ML20210A783

Contract: Independent Assessment of Advanced LWR Requirements Document, Awarded to Sba.Subcontractor: Scientech,Inc

ML20210A783
Person / Time
Issue date:	09/03/1986
From:	Colpitts C, Hagan T, Ybarrondo L NRC OFFICE OF ADMINISTRATION (ADM), SCIENTECH, INC., SMALL BUSINESS ADMINISTRATION
To:
Shared Package
ML20210A764	List: ML20210A759 ML20210A783
References
CON-FIN-D-1751, CON-NRC-03-86-057, CON-NRC-3-86-57 NUDOCS 8609170338
Download: ML20210A783 (117)

Text

_

1 THl$ CONTRACT IS A PATED O m den C 7KET 5F TATE 1V *

-j AWARD / CONTRACT UNDER OPAs (15 CF R 350) l

% 2. CCm R AC, ,rroe. sn., ed,se , No. 3.ufECT vEDAia .. R EOuis T ONfeuRCnA5E R E OUES, f,RO,EC T ,.O.

• SB 08610210' 8/18/86

s. ibbuED Sv cgg, [ 6. ADuiNiu E R E D B y <n o,=y ta.n su," *'

CODE !

U.S. Small Business Administration U. S. Nuclear Regulatory Commission s 1020 Main Street, Suite 290 Division of Contracts Boise, Idaho 83702 Washington, D. C. 20555

7. NAME AND ADDREbb OF CONT R AC1OR fNo . atreef. enty coun tv, Stefe and ZJP Code J 8. DEL 6 VE R Y Scientech, Inc.

FOB ORIGIN OTHER (see erlow; P. O. Box 1406 Idaho Falls, Idaho 83403-1406 *. o'5coukT FoR PaOMPT PAvMENT Net 10 SUBMIT INVOICES jiTEM u coo.es unun o's"-

unse aprentsed) TO THE See B1ock 1; CODE F ACILITY CODE ADDRESS SHOW'l IN

11. 5 Hip i Ofu A R n m" "^**'"' "'" "' "^ ' " "

CODt code See Prime Contract See Prime Contract

13. AUTHORIT v F OR USING OT HE R THAN F ULL AND OPEN COMPETI- 14. ACCOUNTING AND APPROPRI ATION DAT A B&R No. 20-19-50-54-7 FIN No. 01751 10 u S C n caicit i [G 4i u S C 253te):5 ) APPN No. 31X0200.206 OBLIGATION: $74,502.00 15A. ITEM NO 158 SUPPLIES / SERVICES 15C. QU ANTIT Y ISD UNIT 15E. UNIT PRICE 15F AMOUNT See Prime Contract and Special 8(a) Subcontract Clause on page 2.

8609170338 860818 PDR CONTR NRC-03-86-057 PDR 15G. TOTAL AMOUNT OF CONTRACT > $74,502.00

16. TABLE OF CONTENTS V) lSEC l DESCRIPTION lPAGE (S) V) lSEC l OESCRIPTION lPAGEIS' PART I- THE SCHEDULE PARY tt - CONTR ACT CLAUSES X A SOLICITAllON/CONTR ACT FORY l Xl 1 l CONTR ACT CL AUSES l /

B SUPPLIES OR SERVICES AND PRICES / COSTS PART Ile - t.1ST OF DOCUMENTS. EXHIBITS AND OTHER ATT ACH.

C DESCRIPTION / SPECS / WORK ST ATEME NT lJ l LIST OF ATTACHMENTS l D PACK AGING AND MARKINC PART IV - REPRESENTATIONS AND INST RUCTIONS E INSPECTION AND ACCEPTANCE K REPRESENTATIONS. CERTIFICATIONS AND j F DELIVERIES OR PERFORMANCE OTHER STATEMENT 9 OF OFFERORS G CONTR ACT ADMINISTR ATION DATA L INSTRS . CONDS . ANO NOTICE S TO OF F E RORS H SPECI AL CONTR ACT REOJIREMENTS M EVALUATION F ACTORS FOR AWARD CONTRACTING OFFICER WIL L COMPL ETE ITEM 17 OR 18 AS APPLICABL E

17. CONT R AC T O R'S NEGOT I AT E D AG R E E ME N T (Con trec tor as re. 18. AWARD (Contractor is not required to asan thas document.) Your owed to augn this document end return ecoses to assuing offoce ; otter on soncetatson Number Ctntractor agrees to turnism and deisver als items or perform att the serweces set mciuding the additions or enanges made by you wnsen accetions or cnanges fteth or otnerwise ecentit eo anove and on any continuateen sheets for tne i

a e set fortn in f ull above, is ne ecy accepted as to the items hsted above and clu nsideration stated neteen. Tne rights and obbsations of the parties to ines on any continuation sneets. This aware consummates the contract wheen con-cLntract snail be subsect to ana governeo ey the foisowing cocuments: (at enes sists of the fonowmg documents: ta) the Government's solicitat on ena your 4 wara/ contract. (b) tne notecitation. it any, and (c) such provisions. represente- of fer. and (b) tnes award / contract. rwu wurther contractual document es neces.

tions, certifications, ano specifications. as are attacned or incorporatea by sary.

ritirence nerem. (A trachments are hated harem.)

19A. N AME AND T IT LE OF SIGNE R (Type or prints 20A. N AME OF CONT R ACTING OF F 1CE..

Carol M. Colpitts l

Dr. L. J. Ybarrondo, President Contracting Officer /SBA i

19;. NAy OF CONT R A TOR 19C. D ATE 58GNED 208. urge TED ST AT ES OF AMERIC A 20C. DATE By c -

W/8 (siyaturR$1 person authorued to sugnr

$fh/5iffbd BY <A' l '

/

tsarnature of Cont,setsag Offierri NSN 7540-01 152 8069 26-107 STANDARD FORM 26 (REV. 4 85)

REVIOUS EDITION UNUSABLE , 7 O y

.

• GPO t 1985 0 - 461-275 (418)

e Page 2 PART II - Contract ClausesSection I - Contract Clauses 52.219-12 SPECIAL 8(a) SUBCONTRACT CONDITIONS. (APR 1984)

(a) The Small Business Administration (SBA) has entered into Contract No. NRC-03-86-057 with the U.S. Nuclear Regulatory Commission to furnish the supplies or services as described therein. A copy of the contract is attached hereto and made a part hereof.

(b) Scientech, Inc., hereafter referred to as the subcontractor, agrees and acknowledges as follows:

(1) That it will, for and on behalf of the SBA, fulfill and perfom all of the requirements of Contract No. NRC-03-86-057 for the consideration stated therein and that it has read and is familiar with each and every part of the contract.

(2) That the SBA has delegated responsibility for the administration of this subcontract to the U.S. Nuclear Regulatory Comission with complete authority to take any action on behalf of the Government under the terms and conditions of this subcontract.

(3) That it will not subcontract the performance of any of the requirements of this subcontract to any lower tier subcontractor without the prior written approval of the SBA and the designated Contracting Officer of the U.S. Nuclear Regulatory Comission.

(c) Payments, including any progress payments under this subcontract, will be made directly to the subcontractor by the U.S.

Nuclear Regulatory Comission.

(End of Clause)

(AV 1-1.713-3(e)(1))

Part III - List of Documents, Exhibits, and Other Attachments Section J - List of Attachments Attachnent -

Contract No. NRC-03-86-057 between the U.S. Nuclear Regulatory Commission and the U.S. Small" Business Administration

c _ _ _ _ - _ _ _ _ _ _ _ _ _ _ _ _ - _ - -

f a MARWCMTRACT 1. THIS CONTRACT IS A RATED ORDER k R A T ING PAGE OF PAGES

2. 00h T R AC T (Proe. inst, ide4t f No.

UNDER DPAS (15 CFR 35o>

3. EF f ECTevE DATE V 1A l 21

a. REQul5ITION/PURCHA5E REQUEST / PROJECT NO.

, f3RC-03-86-057 August 18, 1986 NRR-86-057

5. ISSUED 8Y

{ 6. ADMINISTEREO SY (1/ other shon item 5) g U.S. Nuclear Regulatory Commission Division-of Contracts Washington, D.C. 20555

7. NAME AND ADDRESS OF CONT R ACT OR tho . street. esty, coun ty. State and 2fP Codej 8. DELIV E R Y U.S. Small Business Administration 1020 Main Street, Suite 290 F08 0RIGIN

[ OTHER (Sce tetow) 80ise, Idaho 83702 9. ossCOUNT FOR PROMPT PAYuENT Net

10. SUBMIT INVOICES (4 copies unless other. }' TEM CODE .4s, speitiedJ TO THE F ACILITY CODE ADDRESS SHOW"I IN- See Block 12 II. 5 HIP 10/M AH K F OR

12. PAYMLNT WILL BL MAOL BY U.S.- Nuclear Regulatory Cb7nmisTRn Attention: David Moran, MS P-216 U.S. NRC, Division of Accounting a rinance ORM, Attention: GOV /COM Accounts Section Washington, D.C. 20555 Washington, D.C. 20555

13. o":

AUTHORIT Y F OR USING OT HE R THAN F ULL AND OPEN COMPE TI- 14. ACCOUNTING AND APPROPRI AT 6ON OAT A B&R No: 20-19-50-54-7 FIN No. 01751 to u S C. 23oucu i

[xx] 41 u S C 25mcu 5 , APPN: 31X0200.206 OBLIGATION: $74,502.00 15A. STEM NO 158. SUPPLIE S/SE RVICE S 15C. QUANTITY 150. UNIT ISE. UNIT PRICE 15F. AMOUNT The U.S. fluclear Regulatory Commission (NRC) hereby accepts Scientech , Inc. propc sal dated June 1986 , submitted in response to RFP RS-NRR-86-057, as rev-sed by Best and Fir al offer dated August 8,1986, both of which are incorpc rated herein by reference, for prc ject entitled " Independent Assessment of the Advanced Light Water teactor Requirement!

Document." Refer to Section I, Contract Clause 52.219-11, for "Speci al 8(a) Contract Conditions."

15G. TOTAL AMOUNT OF CONTRACT > $74,502.00

16. TABLE OF CONTENTS V) lSEC l DE SCR IPTION lPAGE(S) V) lSEC l DESCRIPTION lPAGE(S)

PART t - THE 5CHEDULE PART il- CONTR ACT CLAUSES A SOLICITATION / CONTRACT FORM l l t l CONTRACT CLAUSES l Id B SUPPLfES OR SERVICES AND PRICES / COSTS 2 PART lli - LIST OF DOCUMENTS. EXHIBITS AND OTHE R ATT ACH.

C DESCRIPTION / SPECS AVORK STATEMENT 2 lJ l LIST OF ATTACHMENTS l 2I D PACK AGING AND MARKING 4 E

PART IV - REPRESENTATIONS AND INSTRUCTIONS INSPECTION AND ACCEPTANCE 4 K F REPRESENTATIONS. CERTIFICATIONS AND DELIVERIES OR PERFORMANCE 5 OTHER STATEMENT 9 0F OFFERORS G CONTRACT ADMINISTR ATION DATA 7 L INSTRS .CONDS., AND NOTICES TO OFFERORS H SPECIAL CONTR ACT REQUIREMENTS 12 M EVALUATION FACTORS FOR AWARD 8

CONTRACTING OFFICER Will COMPL ETE ITEM 17 0R 18 AS APPLICABL E

17. h CONTRACTOR *$ NEGOTIATED AGREEMENT (Contractor is AWARD re-

18. (Contructor is not reguared to sign this document.) Your fired to sign this document and recurra copses to issunne offnee $ otter on Soutstat6on Num6er . .

t e r et r aw iden t ado and or any atnair . hee , for t t orth 6n fu'l > e e, er t y at o a, to he t ,06 led at v n

• 20;'!Of 4' *'a,0i'i"Jf' AC/0 ai"?o' iia"'n"'o'"/J'ln'0ifi O !"if"om."'t "l' "'a' r",,'"",J"#. u '*/'the' "

lL'l'n,"ti;fe'.'t,W,.'"in?'a'*,'tO,"n*,"";"te.'tuMN t,",'#c"Aca"d" ifi f.'r'R *"" (*' ""' ***'"" ""*' "," '"E=r'"nfr!M"?/o?"c0flonn'" "*'**"""'""'"""""" ' ";

v5t Ante hereen. (A ttachmen ts are insted hereen l iga. NAME AND TITLE OF $1GNE R (Type orprint) 20A. NAME OF CONTRACTING OF F6CER 0 T y-Wa irig Officer 198. NAME OF CONTR ACTOR 19C. DATE SIGNED NOT ST ATES T)F ERI j J0C. DA SaGN 8v t$ngnature of person authorssed to engn)

~, SEP 3 1986 - By / Mf#lF/4 /

// /Shneture'of Cfnirectsng tH/> fry V rN,['

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NSN 7540-01 152-8069 26 107 PREVIOUS EDITION UNUSABLE ' STANDARD re d y FORM 26 ( EV. 4 SS)

• GPO : 1985 0 - du.m tains A ,) q

e a Page 1B Section B.2 is revised to read:

s 1.

"B.2 Cost and Fee ,

Total Estimated Cost $68,984.00 Fixed Fee  ! 5,519.00 Total Estimated Cost Plus Fixed Fee $74,502.00"

2. Section G.1 is completed to read: ,

"G.1 Consideration Estimated Cost, Fixed Fee and Obligation ,

1. It is estimated that the total cost to the Goverrrent for full performance of this contract will be $74,502.00, of which the sum of $68,984.00 represents the estimated reinbursable costs, and of which $5,519.00 represents the fixed fee.

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

3. The amount presently obligated by the Government with -

respect to this contract is $74,502.00."

3. Section G.2 is revised to read:

"G.2 Overhead Rate A. Pending the establishment of final overhead rates which shall be negotiated based or audit of actual costs, the Contractor shall be reimbursed for allowable indirect costs hereunder at the provisional rate of 90 percent of t

Direct Labor.

B. Notwithstanding A of this Section, said provisional-overhead rate may be adjusted as appropriate sfuring the term of the contract upon the acceptance of such revised rate by the Contracting Officer."

4. Section G.5, paragraph B is completed to read

"B. The name, mail code, office address and telephone number of the Froject Officer designated for this requirement is as follows:

David Moran Mail Stop P-216 U.S. Nuclear Regulatory Comission -

Office of huclear Reactor Regulation Washington, D.C. 20555 Area Code (301) 492-7422"

~

Page IC

. 5. Section G.6 is revised to read:

"G.6 Travel Reimbu) senent

1. Total expenditure for donestic travel shall not exceed

$31,426.00 without the prior approval of the Contracting Officer. The contractor will be reimbursed for reasonable domestic travel costs incurred directly and specifically in the performance of this contract and accepted by the Contracting Officer, in accordance with the Contractor's approved travel policy on file with the NRC.

2. The cost of travel by privately owned automobile shall be reimbursed at the mileage rate prescribed by the Contractor's established, generally applicable travel policy; provided, however, that such reimbursement shall not exceed the cost of less than first-class travel by conoon carrier.

3. _ The cost of travel by rented automobile shall be reimbursed or a reasonable actual expense basis that does not exceed the rates prescribed by the Contractor's established, generally applicable travel policy.

4. All common carrier travel reimbursable hereunder shall be via economy class rates when available. If not available, reimbursement vouchers will be annotated that economy class accommodations were not available. First-class air travel is not authorized.

5. Reasonable actual costs of lodging and subsistence, or per diem in lieu of actual costs, shall be allowable to the extent that such actual costs or per diem amounts do not exceed the amounts of per diem rates prescribed by the Contractor's established generally applicable travel policy.

6. Receipts are required for conmon carrier transportation, lodging and miscellaneous items in excess of $15,00.

7. Any revision to the Contractor's established, generally applicable travel policy approved by the cognizant audit agency during the period of performance of this contract shall be effective, without formal modification to this contract, upon delivery to the Contracting Officer of a copy of such revised policy together with evidence of cognizant audit agency approval thereof."

6. Under Section H.1, Key Personnel, paragraph (a), insert the following:

Dr. L. J. Ybarrondo Dr. W. E. Cooper (Teledyne Engineering)

ifage 1M 0 4 e

7. Notwithstanding Section G.6, first class air travel is authorized for Dr. W. E. Cooper in performance of this contract.

