ML20209C599

Contract: Regulatory Analysis for Generic Issue 23,Reactor Coolant Pump Seal Failure, Awarded to SBA & Scientech,Inc

ML20209C599
Person / Time
Issue date:	04/13/1987
From:	Baker L, Smith P NRC, SCIENTECH, INC., SMALL BUSINESS ADMINISTRATION
To:
Shared Package
ML20209C554	List: ML20209C550 ML20209C599
References
CON-FIN-D-1760, CON-NRC-03-87-027, CON-NRC-3-87-27, REF-GTECI-023, REF-GTECI-NI, TASK-023, TASK-23, TASK-OR NUDOCS 8704290019
Download: ML20209C599 (96)

Text

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AWARDiCONTRACT I* CONT R ACT F rec. Js.st. Jden t.) NO. 3. EFFECTevE DATE .. REQUISITION / PURCHASE REQUEST / PROJECT No.

NRC-03-87-027 March 2,1987 NRR-87-027

s. lssuEo ev cgg, l .. Amum EREo o m ** * " CODE !

U.S. Nuclear Regulatory Commission Division of Contracts Washington, DC 20555 CONTRACTOR 8. OELlW AY 7 NAME AND PRIME: U.S.ADORE Sma 55 El Business kN[m,Ifmer. city,t'lenty.St.fa.ad nistra on - 21P Code) 1020 Main Street - Suite 290 ,og onic,y o7 ge n ,,,, ,,ug, Boise, Idaho 83702 ,,o,,cous,,o,,,o ,,,,y ,,,,

SUBCONTRACTOR: Scientec, Inc.

P.O. Box 1406 Idaho Falls, Idaho 83403-1406

10. SU8MIT INVOICES j' TEM (4 copere sar.e ether-

. ease eestned) TO THE CODE F ACILITY CODE ADORESS SHOV/N IN:

11. Ship TO/M ARK FOR 32. PAYMENT WILL SE MADE SY g U.S. Nuclear Regulatory Commission See Section F. of Prime Contract Office of Resource Mgmt Div. of Accounting Washington DC 20555

33. AUTHORITY FOR ustNG OTHER THAN FULL AND OPEN COMPET1_ 14. ACCOUNTING AND APPROPRIATION DAT A 20-19-50-51-7 D-1760 io u.S C. 23o4tcit > y u u.S c.2saicit 5 1 31X0200.207 $41,947.00 15A. ITEM NO. 158. SUPPLIES /SE RVICES 15C. OU ANTITY 150. UNIT 15E. UNIT / RICE 15F AMOUNT Services to perform project entitled " Regulatory Analysis for Generic Issue 23, Reactor Coolant Pump Seal Failures" in accordance wi th the Statemer t of Work herein, as implemented by SC ientec, Inc.'s

. Technical Proposal dated February 12 , 1987.

See Clause 52.219-11,Section I, for Special 8(a) contract conditions. FIRM FIXED PRICE Lei i i n9 Aa400NT OF CONTRACT > $ 4I .947.00

16. TABLE OF CONTENTS V)lSEC.l OESCRIPTION lPAGE(S) VI lSEC l DESCRIPTION lPAGE(S)

PART I- THE SCHEDULE PART li- CONTR ACT CLAUSES X A SOLICITATION /CONTR ACT FORM Xl 1 l CONTR ACT CLAUSES l X B SUPPLIES OR SERVICES ANDPRICES/ COSTS PART let - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATT ACH.

X C DESCRIPTION /SPECSJWORK STATEMENT lJ l LIST OF ATTACHMENTS l D PACK AGING AND MARKING PART IV - REPRESENTATIONS ANO INSTRUCTIONS l' E INSPECTION AND ACCEPTANCE K REPRESENTATIONS. CERTIFICATIONS AND X F DELIVERIES OR PERFORMANCE OTHER STATEMENT'L OF OFFERORS X G CONTR ACT ADMINISTRATION DATA iL INSTRS .CONOS . AND NOTICES TO OF F E RCRS X H SPECIAL CONTRACT REQUIREMENTS lM EVALUATION FACTORS FOR AWARD CONTRACTING OFFICER WIL L COMPLCTE ITEM 110R 18 AS APPLICABL E

18. AWARO (Conf eef.e is nof memired to si,n f is dormenent ) You,

7. ] CONTRACTOR $ NEQOT1ATED AG AEEMENT (Conf eefor is re-to'"d.A*ofC,Oit!'"=!cd O"'.le o o,,JfA'!s*!::'!"fJ!ft!.( 2'.J" 5f0".','.To'L"'""!..e. ., ... . .. ....... o, . . ;

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19A. gg F G or rinfj 20A. NAME OF CONTRACTING OFFICER Contracting Officer / SBA Patricia A. Smith 196. N AME OF COFe7 R ACTOR /, t 19C.DATE SaGNEO 208. UNef EO $TATES OF AMERICA 20C. DATE SaGNED gy b $EY h/' /,4M//

f gy o&

, h, b _ J ~ '(* k ',D

.- new t.e. or ,. . al., d .. , ;e,

, a completed NRC Form 335.

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

Government Printing Office.

i

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

l 3

b. Chapter and Appendix NRC-2101, "NRC Security Program."

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

]

d. Chapter NRC-Il02. " Procedures for Placement of Work with the i

Department of Energy."

j e. Chapter NRC-3206, "NRC Contractor Speeches, Papers and Journal 1

Articles on Regulatory and Technical Subjects."

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

l

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

I h. Government Printing and Binding Regulations of the Joint Committee

, on Printing, Congress of the United States, No. 24 April 1977 (JCP Regulations), Government Printing Office.

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

Government Printing Office.

j i

Approved: August 29, 1984

u.

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

~t CONTENTS (Continued)  !

PME

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

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

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

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

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

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

Authorized Federal Printing Plants............. ......... ..... 10 -

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

4. Sample Title Page for Unclassified Formal Reports Printed by DOE Laboratories with JCP Authorized Federal Printing Plants.... ... '

........ ............. .... ... .. ......... . . .. 16

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

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

7. NRC For.3 335, Bibliographic Data Sheet..... .............. .....' 19 PART III UNCLASSIFIED TECHNICAL LETTER REPORTS., .. . . ...... ... 21 A. FORMAT.. . . . .

... . . ......... ..... 21

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

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

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

2. Security Review........................ ............... 22 PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE OFFICE 0F NUCLEAR REGULATORY RESEARCH BY DOE LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS.. .. ...... ...... .. 23 A. DOCUMENTATION............ ............... .. .... ....... 23

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

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

s s

PUBLICATION OF TECHNICAL REPORTS PREPARED BY  !

NRC CONTRACTORS, INCLUDING REPORTS PREPARED  !

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 l i

CONTENTS

' PAGE

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

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

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

D. PUBLISHING UNCLASSIFIED, NON-SENSITIVE INFORMATION IN OPEN LITERATURE AND PRESENTING PAPERS............. ....... 3

..s E. TYP0 GRAPHY. ..... .......... ... ..................... .... . 4 F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION. ...... . ................. .......... 4 G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND WORKSHOPS.... .. ....... ........................ ... . .. 4 i 5 H. WRITING AND PUBLISHING UNCLASSIFIED B00KS.... .. .... . .....

