :< -
informatien to the attention of their financialinstitution when presenting this form for completion
- _.._ -. _ ._ PRIVACY ACT STATEMENT The following information is provided to comply with the Privacy Act of 1974 (P.L.93-579). All information collected on this form is required under the provisions of 31 U.S.C. 3322 and 31 CFR 210 This information will be used by the Treasury Department to transmit payment data, by electronic means. to vendor's financial institution, Failure to provide the requested information may delay or prevent the receipt of payments through the Automated Clearing House Payment System.
AGENCY INFORMATION EEDERAL PROGP.AM AGENCY
,U.S. NUCLEAR REGULATORY COMMISSION ~
cotev oestirien asency tocanos cooe inte) a:w ronuar.
NRC 31000001 . n CCo. n CTx CTP ADDRESS DIVISION OF ACCOUNTING AND FINANCE, Mall STOP T-9 H4 WASHINGTON. DC 20555-0001,
'~
TELEPHONE NUMBER COY 4 TACT PERSON NAME
~ FINANCIAL OPERATIONS SECTION ( 301 ) 415-7520 9
a PAYEE / COMPANY INFORMATION -
ESN NO. OR TAXPAYER 10 No.
MAME ADDRESS T_ - - -. .
CONTACT PERSON NAME. ' TELEPHONE NUMBER 1( ) _ . . _ _ _ _
~ ~
FINANCIAL INSTITUTION INFORMATION
~
NAME-ADDRESS . , ,,
ACH COORDINATOR NAME. TELEPHONE NUMDER.
- ( ) .
NINE-OlGIT ROUTING TRANSIT NUMBER..
DEPOSITOR ACCOUNT TITLE:
DEPOSITOR AC' COUNT NUMBER: ; LOCK BOX NUMBER.
ACH FORMAT.
SAVINGS ! LOCK BOX CHECKING S6GNATURE AND TITLE OF AUTHORIZED OFFICLAL: TELEPHONE NUMBER
( )
- .= - _
s . _ . _ _ _ _ _ _ _
x _
s Instructions for Completing SF 3881 Form
- 1. Agency Information Section -- Federal agency prints or types the name and address of the Federal Program agency originating the vendor / miscellaneous payment, agency ider.li$er, agency location code, contact person name and telephone number of the agency. Also, the appropriate box for ACH format is checked.
2; Payee / Company Information Section -- Payee prints or types the name of the payee / company and address that will receive ACH vendor / miscellaneous payments, social security or taxpayer ID number, and contact person name and telephone number of the psyce/ company. Payee also verifies depositor account number, account title, and type of account entered 'oy your fu.encial institution in the Financial Institution Information Section.
- 3. Financial Institution Information Section -- Financial institution prints or types the name and address of the payee /corapany's financialinstitution who will receive the ACH paymerft, ACH coordinator name and telephone number, nine-digit routing transit number, depositor (payee / company) account title and account number Also, the box for type of account is j checked, and the signature, title, and telephone number of the appropriate financial !
institution official are included.
I Burden Estimate Statement l The estimated average burden associated with this collection of Information is 15 minutes per respondent or record keeper, depending on individual circumstances. Comments concoming the accuracy of this burden estimate and suggestions for reducing this burden should be !