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SOLICITATION. OFFER AND AWARD 1 1HIS CCN1%ACT 83 A 8;A11 D ORDE ft *^"*" "*"U' usct R oPAs 6th Cip 3501 re , si.c i e,O 3 sOuc.i ANON NO. . i m OesoucounOr.5 D e- l ,. u ,

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• a m at53 O o iu iO ,u o,-.,*en u,m i, U.S. Nuclear Regulatory Comission Handcarried offers, which ;ncludes " Express-~

Division of Contracts, AR 2223 k'e shington, D.C. 20555 or delivery by an Comercial delivery servic rnust be delivered to the address in Blod 9.

NOT E . in ,eateo e e soi.c.u t.c.ni of fe, and o efe... mean ve ano b.oor,-

SOLICITATION 9 Seew o'8ei en cms nal anct b ree ( 3) con,,, io. ,,,n.,h.ng th, ,,oi

, o, ,e,,.u, ,n the Scheooie ..is er necee at ihe piace spec.f.co .a n e e. o

..,ww,.co. .n i .r e..ac.s. o,v 2n3 incai,a .n ~ Room Floor, 22_23_,Eh4550 Montgomery om.,10:00 Avenue pp,,,;m, 6/20/86 esda, Maryland 20814 <"~s *'<<

C AUT TON - L All Subm.n.0%. mom cano95, anc W.shoraals See $d t.on L . Feow s.on No cono.s.ons come.riec .c. th.s so .c.iat.on 52 214 7 or 52 21510 Asi ofiers a<e subsect to au te s anc P" ""*********"'#"""CU" 10 FOR CAtt:

INFOFwATiONr h Barba eehan a M (301) 492-4733

11. T ABLE OF CONTENTS f.'l lSE C l OE SC RIPT ION lPAGE (S) ' f.'l l SE C. l OE SC RIPT ION F ART e - THE SCMC OL/LC FAGEt X IA ' SOLICaT ATsONICONT A ACT F ORM PAR T se - CONT R ACT CL AUSE S X 0 Xl 1 l CONTR ACT CL AUSES l SufPLIES OR SE AVICES AND PRtCES/ COSTS X C PA RT ses - i.e5T OF uoCUME NTS, C)*IelT 5 AND OT HE R A T T AC M DE SCRIPTION/ SPECS /WOAK STATEMENT X O XlJ l ttST OF ATT ACHMENTS i F ACK AGING AND MAFSKING X E PAR T tv - REPR ES ENT ATtONS AND INST RUC TIONS INSPECTION AND ACCErT AtwCE X

X F DE LIVE RIES OR PE AFORMANCt " REPRE SE NT ATIONS. CE RTIF f C AT:ONS AND OTHE R ST ATEMENTS Of OF FERORS X G CONT Fi ACT ACMINISTR ATiON DAT A X L y H INST RS . CONOS . AND NOT6CES TO OF F E ROAS I SPECIAL CONT AACT RE outre MENTS M E VAtuATION F ACTOAS FOR AWARD l 0F F E R IMust be fully completed by offerori NOT E. Item 12 does not apolv .f the soi.cetanon enciuces the crows.ons at 52.214-1E. M.n. mum Bid Acceptance Fee.od.

12 in compi.ance with the above. the undersigned ag<ees. if this of fei is accecteo w.then eened u eaeresed e> tar ettero s f rom the date for eereict of offers spacAce abow caleMa* days eso cereader de)e walree e cattere r oppos.ie e ach . tem. cer.vered a t the des.gnan c p,ntist. ..th.n the t.me spec.f.ec en the schecule. to fuen.sh any oe an tems soon wh.ch preces are of fe 13 DrSCOUNT F OA F ACMPT F A wt NT l U^

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af c, 14 ACxNOWL E DGMENT OF AMENOMENTS AMENDME NT NO l 'DATE LThe offruer eek nowneggen rece.pg og among A*.*El.OhE NT NO O t. T E mente to so.e SOLICITA TION for offerors end related documen te nounberet* end deced *

\

35A tw A MC CODE l l F ACitsTy l Je. N AME ANO IITL C of PE RSON Av1Mous2C D 1C SIGN esN O OF

• t n (Twe oronnes AOORL55 SCIENTECH, INC.

O' Larry J. Ybarrondo, President P. O. box 1406

"'"U". Idaho Falls, ID 83403-24o6 n ila s##

t L E# PwoN L NO. Isers.ac ews 15C rHECK IF RE MITT ANCE ADDRESS 37 GNA VRE 28 Or s ta DAT L (208)523-2077 IS DiFFE RENT FROM ABOVE . ENTE R Sucs AcoRESS IN SCwt Dut r AWARD ITo be completedby Governmey

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d7 W t-t/M 3 9. ACC E P1( O A5 TO 11L v5 NuwtsL HCO 20 AwouN1

23. ACCouNi aNG AND APPROPRI AleON

22. A.UT t ON.HORi{ v F OH USING OT Hf A InAN F UL L AND OPE N C,OMPi 18-a *

{ 10 u 5 C 2304 k H l 23 SUBMIT INVO'CE S TO ADOPESS SHOWN IN  ! "

0 41 U.S C 253 kit l to cove e s.*ntree otherm spee.t. eda Pa. AOwsN851E R4.0 ev ett orner snen farm 7 8 CODE l 26. Pav u(N T weLL et M AOC e v CODE l s

2 A N Aut OF CON 1 R Act SNG OF F ICL A (Twe or pr.nas

21. UNsT&D ST ATES OF AMERICA 28. An A R D D AT E t$.sneture of Contreeting Offereri SMPO3T ANT - Award will be mode on this Form. or on Standard Form 26. or by other authorised of f.c.at wr.tten notice.

NSN 7540.00 157-4044 P:tt veOv5 t 011aON NOT USABLE 33 333 ST ANDARD *FORM 33 s**L v *eM P""'****

• e e .

RS-NRR-86-057 Page 2 Section B - Supplies or Services and Prices / Costs B.1 Brief Description of Work ~

Contractor shall provide an independent assessment of the effectiveness of the " Advanced Light Water Reactor (ALWR) Requirements Document."

B.2 (Offeror should provide Cost and Fee information)

A. Total Estimated Cost............... ....... 5 Fixed Fee.......................... ........$

Total Es tima ted Cost Plus Fixed Fee. . . . . . . . .$

B.3 Remittance Address if item 15c. of the Standard Form 33 has been checked, the offeror shall enter the remittance address below.

Name:

Address:

Section C - Description / Specifications / Work Statement C.1 _ Statement of Work C.1.1 Background it is important that a viable nuclear power option be reestablished to support future electrical power generation. Low electrical growth rates, active conservation e fforts , and peak load leveling notwithstanding, many utilities predict an electrical generation shcrtfall to occu- in the mid 1990's unless new power plants can be built quickly and economically. Coal and nuclear power plants are the two major options available to satisfy the base plant power needs cf the 1990's.

To address the need for a viable nuclear power generation option, the Electric Power Research Institute (EPRI), as directed by its ALWR Utility Steering Consnittee, has embarked on the EPRI/ Industry Advanced LightWaterReactor(ALWR) Program. The ALWR Program has been develcped recognizing that for new nuclear plants to be operational in the mid 1990's, they must be based on proven light water reactor technology, considering the important tecinicalt lessons learned from the extensive industry experience in constructine, licensing, operating, and maintaining the present generation of neclear plants. It is EPRI's objective for the ALWR Program to develop improved light water reactor

c f... ..

o RS-NRR-86-057 Page 3 .

designs with stabilized regulatory requirements. The designs are to be safer, easier to construct, simpler configuration, easier to operate and mainta in, and mare reliable then current nuclear power plants. In addition, investor the ALWR Program is placing.special emphasis on reducing plant risks.

The output Comission Regulatory of the ALWR Program includes a utility reviewed and Nuclear nuclear power plants. (NRC) approved Requirements Document for future licensable plant facility Thethat Requirements Document will define a complete is: (1) less subject to accidents; (2) more tolerant of operating transients; (3) simplified compared to current operability plants with respect to constructability, maintainabil_ity, and (4) b65ed on fully proven technology; and (5) lower in lifetine costs than current plants.

It is intended that the ALWR Requirements Document will be prepared by EPRI, reviewed by both the

' utilities and nuclear industry, and approved by the NRC.

C.I.2 Work Required C.1.2.1 Objective Contractor shall provide an independent assessment of the effectivene,ss of the "ALWR Requirements Document." -

C.I.2.2 _ Scope of Work

, - Contractor shall review Requirements Document to determine and

~

report whether it is possible for a competent designer following and adhering to the requirements to generate design specifications end a design for an entire nuclear power plant. Such a power plant would include NSSS, BOP, the layout of buildings, systems and equipment and connections and the design would:

1.

Address NAC Regulations, Ccmmission policies, the Standard Review Plan, Regulatory G.uides resolutions to generit safety issues applicable to future designs and

2. Be expected to incorporate improvements based on lessons learned and operating experience of the current generation of LWRs such that the plant design could be: ,

a.

greatly simplified compared to current piants with respect o constructability, maintainability and operability. '.

b. less subject to accidents,

c. stable during operating transients,

d. low in core melt frequency

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i o RS-NRR-86-057 Page 4 Specifically, tables the Contractor shall review the text, figures and of Chapter .1, "Overall Requirements" of the "ALWR Requirements Document," annotate the text and write an assessment to describe the effectiveness' of Chapter 1 as prescribed above in the Work Requirements.

C.2 Heetings and Travel Tne contractor shall attend two three day meetings in Bethesda, Maryland and thrie two day meetings in Palo Alto, California.

All the travel associated NRC Project with the contract shall be approved in advance by Officer. ~

C.3 NRC Furnished Materials The NRC will furnish the following (as they are available):

1.

A description of the ALWR Requirements Document Chapter l', based on the January 1986 draft. The Contractor will be furnished Chapter 1 in its entirety when EPRI transmits it to the NRC for staff review (on or about July 1,1986).

2. Table of contents ALWR Requirements Document, Chapter 1 Requirements" (Attachment 4). I0verall 3.

Appendix C to the ALWR Requirements Document, Chapter 1. This appendix contains a cross reference of NRC criteria (Regulations) to the Requirements Document (Attachment 5).

C.4 Level of Effort The NRC's estimate of the total of sciehtific, technical, and clerical effort for this project is approximately six (6) staff months. This infomation is advisory and is not to be considered as the sole basis for the development of your staffing plans.

intend to accomplish each objective covered herein.You must detail how you Section D - Packeging and Marking The Contractor shall use standard coninercial packaging for all items to be delivered. On the front of the package, the Contractor shall clearly identify the contract number under which the product is being provided.

Section E _ Inspection and Acceptance E.1 , FAR Citations 52.246-5 INSPECTION OF SERVICES--COST-REIM8URSEMENT. (APR 1984)

(a) Definition. " Services, as used in this clause, includes services l

performed, workmanship, and material furnished or used in performing services.

9

RS-NRR-86-057 Page 5 (b) The Contractor shall provide and maintain an inspection system acceptable to the Government covering the services under this contract. ~

Complete records of all inspection work performed by the Contractor shall be maintained and made available to the Government durino contract perfomance and for as long afterwards as the contract requires.

(c) called for by The Government has the right to inspect and test all services the contract, during the term of the contract.to the extent practicable at all places and times tests in a manner that will not unduly delay the work.The Government shall per (d) If any of the services perfomed do not confom with contract .

requirements, the Government may require the Contractor to perfom the services

.again in confomity with contract requirements, for no additional fee, When the defects in services cannot be corrected by reperfomance, the Government may (1) require the Contractor to take necessary action to ensure that future perfomance conforms to contract under .the contract to reflect the reduced value of the services perfomed.

(e) take the action If the Centractor fails to promptly perfom the services .again or necessary to ensure future performance in conformity with contract requirements, the Government may (1) by contract or otheNise, perfom ,

the services and reduce any fee payable ty an amount that is equitabic under the circumstances or (2) teminate the contract for default.

(End of clause)

(R 7-1909.5 1971 Nov.)

E.2 Place of Inspection and Acceptance A.

Inspection and acceptance of the deliverable items to be furnished hereunder shall be made at the destinatit>n.

Section F - Deliveries and Performance F.1 Reports, Documentation and Other Deliverable End items F.1.1 _ Oral Reportino Requirements l

Oral task reviews shall be made in Palo Alto, California three (3) times during the contract perfonnance period.

approximately thirty (30) days af ter contractThe first shall be presented.

award, the second sixty (60) days af ter award and the third at 105 days after contract award. These oral presentations the end of the contract period,

shall show the

) status of the review progress and shall be supported by view graphs and I

the annotated working copy of Chapter 1.

F.1.2 Monthly Progress Reports By the 15th day of each calendar month, the contractor shall submit a progress report for the previous full month (first report is due 45 days af ter contract award) in letter fomat which sumarizes the following:

(1) Technical work perfomed during the previous month.

l (2) Cost expenditures for ' the month, including l expenditures to date. cumulative cost

,.,- - , - - .- + , , - - - , , - - -

1 e .s ,

RS-NRR-66-057 Page 6

- (3) Personnel assigned and their time expe6ditures including cost expenditures listed separately for each person during the previous month and cumulative time expenditure date.

(4) Projection of costs by mont.h to completion of work effort.

The report shall also ' state the amount of cumulative cost expenditures been allotted to this contract.to date and the percent that amount bea (see Limitation of F:unds clause).

In addition, each monthly report shall include a discussion of potential cr actual contractual problem areas and their impacts. If the. schedule has slipped or if costs exceed projection as reported under (4) above, this shall be. stated and the reason explained.

The first monthly letter progress report shall provide the cost projection and detailed schedule of work. Subsequent reports shall either indicate projections or indicate no change in cost and project schedules. -

F,1.3 Deliverable End Items Contract award completion and delivery of end items is set for 105 days after of contract, copy of Chapter 1 Contractor is to delivery (1) the annotated. working and (2) "Overall Requirements" of the Requirements Document, a letter report on the effectiveness of the Requirements Docu, ment based on the assessment of Chapter 1, The report is to cover all items listed under paragraph C.I.2.2, " Scope of Work."

copies of tbc letter report are to bf! delivered. In addition Five (5) the contractor is to providG a final oral briefing supported as required, by view graphs, in Palo Alto, as stated urder Oral Reporting Requirements, above, f.2 Place of Delivery The items to be furnished hereunder shall be delive.ed, with all transportation charges paid by the Centractor, to:

U.S. Nuclear Regulatory Commission Attention: David Moran Office of Nuclear . Reactor Regulation Division cf Safety Review and Oversight Mail Stop: 216 Phillips Washir.gton, D.C. 20555 Project Officer (5 copies)

Division of Contracts (1 copy)

F.3 Duration of Contract Period This contract shall become effective on either the date of award or the effective date as otherwise specified, and shall continue to completion thereof, estimated to occur within 105 days from date of award.

~ ~

RS-NRR-86-057 Page 7 Section G - Contract Administration Data G.1 Consideration

~

Estimated Cost, Fixed Fee and Obligation 1.

It is estimated performance thatcontract of this the total willcost be Sto the*

Government for full S * , of which the sum of

• represents the estimated reimbursable costs, and of which ,

5 represents the fixed fee.

2.

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

3.

The amount presently* obligated by the Government with respect to this contract is S .

• To be incorporated into any resultant contract.

G.2 Overhead / General and Administrative Rates A.

Pending the establishment of final overhead rates which shall be negotiated based on audit of actual costs, the Contractor shall be reimbursed for allowable* indirect costs hereunder at the provisional rate of

• percent of .

B.

Pending the establishment of final general and administrative rates

• which shall be negotiated based son audit of actual costs, the Contractor shall ~ be reimbursed .for allowable hereunder at the provisional rate of

• indirect costs percent of .

C.

Notwithstanding A. and 8. of this Section, said provisional overhead and G&A rates may be adjusted ,as appropriate during the tenn of the contract upon the acceptance of such revised Centracting Of ficer. rates by the

• To be incorporated into any resultant contract. .

G.3 Paynent of Fixed Fee Payment of fixed fee shall be in accordance with paragraph (b) of clause 52.216-8 Ill, Section J.

entitled " Fixed Fee" and the NRC billing instructions in Part G4 Techn'ical Direction A.