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

PART II UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC...

7 A. DOCUMENTATION. ... .. . .. .. .... . ............... . .

Applicability. .. 7 l

1. . ... .. .. . ..... .. .

Front Cover and Title Page........ 7

2. . ... ........... ...

3. Availability Information.. ..... ...... .... ... .. . 9 j

' 4. Disclaimer................ ... ..... ............ .. .. 9 .

Previous Reports in Series................ ..... 9 !

5. ......

)

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

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

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

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

1. ........ ................... .

Security Review. .. 10 j

2. ... ..... .. . ... . ...........

l I I l

i Approved: August 29, 1984 i

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREE >1ENTS CONTENTS (Continued) p PAGE

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

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

15. Sample Cover Page for a Contractor Report Containing Proprietary Information Obtained from a Foreign Source.. ..... ... 40 1

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

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

18. Sample Back Cover for a Contractor Report Containing Proprietary Information... .... . ......... . . .... . .. . 43

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

20. Sample Cover for a Contractor Report Containing Unclassified Safeguards Information. .. .. . ..... .. .... . 45

21. Sample Title Page for a Contractor Report Containing Unclassified Safeguards Information. . ... . .. . . 46

?2. Sample Back Cover for a Contractor Report Containing Unclassified Safeguards Information.. .. .. . . .. .. .. . 47

23. Cover Sheet for a Contractor Report Containing Unclassified j Safeguards Information........ . .. . . .. .. . 48 PART VI. HANDLING 0F UNCLASSIFIED INFORMATION ON NRC COOPERATIVE PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH INDUSTRY..... ................................. . .. .. 49 A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT. ... . 49 B. DISTRIBUTION BY NRC PROJECT MANAGERS...... .. ....... ... . 50 C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT. . . .. 50 D. REPORT IDENTIFIERS................ .. ..... . . ..... . 50 E. MAILING TO PROGRAM PARTICIPANTS.. . .. . . . .. . 51 F. SECURITY.............. ....... ... ...... .... . ..... . 51 Approved: August 29, 1984. iv

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

, CONTENTS (Continued)

PAGE

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

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

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

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

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

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

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

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

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

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

3. Distribution of Reports. ...... . . .............. .. 27 PART V REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION. . .... .. ....... .. .. . . 29 A. APPLICABILITY.. ... . .......... ..... .......... ..... . . 29 B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION. .. 29 C. PROPRIETARY INFORMATION., . .. ..... ... ....... 30 D. SAFEGUARDS INFORMATION... . . ..... ..... . ..... ..... .. 31 E. CLASSIFIED INFORMATION. . . . ......... ... .. ... ...... 31 EXHIBITS

8. Sample Cover for a Contractor Report Containing Official Use Only Information.. . ... ... .................. ................ 33

9. Sample Title Page for a Contractor Report Containing Official Use Only Information.. .. ... ............... ........... ..... 34 Sample Back Cover for a Contractor Report Containing Official 10.

Use Only Information... ............. ........................... 35

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

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

iii Approved : August 29, 1984 P

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

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

(, CONTENTS (Continued) 1 PAGE EXHIBITS

24. Sample Cover for a Draft Preliminary Report (Code) for Comment... 52

25. Transmittal Letter from Contractor to NRC Project Manager for l

Draft Preliminary Report (Code)................................... 53

26. Transmittal Sheet for Requesting Mailing to Cooperative Program Participants.. .. ................. ... .......................... 54 l

(,

v Approved: August 29. 1984

a m -,4 9

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part I UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS draf t or final material for publication or inclusion in SERs, ESs.

letters, or license amendments - written material requested for use in the NRC licensing process. Such material may be (1) abstracted in a NUREG report or attached to a NUREG report, (2) attached to a letter or an amendment to the license, or (3) abstracted and used as necessary by the NRC staff. NRC requires patent review and full management review of this material by the performing organiza-tion . This material is to be submitted to NRC as a technical letter report addressed to the project manager and identified by. the FIN number.

For purposes of this Part, contractor means a private contractor, con-sultant, grantee , another State or Federal Agency working under an interagency agreement , or a DOE / facility or National Laboratory (con-tractor) and subcontractors.

B. REQUIREMENTS FOR FORMAL REPORTS If the contractor is to prepare a final formal technical report for publi-cation, state that it will be printed and distributed by NRC from camera-ready copy submitted by the contractor, unless the work is being done for the Office of Nuclear Regulatory Research by a DOE facility or Laboratory with a JCP-authorized printing plant. The camera-ready copy is to be prepared in accordance with the provisions of this appen-dix, Parts 11 and V (for contractors other than DOE contractors), or Parts IV and V of this appendix and Chapter 1102 (for DOE contrac- i tors ) . A style guide is also available free, upon request (NUREG-0650). If the report is to be printed by NRC and it is unclassified, the camera-ready copy is to be submitted by the contractor to the Director,

, Division of TechnicalInformation and Document Control, NRC, Washington, 1 D.C. 20555, by first class mail. For handling of sensitive unclassified and classified reports see Part V of this appendix and NRC Appendix 2101.

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

C. REQUIREMENTS FOR DRAFT REPORTS 1

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

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

If agreement on the changes is reached, the NRC manager will authorize the contractor to prepare the final copy and submit it to the project 3 manager, if it is a letter report or input to an SER or ES, or to the #

! Director, Division of Technical Information and Document Control, if it is i.

Approved: August 29, 1984 2 1

m.n,-,-w- - - - , - - . , . - . - . , , - - - . .

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

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

technical letter reports (also called technical evaluation reports) -

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

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

f_

1 Approved: August 29, 1984

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

o

• o PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part I UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS manager in draft form and agreement has been reached on the con- e}

tent. The applicable procedures set forth in Chapters NRC-3206 or NRC-Il02 must be followed.

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

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

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

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

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

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

(See Chapter 3206 for provisions relating to payment of page charges and

) travel costs for presentation of papers. )

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

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

i G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND l

~

WORKSHOPS i '

l NRC publishes or assists in the publication of compilations of papers

' presented at meetings , conferences, and symposiums in which NRC Approved: August 29, 1984 4 l

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

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part I I i

camera-ready copy for printing and distribution. This is to be done to l assure proper publication, handling, and distribution and, among other things, to preclude further changes that might nullify the agreement. If caveats were agreed to and the project manager wishes to check the final document for their presence, he/she should inform TIDC of that desire.

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

Also state that if agreement on changes to a formal technical report to be issued in the NUREG/CR series is not reached, the NRC project manager may request the contractor to prepare the camera-ready copy with , in addition to the standard disclaimer required on all contractor formal reports (see Exhibit 6), any caveats deemed necessary to cover i NRC objections. Such caveats may range from the "The views expressed

! in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" to the addition of a preface setting forth the NRC opinion or footnotes at appropriate locations witnin the text.