directed to the Financial Management Service, Facilities Management Division, Property and ,
Supply Branch, Room B-101,3700 East '/est Highway, Hyattsville, MD 20782, and the Office l' of Management and Budget, Paperwork Reduction Projebrti 0 0056). Washington, DC 20503. ,
i I
~~
ATTACHMENT 7
- 1. numanusin m.cnacTamuu rm ATum Nunseus CONTRACT PRICING PROPOSAL COVER SHEET OMB No.:9000-0013 (Cast orMciPip Dets RequiPING Expires: 09/30/98
~
Pubhc reporting burden for the C:---. of snformetson e ostwnsted to overage 4 hours4.62963e-5 days <br />0.00111 hours <br />6.613757e-6 weeks <br />1.522e-6 months <br /> por response, encludeng the-time for reviewing snstructions, eserctung emarting data sources, gathenne and meantowung the dote needed. and compie0ng and reviewing the collection of iP4ormation, Send Comments regarding this burden entwnste or any other espect of the Collection of information, suggestions for reducang ins hurden, to the FAR Secretenet (VRS). Office of Federsi Acquisetson Policy, GSA, Washington, as. NAldt OF 6 _.,.i e P0edT OF CoffTACT 25 atAhet OF of5GIDA 3c. TELEPHONE ab. TITLE OF ONUtDers PostT OF CoseTACT AREA CODE soundeEn
- 26. FEET Esse A00 mess 2s. smT *m=== 4. TYPE OF CONTRACT ACTION fChect/
- a. earw CONTH4CT d. LETTER CaerTRACT
- 24. CffY 2e. t'eATE 21.2P CODE b. Casaamar OfWGt e. UBIPfuCED OfWER
- t. OTHER#5 pen w
,, pgetX gm SEDETussetAftDas
- 6. TYPE OF CoorTRACT #Ghame
[ MP CPPF C puF O war _
- s. PROPOSED COST <A + s- Ce ppt OTwet gs,.rew A. cost a. Pn0PITsPEE c. TOTAL e
- 7. PERFORMANCE
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- a. LINE TTEM NO.' b. IDENTIRCATION c. OuANTTTY d. TOTAL PfuCE e. PROP. PJ Pdt
- 9. PROVIDE THE FOLLOWING M avano6W maast Or cowTnACT am*==TmATuon W seAass or Au0ff w STIIEET A0011ESS Sissai A00fES&
STATE 2P CODE CrTY STATE 2P CODE CffY AeEA CD[ esummER AflEA CODE l 136. Yrt. OF .- -- M *a*>
- 10. tuti vou fE0ueE THE ust OF Affy SC -- T 1 % suhrseTHE 1 l e. DD YUU -- em _ - - 1 COBffRACT pmaanerma TO pef 4 PEfE0fesAseCE Of THIE w08E7 F *>es* massaryt P00sf Des PUIDrosED Coe> PnD0 fess I TRAC"ff F Fam*anspesse asse f 73 ADVAfsCE PAYtapff PAYhdENT5 l YES Is0 O v== ]0 =>a.s.fTEED t0Aa's
- 12. seAWE v0u eE9e AwAfGED Asfv 00ssTRACTE em maarminACTS pon THE ts. s TMS r= -w.AL CosesTWrf witte Youst 33Taan neeED ESTRAAT980 AND ACCOL2rfuse PEIACTites Age P'a8'*m 8'8B A000 f AR PAfri 31. cost SAesE 014 masa aat ITWAS wf1Het INE PAST 3 YEASEP W "Yan
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U l, FAC 90-32 OCTOBER 1,1995 l.
, 15.se64 FEDERAL ACQUISITION REGULATION (FAR)
TABLE 15 2 INSTRUCTIONS FOR SUBMISSION OF A CONTRACT PRICING PROPOSAL WHEN COST O PRICING DATA ARE REQUIRED
'the SF 1411 provides s' cover sheet for use by offernrs to
- subn it to the Govemment a pncing proposal of estimated and/or actual costs only when cost or pricing data are required.
- 1. The pricing proposal shall be segregated by contract line item wnh suflicient detail to permit cost analysis. Attach cost-clement breakdowns, using the apolicable fonnats presenbed in item 8A, B. or C of this section, for each proposed hue item.
l
! 'Ihese breakdowns must conform to the instructions in the solicitation and any specific requirements established by the con-l tractirg officer. Furnish supporting breakdowns for each cost element, consistent with the offeror's cost accounting system.