Performance of the work under this contract shall be subject to the -

technical direction of the NRC Project Officer named in Section G.

of this contract. The t&rm " Technical Direction" is defined to include the following:

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

RS-NRR-86-057 Page 8 1.

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

2. Providing assistance to the Contractor in the preparation of drawings, description.

specifications or technical portions of the work

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

B.

Technical direction must be within the general scope of work stated in the contract. The Project Officer does not have the authority to and may not issue any technical direction which: '

1. .

Constitutes scope of thean assignment of additional work outside the general contract.

2.

Consti.tutes a change as defined in the clause of the . General Provi's ions, entitled " Changes."

3.

In any way causes an increase or decrease in the total estimated contract cost, the fixed fee, if any, or the time required for contract performance.

4 ,

Changes any of the expressed terms, conditions or specificaticns of the contract.

C.

ALL TECHNICAL DIRECTIONS SHALL BE I'SSUED IN WRITING BY THE PROJE OFFICER OR SHALL BE CONFIRMED BY SUCH PERSON IN WRIT}NG WITHIN (10) WORKING DtYS AFTER VERBAL ISSUANCE. . A copy of said written direction shall te submitted t.o the Contracting Officer.

The Contractor shall proceed promptly with the performance of technical directions duly issued by the Project Officer in the manner prescribed by this article and within such person's authority under the provisions of this article, if, in the opinion of the Contractor, any instruction or dir.ection issued by the Project Officer is within one of the categories as defined in B(1) through (4) above, the Contractor shall not proce but shall notify the Contracting Officer in writing within five (ed 5) working days af ter ti,e receipt of any such instruction or direction and shall request the Contracting Officer to modify the contract accordingly. Upon receiving such notification from the Contractor, the Con tracting Officer shall issue an appropriate modification or advise the Contractor in writing that,contract in the Contracting Officer's opinion, the technical direction is within the scope of this article and does not constitute a change under the Changes Clause.

m y - - - -

n --y- -

a a

. o. -

RS-NRR-86-057 Page 9 D,

Any unauthorized commitment or direction issued by the Project Officer may result in an unnecessary delay in the Contractor's performance, and may even result in the Contractor expending funds for unallowable costs under the contract.

E.

A failure of the parties to agree upon the nature of the instruction or direction thereto shallorbeupon sub the contract action to be taken with respect entitled ' Disputes." ject to the provisions of the contract clause G.5 Project Officer A. The individual (s) listed in "B below is (are) hereby designated as the Contracting Officer's authorized representative (hereina f ter called Project Officer) for technical aspects of this contract, The

_ Project Officer is not authorized to aporove or request any action which results in or could result in an increase in contract cost; or terminate, setfie any ~ claim or dispute arising under the 'cGntract, or issue any unila~teral airective whatever. _

The Project Officer is responsible for: (1) monitoring the Cor. tractor's technical progress, including surveillance and assessment of performance, and recommending to the Contracting Officer changes in reautrebents; (2) interpreting the scope of work; (3) peiforming technical evaluation as required; (4) performing technical inspecticns and acceptance: required by this cQntract; and (5) assisting the Contractor in the resolution of technical problems encountered during performance. Within the porview of this authority, reque.sted the for Project Officer is authorized to review all costs reimbursement by Contracters and submit recommenda tions for approval, di,s3 pp rova l , or suspensicn for supplies / services required under the con tPac t, Tf!e Contracting Off,icer is responsible for directing nr negotiating any changes in terms, conditions, or amounts cited in the c6ntract.

For guidance from thd Project O'fficer to the Centractor to be valid, it mutt: (1) be consistent with the descripticn of wark set forth ,

in the tc the expressed contr.act; (2) not constitute r.ew assignment of work or change into this contract; (3) notterms, conditions er specificatio,s incorpor.ated -

the period of performance orconstitute contf act b basis for an extensien to stated above (4) n6t constitute a basisdelivery for schedule; any increase and, in es the contract cost.

B. Name ahd Mail Code:

• Office Address:

• T61ephone Number: *

• Tc be it!curporated into any resultar.t contract (b%

= o .

RS-NRR-86-057 Page 10 G.6

. Travel Reimbursement The Contractor will be reimbursed for the following reasonable domestic trevel costs incurred directly and specifically this contract and accepted by the Contracting Officer:in the performance of 1.

Per diem shall be reimbursed at a daily rate not to exceed $50.00.

The per diem amount is comprise meals and miscellaneous expense,d of lodging expense plus $23.00 for the daily rate. the total of which shall not exceed

2. When travel is to one of the high-rate geographical area,s listed below, actual subsistance costs shall be reimbursed at a daily rate not to exceed the rates indicated:

Area f Daily Rate 3.

The at cost the rateofof travel 20.5eby per privately mile. owned automobile shall be reimbursed 4 The cost of travel by rented automobile shall be reimbursed on a reasonoble actual expense basis.

5.

All common economy class carrier travel rates when reimbursable hereunder shall be available. via If not available reimbursement vouchers will be annotated that economy class accom,modations were not available.

First-class air travel is not authorized.

6.

Receipts are required for common ca(rier transportation, lodging and miscellaneous items in excess of $25.00.

7 The rates provided .shall remain in effect until such time as a unila teral contract modification is issued by the Contracting Officer, reflecting changes (increases or decreases) in tiie Federal Travel Regulations (FTR).

G.7 Payment Due Date (a) Peyments later of: under this contract will be due 30 calendar days after the (1) The date copies) to:of' actual receipt of a proper invoice (original and 4 i

U.S. Nuclear Regulatory Commission Division of Accounting and Finance Office of Resource Management ATTN: GOV /COM Accounts Section Washington, D.C. 20555

, or i

RS-NRR-86-057 Page 11 (2) the TheGovernment.

date the final deliverable product / service is accepted by (b) For the purpose of determining the due date for payment and for no other purpose, acceptance will be deemed to occur 30 calendar days after the date of delivery of the final deliverable product / service performed in accordance with the terms of the contract.

(c) If the final product / service is rejected for failure to conform to the technical requirements of the contract, the provisions in paragraph final product(b) of this clause will apply to the new delivery of the

/ service.

(d) The date of payment by wire transfer through the Treasury Financial Communications System shall be considered the date payment is made for individual payments exceeding $25,000.

The date a check is issued shall be considered payments of $25,000 or less. the date payment is made for individual G.8 Invoice Requirements invoices shall be submitted in an original and 4 copics to:

U.S. Nuclear Regulatory Commission Division of Accounting and Finance Office of Resource Management ATTN: GOV /COM Accounts Section Washington, D.C. 20555.

To constitute a proper invoice, the invoice must include the followinn information and/or attached documentatio.n:

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

(2) Contract services. number or other authorization for delivery of property or (3) Description pr ice and quantity of property and services actually delivered or rendered.

(4) Shipping and payment terms.

(5) Name (where practicable), title, phone number, and complete mailing address of responsible official to whom payment is to be sent.

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

s

o

• RS-NRR-86-057 Page 12 G.9 Interest on Overdue Payments (a) The Prompt Payment Act, Public Law is applicable to payment of the 97-177 (96 STAT. 85, 31 USC 1801) expiration invoice under this contract and requires the payment of interest to Contractors on discounts. payments of the expira tion invoice or improperly taken overdue (b)provisions Determinations of interest due will be made in accord of the Prompt Payment Act and Office of Management and Budget Circular A-125, Vol.

1982.

Among other considerations, OMB Circular A-125~ pro (1) because Interestofpenalties are not a disagreement overrequired when payment is delayed the amount of payment or other issues concerning compliance with the terms of the contract .

(2) Whenever a proper invoice is paid after the due date plus 15 -

days, interest will be included with the payment at the interest rate applicable on the payment date.

from the day after the due date through the payment date. Interest w (c) For purposes of this clause, an expiration invoice is defined as a claim submitted expiration date of for costs a Cost Typeincurred for performance through the contract.

Section H _Special Contract Requirements H.1 Key Personnel (a)

The following individuals are considered to be essential to the successful performance of the work hereunder.

• To be incorporated into any resul' tant contract The Contractor agrees that such personnel shall not be removed from the contract work or replaced without compliance with paragraphs (b) and (c) hereof.

(b) is expected to become, unavailable for work under for a this co continuous period exceeding 30 work days, or is expected to devote substantially less effort to the work than indicated in the proposal or initially anticipated, the Contractor shall innediately notify the Contracting Officer and shall, subject to the concurrence of the Contracting such personnel Officer with or his authorized personnel of at representative, promptly replace and qualifications. -

least substantially equal ability

o

• RS-NRR-86-057 Page 13 (c) All requests for approval of substitutions hereunder must be in writing and provide a detailed explanation of the circumstances necessitating the proposed substitutions. They must contain a complete resume for the proposed substitute, and other information requested by the Contracting Officer or needed by him to approve or disapprove the

. proposed substitution.

The Contracting Officer or his authorized representative will evaluate such requests and promptly notify the Contractor of his approval or disapproval thereof in writing.

(d) If the Cortracting Officer determines that suitable and timely replacement of key personnel who have been reassigned, terminated or have otherwise becume unavailable for the contract work is not reasonably forthcoming or that the resultant reduction of productive effort would be so substantial as to impair the successful completion of the contract or Contracting the service order, the contract may be terminated by the Officer for default or for the convenience of the Government, as appropriate, or, at the discretion of the Contracting Officer if he finds the Contractor at fault for the condition, the .

contract price or fixed fee may be equitably adjusted downward to compensate the Government for any resultant delay, loss or damage.

H.2 Consultant or Other Comparable Employment Services of Contractor Employees (OMB-Clearance Number 3150-0112)

The Contractor .shall require all employees who are employed full-time (an individual who perforvns work under the cost-type contract on a full-time annual basis) or part-time (50 percent or more of regular annual compensation received under terms of a contract with the Commission) on the contract work to disclose to the Contractor all consultant or other comparable employment services which the; employees proposed to undertake for others. The Contractor shall transmit to the Contracting Officer all infomation obtained from such disclosures. The Contractor will require any employee who will be employed full-time on the contract to agree, as a condition of his participation 'in such work, that he will not perfonn consultant or other comparable employment services for another Commission c6'st-type Contractor under its contract with the Commission except with the prior approval of the Contractor.

H.3 Safety, Health, and Fire Protection The Contractor shall take all reasonable precautions in the performance of the work under this contract to protect the health and safety of employees and of members of the public and to minimize danger from all hazards to life and property and shall comply with all health, safety, and fire protection regulations and requirements (including reporting requirements) of the Commission and the Department of Labor. In the event that the Con tractor fails to comply with said regulations or requirements, the Contracting Officer may, without prejudice to any other l e'ga l or contractual rights of the Commission, issue an order stopping all or any part of the work; therea f ter, a start order for resumption of work may be issued at the . discretion of the Contracting

RS-NRR-86-057 Page 14 Officer.

The Contractor shall make no claim for an extension of time or for compensation or damages by reason of or in connection with such work stoppage.

H.4 Dissemination of Contract Information (OMB Clearance 3150-0112) Number The Contractor shall not publish, pennit to be published, or disseminate to the public any information, oral or written, concerning the work performed under Contracting this contract without the prior written consent of the Officer.

Two copies of any informa tion proposed to be published or disseminated shall be submitted to the Contracting Officer.

Failure this to comply with this clause shall be grounds for termination of contract.

H.5 Private Use of Contract Information and Data Except as otherwise specifically authorized by Section H., publication of contract ' work of this contract, or Contracting Officer, as otherwise approved by the .

or furnished the Contractor in the performance of this contract, be used only in connection with the work under this contract.

H.6 Drawings, Desions, and Specifications All drawings, sketches, designs, design data, specificatious, notebooks, technical and scientific data, and all photographs, negatives, reports, findings, recomenda tions , data and memoranda of every description relating thereto, as well as all copies of the foregoing relating to .the work or any part thereto, shall be subject to inspectioa by the Commission at all reasonable times (for which inspection the proper facilities shall be afforded the Commission by the Contractor and its-subcontractors),

by the Governmentshall be the property o'f the Government and may be used for any purpose whatsoever without any claim on the part of the Contractor and its subcontractors and vendors for additional compensation and shall, subject to the right of the Contractor to retain a copy of said material for its own use, be delivered to the Government, or otherwise disposed of by the Contractor either as the Contracting Officer may from time to time direct during the progress of the work or in any event as the Contracting Officer shall direct upon completion or termination of this contract. The Contractor's right of retention and use shall be subject to the security, patent, and use of information provisions, if any, of this contract.

.H.7 Contractor 7150-0112) Orcanizational Conflicts of Interest (OMB Clearance Number (a) Purpose.

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

a- .. . .

RS-NRR-86-057 Page 15 (b) Scope. The restrictions. described herein shall apply to performance or participation by the Contractor as defined in 41 CFR 620-1.5402(f) in the activities covered by this clause.

(c) Work for Others.

contract, - during the term Notwithstanding any other provision of this of this contract, forgo entering into consulting or other contractual arrangements withthe any firm or organization, the -result of which may give rise to a conflict of interest with respect to the work being performed under this contract.

The Contractor shall ensure that all employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause.

If the Contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with interes anyt, _ firm or organization may involve a potential conflict of the Contractor shall obtain the written approval of the Contracting Officer prior to execution of such contractual arrangement.

(d) Disclosure after award. .

(1)

The Contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, .it does not have any organizational conflicts of interest, as defined in 41 CFR 20-1.5402(a).

(2) The Con trac tor agrees that if after award it discovers organizational conflicts of interest with respect to this contract, it shall make Contracting an imediate and full disclostre in writing to the Officer.

This statement shall include a description of the action which the Contractor avoid or mitigate such conflicts.has.The taken or proposes to take to NRC may, however, terminate the best the contract for convenience interests of the Government. if it oeems such termination to be in (e) Access to and use of information.

(1) accessIf the Contractor in the performance of this contract obtains to information, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L.93-579), or data which has not been released to the public, the Contractor agrees not to:

(i) Use such information for any private purpose until the infonnation has been released to the public; (ii) compete for work for the Commission based on such information for a period of six (6) months after either the completion of this contract or the release of such information to the public, whichever is first;

RS-NRR-86-057 Page 16 (iii) submit an unsolicited proposal to the Government based on such information until one year af ter the release of such information to the public, or (iv) release the the information without prior written approval Contracting by Officer unless such information has previously been released to the public by the NRC.

(2)

In addition, the Contractor ' agrees that to the extent it the Privacy Act of 1974 (Pub. L.93-579), or other privileged technical, business, or financial information under this with restrictions placed on use of the information. contrac (3)

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

(f) Subcontracts.

Except as provided in 41 CFR 20-1.5402(h), the Con tra c tor shall subcontracts of anyinclude tier. this clause, including this pa ragraph, in

" Contracting Officer," The terms " contract," "Contractot," and Government's rights. shall be appropriately. modified to preserve the (g) Remedies.

For breach of any of the above prescriptions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representathe terminate tions as necessarily contract imply bad faith, the Government may for defaul t, ( isquali fy the Contractor from subsequent contractual efforts, and pulrsue other permitted by law or this contract. remedies as may be (h) Waiver.

i A request for waiver under this clause shall be directed i

in writing Opera tions through the Contracting O'fficer to the Executive Director for (E90) in accordance with the procedures

$20-1.5411. outlined in H.8 Method of Payment

! (a) Payment j under this contract will be made by wire transfer through the Treasury

Financial Communications System for each individual payment in excess of 525,000 and b Treasury check for each individual payment of $25,000 or less. y

(b) Within seven days after the effective date of the contract, the l Contractor shall Contracting forward Officer to the following information in writing to the payments. facilitate wire transfer of contract In the event that the Contractor's financial institution has access to the Federal Reserve Communications System, Contractor shall complete all items except items 7 - 9. In the event the l

l 1

t RS-NRR-86-OS7 Page 17 Contractor's financial institution does not have access to th Federal Reserve Communications System, Contractor shall complete all items except item 4

1. Name and address of organization

2. Contact person and telephone number 3.

Name and address of financial institution 4

Contractor's number Financial for routing institutions's transfer of funds 9-digit ABA identifying 5.

Telegraphic abbreviation of Contractor's financial institution 6.