~

State that if NRC objections cannot be covered in this manner, NRC can refuse to publish the report. In the case of DOE / National Laboratory i reports , the DOE Operations Office Manager responsible for that .labora-tory should be informed by the NRC Office Director or Regional Adminis-trator of the decision and the reasons therefor, with a copy to the Laboratory Director. In the case of another Federal agency, a State, or a private contractor, the person who executed the contract should simi-larly be informed by the NRC Contracting Officer. The contractor is then free to publish without NRC identification of the report. Project manager or higher level decisions may be appealed to the NRC Executive Director for Operations.

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

l The principal investigator (s) may publish the results of this work i in the open literature instead of submitting a final report and/or 1 present papers at public or association meetings at interim stages of l

the work.

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

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

{ work, if the article or paper has been reviewed by the NRC project i

1 i

3 Approved: August 29, 1984

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

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS Part I e

l

' ( participates as a sponsor or cospensor. Chapter NRC-3207, " Conferences and Conference Proceedings," provides general information and guidance for this. More detailed guidance is' available from TIDC upon request.

)'

H. WRITING AND PUBLISHING UNCLASSIFIED BOOKS i

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

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

If fewer than 50 copies are needed, indicate the desired quantity on NRC Form 426A. Single copies for specific individuals in organizations other 7

than the contractor's organization who are not included in the distribution

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

!. project manager, the contractor shall send these copies (if printing is j done by the contractor) and address labels, even if printing is done by l' NRC, to NRC/TIDC, where the distribution will be made along with the standard distribution. Distribution of sensitive unclassified and classi-l l fied reports will be made by the project manager on a case-by-case basis.

1 l J. COORDINATION OF PRESS OR OTHER MEDI A RELEASES OF UNCLASSI-FIED INFORMATION A contractor may request permission to issue a press or other media release on the work being done. Such request shall be made to the l project manager, who will consult with his/her management and with the l Office of Public Affairs. The contractor may not issue a press release on i

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

1 l

i i

j .

i 5 Approved: August 29, 1984

4 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part II UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS The NRC identification number will have the form: J NUREG/CR-XXXX or NUREG/CP-XXXX where CP indicates conference proceeding. The contrac-tor's report number, if any, may be inserted below the NUREG number on the title page and cover, as shown in Exhibits 1 through 4,*if desired by the contractor.

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

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

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

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

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

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

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

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

(5) Basis for Report Date(s)

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

(b) More than one date, with the basis for each, may be 1

shown where this is necessary.

1 Approved: August 29, 1984 8 i

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

PART II UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC A. DOCUMENTATION

1. Applicability

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

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

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

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

2. Front Cover and Title Page

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

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

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

Reproducible copy of the cover of the performing organization may be sub- ,

mitted; however, the data elements shown in Exhibit 1 must be included. l These requirements meet the specifications of American National Standard ANSI Z39.18-1974, Guidelines for Format and Production of Scientific and

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

7 Approved: August 29, 1984 l

t

, PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS,~ INCLUDING REPORTS PREPARED Part II UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS information and information with restricted distribution (e.g., i proprietary , national security , official use only , etc.). If the unretrievable information is important and unrestricted, it can be i quoted in the text, in footnotes, or in appendixes. If credit is due to individuals, they can be mentioned in the text or in an acknow-ledgement section . Availability may be stated collectively for all entries (see Exhibit 6).

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

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

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

B. PATENT AND SECURITY REVIEWS

1. Patent Review

Patent implications shall be considered prior to approval of reports

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

patent rights of NRC or the contractor. If the work being reported is contractually managed through another government agency (e.g. ,

DOE laboratories), that government agency should be requested by

• the contractor to perform the patent review. The result of such 4

review shall be reported on NRC Form 426A in item 11 (Exhibit 5).

i If NRC directly administers the contract or the contractor is unable

.l to obtain a patent clearance from the government agency administer-ing the contract, the responsible NRC contracting officer shall be

, consulted, and the responsible NRC project manager shall consider the patent implications. If there is no need for patent review j because of the certainty that the report contains no description of j novel technical developments which may be of an inventive nature, NRC Form 426A may be completed with the statement "Not Appli-cable" or "N/A" in the space for the Patent Counsel's signature. If there is a possibility that there is disclosure of developments of an inventive nature, the contracting officer shall request assistance '

! from the NRC Patent Counsel, Office of the Executive Legal Director. l

2. Security Review

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

l however, the NRC project manager must work with the NRC  :

l Division of Security to establish the appropriate procedures and l l inform the contractor of such procedures through the contracting i l of ficer. The standards for marking and handling such reports are 1 given in Part V of this appendix and NRC Appendix 2101, i Approved: August 29, 1984 10

e o

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

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

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

apparatus , product or process disclosed in this report, or repre-

' sents that its use by such third party would not infringe privately owned righ t s . " The following additional statement , "The views expressed in this report are not necessarily those of the U.S.

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

5. Previous Reports in Series

(

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

! 6. Abstract An abstract of 200 words or less shall be prepared for each formal 1 report . Within the report, the abstract shall appear on a separate page between the list of previous documents in the series and the contents page.*

i 7. References and Bibliographies Reports or other documents referenced in text, reference sections, bibliographies , and appendixes of unclassified regulatory and 4

technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office, at the National Technical Information Service, or at other reference or sales outlets) or in the NRC Public Document Room. This means that references should not 4 be made to personal communications and interviews , unpublished This preferred positioning of the abstract in the report need not be followed f, if the style manual of the originating organization requires a different ji location .

9 Approved: August 29, 1984

~

l.

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

. C. PROCEDURES FOR PRINTING AND DISTRIBUTING

(

l. Printing Reproducible masters prepared in accordance with this appendix j shall be transmitted to the Division of Technical Information and

Document Control, accompanied by completed NRC Form 426A (Exhibit 5). NRC Form 426A must be signed by the NRC project l

manager or a contractor official authorized by the project manager.

Such authorization shall be reported in writing to TIDC.

i The Division of Technical Information and Document Control will i review the masters for adherence to the standards set forth in this j

chapter and appendix and will arrange for printing and distributing

. the report. Unsatisfactory masters will be reported to the NRC j project manager for appropriate contractual action by the contract-

> ing officer or, in the case of government agency or interagency

agreement work, the publications manager of the performing i organization.

i

2. Reprinting

Requests for reprinting any report subsequent to the initial print-

~

ing require approval of the Division of Technical Information and l

Document Control. Each request shall include a written justification j and the project manager's approval for reprinting along with ad-j dress labels for the recipients.

3. Distribution of Reports 4

All copies of unclassified formal contractor reports will be distrib-

uted by the Division of Technical Information and Document Control '

, in accordance with instructions on NRC Form 426A (Exhibit 5).. The Division of Technical Information and Document Control will also arrange automatic distribution of these reports to the NRC Docu-

, ment Control System, the NRC Public Document Room, the National

Technical Information Service (NTIS), the Government Printing ,

1 Office and the Depository Library Service.

i

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

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

l

)

i 1

11 Approved: August 29, 1984 l

! I l

j

e PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part 11 __

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS a

EXHIBIT 2 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL CONTRACTOR.

PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC REPORT No. NUREG < CR 1676 Contractor Report No. (if any) ySAC 556 Vol., Part, Rev., etc. (if any)

Distribution Category No. (if any)

Tine Using Advanced Process Monitoring to improve Material Control Subtitle and Type of Report Final Report (Annual, Topical, etc.) September 1979 September 1980 Report Dates and Bases . . co,.-

.o sw.gw .m Author (s), Editor (s), e .w.4 n.