When more than one contract line item is proposed, summary total amounts covering all line items must be furnished for cach cost element. If agreement has been reached with Government representatives on use of forward pricing rates / factors, idertify the agreement, include a copy, and describe its nature. Depending on offeror's system, breakdowns shall be provided fw the following basic eleinents of cost, as applicable:
Malenais-Provide a consolidated pnced summary of individual material quantities included in the various tasia, orders, or contract line items being proposed and the basis for pncmg (vendor quotes, invoice prices, etc.). Include raw mate-
- rials, parts, components, assemblies, and services to be produced or performed by others For all items proposed, id
! tify the item and show the source, quantity, and price.
- Competitive Methods-For ti.ose acquisitions (e.g., subcontracts, purchase orders, material orders, etc.) exceeding the 15.804-2(aXI) priced on a competitive basis, also provide data showing degree of com-l , pertinent threshold set forth at d l
_ petition, and the basis for establishing the source and reasonableness of price. For interorganizational transfers pric t
at other than cost of the comparable competitive commercial work of the division, subsidiary, or affiliate of the con-tractor, explain ti.e pricing method (see 31.205 26(e)).
Established Catalog or Market Prices or Prices Set by Law or Regulation e- Commercial (tem Not Covered By Another Exception-When an exception from the requirement to submit cost or pucing data is requested, whether the item was produced by others or by the offeror, provide justification for the exception as required by 15.804 l(d).
Noncompetitive Methods-For those acquisitions (e.g., subcontracts, purchase orders, material orders, etc.) exceeding t pertinent threshold set forth at 15.804-2(aXI) priced on a noncompetitive basis, also provide data showing the b l establishing source and reasonableness of price. For standard commercial items fabricated by the offeror that are gen-i
! erally stocked in inventory, provide a separate cost breakdown if priced based on cost. For interorganir.ational trans-fers pnced at cost, provide a separate breakdown of cost by elements. As required by 15.806-2(a), provide f cost or pricing data submitted by the prospective source in support of each subcontract, or purchase order that (i) $1,000,000 or t.nore, or (ii) both more thea the pertinent threshold set forth in !$.804-2(aXIXiii) and (iv) and mj than 10 percent of the prime contractor's proposed price. The contracting officer may require submission of cost ol pricing data in support of proposals in lower amounts. Submit the results of the analysis of the prospecti proposal as required by 15.806. When the submission of a prospective source's cost or pricing data is re described above, it shall be included as part of the offeror's initial pricing proposal l
Dueet Labor-Provide e time-phased (e.g., monthly, quarterly, etc.) breakdown of labor hours, rates, and cost by appro-l prisse category, and furnish bases for estimates. !
Indirect Costs-Indicate how offeror has computed and applied offeror's indirect costs, including cost breakdowns, showing trends and budgetary data, to provide a basis for evaluating the reasonableness of proposed ra rates used and provide an appropnate explanauon alar Costs-List all other costs not otherwise included in the categories described above (e.g., special tooling, trav computer and consultant services, preservation, packaging and packing, spoilage and rework, and Fede l finished articles) and provide bases for pricing.
Royaines-If rnare than $250. provide the following informanon on a separase page for each separate ;
name and addreas of hoensor; dase of license agree:we pasent numbees, patent applicanon serial numbe on which the toyalty is payable; brief descnynon (irciwiing any part or model numbers of each contract item or co on wluch the royaky is paysble); percentage or dolla rase of royalty per unit; unit price of contract item; and total dollar annount of royakies. In artrimaa if specifically requessed by the contracting officer, provide a cunent hcense agreernent and idenaficanon of apphcable claims of specific pasents. (See IWR 17.204 and 31 Facilities Capital Cost of Money-When the offeror elects to claim facilities capital cost of money as an allow!
the offeror must submit Fonn CASB-CMF and show the calculation of the proposed amount (see FAR 31.205-I
- 2. As part of the specific information required, the offeror must submit with offeror's proposal, and cle such, cost or pricing data (that is, data that are verifiable and factual and otherwise as defined at FAR ties, submit with bror's propos,a1 any information rease~ "'y required to explain offeror's estimating process, including- .ner methods used in the estimate, including those used in
- s. The judgmental factors applied and the mathematical 15-24 .
k
E ., FAC 90-32 OCTOBER 1,1995
- 15.004 4 FEDERAL ACQUIS(TION REGULATION (FAR)
.Under Cclumn (5)-Enter the offeror's estimate for cost of work added by the change. When nonrecurtmg costs are sig-nificant, or when specifically requested to do so by the contracting officer, provide a full identification and explanation ot them.' When any of the costs in this column have already heen incurred, describe them on an attached supporting schedule.