Account number at Contractor's financial institution if it receives electronic funds transfer messages through the Federal Reserve Connunications System 7.

Name and address of the correspondent financial institution if the Contractor's financial institution does not receive electronic funds transfer messages through the Federal Reserve Communications System

8. Correspondent financial number for routing transferinstitution of funds 9-digit ABA identifying 9.

Telegraphic abbreviation of correspondent financial institution 10.

Signature and title of person supplying this information (c) Any changes to the information furnished under paragraph (b) of this clause shall be furnished to the Contracting Officer in writing. It is the Contractor's responsibility to furnish these changes promptly to avoid payments to erroneous bank accounts.

i 1

i

RS-NRR-86-057 Page 18 PART II - CONTRACT CLAUSES Section I - Contract Clauses 52.219-11 SPECIAL 8(a) CONTRACT CONDITIONS. (APR1984)

The Small Business Administration (SBA) agrees to the following:

to the ' specifications and the terms and conditions h an eligible concern pursuant Business Act, as amended (15 U.S.C. 637(a)).to the provisions of section 8(a) of the the work hereunder, this contract may be terminated without cost to either party.

for (c) Delegates to the U.S. Nuclear Regulatory Commission the respons administering the subcontract to be awarded hereunder with complete authority to take any action on behalf of the Government under the tems and conditions of the subcontract; provided, however, that the U. S. Nuclear -

Regulatory Commission shall give a_dvance notice to t performance, either in whole or in part, under the subcontract for default or for the convenience of the Government.

(d) That payments to be made under any subcontract awarded under this Regulatory will contract be made directly to the subcontractor by the. U.S. Nuclear Commission.

(e) That right of appeal from decisions of the Contracting Officer cogni

" Disputes" clause of said subcontract.

(End of clause)

( AV FPR l-1.713-3(d)(1))

52.219-12 SPECIAL 8(a) SUBCONTRACT CONDITIONS.' (APR 1984)

(a) The Small NRC-03-86-057 with theBusiness U.S. Administration (SBA) has entered into Co Nuclear Regulatory Comission to furnish the hereto and made a part hereof. supplies or se vices as described therein. ~ A c acknowledges as follows:(b) Scientech, Inc., hereafter referred to as the subcont of the requirements of Contract No. NRC-03-86-057(1) That it will, for a therein and that it has read and is familiar with for the consideration stated each and every part of the contract.

(2) That the this subcontract toSBA the has delegated responsibility for the administration of U.S.

Nuclear Regulatory Commission with complete authority to take any action on behalf of the Government under the terms and conditions of this subcontract.

(3) That it will not subcontract the perfomance of any of the prior written approval of the SBA and the designated Contr U.S. Nuclear Regulatory Commission -

be made directly to the subcontractor by the U.S. Nuclea .

(End of clause)

(AV 1-1.713-3(e)(1))

RS-NRR-86-057 Page 19

, 52.233-3 PROTEST AFTER AWARD (JUN 1985)--Alternate I (JUN 1985)

(a) Upon receipt the Contracting of may, Officer a notice of protest (as defined in 33.101 of the FAR) by written order to the Contractor, direct the Contractor to stop performance of the wnrk called for by this contract. The order shall be specifically identified as a stop-work order issued under this clause.

its termsUpon and receipt take allof the order, the Contractor shall immediately comply with reasonable steps to ' minimize the incurrence of costs allocable to the work covered by the order during the period of work stoppage.

either--receipt of the final decision in the protest, the Contracting Officer shall Upon (1) Cancel the stop-work order; or (2) Terminate the work covered by the order as provided in the Termination clause of this contract.

(b) If a stop-work order issued under this clause is canceled either before or after a final decision in the protest, the Contractor shall -resume work. The Contracting Officer shall make an equitable adjustnent in the delivery schedule, the estimated cost, the fee, or a combination thereof, and in any other terms of the contract writing, that mayif--

accordingly, be a f fected, and the contract shall be modified, in or (1) The stop-work order results in an increase in the time required -for, part ofthe in thisContractor's contract; andcost properly allocable to, the performance of any (2) The Contractor requests an adjustment within 30 days after the end of the period of work stoppage; provided, that if the Contracting Officer decides the facts justify the action, the Contracting Officer may receive and act upon the request at any time before final payment under this contract.

(c) If a stop-work order is not canceled and the work covered by the order is terminated for the convenience of the Government, the Contracting Officer shall allow reasonable costs resulting from th'e, stop-work order in arriving at the termination settlement.

is (d) If a stop-work order is not canceled and the work covered by the order te rmina ted for de fa ul t , the Contracting Officer shall allow, by equitable adjustment or otherwise, reasonable costs resulting from the stop-work order.

.( e) The Government's rights to terminate this contract at any time are not affected by action taken under this clause.

(End of Clause) 52.252-2 CLAUSES INCORPORATED BY REFERENCE. (APR 1984) force This contract incorporates the following clauses by reference, with the same and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available.

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

RS-NRR-86-057 Page 20

, Section F 52.212-13 52.247-34 STOP-WORK ORDER.-- Alternate 1 (APR 1984)

F.0.8.. DESTINATION. (APR 1984)

Section I

! 52.202-1 DEFINITIONS. (APR 1984) 52.203-1 0FFICIALS NOT TO BENEFIT.

52.203-3 (APR 1984)

GRATUITIES. (APR1984) 52.203-5 COVENANT AGAINST CONTINGENT FEES.

52.215-1 (APR 1984) 52.215-2 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL. (APR 1984)

AUDIT--NEGOTIATION. (APR 1984)

~

52.215-30 FACILITIES CAPITAL COST OF MONEY. (APR 1984) 52.215-33 ORDER OF PRECEDENCE.

.52.216-7 (Jan 1986)

ALLOWABLE COST AND PAYMENT. (APR 1984) 52.216-8 FIXED FEE. (APR 1984) 52.219-8 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL .

DISADVANTAGED BUSINESS CONCERNS. (JUN 1985) 52.219-13 52.220-3 UTILIZATION OF WOMEN-0WNED SMALL BUSINESSES. (APR 1984)

UTILIZATION OF LABOR SURPLUS AREA CONCERNS. (APR 1984) 52.222-3 CONVICT LABOR. (APR 1984) 52.222-26 EQUAL OPPORTUNITY. (APR 1984) 52.222-35 .

AFFIRMATIVE ACTION FOR SPECIAL DISABLED AND VIETNAM ERA ~

VETERANS (APR 1984) 52.222-36 52.227-1 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS (APR 1984)

AUTHORIZATION AND CONSENT. (APR 1984) 52.227-2 NOTICE AND ASSISTANCE, REGARDING PATENT AND COPYRIGHT INFRINGEMENT. (APR 1984) 52.228-7 INSURANCE LIABILITY TO THIRD PERSONS. (APR 1984) 52.230-3 52.230-4 COST ACCOUNTING STANDARDS. '(APR 1984)

ADMINISTRATION OF COST ACCOUNTING STANDARDS. (APR 1984) 52.232-17 INTEREST. (APR 1984) 52.232-20 LIMITATION OF COST. (APR 1984) 52.232-22 LIMITATION OF FUNDS. (APR 1984) 52.232-23 ASSIGNMENT OF CLAIMS. "(JAN 1986) 52.233-1 DISPUTES. (APR 1984) 52.242-1 NOTICE OF INTENT TO DISALLOW COSTS. (APR 1984) 52.243-2 CHANGES--COST-REIM8URSEMENT. (APR 1984)--Alternate I. (APR 1984) 52.244-2 SU8 CONTRACTS (C0ST-REIM8URSEMENT AND LETTER CONTRACTS)

(JUL 1985) 52.244-5 COMPETITION IN SUBCONTRACTING.

52.246-25 (APR 1984)

LIMITATION OF LIABILITY--SERVICES. (APR 1984) 52.249-6 TERMINATION (C0ST-REIMBURSEMENT). (APR 1984) 52.249-14 EXCUSABLE DELAYS. (APR 1984) l

RS-NRR-86-057 Page 21

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

NRC Contractor Grganizational Conflicts of Interest (41 CFR Part 20) 2 NRC Manual Chapter 3202 3 Si 1411 4

Description of ALWR Requirements Document Chapter 1 Draft 5- Appendix C 6 Billing Instructions For NRC Cost-Type Contracts O

f I

I

e

. PART 20-1 -- GENERAL Subpart 20-1.54--Contractor' Organizational Conflicts of Interest Sec.

20-1.5401 Scope and policy.

20-1.5402 Definitions.

1.5403 Criteria for recognizing contractor organizational conflicts of interest. .

20-1.5404 Representation. -

20-1.5405 Contract clauses.

20-1.5405-1 General contract clause.

20-1.5405-2 Special contract provisions.

20-1.5406 Evaluation, findings, and contract award..

20-1.5407 Conflicts identified after award.

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

20-1.5411 Waiver. -

20-1.5412 Remedies.

AUTHORITY: Sec. 8, Pub. L.95-601, adding Sec.170A to Pub. L.83-703, 68 Stat. 919, as amended (42 U.S.C. ch.14) 520-1.5401 Scope and Policy (a) It is the policy of the U.S. Nuclear Regulatory Commission (NRC) to avoid, eliminate or neutralize contractor organizational conflicts of interest. The NRC achieves this objective by requiring all prospective contractors to submit information describing relationships, if any, with organizations or persons' (including those regulated by NRC) which may give rise to actual or potential conflicts of interest in the event of contract award.

(b) Contractor conflict of interest determinations cannot be made automatically or routinely; the application of sound judgment on virtually a case-by-case basis is necessary if the policy is to be applied so as to satisfy the overall public interest. It is not possible to prescribe l

in advance a specific method or set of criteria which would serve to identify and resolve all of the contractor conflict of interest situations l which might arise; however, examples are provided in these regulations l

to guide application of the policy. NRC contracting and program officials i

must be alert to other situations which may warrant application of this policy guidance. The ultimate test is: Might the contractor, if awarded the contract, be placed in a position where its judgment may be biased, '

or where it may have an unfair competitive advantage?

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

l _ __

7590-01 agreements with other government agencies, international organizations, or state, local or . foreign governments; separate procedures for avoiding conflicts of interest will be employed in such agreements, as appropriate.

120-1.5402 Definitions

-(a) " Organizational conflicts of interest" means that a relationship exists whereby a contractor or prospective contractor has present or planned interests related to the work to be performed under an NRC contract which: (1) May diminish its capacity to give impartial, technically sound, objective assistance and advice or may otherwise result in a -

' biased work product, or (2) may result in its being given an unfair -

competitive advantage.

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

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

(d) " Technical consulting and management support services" means internal assistance to a component of the NRC in the formulation or administration of its programs, projects, or policies which normally require the contractor to be given access to information which has not been made available to the public or proprietary information. Such services typically include assistance in the preparation of program plans; and preparation of preliminary designs, specifications, or statements of work. -

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

(f) " Contractor" means any person, firm, unincorporated association, joint venture, co-spons.or, partnership, corpo.stion, affiliates thereof, ,

or their successors in interest, including their chief executives, directors, key personnel (identified in the contract), proposed consultants or subcontractors, which is a party to a contract with the NRC.

(g) " Affiliates" means business concerns which are affiliates of ~

each other when either directly or indirectly one concern or individual controls or has the power to control another, or when a third party controls or has the power to control both (41 CFR 51-1.606-1(e)).

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

(i) " Prospective contractor" or " offeror" means any person, firm, unincorporated association, joint venture, partnership, corporation, or affiliates thereof, including its chief executive, directors, key personnel (ioentified in the proposal), proposed consultants, or subcontractors, submitting a bid or proposal, solicited or unsolicited, to the NRC to cttain a contract. -

2

7590-01 (j) " Potential conflict of interest" means that a factual situation exists that suggests (indicates) that an actual conflict of interest may arise frcm award of a proposed contract. The term " potential conflict of interest" is used to signify those situations which merit investigation 1 prior to contract award in order to ascertain whether award would give rise to an actual conflict or which must be reported to the contracting officer for investigation if they arise during contract performance.

I20-1.5403 Criteria for recognizing contractor organizational conflicts of interest (a) General. Two questions will be asked in determining whether actual or potential organizational conflicts of interest exist: (1) Are there conflicting roles which might bias a contractor's judgment in relation to its work for the NRC7 (2) May the contractor be given an unfair competitive advantage based on the performance of the contract?

The ultimate determination by NRC as to whether organizational conflicts of interest exist will be made in light of comon sense and good business judgment based upon the relevant facts disclosed and the work to be perfonned. While it is difficult to identify and to prescribe in advance a specific method for avoiding all of the various situations or relationships which might involve potential organizational conflicts of interest, NRC personnel will pay particular attention to proposed contractual requirements which call for the rendering of advice, consultation or evaluation activities, or similar activities that lay direct groundwork for the NRC's decisions on regulatory activities, future procurements, and research programs.

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

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

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

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

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

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

7590-01 b

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

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

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

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

(iv) Where the offeror or contractor is granted access to proprietary information of its competitors.

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

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

The XYZ Corp., in response to a request for proposal (RFP), proposes to undertake certain analyses of a reactor component as called for in the RFP. .The XYZ Corp. is one of several companies considered to be technically well qualified. In response to the inquiry in the RFP, the XYZ Corp.

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

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

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

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

0

• 7590-01 Guidance. An NRC contract normally could be awarded to the ABC Corp. because no conflict of interest exists which would motivate bias with respect to the work. An appropriate clause would be included in the contract to preclude the ABC Corp. from subsequently contracting for work during the performance of the NRC contract with the private sector which could create a conflict. For example, ABC Corp. would be precluded from the performance of similar work for the company developing the advanced reactor mentioned in the example.

(3) Example. As a result of operating problems in a certain type of commercial nuclear facility, it is imperative that NRC secure specific data on various operational aspects of that type of plant so as to assure adequate safety protection of the public. Only one manufacturer has extensive experience with that type of plant. Consequently, that company is the only one with whom NRC can contract which can develop and conduct the testing programs required to obtain the data in reasonable .

time. That company has a definite interest in any NRC decisions that might result from the data produced because those decisions affect the reactor's design and thus the catpany's costs.

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

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

Since the nature of the work required is vitally important in terms of ,

NRC's responsibilities and no reasonable alternative exists, a waiver of the policy may be warranted. Any such waiver shall be fully documented and coordinated in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms to guard against bias.

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

has advised NRC that it intends to sell the new system to industry once its practicability has been demonstrated. Other companies in this business are using older systems for evaluation of the specific reactor component.

Guidance. A contract could be awarded to the ABC Co. provided that the contract stipulates that no information produced under the contract will be used in the contractor's private activities Lnless such information has been reported to NRC. Information which is reported to NRC by contractors will normally be disseminated by NRC to others so as to preclude an unfair competitive advantage that might otherwise accrue. When NRC furnishes information to the contractor for the performance of contract '

work, it shall not be used in the contractor's private activities unless such information is generally available to others. Further, the contract will stipulate that the contractor will inform the NRC contracting officer of all situations in which the information developed under the  !

i contract is proposed to be used.

5-

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

l 7590-01 (5) Example. The ABC Corp., in response to a RFP proposes to assemble a map showing certain seismological features of the Appalachian fold belt. In accordance with the representation in the RFP and

$ 20-1.5403(b)(1)(1), ABC Corp. informs the NRC that it is presently doing seismological studies for several utilities in the Eastern United States but none of the sites are within the geographic area contemplated by the NRC study.

Guidance. The contracting officer would nomally conclude that award of a contract would not place ABC Corp. in a conflicting role where its judgment might be biased. The work for others clause of 120-1.5405-1(c) would preclude ABC Corp. from accepting work during the term of the NRC contract which could create a conflict of interest.

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

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

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

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

7590-01 ORGANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION I represent to the best of my knowledge and belief that:

The award to of a contract or the modification of an existing contract does ( ) or does not ( ) involve situations or relationships of the type set forth in 41 CFR S20-1.5403(b)(1).