Compiler (s), etc.

Contractor Name gujac, o,oo, and Address wt.,a. va wo2 NRC Sponsorship Prepared for

' Division of Safeguards Office of Nuclear Matenal Safety and Safeguards U S Nuclear Regulatory Commission Wastungton. D C. 20555 NRC Contract No. NRC FIN B6437 l

Approved: August 29, 1984 14

- ,.c.

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

4' EXHIBIT 1 SAMPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No. NUREG/CR-1676 Contractor Report No. (if any) NUSAC-556 Vol., Part, Rev., etc. (if any) Vol.1 Titie Using Advanced Process Monitoring to Improve Material Control 1

Subtitle and Type of Report Final Report (Annual, Topical, etc.) September 1979 - September 1980 Author (s) Prepared by R L Hankiris R L Lynch, R F. Lumb Contractor NUS AC incorporated t/E*E*u iear Regulatory Commission

(

13 Approved: August 29, 1984

O PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part Il _

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

Contractor's Report No.

Vol., Part, Rev., etc. g g Cg 1952 Distribution R4 Category we LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks Subtitle independent Venfication Testing Program independent Verification Test-1 Report Dates .c, ,, e ., 2 ,, ,

Author (s), Editor (s) ew-s e.

'a 'n'a$7,,A "a Is"[Jac -

! Contractor's sa wai t~~~

Name and Address O s n of essdent and Regional Reactor Inspection Office of Inspection and Enforcement U S Nuclear Regulatory Commission

• Washmeton. D C. 20566 NRC FIN No. NRC FIN B3101 s

Approved : August 29. 1984 16

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NBr Annandiv 3909 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part. !!

f.

EXHIBIT 3 SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No.

NUREG/CR 1952 Contractor Report No.

SAND 810151 Vol., Part, Rev., etc.

"* LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks Type of Report independent Verification Testing Program or Subtitle independent Verification Test-1 Author (s), Editor (s) "**d

k 'n 8[,' ", * "A B"' Ben

* " ' ' J ^ L '* '" * ' $

etf N C Contractor sand,. Nat.onai tenor toe.es Sponsorship h'7'$',N, Reguietary Commission 1

,k 15 Approved: August 29, 1984

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

EXHIBIT 8 DISCLAIMER AND AVAILABILITY STATEMENTS (SACK OF COVER)

NOTICE TIus report was prepared as en sessunt of werb sooneered by en egency of the Lheted taptes Genernment Norther the United States Genernment vor any agency thereof, or any of their emstoyees, makes any warranty, espressed er implied, er assumes any legal liabilety of re-seensibelsty for any therd party's use or the results of such use of any intermetten, esserseus,

' product or presses discleese in sfus report, or represents that its use by asen third party usedd not enfririge prruetely owned repits.

NOTICE Aveiletulity of Reference Meterwts Cited in NRC Pubicatens Most documents cited in NRC pubhcotions unli be eveelebte from one of the following sources:

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

Weehengton, DC 20656

2. TP4 N RC/GPO Sales Propam U.S. Nuclear Repletory Commeseson, Weehington, DC 20665

3. The National Technical information Service. Springfield, VA 22161 Mthough the treting that follows represents the maprity of documents cited in NRC pubhcetsors, et is not intended to be enhoustrve.

Re%rerund documents eveelebte for inspecten and copying for a fee from the NRC Pubiac Docu-ment Room include NRC correspondence and internal NRC memorende; NRC Offee of Irupaction end Enforcement bulletins, twtulars, informeten notees, inspection and investigetson notees; Licenese Event Reports; vendor reports and correspondero e; Commess.on papers, and applicant end hcorose documents and correspondence The follovnng documents in the NUREG senes are evealebie for purchese from the N RC/GPO Setes Progam; formel NRC staff and contractor reports. NRC sponsored conference proceedings. and NRC booklets and brochures. Also eveilable are Repletory Guides, NRC regulations in the Cocer of federal Regulerene, end Nuenser Repterary Commoseoon leeuences.

Documents eveilable from the Nationel Techruces Information Serece include NUMEG senes reports and techrucal reports prepared by other federal agencies and reports prepared by the Atomac Energy Commessen, forerunner egency to the Nucteer Repletory Commiesen.

Docununts oveenetdo from pubiec and spacel technical lebrones include all open literature items, mach as books, journal and periodical articles, and troruectens. Feceret Reposer notices, federei and state legoisten, and conyoneens: reports can usuelty be obte ned from thans lebrenes.

Cocununts asch es themes, desertetere, foresyi reports and trarslotens, and non NRC conference proceedings are avestende for purchsee from the orgeruasten sponsonne the pubicaten cried.

Single copies of NRC draft reports are eveitable free, to the estent of mapply, upon written requent to the Drvisen of Techneel informeten and Document Control. U S. Nuclear Repletory Com.

miseen. Wouhington. DC 20655.

Copes of industry codes and stonderds used in a matetentive menner in the NRC repletory process i are meenteined et the NRC L*brary. 7320 Norfolk Avenue. Bethoods. Marytend, and are avestable there for reference use by the pubisc. Codse and stonderds are usually copynghted and mey be purchseed from the onyneting orgensasten or, if they are American Notenel Standerde, from the Amercen Notenei Stendense Institute,1430 Broedemy, New York, NY 10018.

GPO Pnmed caov ance Appron d

• Aiigust 29, 1981 18

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

.i EXHIBIT 5 NRC FORM 426A, PUBLICATIONS RELEASE FOR UNCLASSIFIED NRC CONTRACTOR AND CONSULTANT REPORTS

..c.

.. . . o ,4 u.... foot.. , w . ......,%.......-  ;- .

%C.W 3toi ,*~****'a*. *a fA..m..t PU6LICATIONS RELEASE FOR ONCLAS$1FIED 7 s , . . .. , .o = c . vi so. . No NRC CONTRACTOR AND CONSULTANT REPORTS . " ~ , "' ,* ,*, *,, ," < *, + *

• thus. Two o, nor,t> smes oss-3 ,e,ti .%0twe,,,t& 3,.e.  % .a m e

. .wv o.s. .. . . ~.

.  %... o. co % , . .c , c . w.. . 2 .oc. si  %..., . . . . . . , . . . . . . . . - . , . .

l [ u . . ...u .. % .

. , a . .,so .c . . .

. ocowesi , N c . . oc . . . ..o s a . , e c - %.c . 0 %. , c .

j ,i si .. 0 %.  %

O C c% , . .C, o .. .

. c o% , . .c, o . .% = v v e r . -o. ., c0 . ~.,. ..

. ..cour..c,0..s.w, e..rio ,o...%, 6 .si . .o. .oe ... . o u o.%c. .% o.w . v.o%

%.....c......... e .. ... c . . . c ........c.

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1. c o** e . ' %c s * *" .

. , , i , c. c o % . . . . % c . . . .. .

I O. 'l di'O.cO%85 6%Cf 3 t oc.'.0% 0. COh8 f at %cf o,.. ,,,,. .. .. ~.. . .. . .