- Under Column (6)-Enter the net cost of change which is the co6t of work added, less the net cost to be deleted. When t
this r:sult is negative, place the amount in parentheses. Column (4)less Column (5) = Column (63 I Under Column (7)-Identify the attachment in which the information supporting the specific cost element may he found.
l Attach separate pages as necessary.
C. Price Revision / Redetermination.
NUMBER OF UNITS NUMBER OF CONTRACT. REDETERMINATION DIFFERENCE CUTOFF DATE COMPLETED UNITS TO BE AMOUNT PROPOSAL COMPLETED AMOUNT (2) (3) (4) ($) (6)
(1)
INCURRED INCURRED TOTAL ESTIMATED ESTIMATED REFERENCE COST INCURRED ELEhtENTS COST- COST- COST- INCURRED COST TO TOTAL. COST PREPRODUC- COMPLETED WORK IN COST COMPLETE TION UNITS PROCESS (101 (11) (12) (131 fi4)
(7) (8) (9)
Under Column (1)-Enter the cut off date required by the contract. if applicable.
Under Column (2)-Enter the number of units completed during the period for which experimd costs of production are being submitted.
Under Column (3)-Enter the number of units remaining to be completed under the contract.
Under Column (4)-Enter the cumularive contract amount.
Under Column (5)-Enter the offeror's redetermination proposal amount.
Under Column (6)-Enter tiie difference between the contract amount and the redetermination proposal amount When this result is negative, place the amount in parentheses. Column (4) less Column (5) = column (6).
Under Column (7)-Enter appropriate cost 'ements. When residual inventory exists, the final costs established under fix:d-price-incentive and fixed-price-redeterminable arrangements should be net of the fair market value of such inventory.
In support of subcontract costs, submit a listing of all subcontracts subject to repricing action, annotated as to their status.
Under Column (8)-Enter all costs incurred under the contract before starting production and other nonrecurring costs (usually referred to as startup costs) from offeror's books and records as of the cutoff date. These include such costs as pre.
production engineering, special plant rearrangement, training program, and any identifiable eror'snonrecurring records, costs such rework, spoilage, pilot runs, etc. In s.he event the "nounts are not segregated in or otherwise available from ofr enter in this column offeror's best estimates. Ex,,iain the basis for each estimate and how the costs are' charged on offeror's accounting records (e.g., included in production costs as direct engineering labor, charged to manufacturing overhead, etc.)
Also show how the costs would be allocated to the units at their various stages of contract completion.
Under Columns (9) and (10)-Enter in Column (9) the prrwiurevvi cor s from oNesor's books and records (exclusive of prepmd
' tion costs reponed in Column (8)) of the units completed as of the culos date. Enter in Column (10) the costs of work in p decerne=ml from o5eror's secords or invensones at the cutoff date.When the amounts for work in pmcess are not available in con nor's recosds but schable estimates for them can be made, enter the estimased amounts in Column (10) and enter in Cohim ierences between the totalincurred costs (esclusive of prepmducuan costs) as of the cutoff dase and these estimates. r for the estimases,includmg identificatica of any provision for experienced or anticipased allowances, such as shrinkage, changes, sec. Furmsh expenenced unit or lot costs (or labor hours) from inceptmn of contract to the cutoff date, improve and any other available production cost history pertaining to the item (s) to which offeror's prop > sal relates.
Under Column (ll)-Enter total incurred costs (Total of Columns (8),(9), and (10)).