(c) Instructions to offerors. The following shall be included in all NRC solicitations: (1) If the representation as completed indicates that situations or relationships of the type set forth in 41 CFR 5 20-1.5403(b)(1) are involved, or the contracting officer otherwise determines that potential organizational conflicts exist, the offeror shall provide a statement in writing which describes in a concise manner all relevant facts bearing on his representation to the contracting officer. If the contracting officer determines that organizational conflicts exist, the following actions may be taken: (1)Imposeappropriate conditions which avoid such conflicts, (ii) disqualify the offeror, or (iii) determine that it is otherwise in the best interest of the United States to seek award of the contract under the waiver provisions of 5 20-1.5411.

(2) The refusal to provide the representation required by 520-1.5404(b) or upon request of the contracting officer the facts required by 520-1.5404(c), shall result in disqualification of the offeror for award. The nondisclosure or misrepresentation of any relevant interest may also result in the disqualification of the offeror for award; or if such nondisclosure or misrepresentation is discovered after award, the resulting contract may be terminated. The offeror may also be disqualified from subsequent related NRC contracts and be subject to such other remedial actions provided by law or the resulting contract.

(d) The offeror may, because of actual or potential organizational conflicts of interest, propose to exclude specific kinds of work from the statements of work contained in a RFP unless the RFP specifically prohibits such exclusion. Any such proposed exclusion by an offeror will be considered by the NRC in the evaluation of proposals. If the NRC considers the proposed excluded work to be an essential or integral part of the required work and its exclusion would work to the detriment of the competitive posture of the other offerors, the proposal must be rejected as unacceptable.

(e) The offeror's failure to execute the representation required by subsection (b) above with respect to invitation fcr bids will be considered to be a minor informality, and the offeror will be permitted to correct the omission.

f 20-1.5405 Contract clauses i 20-1.5405-1 General contract clause 7590-01 All contracts of the types set forth in520-1.5404(b) shall include the following clauses:

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

(b) Scope. The restrictions described herein shall apply to performance or participation by the contractor as defined in 41 CFR 5 20-1.5402(f) in the actitities covered by this clause.

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

The contractor shall ensure that all employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause. If the contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting officer prior to execution of such contractual arrangement.

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

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

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

(e) Access to and use of information. (1) If the contractor in the performance of this contract obtains access to information, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L.93-579), or data which has not been released to the public, the contractor agrees not to: (i) Use such releasedinformation for any(private to the public; purpose ii) compete until for work forthe the information has been Comission based

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$ 7590-01 b on such information for a period of six (6) months after either tne i comoletion of this contract or the release of such infonnation to t.he  :

public, whichever is first. (iii) submit an unsolicited Droposal to the l government based on such information until one year after the release of  ;

such information to the public, or (iv) release the information without i prior written aptroyal by the contracting officer unless such information  !

has previously been released to the p9blic by the NRC. i (2) In addition, the contrhetor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L.93-579), or other confidential or privileged >

technical, business, or financial- information under this contr7ct, the l contractor shall treat such information in accordance with restrictions ,

placed on use of the information.

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

of this contract have been met.

(f) Subcontracts. Except as provided in 41 CFR 520-1.5402(h), the contractor shall include this clause, including this paragraph, in '

i subcontracts of any tier. The terms " contract," " contractor," and

" contracting officer " snall be appropriately modified to preserve the government's rights.

(g) Remedies. For breach of any of the above proscriptions or for  :

a intentional nondisclosure or misrepresentation of any relevant interest  !

required to be disclosed concerning this contract or for such erroneous i representations as necessarily imply bad faith, the goverr. ment may e

! terminate the contract for default, disqualify the contractor from ,

subsequent contractual efforts, and pursue other remedies as may be i i permitted by law or this contract. j 4

(h) Waiver. A request for waiver under this clause shall be  !

directed in writing through the contracting officer to the Executive j

,t Director for Operations (ED0) in accordance with the procedures outlined  ;

in 120-1.5411.

l 5 20-1.5405-2 Special contract provisions.  ;

(a) If it is determined from the nature of the proposed centract j that organizational conflicts cf interest exist, the contractirg officer may determine that such conflict can be 6 voided or after obtaining a j waiver in accordance with :20-1.5411 neutralized through the use of an appropriate special contract provision. If appropriate, the offeror tray ,

i negotiate the terms and conditions of these clauses, including the '

extent and time period of any such restriction. These provisions include but are ret limited to:

. 9 9

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7590-01 (1) kardware exclusion clauses which orchibit the acceptance of procaction contracts following a related nonproduction contract previously performed by the contractor; 4

(2) Software exclusion clauses;

' (3) Clauses which requi're the contractor (and certain of his key personnel) to avoid certain organizational conflicts of interest; and (4) Clauses which provide for protection of confidential data and i

guard against its unauthorized use.

(b) The following additional contract clause may be included as section (i) in the clause set forth in s 20-1.5405-1 w5en it is determined *

• that award of a follow-on centract would constitute an organizational conflict of interest.

(i) Follow-on effort. (1) Tne contractor shall be ineligible to participate in NC.C contracts, subcontracts, or proposals therefor (Sclicited

' or unsolicited) which stem directly from the contractor's performance of 1

work uncer this contract. Furthernore, unless so directed in writing by the contracting officer, the contractor shall not perform any technical consulting or management support services werk or evaluation activities under this contract on any of its products or services or the products

! or services of another firm if the contractor has been substantially involved in tne development or marketing of such products or services.-

l (2) If the contractor under this contract prepares a complete or essentially complete statement of work or specificationc, the contractor shall be ineligible to perform or participate in the initial contractual i effort whicn is based on such statement of work or specifications. The

contracter snall not incorporate its products or services in such statement

of work or specifications unless so directed in writing by the contracting officer, in which case the restricticn in this subparagraph shall no

apply.

(3) Nothing in this caragraph shall preclude the contractor frcm j offering or selling its standard commercial items to the government.

I 20-1.5406 Evaluation, findings, and contract award i

The contracting officer will evaluate all relevant facts submitted by an offerer pursuant to tne representation reouirements of 120-1.5404(b) i anc ether relevant information. After evaluating this information i

against the criteria of I 20-1.5403, a finding will be made by the contracting l officer whether crganizational conflicts of interest exist with respect

) to a particular offeror.

j If it has been determined that conflicts of interest exist, then tne contracting officer shall eitner:

I

(a) Disqualify the offeror from award, l t

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l 7590-01

, (b) Avoid or eliminate such conflicts by appropriate measures; or (c) Award the contract under the waiver provision of f20-1.5411.

120-1.5407 Conflicts identified after award.

If potential organizational conflicts of interest are identified after award with respect to a particular contractor, the contracting .

officer determines that such conflict: do, in fact, exist and that it would not be in the best interests of tne government to terminate the contract as provided in the clauses required by 520-1.5405, the contracting officer will take. every reasonable action to avoid, eliminate, or, af ter obtaining a waiver in accordance with 620-1.5411, neutralize the effects of the identified conflict.

120-1.5408 (Reserved) 520-1.5409 (Reserved) 520-1.5410 Subcontracts i The contracting officer shall require offerors and contractors to submit a representation statement in accordance with 120-1.5404(b) from subcontractors and consultants. The contracting officer shall require the contractor to include contract clauses in accordance with ,s 20-1.5405 in consultant agreements or subcontracts involving performance of work under a prime contract covered by this subsection.

I20-1.5411 Waiver In the first instance, determination with respect to the need to seek a waiver for specific contract awards shall be made by the contracting i officer with the advice and concurrence of the program office director and the Office of Executive Legal Director. Upon the recommendation of the contracting officer, and after consultation with the Office of the '

Geheral Counsel, the EDO may waive the policy in specific cases if he determines that it is in the best interest of the United States to do So.

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

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

i -ll.

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

7590-01 .

520-1. 5412 -Remedies s

In addition to such other remedies as may be permitted by law or contract for a breach of the restrictions in this subpart or for any intentional misrepresentation or intentional nondisclosure of any 4

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

f Dated at_Washinoton. D.Cthis 27th day of March 1979,  ;

2 For the Nuclear Regulatory Commission l

cwmdht 1

. Samuel . Chilk '

Secretary of the Commission  ;

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Form NRC 489 (1 76)

U. 5. NUCLEAR REGULATORY COMMISSION NRC MANUAL TRANSMITTAL NOTICE CHAFSR h?.C-3202 PUBLICATIOI; OF TECHNICAL FEPORTS PEPARED BY NRC CCCRINS, INCLUDIID EPORTS PEPAPED ULTER OR WJFSUA?"' "D T!?rERA1ENCY A1EEME7TS SUPERSEDED: TRANSMITTED:

Number Date Number Date TN 3200-21 Chapter !EC-?202 4/29/82 Chapter NRC-3202 8/29/64 Page Page Appendix I!E2-3202 4/ W S2 Appendix NRC-3202 8/29/84 REMARKS:

'~r.ic revicirn cf Chapter 3202 expands the chapter frcm coverace of unclassifiel reprte to irclude the rmrkirg and handlire of sensitive unclacrified ir.ferraticr. (Cfficial Use Cr.ly and Limited Official Use Inferraticr., Safeguar;!c Inforniticn, Proprietary Inforrction) and classified irfc:raticn (Tcp Secret, Secret, and Confidential). A recticn has alsc teen added te set forth procedures for the hcndling cf ur.clarsifiej :e;crtc cr. IRO cooperative progra s with foreign EcVern cr.ts and organizations and with U.S. industry.

L'.S NUCLEAR REGULATORY COMMISSION NRC MANUAL

-Volume: 3000Information and Foreign Activities Part : 3200 Technical Information and Document Control ADM Cl! APTER 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 3202-01. CO\'E R A GE This chapter and its appendix handbook establish responsibilities , basic requirements, standards and procedures for the documentation, production and dissemination of technical reports prepared by NRC consul; ants and grantees and .by NRC contractors and their subcontractors, includmg reports prepared . under or pursuant to interagency agreements or memorandums of understanding. These reports are hereafter referred to as contractor re-port s . This chapter does not cover NRC staff-generated documents. NRC docket material, or the documents generated by NRC boards, panels ,

advisory committees and Offices that report to the Commission.

3203-02 OBJECTI\'ES 0 21 to assure production and dissemination of technical reports as required by the Energy Heorganization Act of 1974 and the Freedom of Infor-mation Act.

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

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

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

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

3002-03 RESPONSIBILITIES AND AUTHORITIES Cal The Director. Office of Administration:

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

Approved; August 29. 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED Bh NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-032 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTii

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

032 The Director. Division of Technical Information and Dccument

, Control:

a. develops and administers a central report control system for identi-fying, printing and distributing contractor reports 6nd responding to requests for unclassified reports,

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

format ting , prin ting , dissemination , and public sale of unclasnified contractor reports.

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

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

e. in response to reque.3ts of Directors of Offices and Regional Administrators, establishes distribution data banks, maintains official standard distribution lists for automatic distribution of unclassified contractor reports, and controls distribution to assure adherence to the Government Printing and Binding Regulations, the Privacy Act, and the Freedom of information Act.

033 Directors of Offices and Regional Administrators:

a. establish the contract or Standard Order for Work

• provisions.

including those required by this chapter and its appendix; Chapter N R C-3203, Distribution of Unclassified NRC Staff- and Contractor-Generated Documents and its appendix; Chapter NRC-02SO. Prin t-in g . Copyin g , Graphics and Photography and its appendix; and Chapter NR C-1102, Procedures for Placement of Work with the Department of Energy. In the Statement of Work:

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

and legal issues by NRC staff in draft prior to printing and distribution . If the report is to be reviewed by NRC staff, give the conditions under which the contractor may publish  ;

documents in the event of unresolvable differences relative to the draf t, including the type of disclaimer to be used in addi-tion to the standard government disclaimer (see Exhibit G).

In the case of DOE work, this is NRC Form l'i3, Standard Order for DOE Work. See Chapter NRC-1102.

Approved : August 29, 1984

-- - - - . ~. -- .-

b t o * -

. PUBLICATION OF TECHNICAL. REPORTS PREPARED BY NRC CONTRACTORG, INCLUDING REPORTS PREPARED UNDER OR PURSUANT- TO INTERAGENCY. AGREEMENTS _NRC-3203-03J _

(2) provide for the review nececsary to insure that the national

.secu rity , patent rights , copyrights , proprietary .rightr. and

~ rights in other sensitive unclassified information are not co.ppromised by the release or clissemination of the r.eports. '

If DOE contractors are to be autliorized to niake thc reviews.

designete the contractor officials who are author.ized to sign NRC Form 420A prior to NRC distribution of reports (see Appendix , Part JV). Assure that sensitive unclassi'ied and classified reports fire marked and handjed proper'y (see Appendix, Part V).

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

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

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

distributed by NRC.

(6) establish the numt.er of copies the contractor may retain or request for internal and external distribution and charge against NRC. Written justification must be provided , and approval obtained of the NRC JCP representative (the Director. -

Division of Technical Information and Document Control) when the number exceeds the 50 copies authorized by JCP for unclassified reports.

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

, Part V) .

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

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

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

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

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

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

Approved- August 29, 1984

v ~

-1. . .

PUBLICATION OF TECHNICAL REPORTS .. PREPARED BY

" " NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-036 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

. 036 The Director, Division of Securits $

a. administers the 5 overall information security program which includes 7 management of the- security classification program and other programs for the protection of sensitive unclassified information.

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

~

(- sitive unclassified information.

i 037 The Director. Division' of Contracts:

'a . . coordinates 'the flow of all reports to and from contractors (other than DOE contractors) where such. reports may result in alterations

~

in the terms and conditions of applicable contracts as they pertain to report production and distribution.

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

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

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

- the Government Printing and Binding Regulations.

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

3202-04 DEFINITIONS

• i 041 camera-ready copy - pages ready for printing by the offset printing process. This is a colloquial term used even though the printing process may

not involve the so-called copy camera (see also reproducible masters).

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

043 ' contractor heport - record of cork ~ done (a report) prepared in

.accordance with the provisions of a contract or under or pursuant to an

' interagency agreemer.t.

Words underscored in definitions are also defined in list.

Approved: August 29. 1984

. PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING BEPODTS PRFPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS N RC-3202-044 044 copyright - a form of protection provided by the laws of the United States (Title 17. U .S. Code) to the authors of " original works of authorship" including literary, dramatic , musical, artistic, and certain other intellectual works. This protection is available to both published and unpublished works.

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

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

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

047 documentation - classification and associated markings required for classified or sensitive unclassified documents , the NRC report number unique to the report, title (and subtitle, if any), author or correspondent (if any). organization identification and contract number (or FIN number). date and availability 048 draft or final material for inclusion in " Safety Evaluation Reports" or " Environmental Statements" (ES) - written material requested for input to SERs or ESs to be issued as NUREGs. Such material may be edited or modi-fied at the discretica of the NRC staff.

049 formal technical reports - the final product of research, an original investigation , or a significant compilation of information. Th_is product is a formal technical report for publication in the NUREG/CR series. For extensive long-term projects, formal monthly, quarterly or semiannual and annual peri-odic technical reports may be required. A draft of the final or periodic report may be requested .for comment prior to preparation of the camera-ready copy 0410 NRC project manager - the NRC staff member responsible for the work performed by consultants or contractors and their subcontractors, or for work performed under or pursuant to an interagency agreement.

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

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

0413 publicly available documents - information (reports and references) which is available in the NRC Public Document Room (PDR) for public inspec-tion and copying or available in the public domain.

Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED F NRC-3202-0414 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 0414 reproducible masters - camera-ready copy which includes (1) origi-nals of line drawings (or prints that can be copied), (2) glossy prints of black and white photographs (colored photographs cannot be reproduced),

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

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

series, or draft or final material for inclusion in SERs or ESs.

0416 technical letter reports (also called technical evaluation reports )

- interim or final letters that provide information on the technical aspects of contract work. Interim technical letter reports may be required at various a stages of a - project. These reports usually are followed by a final technical

letter report or a formal technical report. Final technical letter reports are usually specified in situations where the technical work is review and eval-

' uation of work of others or work to be used by the staff in the licensing and regulation process. Interim letter reports may include, but are not limited to, informal (interim) progress reports , quick-look reports, data reports, status summary reports, project descriptions, pre-tested predictions, model verifications, experiment safety analyses , experiment operating procedures.

facility certification reports, and test result reports.

0417 unique identification - NR.C identification used on a report and its at t achmen ts , revisions , and supplements that is not used on any other report.