.....c.,o,.....0% ... .. ...o..-,.. ..... . ..- .. . . . . . . . . . - - . . . . . . . . .. .

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,,..,84,CLt.. 4Cf 8,,.0...g..'. 13 Syg ..,f D O.

.,o............

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~.e...,..... .  %.v. o > v. ,- o. . ii o c o s , . .o o. . . .c . . o. % .c o % . . .. ..

i. ....%,c.....%c,%e..~...o , o. . . c . . . . . s . % . , . . ., % . . % . ,

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. .. e e %, coe =s e a s s.c%.. ..e lo.ve sa s. .i ~ . , . . . - , - . . . . . . . . . * - -

l e...

I 17 Approved: August 29, 1984

i

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

EXHIBIT 7 (Continued) -

BACK OF NRC FORM 336 DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT iNetRUCTioses NRC FORM 335, OleLIOGR APHIC OATA SHEET, is SASED ON Gul0ELINES FOR FORMAT AND PRODUCTION OF SCIENTIFIC AND TECHNICAL REPORTS. ANSI 239.10-1974 AVAILAOLE FROM AMERICAN N ATIONAL STANDAR03 INSTITUTE.1430 SROA0WAY, NEW YORK. NY 10018 E ACH SEPARATELY SOUND REPORT-FOR E X AMPLE. E ACH VOLUME IN A MULTIVOLUME SET-SH ALL M AVE ITS UNIQUE eleLIOGR APHIC DAT A SHEET.

1. REPORT NUMBER. Each individweily tsowad reoort e nes 10. SPONSORING ORGANIZ ATION. L st NRC Div+oa. Of f<e.

c.,,, a w aiow. .,pa eun me,< do c.i,oo iNuR EGl .. red u S Nwc e a gw e . tory Co-es oa. aes~agtoa. 0C 20SSS ev ene Divis oa of Tecm aical taformation sad Documeat Coatrol. AOM, ia accordance with American Netional 11. e. TYPE OP REPORT. State drett. f.aei. orenmiaerv. too.ces, Steadore ANSI 239 23-1974 Tecnascei Report Numeer tocaa cos. regwistory. owerter v. etc . ead. d cool <ecie.

ISTRNI Une wooercess setters. Areeic numerews. siesen. ead inciw sive detes avomeas orov , as 6a the fonowing esemples NU R E G-0100, NUREG CP 0010. NUREG/CR O100, and NUREG'OR.0010 m. PERIOO COVERED.

F or reports in a ser.es add vol., Supo , Rev.s on, and Addendum.

• men accessary. Add contractor crose reference 12. SUPPLEMENTARY NOTES. Eate .atormer.oa not .aciweed ideat.fication avmber ht Gay) below NUMEG aumner, e g , e sewhere Out weetwl, swcm es Prepared sa cocoerenoa with PNL.x x x X.SANOX X XMMX sat X XXX. Prewated at coa'ereace of To be owbiisav Occa st No Whea e rooort is rev. sed. .ad.cate

• e ner the aew

2. 71TLE ANO SUGTITLE. Title show de sad <ste cieeriv and report swpersedes or swoo eratats tee oider report ,

be e'iv the sutnoct (coveragel of the report. iactwding say -

sobrit'e to t*e meia titie Wmen a report is propered in more 13. ASSTR ACT. laciwde e Dr e' 1200 nords or essi f actwe' swm-teen one voiwree. receet tae primary title, odd volume awmeer raery of tee most s gal < sat atormat oa coate.eed in tae sad incivde satitio for the specif< votume use vooer end r epor t. If tae report coate.as e s. gad < eat e onogropa, or ioner case etters. Out cooitehre comowter code aerees Oo siterature survey or multicie voivraes meat.oa it ave Austrect act use acroavms sad initionsms in tities. reev be added io .s to be propered av svenor or proiect maaeger pereatnes,s

14. DOCUMENT ANALYSIS

3. LE AVE OLANK.

e. KEY WOROS/DESCRIPTORS. Se ect bom tae Eaergy

4. DATE REPORT COsiePLETED. Each report snail carry e date Date Gene $wthect Thesev e ws. 00E / TIC 7004 RS tae

,ad ceting monta sad veer protect / test corapieted proper surnor. sed terms test ideatov vae me:or coaceot ,

of the resserch sad are swff <.eativ speed.e sad prec.se to S. AUTHORISL G.ve nemets) in coaventionei order te g , Joma be used es indes eate.es for cate'og ag R Doe. J Robert Doel Last swtmer e effiliation if it is d.Her.

eat from the performing orgeairstion t. IDENTIFIER $ ANO OPEN ENDED TERMS Use ideato f ere for proiect aemes, code aernes. ege.orneat des'gaetors.

8. DATE REPORT ISSUEO. Each recort snail carry a deve etc Use ocea eaded f eev*ordsl terms arettea ia descriotor indicatiag moatm ead woor owDlished. form (1441 for those subsects for amica ao descriptor eeists in the thesawrws

7. PERFORMING ORGANIZATION NAME AND MAILING ADDRESS. Give aerne, street, city, state, ead ZIP code 15. AV AILASILITY ST ATEMENT. Deaote owenc re'usseiht,.

List ao more ta a s two levers of en orgeaisetiones hierarchy. for enamose "wa hmitedt or limitation for reescas other Disoiew the aeme of the organitetion eusctiv es topows. tasa security Division. Office. Orgeaisenion or Governmeat egeacv. ead addrus. 18. SECURITY CLASSIFICATION. Eater V $ Security Ciessai.

cor on .a sceorneace *.th US Seew it, e Reguist.eas f. e ,

S. PROJECT / TASK / WORK UNIT NUMSER. Use tae proiect, waciassif edt test and more wa.t numbers weder which the report en prepared bt sav t 17. NUMGE R OF PAGES Luve tream ( Added av NTill 9 FIN OR GR ANT NUMGER. lasert the FIN or great a mber u 15. PRICE. Leeve biaae I Added by NTi$l w ader .nicn eeoort .es preoered i

Approved: August 29, 1984 20 l - _ _ _

o

. PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annendix 3202 UNDER OR PURSUANT TO INTERAGFNCY AGREEMENTS Fart II EXHIBIT 7 NRC FORM 335 - BIBLIOGRAPHIC DATA SHEET

.. - ,... . . c;-- - . , = - . - -

"#"."" smuoenAPHec DATA SHEET

.. .. w . ....

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

l

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...c...c,......

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i 19 Approved: August 29. 1984

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

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

{ 2. Security Review i

In most cases, contractor technical letter reports will be unclassi-i fied . Should a report of sensitive unclassified or classified work i

be required , however, the project manager must work with the Division of Security to establish the appropriate security procedures l

and inform the contractor of such procedures. The standards for

} marking and handling such reports are given in Part V of this l appendix and NRC Appendix 2101.