Under Column (12)-Eneer th-se m=y and reasone$le costs that in contractor's judgment will properly be incuned in com-
. pietine the remameng work to be performed under the contract with respect to the item (s) to wl.ich contracto L b "olumn (13)-Enter total estimated cost (Total of Columns (lI) and (12)).
Unde %:nn (14)-identify the attachment in which the information supporting the specific cost element may be foun Attach sepaw pages as necessary.
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J ATTACHMENT 8 l
SMALL, BUSINESS AND SMALL DISADVANTAGED BUSINESS SUBCONTRACTING PLAN Date l 1
CONTRACTOR:
l ADDRESS:
i SOLICITATION OR CONTRACT NUMBER: _
ITEM / SERVICE:
The following, together with any attachments, is hereby submitted as a Subcontracting Plan to i satisfy the applicable requirements of Public Law 95-507 as implemented by OFPP Policy Letter I 80-2.
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- 1. (a) The following percentage goals (expressed in terms of a percentage of totalplanned subcontracting dollars) are applicable to the contract cited above or to the contract a yarded under the solicitation cited.
(i) Small Business concems: % of total planned subcontracting dollars under this contract will go to subcontractors who are small business concems.
(ii) Small Disadvantaged Business Concerns: % of total planned subcontracting dollars under this contract will go to subcontractors who are small business concems owned and controlled by socially and economically disadvantaged individuals. This percentage is included in the percentage shown under 1.(a)(i), above, as a subset.
(b) The following dollar values correspond to the percentage goals shown in (a) above.
(i) T>'.el dollars planned to be subcontracted to small business concerns:
4 (ii) Total dollars planned to be subcontracted to small disadvantaged business concerns: $ This dollar amount is included in the amount shown under 1.(b)(i), above, as a subset.
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l (c) The total estimated dollar value of all planned subcontracting (to all types of business concerno) under this contract is S l
l '(d) The following principal products and/or services will be subcontracted under this !
l contract, and the distribution among small and small disadvantaged business i
concerns is as follows:
- (Products / services planned to be, subcontracted to small business concerns are identified by * - To small disadvantaged business concerns by **)
(ATTACHMENT MAY BE USED IF ADDITIONAL SPACE IS REQUIRED)
(e) The following method was used in developing subcontract goals (i.e., Statement explaining how the product and service areas to be subcontracted were established,
- how the areas to be subcontracted to small and small disadvantaged, business l_ concerns were determined, and, how small and small disadvantaged business l concerns' capabilities were determined, to include identification of source lists utilized in making those determinations).
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(f) Indirect and overhead costs (check on below):
l _have been _have not be'en included in the goals specified in 1(a) and 1(b) i (g) If"have been"is checked, explain the method used in determining the proportionate share of indirect and overhead cost to be allocaicd as subcontracts to small business concerns and small disadvantaged business concems.
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- 2. The following individual will administer the subcontracting program: !
Name:
Address & Telephone:
t l
Title:
l This individuars specific duties, as they relate to the firm's subcontracting program, are as follows: ,
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General overall responsibility for this company's Small Business Program, the development, I preparation and execution of individual subcontracting plans, and for monitoring l performance relative to contractual subcontracting requirements contained in this plan, '
including, but not limited to:
(a) Developing and maintaining bidders' lists of small and small disadvantaged business concems from all possible sources.
(b) Ensuring that procurement packages are structured to permit small and small disadvantaged business concerns to participate to the maximum extent possible.
(c) Assurina inclusion of small and SDB concerns in all solicitations for products or servicet. which they are capable of providing.
(d) Reviewing solicitations to remove statements, clauses, etc., which may tend to restrict or prohibit SB and SDB participation.
(e) Ensuring periodic rotation of potential subcontractors on bidders' lists.
(f) Ensuring that the bid proposal review board documents its reasons for not telecting low bids submitted by small and small disadvantaged business concerns.
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l (g) Ensuring the establishment and maintenance of records of solicitations and )
l subcontract award activity.
(h) Attending or arranging for attendance of company counsellors at Business Opportunity Workshops, Minority Business Enterprise Seminars, Trade Fairs, etc.