3202-05 BASIC REQUIREMENTS 4

0 51 Applicability . The provisions of this chapter and its appendix apply to NRC consultants, grantees, contractors and subcontractors, including those l working under interagency agreements, whose contracts - r'equire the prepara-tion ' of technical reports -Because~ of the unique requirements of NRC boards, panels , advisory committees and Offices which report . directly to the Commission, the handling of reports prepared by consultants and contractors to them are governed by the Board or Panel Chairman and, in the' case of advisory committees, by the Advisory Committee Management Officer, or the Commission . These exceptions do not preclude the use 'of the NUREG/CR

series designation on reports prepared for these entities that are to be given j wide public dissemination.

052 Forms. NRC Form 42SA, " Publication Release for Unclassified NRC Contractor and Consultant Reports" (Exhibit 5), NRC Form 335, "Biblio'-

graphic Data Sheet" (Exhibit 7), and NRC Form 190, " Cover Sheet for Reports Containing Proprietary Information" (Exhibit 19), shall be used as provided in I

the appendix.

053 Appendix 3202. Thi_s appendix contains standards and procedures for the preparation of reporting requirement portions of Statements of Work, and for the documentation, production, and dissemination of technical reports prepared by contractors and other government agencies in 'accordance with

! contract ' requirements or interagency agreements.

Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY RRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS N RC-3202-054 054 Preparation Requirements

a. Reports to be Printed by NRC. All contractor reports to be printed l by NRC shall be prepared according to Appendix 3202 The repro-ducible masters for the requisite distribution shall be transmitted to the Division of Technical Information and Document Control accom-panied by completed NRC Form 426A and NRC Form 335.

b. Reports Printed by Authorized Fed'eral Printing Plants. All contrac-tor reports to be printed by the contractor (as . specified by the I

contract . agreement or standard order for work) shall be prepared according to Appendix 3202, and a reproducible master and suffi-cient copies for standard and incidental distribution shall be sup-plied to the Division of Technical Information and Document Control, accompanied by completed NRC Form 426A. signed by the authoriv d contractor official. Each such report shall include, as the last pa,,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.

a. Chapter NHC-0260'. " Printing. Copying. Graphics and Photography "

b. Chapter and Append'ix NRC-2101. "NRC Security Program."

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

d. Chapter N R C- 1102. "Procedu res for Placement of Work with the Department of- Energy "

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

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

g. Title 41. U.S. Code. "Public Printing and Documents." Government Printing Office.

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

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

Government Printing Office.

Approved: August 29, 1984

. - . _=

PUBLICATION OF TECHNICAL. REPORTS PREPARED BY

. NRC CONTR ACTORS, INCLUDING REPORT:s PREPARED NRC-3202-055 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 1 i

)

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

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

February 1982.

k. " Protection of Unclassified Safeguards Information," D; J. Kasun.

USNRC Report NUREG-0794, October 1981.

, 1. Chapter NRC-0255, " Mail Management." and Appendix 0255, Part V, Annex A.

l I

i 1

i Approved: August 29. 1984

. PUBLICATION OF TECHNICAL REPORTS PRNPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 1

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 B. REQUIREMENTS FOR FORMAL REP 0RTS............................... 2

C. REQUIREMENTS FOR DRAFT REPORTS... ............. .. ........... 2 D. PUBLISHING UNCLASSIFIED, NON-SENSITIVE INFORMATION IN OPEN LITERATURE AND PRESENTING PAPERS....... .... .... . . 3 E. _TYP0 GRAPHY... ... . ........ .. .. .................... .. .. 4 F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION. ..... ....... ............ ........ 4 G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND WORKSHOPS.. .. . . ......... ........ . . .... . . .... 4 H. WRITING AND PUBLISHING UNCLASSIFIED BOOKS. .......... .. .... 5

1. DISTRIBUTION OF REPORTS TO CONTRACTORS. . ..... . .. . 5 J. C0 ORDINATION OF PRESS OR OTHER MEDIA RELEASES OF UNCLASSIFIED INFORMATION.. .... .. . . . . . . .. 5 UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC. 7 PART 11

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

Applicability. 7

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

Front Cover and Title Page. ... 7

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

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

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

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

5. . . ..

9

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

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

Bibliographic Data Sheet. . . 10

8. ......... .. . .. . ..

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

10

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

Security Review... 10

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

i Approved : August 29, 1984

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

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

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

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

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

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

2. Sample Title Page for Unclassified Formal Contractor-Prepared Reports, Excluding Those Printed by DOE Laboratories with JCP Authorized Federal Printing Plants.... ....... ....... ... ... 14

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 Form 335, Bibliographic Data Sheet. .. . . . . .. ...... 19 PART III UNCLASSIFIED TECHNICAL LETTER REPORTS. ..... . ... . 21 A. FORMAT..... . . .. .... ..... ....... ........ ..... ... 21

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

2. Requirements.... ....... . ... . .... ...... .......... 21 1 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 l OF NUCLEAR REGULATORY RESEARCH BY DOE LABORATORIES WITH I JCP-AUTHORIZED FEDERAL' PRINTING PLANTS.... .. ...... .... . 23 A. DOCUMENTATION... ... .. ...... ...... . .... . ... . 23

.. Applicability. . . ... .... ... .. . . . .. .. . 23

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

PUBLICATION OF TECllNICAL REPORTS PREPARED BY

. NRC CONTR ACTORS, 'INCI.IIDING 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 26

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

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 t

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

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

10. Sample Back Cover for a Contractor Report Containing Official

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

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

12. Sample Title Page for a Contractor Report Containing Limited Official Use Information. . . . . . . . . . . . ..... . 37 iii Approved : August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCI.UDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS CONTENTS (Continued) i PAGE

13. . Sample Back Cover for a Contractor Report Containing Limited 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 f rom a Foreign Source. . . . . . . . . . . 40

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

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

23. Cover Sheet for a Contractor Report Containing Unclassified Safeguards Information... ... . ... ... ... . . ... .. .. . 48 PART VI. HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH INDUSTRY.... .. .. . ..... .... .. .. .... ....... . 49 5

A. PREPARATION OF DRAFT. PRELIMINARY REPORTS ~FOR COMMENT.. .. 49

B. DISTRIBUTION BY NRC PROJECT MANAGERS.. . ...... . 50 l

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 l

1

PUBLICATION OF TECHNICAL REPORTS PREPARED BY

. . NRC CONTRACTORS. INCLUDING REPORTS PREPARED l'NDER OR PURSU ANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 CONTENTS (Continued).

PAGE EXHIBITS

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

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

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

26. Transmittal Sheet for Requesting Mailing to Cooperative Program.

Participants. .. ......... .. ..... ................. .......... 54 v Approved : August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART I PREPAR ATION OF REPORTING REQUIREMENT 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 11 through V The following definitions describe the~

types of reports that may be specified:

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

technical letter reports (also called te'chnical evaluation reports) -

interim or final letters that - provide information on the technical aspects of the contract work. Interim technical letter reports may

-be required at various stages of a project. These interim letters usually are followed by a final technical letter report or a formal technical report. Final technical letter reports are usually specified in situations where the technical work is review and evaluation of work of others or work to be used ' by the staff in the licensing and regulation process. Interim letter reports may include, but are not 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 p rocedu res , facility certification reports, and test result reports. These reports must be identified with the financial number (FIN) assigned to the project. They are not to be identified with DOE registered report codes. The num-ber of copies to be prepared and the distribution of those copies will be specified by the project manager.

formal technical reports - the final product of research, an original i avestigation, 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.

1 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING HEPORTS PREPARED Part 1 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 , gran tee , 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 Il and V (for contractors other than DOE contractors), or Parts IV and V of this appendix and Chapter 1102 (for DOE contrac-tors ) . A style guide is also available free, upon request (NUREG-OG50). 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 Technicallnformation and Document Control, NRC, Washington.

D.C. 20555. by first class mail. For handling of sensitive unclassified and classified reports see Part V of this appendix and NRC Appendix 2101.

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

C. REQUIREMENTS FOR DRAFT REPORTS If a draft is desired prior.to completion of a final technical letter -mort, formal technical report, final material for inclusion in an SER or 2 , or for comment by participants in cooperative programs with fore 4n gov-ernments and organizations and with U.S. industry, state that require-ment and the time frame for delivering the final camera-ready copy after receiving NRC and/or participant comments on the draf t. State that all

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

If agreement on the changes is reached, the NRC manager will authorize the contractor, to prepare the final copy and submit it to the project manager, if it is a letter report or input to an SER or ES, or to the Director. Division of Technical Information and Document Control, if it is Approved : August 29, 1984 2

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

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 42GA.

. Also state that if agreement on changes to a formal technical report to i be issued in the NUREG/CR series is not reached, the NRC project manager may request the contractor to prepare the camera-ready copy w ith , in addition to the standard disclaimer required on all contractor formal reports (see Exhibit 6), any caveats deemed necessary to cover NRC objections. Such caveats may range from the "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" to the addition of a preface setting forth the NRC opinion or footnotes at appropriate locations within the text.

State that if NRC objections cannot be covered in this manner, NRC can refuse to publish the report. In the case of' DOE / National Laboratory reports , the DOE Operations Office Manager responsible for that !abora-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:

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

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

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

o .-

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTR ACTORS, INCLUDING REPORTS PREPARED Part I UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS manager in draft form and agreement has been reached on the con-tent. The applicable procedures set forth in Chapters NRC-3206 or NRC-1102 must be followed.

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

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

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

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

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

If the contractor proposes to publish in the open literature or present the information at. meetings in addition to submitting the required tech-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 11-in. paper, unless otherwise specifically authorized. Occasionally , reports with many sym-bols and mathematical expressions may require one and one-half spacing to . provide for superscripts and subscripts . This spacing should be allowed where needed, but should be considered an exception, not the standa rd .

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.

G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND WORKSHOPS 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

PUBLICATION OF TECHNICAL REPORTS PREPARED BY

' NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part I participates as a sponsor or cosponsor. Chapter NRC-3207, " Conferences and Conference Proceedings," provides general information and guidance for this. More detailed guidance is available from TIDC. upon request.

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

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

If fewer than 50 copies are needed, indicate the desired quantity on NRC Form 42GA. Single copies for specific individuals in organizations other than the contractor's organization who are not included in the distribution requested by the NRC project manager may be requested on a project basis or on a report-by-report basis. The request, with written justifi-cation , should be addressed to the NRC project manager, with a copy .to NRC/TIDC. If the additional distribution is approved by the NRC project manager, the contractor shall send these copies (if printing is done by the contractor) and address labels, even if printing is done by

- NRC. to NRC/TIDC, where the distribution will be made along with the standard distribution. Distribution of sensitive unclassified and classi-fied reports will be made by the project manager on a case-by-case basis.

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 tothe project manager, who will consult with his/her management and with the Office of Public Affairs. The contractor may not issue a press release on nonroutine information ~ without this prior coordination. This coordination may be accomplished by telephone, with the NRC project manager respon-sible for expeditious handling. Decisions not to release information or delays in handling by the project manager may be appealed to the NRC Executive Director for Operations.

5 Approved : August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY

- NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSU ANI TO INTERAGENCY AGREEMENTS NRC Appendix 3202 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 ccpy of NRC Form 426A (Exhibit 5) with a request for a number.

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

These requirements meet the specifications of American National Standard 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

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED l'a rt 11 UNDER OH PURSUANT TO INTEHAGENCY AGHEEMENTS The NRC identification number will have the form:

NUREG/CR-XXXX or NUREG/CP-XXXX where CP indicates conference proceeding. The contrac-tor's report number, if any, may be inserted below the NUREG number on the title page and cover, as shown in Exhibits 1 through 4, if desired by the contractor.

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

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

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

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

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

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

Authors' names should be given on ' the title page and cover unless this is impractical, as in the case of annual reports which have many. contributors. If authors' contri -

butions are as editors, compilers, etc. , so indicate on the title page following the names. In addition, list affiliation of each author only if affiliated with an organization other than the organization generating the document.

(4) Organization Identification On the title page and cover, provide 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 shown where this is necessary i

Approved : August 29, 1984 8

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

~ UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 11

3. Availability Information All formal reports will be made available .for sale by NRC and by the National Technical .information Service (NTIS). 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 Governmen t . Neither. the United Sta.tes Government nor any agency thereof, or any of their employees, makes any warranty, expressed or implied, or assurr.es any legal liability or responsibility for any third party's use, or the results of such use, of any information, appara t us , product or process disclosed in this report, or repr'e-sents that its use by such third party would not infringe privately owned righ t s . " The following additional statement , "The views expressed in thi's . report are not necessarily those of the U.S.

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

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

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

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

,_ This preferred positioning of the abstract in the report need not be followed i

-if the style manual of the originating organization requires a different location .

l 9 Approved : August 29, 1984

PUBLICATION OF TECllNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Pari 11 UNDER Oh PUMSU AN'1 TO INTEMAutNUY AGREEMENTS information and information with restricted dis t ribution (e.g.,

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

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

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

8. Bibliographic Data Sheet NRC Form 335 (Exhibit 7) shall be prepared and inclu ded 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 NBC 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 re vie w . The result of such review shall be reported on NRC Form 426A in item 11 (Exhibit 5).

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

NRC Form 426A may be completed with the statemen t "Not Appli-cable" or "N/A" in the space for the Patent Counsel's signature if there is a possibihty that there is disclosure of developments of an inventive nat u re , the contracting officer shall request assistance from the NRC Patent Counsel, Office of the Executive Legal Director

2. Security Review in most cases, contractor reports will be unclassified. Should a report of sensitive unclassified or classified work be require d ,

however, the NRC project manager must work with the NRC Division of Security to establish the appropriate procedures and inform the contractor of such procedures through the contracting officer. The standards for marking and handling such reports are given in Part V of this appendix and NRC Appendix 2101.

Approved : August 29, 1984 10 l

PUBLICATION OF TECHNICAL REPORTS PREPARED BY

- NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU ANT TO INTEMAUhNUi AGnEEiviENTS Part il C. PROCEDURES FOR PRINTING AND DISTRIBUTING

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

Such authorization shall be reported ~in writing to TIDC.

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

- organization .

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

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

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

Distribution of sensitive unclassified and classified reports will be ,

made by the NRC project manager on a case-by-case basis.

11 Approved : Atigust 29, 1984 ,

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED .NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 'e 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 Reort No. (if any) NUSAC-556 Vol., Part, Rev., etc. (if any) YUI I ritie Using Advanced Process Monitoring to improve Material Control Subtitle and Type of Report Final Report

( Annual, Topical, etc.) September 1979 - September 1980 Author (s) Prepared h R L Hawons. R L Lynch R F Lab Contractor NUS AC locorporated U S Nu les Regulatory c.omer, won 13 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY N u f Af, pea l.s 020" NHC CONTR ACTOnG, INCLUDING REPORTS PREPARED Part 11 )

__ __ UNDER QR PURSU ANT TO INTER AGENCY AGREEMENTS t

EXHIBIT 2 SAMPLE TITLE PAGE FOR UNCLASSlFinD FORMAL CONTRACTOR-PREPARED DOCUMENTS, EXCLUDING THOSE PPEPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC RiEPORT NO. NUPEG CR-1E76 Contrx. tor Report PJo, (if tsny) NUSACSN; Vol., Part, Rev., etc. (if any)

Ditt'ibution Category Nc. tif any) .

Tm, Using Advanced Process Monitoring to improve Material Control Sut, tit!e and Type of Report Final nec6rt

( Annuel, Topica), etc.) Septerr.ber tic 9 Septerr.ber tS30 Report Datts and Bases u.w ~,i e, .a s.-.--

cc, em.4 .c-3 ciow. tw Author (s) Edstor(s). *.7 gt,. , ,,

Co:vpiler(s), etc.

1 I Contractet Name Ngat wgg<, reg,.

and Addreis u,..-v n:

NRC Sponsorship rrepa..d f e, D usion of Softgwariis C'fne of Nuclear Mate.sai Sa'ety and Safegvards U $ Nalear Reguieto.y Car missian Westungton D C $55 NRC Contract No. NRC HN PHJ1 Approved : August 29, 1984 14 l

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UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pan. 'L EXHIBIT 3 SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No. NUREG 'CR-1952 contry; tor Report No. SAND 81 -0151 Vol., Part, Rev.. etc.

LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks Type of Report independent Verification Testing Program o* Subtitle Independent Verification Test l' 1

l l

Author (s). Editor (sI "'"*'"#"It Y O T'.,$ $ "eNn'O.[NEc contiseto, s.,,. . , n .u mi t . ,,,o,,,,

Spor.sorsbep I's#'E'$ir.'e peguato ,

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15 Approved : August 29, 1984 t

PUBLICATION OF TECHNICAL REPORTS PREPARED BY

nr Appunaiv 3?nr> ppP d'ONTR ACTOR 9, !NCLUDING REPORT 4 RREPARED Part 11 _ 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., Par t, Rev., etc. NUREG CR 19c)

Distribution (AND810151 C4tegory mv LOCA-Simulation Thermal Shock Test of Sliding-Link Terminal Blocks Subtitle Independent Verification Testing Program fndependent Verification Test 1 Report Dates v . . . , c. p.., y,, .y.

c.. sw ,w v.,i*-

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i NRC Sponsorship Prepared for Devision of Resident and Regional Reactoe inspection Office of Inspection and Enforcement U S Nuclear Regulatory Commission Washington DC 20555 NRC FIN No, NRC FIN B3101 l

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Approved : A mast 29, 1984 16 l

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l'i Approved : August 29. 1984 .

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendin 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED ntr ' u UNuhH UH PURSU ANT TO INTER AGhhC) AG HEL.$1EN TS EXHIBIT 6 DISCLAIMER AND AVAILABILITY STATEMENTS (BACK OF COVER) i NOTICE This resort was propered es an account of work spenoored my en opency of the Unleed Blutes Goveranent Wither the Urated $setes Government nor arey symcy thereof, or any at their empacyees, mettes any warrenty. esposend or innefod, gir assumes any lepel Nobility of fe-sponsibeirty for any therd party's use, or the veaufts of eure use. of any interession, esperstw, proevet or process disclosed en this resort. or rapresorts that its wee by such therJ party weedid not ieft.nge privetery owned rights NOTICE Areastnlity of Reftrwice Meterals Ceted in NRC Pubications Most documents cited en NRC pubbcations ca!! be evestable from orw of the followmg sources:

1. The NRC PutAec Docurr.est Ra,m,1717 H St est, N W.

WesNngton DC 20555

2. The NRC/GPO Seies Program. U S. Nucseer Reguletory Comer swoon, WesNmgten. DC 20555 3 The National Technical leformation Service. Spemgfield, VA 22161 Arthcvgh the listing that follows represents the thag,rity of documents cited in NRC publicaters, it is not mtended to be estaustve Re'ererced cocumer.ts available for inspecten and copymg for a fee from t%e NRC Pubiac Dorn ment Roort melude NRC corresporcence are mternal f4RC rnemorenda; NRC OfSce cf fnspecten i and Enfercorrent t:ufletms, twtulars anformaton notices. ms atten and enwestgeten notices.

! Licenere F vent Reports. vendor reports a id correr.pondence, Comtrwenaon papers; and opsAtant end

licensee docurrer'ts and correspondence j The fohownng docu rents in the NUREG senes are eweilebte for purchese from the NRC/GPO Seaes

( ) Program formal NRC staff and certactor regnrts NRCsponsored conference pieceedmp, and

) NRC nook;ets erid t,rochures Also ereitable are RepAstery Gu des. s NRC regulations wt the Code of r

l Federe hogulornns, ar.d Nucteer Reputatory Commossaan Issiences.

Doennes ateisabte from the Nationel Terhaical leformerson Sarsee include NOREG seres reports and technocei reports propered by other federal agericies end reports propered by the Atomic +

Energy Commisson, forerurmer egency to the Nctese Regulatory Commeseson.

l I Documents evedable frc m putdic ano scical technical libror.es include en open hterature stems, l such es book t, poumal ord periodcol artic:es. and t<enesctions feders/ Perster notices, federol and siste legislation, and congressions! reports can usuotty be ot tained from tosom kbraries.

Documents such as themes, &seertetens, foreign reports and trarmletione, and nors N RC conference proceed r>gs are ave lable for purchow from the organisation sponsoririg the publuten crted

$.ngie copies o' NRC draf t reports a*e evadable free, to tre entent of espey. upon writtsn rerauest to the Div.s oa of Technical information and Document Contro!, U S Nuc4er Rseplatory Corn mess.on, W es'ungton, DC 20t$$

l Copies of irWustry codes end standards veed m a suberantne menner m the NRC reguletory process l ore mamtemnf at the NRC bbrary, 7920 Norfolk Avenue, Bethsede, Wantend. and ere smilobie the o for reference une by the pubiec. Codes ard standards are usuelty copy *sghted and eney be purchased from the origmatmg organisetson or, rf they are Amorecen Nations' Stacassrds, from the Amercen Nate3nst Star 4erds institute,1430 Broadway, New Yort. NY 10018 GeC Prir'ivd copy resce

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.o., .... ..r . 4.. .oo e.s = .. c.= "='*.o*'*' (

.. m.o. .. o. . 4.

/

. . 00 cow...D eaer o.ao ems,

,, ......o. ,

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s

.. o.. .. ...........o.2...x...o.. . .,.,4g,6g.

..ne.........c..

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f r.e e.we

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19 Approved : Augudt 29. 1984

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

s PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC COMTRACTORS. INCLUDING REPORTS PRFPARED '

Part II UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 1

i s EXHIBIT 7 (Continued)

BACK OF NRC FORM 335 r

DO NOT PRifjT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT INSTRUCTIONS NRC FORM 335. Bi8LsOGR APHIC DATA SHEET,15 S ASED ON GUIDELINES FOR FORMAT AND PRODUCTION OF SCIENTIFIC AND TECHNICAL REPORTS. ANSI 239 13-1974 AVAILASLE FROM AMERICAN N ATIONAL STANDARDS INSTITUTE.1830 SROADWAY, NEW YORK NY 10018 E ACH SEPARATELY OOUND REPORT-FOR Ex AMPLE.E ACH VOLUME IN A MULYav0LUME SET-SHALL HAVE eTS UNIGUE eleLIOGRAPHic DATA SHEET.

1. REPORT NUMSER. E och endividwouy bowad report sheit .10. SPONSORINO ORGANIZATION. List NRC Division. Omce, carry a waiove ciphea erseric v des >gnet.oa (NUREG) ess.gned u 5 Nweieer Reguistory Commessoa. Washiagion. DC 20555 by the Division cf Technace' laformation and Document Control. ADM. in accordeace w th American Nationes 11. a. TYPE OF REPORT. State craf tfeasi. prehminary, topicab i Steaderd ANSI 239 23-1974 Techa cei Report N umber teeances. esswietcry, overteriv etc , and, d eponcebie.

(ST ANI Use wppercess letters. Arsbec avmorais, siasmes, and inclusive detes hypasas calv. es sa the followiat osamp es NUR EG 0100.'

NUREG/CP 0010. NUREGICR-0100 end f.UREG/SR-0010 h. PERIOD COVERED.

, j For repo ts sa a series ad-t j4sf Supp . Revis.oa. and . i e '

Addendum, ahen necesser, Aod contractor cross-re'erence 12. SUPPLEMENTARY NOTES. Enter information act meluded ideatificot.oa avmue hf savl beson NUREG aumber. e e . . eisewhere but usefu'. such as Prepared .a cooperation m.th

, PNL.xx x x. SANCx x-gxx SAi-xxxx _ Presented at coa'erence of . To be owbbshed . Ooces No . When a report es revised indicate whether the aea

2. TITLE AND SUGTITLE. Titie sheaid iad.cate cieert, ead report supersedes or swppeements the oider report tmeity the subiect scoverece. ' 3f the report. inc4 ding arv sutirstie to the me tv t tie: #v sen a repst is prepared in teore 13. AeSTRACT. sacewde e brief (200 words or sent tectwa' sum-them one volwev. re>est t's E rimary title. ode volumenumber mary of the most soga ficant saformation c$ateined in the 2 sad encew de subtitie for afva *peedic volume use wpper and report if the report coateins a sagadicent bibbography or s io.e e cow settey,sbut c.ditai.,e compute, code names Do hieraivr e sve ve, o. vnwiopie voivmes meaooa se here Abstreet ao, ww acrorvaa and saitionsms in sities. me, be edded a is to be orepared by author or proiect reenage-parenthes+s ',

14. DOCUss'ENT .tNALYSIS

$b - 1 L E AVE SLAkt. s

s. pr EY WORDS/DESCRIPTORS Seiect from the Energv

4. DATE REPORT COMPLETED. Each report shari corrv e date Date Base Sw%ect Thesauru s. DOE /T C 700R R 5. the

.ad. cat ag month and veer proiect/tast compieved proper a ethorered terms that edentif y the ms:or concept

/ - I e' the research aad are sufficieativ spoohe sad precise to h be used es inden entries for catalogiae

/ 5 AUTHORISL G<ve namess) in coa eationes v orde- te g . Johe

.a' R Ooe. J Robert Cool List ethor's s'Ohat.on d it is d.ffer-eat t om the performing orgaaPsnoa b. IDENTIFIERS AND OPEN ENDED TERMS Use .deat.

fiers for prosset names, cooo aemes, eowsomeat designetors.

. S. OmTE REPORT BTJugD. Ew. report she's carry a date ete Use open-eaded f aeywordsi terms arittea na descriptor ea rtceting month end weer pubbshed form 114al for those sutnects for whech no desce otor

. exists in the thesaurus

, ' 7. PE AFORMING ORGANIZATION NAME AND MAILING s ADD R E SS. Give reme. street. c it y, stare, and E.P code. 15. AV84LAtlLITY STATEMENT. Denote owbac reiessebehty.

List no more them two seve s o' ea orgeassational hierarchy for esemp6e "wahmeted ; or hmetatica * 'or ressoas other Despiev the ?ame of the orgeairstcoa suect'y es topows amaa securety Division. Off st. Orsen astion or Government egeacv. and +

ecdress ,

18. SECURITY CLASSIFICATION. Enter U S Secu ity r Ciess b-i . cateca na accordance with US Sen ret y Regwisticas ire .

S. PROJECT /T ASKhsOR M UPIT NUMSE R. Lise the proact. waciensified)

' tain sad work we.t numbers waoer which rae report was proporto to savl 17. NUMSE R OF PAGES. Leave biaak ( Added by NTIS) e FIN OR GR ANT NUMSE R. insert tee FIN or gre at avmber it. PRICE. Leave biena ( Added by NTIS!

wnder which report was prepared a

r j Approved : August 29, 1984 20 a

4 0 4

. PUBLICATION OF TECHNICAL REPORTS PREPARED BY

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

PART III UNCLASSIFIED TECHNICAL LETTER REPORTS A. FORMAT

1. Applicability

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

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

2. Requirements Technical letter reports. are prepared, duplicated and distributed in accordance with the requirements of the Statement of Work in the contract or in the Standard Order for DOE Work. Each such report must be identified with the financial number (FIN) assigned to the project . The number of copies to be prepared and the distribution of those copies will be specified by the project manager. If unclas-sified and non-sensitive, the NRC project manager is responsible for making such reports available in the NRC Public Document Room (PDR) by sending them to the PDR through the NRC Document Control System.

B. PATENT AND SECURITY REVIEWS

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

~

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

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

21 Approved: August 29, 1984

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

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

4 Approved: August 29, 1984 22

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPOPTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE NRC OFFICE OF NUCLEAR REGULATORY RESEARCH BY DOE LABORATORIES WITH JCP-AUTHORIZED FEDERAL 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 reporu re-quired by NRC. (See also Chapter NRC-1102).

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

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

2. Front Cover and Title Page

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

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

(1) NRC Report Number Each report shall be identified by. an NRC-controlled alpha-numeric designation as the prime designation unique to that document. The centralized rerort control system for unique identification is maintainea liy 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 Technical Reports ," and ANSI Z39.23-1974, " Technical Report Numbers . "

23 Approved : August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part IV UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS be obtained by calling the Division of Technical Informa-tion and Document 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 entirely on one line to facilitate computer processing.

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

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

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

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

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

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

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

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

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

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

Approved : August 29, 1984 24

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

(5) Basis for heport Dates (s)

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

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

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

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

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

Neither the United States Government nor any agency thereof, or any of their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any information, 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 PaM 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.*

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

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

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

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

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

)

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.

I Approved: August 29, 1984 26

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV C. PROCEDURES FOR PRINTING AND DISTRIBUTING

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

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

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

3. Distribution of Reports 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 Cont rol .

If any distribution is to be made other than, or in addition to, the standard distribution established for the report, written justification.

and the project manager's approval for printing additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control. . Address labels for the additional distribution must be supplied.

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

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

27 Approved : August 29, 1984

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

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.

B. OFFICI AL USE ONLY AND LIMITED OFFICIAL USE INFORMATION.

NRC regulations require an Official Use Only marking to be placed on a report only when the originator or other holder believes the marking is 29 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 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 reperts from those categories are detailed in NRC Appendix 2101.

C. PROPRIETARY INFORMATION Proprietary information is a ~ specific type of Official Use Only informa-tion . Proprietary information includes:

1. trade secrets.

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

3. ir formation 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 ?9, 1984 30

~

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 unclassa ;ed 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 esch hard copy of a report containing safeguards information.

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

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

. 31 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS It is important to note that information may not be classified in order to prevent or delay the release of information that does not require protection in the interest of national security. Basic scientific research information not clearly related to national security may not be classified.

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

Title Subtitle and Type of Report h0;s Ectodst N leer Regulatory Commission v

w -c a sanv e eoc o sctosust l

I OFFICIAL USE ONLY

! J 33 Approved : August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part \' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHlBIT 9 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY NUREG'CR-XXXX (S)

Title Subtitle and Tvre of Report we,wwc compe ed taste.

Date PwWeshed (moete. vs.4 Author'st Ed tor's:

Contracto' es-e and add ess Prepared for Division Office U.S. Nuclear Regulatory Commission Washington, D.C. 20666 NRC FIN No.

\

l l

I l

l OFFICIAL USE ONLY Approved . August 29. 19M 31

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pu+ V EXHlBIT 10 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY OFFICIAL USE ONLY 35 Approved : August 29. 198-1

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDFR OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 11 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE l

NUREGICR-XXXX (S)

Title Subtitle and Type of Report

$0'$ * "

Nuclear Regulatory Commission w TwwotD 8 AOV Puptic D'SCLOSURE i

LIMITED OFFICIAL USE Approved : August 29, 1984 36

PUBLICATION OF TECIINICAL REPORTS PREPARED BY

' NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS Fa-t IJ i

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

Title Satrtle and Type of Report

- w,i come.e.o io.ie.

-.;,ggy, . ....,

e.co. .., .,o .co.

2*f.%f

Office

%.S .s 7o",*,'oT M."2 ""*

NRC FIN No LIMITED OFFICIAL USE 37 Approved : August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING . REPORTS PREPARED Part \' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 13 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE LIMITED OFFICIAL USE A p proved . Au gu s t 29, 1984 38

PUBLICATION OF TECHNICAL REPORTS PREPARED BY

- NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER Oh PUhSU ANT TO INTER AGENCY AGREEMENTS Part V

. EXHIBIT 14 .

SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION l

PROPRIETARY INFORM ATION NUREG CR-XXXX (Pi Title Subtitle and Type of Report Author (s'. Editor (s)

Contractor Prepared for U.S Nuclear Regulatory Commission YmADE SEC#Et op *RiviLEGED On CONsiDENT.4e COMVERDAs On FINANCIAL IN50AM Af TON L

Tr'+s oorov' coetstes sa'ormat oa I submit'ed to NRC Dv

.N4+, o* L(:~ t 4< . e-o *.4-e n* %t.m.n. '

.>.ca has beoe dete' meed samcb is cia.med 2 the95iicFYP 21 no s g,olj.,og,;.;g7. .- o*toso,e ~

W'TMMO6D FROV PUBuC D SCLO5ua l s,.....,,,,.~a..-e :..

t PROPRIETARY INFORMATION 5

39 Approved : August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V ___ UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 16 SAMPLE COVER PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE PROPRIETARY INFORMATION NUREG'CA XXXX (P, Title Subtitle and Type of Report Au' hor'sl. Ld.ttist Contre <.to.