1 l

i J

l

\ l i

R

}

l 1

r l

4 I i l

1 1

1 i

i i

i

! Approved: August 29, 1984 22 ,

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

PART III UNCLASSIFIED TECHNICAL LETTER REPORTS A. FORMAT

1. Applicability

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

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

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

, of those copies will be specified by the project manager, if unclas-1 sified and non-sensitive, the NRC project manager is responsible for making such reports available in the NRC Public Document Room

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

B. PATENT AND SECURITY REVIEWS

1. Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the ,

patent rights of NRC. If the work being reported is contractually '

managed through another government agency (e.g. , DOE labora-tories), that government agency should be requested by the con- i tractor to perform the patent review.

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

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

. 21 Approved: August 29, 1984 j i

o PUBLICATION OF TECHNICAL REPORTS PREPARED BY '

NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED 4 Part IV UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

')

be obtained by calling the Division of Technical Informa-tion and Document Control or by submitting a copy of

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

The NRC identification number will have the form:

NUREG/CR-XXXX or NUREG/CP-XXXX

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

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

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

1 j (b) When a report is prepared in more than one volume, .

3 repeat the primary title on each volume.

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

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

l (3) Personal Author (s)' Name(s) i (a) Authors' names should be given on the title page l and cover unless this is impractical, as in the case j of annual reports which have many contributors. If I authors' contributions are as editors , compilers ,

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

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

(4) Organization Identification (a) On the cover, provide the name of the contractor responsible for preparing the report, followed by

" Prepared for the U.S. Nuclear Regulatory Commission . "

I I

Approved: August 29, 1984 24 1

+ 1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 )

I i

PART IV l

UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE NRC OFFICE OF NUCLEAR REGULATORY RESEARCH BY DOE LABORATOf;IES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS A. DOCUMENTATION

1. Applicability

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

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

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

2. Front Cover and Title Page

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

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

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

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

{

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

23 Approved: August 29, 1984

,J

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

' ,t

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

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

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

8. Bibliograpic Data Sheet i

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

B. PATENT AND SECURITY REVIEWS

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

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

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

Approved: August 29, 1984 26

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

(b) On the title page, provide information of the type j illustrated in Exhibit 4. ,

(5) Basis for Report Dates (s) l (a) The basis for dating may be shown along with the i date on the title page. Various sbases for dating are possible; e.g., date report completed, date reviews completed, date published, date ~ distributed , etc.

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

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

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

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

j Neither the United States Government nor any agency thereof, or t

any of their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third party's l

use, or the results of such use, of any information, apparatus ,

product or process disclosed, or represents that its use by such third party would not infringe privately owned rights." The follow-ing additional statement, "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" will be printed below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed (see Part I .C. ,

Requirements for Draft Reports).

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

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

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

25 Approved: August 29, 1984 4

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

t 3

0 C. PROCEDURES FOR PRINTING AND DISTRIBUTING

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

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

2. Reprinting Requests for reprinting of any report at NRC expense subsequent to the initial printing requires approval of the Division of Technical Information and Document Control. The request shall include a written justification and the project managers approval for the re- +

printing, along with address labels for the recipients.

't

3. Distribution of Reports All copies of unclassified formal contractor reports will be distrib-uted by the Division of Technical Information and Document Control in accordance with instructions on NRC Form 426A (Exhibit 5).

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

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

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

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

l 1

27 Approved: August 29, 1984

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

essential to ensure proper handling. Reports designated Official Use /

Only will contain only unclassified information originated by or furnished to an NRC contractor which is to be withheld from public disclosure. The report on which the marking appears must be reviewed at the time a request for release is received to determine its releasability. The Official Use Only marking is notice of the originator's determination of the applica-bility of an exemption under the Freedom of Information Act or Privacy Act or both at the time of origination.

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

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

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

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

, C. PROPRIETARY INFORMATION a

Proprietary information is a specific type of Official Use Only informa- ,

tion . Proprietary information includes: y

1. trade secrets.

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

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

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

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

Pages in the report that contain proprietary information may be marked accordingly , including , marginal or other indicators of the specific wording that is proprietary. Similarily, the pages that contain Official Use Only information without proprietary information may be marked Official Use Only Approved: August 29, 1984 30

-n- - - , , . . . - . . . . , - . -

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

PART V REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION A. APPLICABILITY These procedures and exhibits of this part apply to sensitive unclassi-fied and classified reports prepared by NRC contractors . These reports include those designated:

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

Details of the NRC Security Program and specific provisions for deter-

mining when to use the markings exhibited are contained in NRC Appendix 2101.

The reports covered are defined as sensitive unclassified or classified.

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

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

Classified information as used in this part includes Restricted Data ,

Formerly Restricted Data or National Security Information that requires protection in one of the three classification categories described in Executive Order 12356: Top Secret, Secret or Confidential.

The uses of each of the sensitive unclassified and classified categories and the markings required on reports are discussed and exhibited in the ,

following sections. All sensitive unclassified and classified reports are to be sent directly to the project manager. j B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION.

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

j. report only when the originator or other holder believes the marking is 29 Approved: August 29, 1984

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

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

t r

i Approved: August 29, 1984 32

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

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

proprietary information.

D. SAFEGUARDS INFORMATION Safeguards information may be of three types: (1) classified informa-

. tion , which is marked and handled as indicated in Section E, (2) un-classified information restricted under Section 147 of the Atomic Energy Act, which is marked and handled as described in this Section, and (3) unclassified information , which is publicly available and handled as indicated in Parts I through IV.

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

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

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

facilities .

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

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

E. CLASSIFIED INFORMATION

Classified information is limited to Restricted Data, Formerly Restricted Data and National Security Information. The procedures for making classification determinations and for marking, reproducing, transmitting, protecting, and handling reports containing classified information and

removing such reports from classified categories are detailed in NRC l Appendix 2101. These procedures are too comple)

for summarizing here.

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

i.

)

31 Approved: August 29, 1984

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

l

(

1

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

EXHIBIT 9 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY NUREG CR XXXX IS)

Title Subtitle and Type of Report oa[.I mam. v. i Avinonst EanoNel contractor nome end e<kkees

f.tl*,' '

Office S Nuclur eu Commission NRC FIN No.

OFFICIAL USE ONLY Approved : August 29. 1984 34

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

EXHIBIT 8 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY NUREGICR-XXXX (S)

Title Subtitle and Type of Report is?,.'s"' ""

uclear Reguistory Commission h

I V. TawOt0 smOV Pu8vc Of 5CLOSvaE I

OFFICIAL USE ONLY

{' -

1 33 Approved: August 29, 1984

o PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDFR OR PURSUANT TO INTERAGENCY AGREEMENTS h

EXHIBIT 11 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE NUREGiCR.XXXX (S)

Title Subtitle and Type of Report Author (s). Editor (s) e er for U S. Nuclear Regulatory Commlulon WifMMOLD rROM PUBLIC O'SCLOSuRE LIMITED OFFICIAL USE Approved: August 29, 1984 36

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

s

)

EXHIBIT 10 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY OFFICIAL USE ONLY I

35 Approved : August 29, 1981

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

EXHIBIT 13 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE LIMITED OFFICIAL USE i

Approved: August 29, 1984 38

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS Pret Y i

EXHIBIT 12 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE NUREG/CR XXXX (S)

Title Subtitle and Type of Report

% cm.o io.e.,

ori m., -~~

EL*f.'O' ' '

['h["j,'g,' T ;7 **'""""'*"

LIMITED OFFICIAL USE

(

37 Approved: August 29, 1984

. \

PUBLICATION OF TECIINICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS i  !