(i) Conducting or arranging for conduct of motivational training for purchasing personnel pursuant to the intent of P.L.95-507.
(j) Moretoring attainment of proposed goals.
(k) Preparing and submitting periodic subcontracting reports required.
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(1) Coordinating contractor's activities during the conduct of compliance reviews by Federal agencies.
l (m) Coordinating the conduct of contractor's activities involving its small and small disadvantaged business subcontracting program, l
(n) . Additions to (or deletions from) the duties specified above are as follows:
- 3. The following efforts will be taken to assure that small and small disadvantaged business <
concerns will have an equitable opportunity to compete for subcontracts:
(a) Outreach efforts will be made as follows:
(i) Contacts with minority and small business trade associations (ii) Contacts with business development organizations (iii) Attendance at small and minority business procurement conferences and trade fairs (iv) Sources will be requested from SBA's PASS system.
(b) The following internal efforts will be made to guide and encourage buyers:
(i) Workshops, seminars and training programs will be' conducted l L
(ii) Activities will be monitored to evaluate compliance with this subcontracting ,
plan. !
(c) Small and small disadvantaged business concerns source lists, guides and other data identifying small and small disadvantaged business concems will be maintained and utilized by buyers in soliciting contracts.
(d) Additions to (or deletions from) the above listed efforts are as follows:
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- 4. The bidder (contractor) agrees that the clause entitled Utilization of Small Business Concems and'Small Businesc Concerns Owned and Controlled by Socially and Economically Disadvantaged individuals" will be included in all subcontracts which offer further subcontracting opportunities, and all subcontractors except small business concerns
, who receive subcontracts in excess of $500,000 will be requ% o adopt and comply with a subcontracting plan similar to this one. Such plans will be reviewed by comparing them with the provisions of Public Law 95-507, and assuring that all minimum requirements of an acceptable subcontracting plan have been satisfied. The acceptability of percentage goals shall be determ!ned on a case-by-case bash depending on the supplies / services involved, the availability,of potential small and small disadvantaged subcontractors, and prior experience. Once approved and implemented, plans will be monitored through the submission of periodic reports, and/or, as time and availability of funds permit, i.eriodic visits to subcontractors' facilities to review applicable records and subcontracting program progress,
- 5. The bidder (contractor) agrees to submit such periodic reports and cooperate in any studies or surveys as may be required by the contracting agency or the Small Business Administration in order to determine the extent of compliance by the bidder with the subcontracting plan and with the clause entitled " Utilization of Small Business Concerns and ~Small Business Concems Owned and Controlled by Socially and Economically Disadvantaged Individuals" contained in the contract.
- 6. . The bidder (contractor) agrees that he will maintain at least the following types of records to document compliance with this subcontracting plan:
l (a) Small and small disadvantaged business concems source lists, guides and other data identifying SB/SDBC vendors.
(b) Organizations contacted for small and small disadvantaged business sources.
-(c) On a contract-by-contract basis, records on all subcontract solicitations over ,
$ 100,000, indicating on each solicitation (1) whether small business concerns were I solicited, and, if not, why not; (2) whether small disadvantaged business concerns !
were solicited, and, if not, why not; and (3) reasons for the failure of solicited small or small disadvantaged business concerns to receive the subcontract award.
(d) Records to ' support other outreach efforts: Contacts with Minority and Small I Business Trade Associations, etc. Attendance at small and minority business procurement conferences and trade fairs. !
(e) Records to support intemal activities in pde and encourage buyers: Workshops, ;
seminars, training programs, etc. Monitoring activities to evaluate compliance.
(f) On a contract-by-contract basis, records to support subcontract award data, to include name hnd address of subcontractor.
(g) Records to be maintained in addition to the above are as follows:
Signed:
Typed Name:
Title:
Date:
" Plan Accepted By: _ . ,
Contracting O." s l Date:
NOTE TO CONTRACTING OFFICER: Upon incorporation of a plan into the contract, indicate herein the estimated dollar value of Contract $
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