EXHIBIT 15 SAMPLE COVER PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE PROPRIETARY INFORMATION NUREG CR XXXX iP) j Title Subtitle and Type of Report Authortsl. Editorts)

Contractor Propered for U S. Nuclear Regulatory Commission 508tiGN INFORMafiON ed AC v Name o' Camcar, and *ere o' brew' 31:gggp=:1_.

AlfMMOLO f ROM PUBUC DiSCLO$ung ci.....,. r . . a a . ., .o,,,,

PROPRIETARY INFORM ATION Approved: August 29, 1984 10

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC App:ndix 3202 Part V UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS

}.

EXHIBIT 14 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION PROPRIETARY INFORMATION NUREG'CR-XXXX (P)

Title Subtitle and Type of Report Author (s). Edttorts)

Coritractor Propered for U S Nuclear Regulatory Commission f

MM'i!. !c.".0. Ti:ts!?' .T 5%'o?,''

n' T.;TucT' *'a~"'"

.s. . o, cm. - ~.-. o. sa--

7, .0,0:'%,x,.".'=.. .,x,.',7,0,

,, . *,3, .7 7,,7;;.;o,p om e.

WifMMOLO 8 ROV ,UBLIC DiSCt05U#E

.s..........~0..o...

4 MOPRIETARY INFORMATION I

39 Approved : August 29, 1984

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

EXHIBIT 17 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE PROPRIETARY INFORMATION NUREGlCR XXXX (P)

Title Subtitle and Type of Report ste'I[ eed rnonen, ,E Avinertet ($torial e E[ ened n ,Ur

.u.or, s. ...r e, Coetractor nerne and addrete Prepared for Division Office U.S. Nuclear Regulatory Commission Washington, D.C. 2M NRC FIN No.

FOREIGN iNpoRM AflON ed 0 RC y Nee of Comgry sad Nee of Subet'e

a n.cn s desce ted in 10CFR 2 7'JO idii2i sad ees e g,* etory pu%c discoeu re WifMMOLD FROM PUBLIC DISCLO$unt 5.gceewee f.t's and 0%cet +0 ave.

PROPRIETARY INFORM ATION Approved: August 29, 1984 42

. l l

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS Part V 1 I

i.

EXHIBIT 16 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION PROPRIETARY INFORMATION NUREGICR-XXXX (P)

Title Subtnie and Type of Report Ste Pwb th . Y el Author's idefor't!

Contractor home end sodress Prepared for

( Division

, Office U S Nuclear Regulatory Commission Weehington. D C. 20066 NRC FIN No.

Taace sacett om parvittGlo on CONsratNiiat COvvinciat on siNaNCiat iNsonvatg,N this documeat conia as Wormaten tvDmited to NaC e,

~~

Ne , or u,ner, en None a so.r'e.

which has been determeed twho e cieM 2 N EONha 9Ia #NfYP 21 e

=','o,E,';',TJ' *** **" *'

witumoto thou Pu8 tic DiSCLosunt

.sv ,ge f.e., e,ws one e De'e-PROPRIETARY INFORM ATION l

41 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS if EXHIBIT 19 COVER SHEET FOR REPORT CONTAINING PROPRIETARY INFORMATION PROPRIETARY INFORMATION NOTICE THE ATTACHED DOCUMENT CONTAINS ' #ROPRIETARY INFOR-MATION" AND SHOULD SE H ANDLED AS NRC "OF#iCIAL USE ONLY" INFORM A TION IT SHOULD NOT BE DISCUSSED OR MADE AV A4LA8tE TO ANY PERSON NOT REQUIRING SUCH INFORVA-TION IN THE CONDUCT OF OFFICIAL BUSINESS AND SHOULD SE STORED, TRANSFERRED. AND DISPOSED OF SY EACH RECIPIENT IN A MANNER WHICH WILL ASSUR8 THAT iTS CONTENTS ARE NOT MADE AVAILABLE TO UNAUTHORt2ED PERSONS e

COPY,

• DOCKET NO.

CONTROL.

REPORT.

REC'D W/LTR DTD.

PROPRIETARY INFORMATION Apotowed Decebe' 10.19no ,

Approved: August 29, 1984 44

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Far* V k

EXHIBIT 18 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION PROPRIETARY INFORMATION PROPRIETARY INFORMATION

(

43 Approved: August 29, 1984

e PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS iI EXHIBIT 21 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING UNCLASSlFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORMATION NUREG:CR.XXXX ISG)

Title Subtitle and Type of Report 5.*T.UL'IPO/Z 00.%!*.%L ..

Ei*f.%*/ '*' '

c ***'"'*a

(*yg,'BTaair S AFEGU ARDS IN FORM ATION

)

Approved: August 29, 1984 46

.e PUBLICATION OF TECHNICAL REPv3TS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annandiv 3902 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pa.t "

V I,

EXHlBIT 20 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSlFIED SAFEGUARDS INFORMATION t

USEGUARDS INFORMATION NUREGICR XXXX (SG)

Title Subtitle and Type of Report Authorte). Editoria <

Contractor Prepared for U.S. Nuclear Regulatory Commission 4

i L'*.e".Te~%**.*4' *.**to".T,' ""*

• m., a .uo.s.~... u o. .,

?Tii' L'ir,*.'*7.ll%;*.*,'4*"

l SAFEGUARDS INFORMATION l_

45 Approved: August 29, 1984 1

PUBLICATION OF TECHNICAL REPORTS PREPARED BY

• NRC App:ndix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHlBIT 23 COVER SHEET FOR A CONTRACTOR REPORT CONTAINING ij UNCLASSIFIED SAFEGUARDS INFORMATION

( ' '

e, s

' k.. , , SAFEGUARDS INFORMATION  ;., c3 Ah g,, r.

N I

, 5 eg Yi I

L' as THIS DOCUMENT CONTAINS INFORMATION WHICH MUST BE PROTECTED FROM i

,.i UNAUTHORIZED DISCLOSURE.10 CFR 73.21 AND SECTION 147, ATOMIC ENERGY ,

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

[f- THIS OOCUMENT IS NOT TO BE LEFT UNATTENDED OR ACCESSIBLE TO UNAUTHORIZED A t PERSONS. WHEN NOT IN USE, IT MUST BE STORED IN A LOCKED SECURITY STORAGE Or h CONTAINER. V j IT IS YOUR RESPONSIBILITY TO PROTECT THE INFORMATION CONTAINED IN THIS DOCUMENT FROM COMPROMISE, THEFT OR UNAUTHORIZED DISCLOSURE.

k hI  !

d'  ;

\

M SAFEGUARDS INFORMATION -

• • C l 5 -

s< ,

'd l Approved: August 29, 1984 48 _ _ _ _

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

EXHIBIT 22 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORMATION i

l SAFEGUARDS INFORMATION

}

i l

47 Approved: August 29, 1984 l l

I ,

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

.i This notice has been agreed to by the legal staffs of both NRC and DOE 1 l and is not to be added to or changed. Any problem in this regard shall

) be brought to the attention of the NRC project manager, who will consult i

with the NRC legal staff. (

! The "Draf t Preliminary Report (or Code)" shall be submitted by first

! class or express mail by the contractor to the NRC project manager, with the letter shown in Exhibit 25, in the number of copies specified by the project manager (in most instances this will be fewer than 20 copies).

l The contractor (DOE facility, contractor or subcontractor or other con-tractor) may retain copies only for internal use. DOE facilities and contractors and their subcontractors shall not distribute copies of this draft report to DOE /TIDC. Draft reports may be distributed to interested j

i DOE program offices. Subsequent issues of the information shall also be l

designated " Draft Preliminary Report (or Code)" until the NRC project 1 manager authorizes preparation of a NUREG/CR report.

"Draf t Preliminary Reports (or Codes)" shall not be identified as l NUREG/CR reports or carry any contractor report number or NRC dis-l tribution codes.

B. DISTRIBUTION BY NRC PROJECT MANAGERS a

j The NRC project manager will distribute the copies received only to (1) the participants in the program, (2) the NRC staff with a need-to-know, ,

(

and (3) others authorized by the program or project manager. Trans-  !

mittal to participants shall be by first class or express mail, including l air mail to foreign participants. If premium cost mail services are to l 4

be used, a Division Director or comparable or higher authority must

• certify to the need on NRC Form 420, " Request for Premium Cost Mail l Service . " Premium cost mail is:

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

2. International Express Mail (Air Mail weighing more than 10 ounces) b (See Chapter NRC-0255-058 and NRC Appendix 0255, Part V, Annex A)

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

! comments. At the end of the comment period, the NRC project manager shall, with the concurrence of the participants, authorize the contractor to issue the information as a NUREG/CR report in accordance with the provisions of this Chapter.

I D. REPORT IDENTIFIERS The " Draft Preliminary Reports (or Codes)" will be uniquely identified )

only by the Financial Identification Number (FIN) assigned by NRC and j

Approved: August 29, 1984 50 j

l

4 PUBLICATION OF TECHNICAL REPORTS PREPARED BY

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

. i L

lk

! PART VI '

i

HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE i PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS j AND WITH U.S. INDUSTRY J

! The Nuclear Regulatory Commission has requested that its Program Offices establish, to the extent feasible, cooperative nuclear safcty research programs that involve either or both U.S. industry and foreign governments and orga- .

Such involvement includes monetary contributions , information i

! nizations .

i exchange, and comments on program plans and results. This is authorized in ,

42 U.S.C. 5801 To this end, international and U.S. industry agreements l 4 have been signed that provide for transmitting unclassified information from NRC to participants. These procedures apply only to NRC-managed work not j j programatically funded by DOE.

I J

The interests of all NRC cooperative nuclear safety research program partici-

] pants are served best by early, rapid dissemination for comment of informa-J tion on these programs developed for NRC by NRC contractors. This can be

accomplished by distribution of " Draft Preliminary Reports (or Codes)" for

, comment for a specified period of time, followed by issue as formal NUREG/CR reports, with the concurrence of the participants. Specific procedures for j g accomplishing these goals and for transmitting information prepared by the ,

NRC and DOE facilities and contractors and their subcontractors working on l these programs are presented in the following sections. The procedures de- f l

tailed here have been agreed to by DOE and have been provided to the

- responsible DOE Operations Officers and NRC Program and Project Managers as guidance.

(

l j A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT

)

i The first issuance of information by a contractor shall be designated ,

! " Draft Preliminary Report (or Code)," and shall include the cover sheet l l

shown in Exhibit 24.

1

! The following notice is to be printed on the bottom of the cover sheet ,

i (Exhibit 24)- '

j i NOTICE 1

Tills DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO

PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM 1 I This report was prepared in contemplation of Commission j action . It has not have received patent review and may con- t

tain information received in confidence. Therefore, the con-tents of this report should neither be disclosed to others nor

'(

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

! The recipient is requested to take the necessary action to ensure the protection of this report, j 49 Approved: August 29, 1984 ,

I

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

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

i Title of Program Subtitle for This Report, Including

Appropriate Periodic Notation, If Any j (e.g., First Quarter, Issue No. 1) 1 l

l

. Prepared by (Name of DOE Facility, Contractor and/or Subcontractors, if any) -

for U.S. Nuclear Regulatory Commission NOTICE THIS ORAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM i

l This report was prepared in contemplation of Commission action. It has not j received patent review and may contain information received in confidence.

1 Therefore, the contents of this report should neither be disclosed to others 3

nor reproduced, wholly or partially, unless written permission to do so has l

been obtained from the appropriate USNRC office. The recipient is requested

) to take the necessary action to ensure the protection of this report. I Approved: August 29, 1984 52 i

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

,. s .

I.

PUBLICATION OF TECHNICAL REPORTS PREPARED BY

! NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 j

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI 4

(

!I I

the appropriate periodic notation, if any, included in the title (Ex- l

! hibit 24). They shall not be given standard report nomenclature until i

} the NRC project manager authorizes publication as a NUREG/CR report, i At that time , the contractor may add its own designation below the j NUREG/CR number, as shown in Exhibits 3 and 4. l E. MAILING TO PROGRAM PARTICIPANTS

! The physical transmission of reports from NRC to program participants i shall be handled by the Document Management Branch (DMB), Division of

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

F. SECURITY l If information included in the report or code has been determined to be

sensitive unclassified or classified information (see statement of work)

, the procedures of Part V also apply. The report (or code) may not be

! classified solely for the purpose of limiting distribution to the partici-j pants.

j i

a i

5 i

I t

}

i l

l l

l

i. _

it I

! 51 Approved: August 29, 1984

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

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

'4

PUBLICATION OF TECHNICAL REPORTS PREPARED BY 1

NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI 3

EXHIBIT 26 i

TRANSMITTAL SHEET FOR REQUESTING MAILING TO COOPERATIVE PROGRAM PARTICIPANTS i Recipients: Addresses on attached labels Method of Mailing:

i

{/ First Class Postal Service to U. S. addresses l

l/ Express mail to U. S. addresses *

/

I l

l/ Air mail to foreign addresses *

/

i l l/ Surface mail to foreign addresses

/

(may require up to three (3) months)

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

Individual Requesting Mailing:

Project Manager or High Authority l

Enclosures:

I

1. Address labels

2. Documents to be mailed

}

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

for Premium Cost Mail Service," Premium cost mail is

I

' 1. Express Mail, Priority Mail (First Class weighing more than 12 ounces) f 2. International Express Mail ( Air Mail weighing more than 10 ounces)

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

54 Approved: August 29, 1984 i-_________,___._.--._ , , . - _ _ _ - _ _ _ _ . _ . . _ _ _ _ _ _ _ _ . _ -

3* -

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI EXHIBIT 25 TRANSMITTAL LETTER FROM CONTRACTOR TO NRC PROJECT MANAGER FOR DRAFT PRELIMINARY REPORT T0: NRC Project Manager

SUBJECT:

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

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

DOE Facility or Contractor Representative 1 l

l 1

l t

f

(

53 Approved: Au gus't 29, 1984 i

_ _ _ _ _