Pr opered f or U S Nucleet Peguistory Comm.saion e cat.cs in.scav At 0%

.[,O,$70EU" #"**

. ..:. 2 a=,s ua: . . c+ .

. . i e.e.u o. wa 2 rw + 7 4 ai 10 F P Pe t 9 w r o6cenov eveu(.36 aossas A ; ...J. i,T aib.G.54."- -~ ~ ~

PROPRIETARY INFORM ATION Approved ; August 29. 1984 40

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pm V EXHIBIT 16 -

SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION PROPRIETARY INFORMATION NUREGICR-XXXX (Pi Title Subtrtie and Type of Report

$*[."e"Si f."o IEoYea',0; Avtnors. Eddons Coaoscto name sad ado ess Propered for Division Office U.S. Nuclear Regulatory Commission Weehington. O C. 20846 NRC FIN No taans ssensi na Pa'vi;f GED OR CONFIDENTIAL COYME RCI AL 08 *iNANCI AL !N80avAfroN th s cocw* eat coats as c'ormet+e sutened to No? ev

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PUBLICATION OF TECHNICAL REPORTS PHEPARED BY  !

NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED  ;

Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS .

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EXHIBIT 17 i SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING l PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE  ;

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PROPRIETARY INFORMATION i NUREGCR-XXXX (P)

Title Subtrue and Type of Report uen.,w,ot Cowe en toe e.

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O t PUBLIC ATION OF TECHNICAL . REPORTS PREPAltED BY NRC CONTRACTOES, INCLUDING REPORTS PF1EPARED NRC Appendix 3202 UNDER OR_ PURSUANT TO INTERAGENCY AGREEMENTS car- ,

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

k Pf40PHIETARY lhFORM ATION 43 A pproved: August 29, 1984 a

PUBLICATION OF TECHNICAL REPORTS PREPARED BY N}lC Appendix 3202 HRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDEft OR PURSUANT TO INTERAGENCY AGREEMENTS EXHlBIT 19 COVER SHEET FOR REPORT CONTAINING PROPRIETARY INFORMATION PRORMIETARY INFORMATION NOTICE THE ATTACH *tD QOC.ljMINT COwtMNi -PMOPR4TARY e4FOR V AflOV ANO S**0VLD nt ettNOLf3 AS84RC "OrfectALUCf 0NLY'

' w80MM A TION if Shout.0 NOT St DISCQSSED OR WLDE AVA:LAttf TO ANf FIPSON NGT R(QU;hiNr) SuCH IN8C,PVA-TON IN T4W CON 7Utf Of OFilCAL fuSiNESS ANO SHaut O St STO2fD 1RAN5fEPRID ANO tr$ Post 0 08 by EACH RECIPitNf iN A M AhN8R WHICM WILL A55tkRJ f**Af 178 CONTENTS . ARF NOT M AM evalLABLi 10 UN 4tsThawt; Pf hSONS 4

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PROPHIETARY INFORM ATION A 4Woved Decptw' 10 1910 Approw.d : August 23, 1984 44

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY

' NRC CONTRACTORS INCLUDING REPORTS PREPARED NRC Annanaiv 3?M UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V EXHIBIT 20 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORMATION NUREGICR-XXXX (SGI Title Subtitle and Type of Report Authoris). Editor (s)

Contractor Prepared for U.S. Nuclear Regulatory Commi6siori 0'.;="rr.' '::.T.: r.' ~'

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SAFEGUARDS INFORM ATION 45 Approved: August 29, 1984

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

EXHIBIT 21 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORMATION NUREGICR XXXX (SG1 Title Subtitle and Type of Repon E.*?f%d"45 ,:'l-

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY

' NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEb1ENTS Par * \'

EXHIBIT 22 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORMATION SAFEGUARDS INFORM ATION 47 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 EXHlBIT 23 COVER SHEET FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION

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M THIS DOCUMENT CONTAINS INFORMATION WHICH MUST BE PROTECTED FROM ,

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

-'/, ACT OF 1954 APPLY. VIOLATIONS ARE SUBJECT TO civil OR CRIMINAL PENALTIES.

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/ 3 THIS DOCUMENT IS NOT TO BE LEFT UNATTENDED OR ACCESSIBLE TO UNAUTHORIZED y , PERSONS. WHEN NOT IN USE. IT MUST BE STORED IN A LOCKED SECURITY STORAGE er

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IT IS YOUR RESPONSIBILITY TO PROTECT THE INFORMATION CONTAINED IN THIS h .. DOCUMENT FROM COMPROMISE, THEFT OR UNAUTHORIZED DISCLOSURE.

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Approved : August 29, 1984 48

PUBLICATION OF TECHNICAL REPORTS PREPARED 'BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART VI HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH U.S. INDUSTRY The Nuclear Regulatory Commission has requested that its Program Offices establish, to the extent feasible, cooperative nuclear safety research programs that involve either or both U.S. industry and foreign governments and orga-nizations . Such involvement includes monetary contributions , information exchange, and comments on program plans and results. This is authorized in 42 U.S.C. 5801. To this end, international and U.S. industry agreements have been signed that provide for transmitting unclassified information from NRC to participants. These procedures apply only to NRC-managed work not programatically funded by DOE.

The interests of all NRC cooperative nuclear safety research program partici-pants are served best by early, rapid dissemination for comment of informa-tion on these programs developed for NRC by NRC contractors. This can be accomplished by distribution of " Draft Preliminary Reports (or Codes)" for comment for a specified period of time, followed by issue as formal NUREG/CR reports , with t!.e concurrence of the participants. Specific procedures for accomplishing these goals and for transmitting information prepared by the NRC and DOE facilities and contractors and their subcontractors working on these programs are presented in the following sections. The procedures de-tailed here have been agreed to by DOE and have been provided to the responsible DOE Operations Officers and NRC Program and Project Managers as guidance.

A. PREPARATION OF DR AFT PRELIMINARY REPORTS FOR COMMENT The first issuance of information by a contractor shall be designated "D raf t Preliminary Report (or Code)," and shall include the cover sheet t.hown in Exhibit 24.

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

NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of Commission action . It has not have received patent review and may. con-tain information received in confidence. Therefore, the con-tents of this report should neither be disclosed to others nor reproduced , wholly or partially, unless written permission to do so has been obtained from the appropriate USNRC office.

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

49 Approved - August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC. Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS This notice has been agreed to by the legal staffs of both NRC and DOE and is not to be added to or changed. Any problem in this regard shall be brought to the attention of the NRC project manager, who will consult with the NRC legal staff.

The " Draft Preliminary Report (or Code)" shall be submitted by first class or express mail by the contractor to the NRC project manager, with the letter shown in Exhibit 25, in the number of copies specified by the project manager (in most instances this will be fewer than 20 copies).

The contractor (DOE facility, contractor or subcontractor or other con-tractor) may retain copies only for internal use. DOE facilities and contractors and their subcontractors shall not distribute copies of this draf t report to DOE /TIDC. Draft reports may be distributed to interested DOE program offices. Subsequent issues of the information shall also be designated " Draft Preliminary Report (or Code)" until the NRC project manager authorizes preparation of a NUREG/CR report.

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

B. DISTRIBUTION BY NRC PROJECT MANAGERS The NRC project manager will distribute the copies received only to (1) the participants in the program, (2) the NRC staff with a need-to-know, and (3) others authorized by the program or project manager. Trans-mittal to participants shall be by. first class or express mail, including air mail to foreign participants . If premium cost mail services are to be used, a Division Director or comparable or higher authority must certify to the need on NRC Form 420, " Request for Premium Cost Mail Se rvice . " Premium cost mail is:

1. Express Mail, Priority Mail (First Class weighing more than '

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

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

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

A minimum of six months will be allowed for comments and resolution of comments . At the end of the comment period, the NRC project manager shall, with the concurrence of the participants, authorize the contractor to issue the information as a NUREG/CR report in accordance with the provisions of this Chapter.

D. REPORT IDENTIFIERS The "Draf t Preliminary Reports (or Codes)" will be uniquely identified i

only by the Financial Identification Number (FIN) assigned by NRC and Approved: August 29. 1984 50

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI the appropriate periodic notation , if any, included in . the title (Ex-hibit 24). They shall not be given standard report nomenclature until the NRC project manager authorizes publication as a NUREG/CR report.

At that time , the contractor may add its own designation below the NUREG/CR number, as shown in Exhibits 3 and 4.

E. MAILING TO PROGRAM PARTICIPANTS The physical transmission of reports from NRC to program participants shall be handled by the Document Management Branch (DMB), Division of Technical Information and Document Control (TIDC), based on address labels of participants supplied by the project manager. The transmittal sheet shown in Exhibit 26 shall be used to transmit the documents and the labels to DMB.

F. SECURITY If information included in the report or code has been determined to be sensitive unclassified or classified information (see statement of work) the procedures of Part V also apply. The report (or code) may not be classified solely for the purpose of limiting distribution to the partici-pants.

51 Approved: August 29. 1984

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

FOR COMMENT DRAFT PRELIMINARY REPORT (C0DE) FOR COMMENT FIN N0.

Title of Program Subtitle for This Report, Including Appropriate Periodic Notation, If Any (e.g., First Quarter, Issue No. 1) l Prepared by (Name of DOE Facility, Contractor and/or Subcontractors, if any) for l U.S. Nuclear Regulatory Commission t

NOTICE I THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO l PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of Commission action. It has not received patent review and may contain information received in confidence.

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

Approved: August 29, 1984 52 l

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

SUBJECT:

ORAFT PRELIMINARY REPORT (CODE) ON (PROGRAM TITLE) FOR COMMENT The enclosed " Draft Preliminary Report (Code)" is being submitted for comment.

It is our understanding that the comment period shall extend six months from the date of mailing of the draft to the participants. Upon resolution of the

~

comments after that period and with concurrence of the cooperative program participants, the NRC Program Manager will authorize publication of this report in the NUREG/CR series under the provisions of NRC Manual Chapter 1102 or 3202.

00E Facility or Contractor Representative l

l 53 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REFI)RTS-PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI EXHIBIT 26 TRANSMITTAL SHEET FOR REQUESTING MAILING TO COOPERATIVE PROGRAM PARTICIPANTS Recipients: Addresses on attached labels Method of Mailing:

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

/-/ Air mail to foreign addresses *

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

THIS MAILING CONTAINS NO PROPRIETARY INFORMATION OR OTHER -

SENSITIVE UNCLASSIFIED INFORMATION Special Instructions:

Individual Requesting Mailing:

Project Manager or High Authority

, Enclosures :

1. Address labels

2. Documents to be mailed i

• 1f premium cost mail services are to be used, a Division Director or compar-able or higher authority must certify to the need on NRC Form 420, " Request for Premium Cost Mail Service," Premium cost mail is:

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

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

i 54 Approved: August 29, 1984 l

~

ENCLOSURE .

Description of the ALWR Requirements Document Chapter 1 Draft (January 1986) i .

The organization of chapter 1

• The staff has been provided a copy of the table of contents attached and Appendix C, which is enclosure 7.j The latter is a cross reference for chapter 1 headings and NRC " criteria." Which encompasses SRP, 10 CFR, Regulatory Guides Policy statements, etc.

• There are 55 tables in chapter 1, examples are:

- Allocation Guidelines - BWR Unavailability Goals.

- ALWR Safety Analysis Categorization ,

- Nomenclature for loads used in loading combinations.

- A listing of issues to be resolved - highlights items which must be taken up with the staff e.g. , unresolved safety issues and policies, guidance, positions, rules, etc. , which are in process but not official - e.g., leak before break, OBE, A45 to name of few.

• There are 6 figures in chapter 1 e.g. , ALWR Construction Logic (66 aonths duration)

! Chapter 1 has 4 Appendices, these are:

A. ALWR Plant Features and Target improvements.

Appendix A contains data on existing achievement and proposed improvements in % and the page reference where discussed in chapter 1.

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_ _ . _ _ _ _ . _ _ . _ _ . _ ._ _ - _ . _._..r - _

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2

. ENCLOSURE (con't)

B. Changes to codes and standards for an ALWR.

l C. Cross Reference of NRC Licensing Criteria vs. ALWR Requirements.

D. Reports of ALWR studies of Chapter 1.

The body of chapter 1 (and succeeding chapters) is a side-by-side layout of

" Requirements" and corresponding " Engineering Rationale." The following is an excerpt from chapter 1, 9 2.2, " Design Pro:ess" page 2-16 (January 86 draft).

Requirements Engineering Rationale "D. Plant Simplification "D. Plant Simplification The ALWR plant shall be Overall plant simplicity significantly simplified is a fundamental tenant of with respect to current the ALWR design. The plants: requirements chosen have

1. The plant shall use a provided general guidance minimum number of valves, to the designer. The objective pumps, heat exchangers, of the ALWR is to simplify the snubbers and other design so that fewer valves, I mechanical components pumps, instrumentation and consistent with the control components are needed essential functional than in current design LWR's.

requirements of the These improvements are to be of the systems" accomplished by simplifying the plant design requirements.

Necessary components are not to be deleted to satisfy this objective. Care must be taken that simplification does not impair operability and reliability of the plant."

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,. C0t.TEtiTS Section page

1.0 INTRODUCTION

1.1 Background -

1.2 Purpose and Scope

1-1 1.3 Applicability 1-2 1.4 General Design Objectives 1-6 1.5 Definitions 1-8 1-29 2.0 GENERAL REQUIREMEtiTS FOR DESIGN 2.1 Scope 2.2 Design Process 2-1 A. Technology Base 2-2 B. Standardization 2-5 C. Design Life 2-6 D. Plant Simplification 2-6 E. Design Integration 2-16 F. 2-17 Interdisciplinary Design Reviews 2.3 Overall Plant Design Bases 2-21

_ A. Plant Safety and Investment Protection 2-23 B. Operations 2-23 C. Plant Siting 2-29 2-30

( 3.0 DESIGri BASIS EVEf:TS 3.1 Introduction 3-1 3.2 Identification A. of Events and Transients General Requirements 3-2 B. Event Identification 3-2 3.3 Classification 3-3 3-6 3.4 Analysis Requirements and Acceptance Criteria 3-6 A. General B. Analysis Requirements 3-6 C. Acceptance Criteria 3-7 3-12 4.0 STRUCTURAL DESIGN BASES 4.1 Introduction 4.2 Relationships to Design Bases Events 4-1 4.3 Classification Requirements 4-2 A. Safety Classification 4-3 B. 4-3 Seismic Classification 4-4 4.4 Codes and Standards A. 4-7 Major Design and Construction Codes B. Industry Technical Standards 4-10 C. Regulatory Positions 4-11 4-12

/

\

11

( l i

l CONTENTS (Continued) 1 Section g

4.5 Design Loads and Conditions -

A. 4-17 Natural Phenomena B. Site Proximity to Man-Made Hazards 4-17 C. Plant Operation Loads 4 27 D. 4-28 In-Plant Hazards 4-33 E. Buildings and Structures Design Loads F. 4-44 Mechanical Systems and Equipment Design Loads 4-50 G. Supports and Other Equipment Design Loads 4.6 Design Methodology 4-51 A. Buildings and Structures 4-55 B. 4-55 Mechanical Systems and Equipment 4-61 C. Other Equipment and Supports 4.7 Testing and Qualification 4-68 A. 4-76 Seismic and Dynamic Qualification of Mechanical and Electrical Equipment 4-77 B.

Environmental Qualification of flechanical and Electrical Equipment 4-82 5.0 MATERIALS 5.1 Introduction 5-1 5.2 General Requirements 5-2

( A.

B.

Responsibility for Paterial Selection Identification of Material in Critical Components 5-3 5-2 C. Codes and Standards 5-4 D. Design Bases Considerations 5-5 E. Hazardous Materials 5-5 F. Review of LWR Experir.nce 5-6 G. fietallic Materials - General Requirements 5-7 H. Non-Metallic Materials - General Requirements 5-10 5.3 Peterials Selection Guide 5-14 A. Materials in the Reactor Coolant System and Related Systems 5-14 B. Vaterials in the Feed, Steam, and Condensate Systems 5-48 C. Materials for Plant Structures 5-50 D. Fasteners and Adhesives 5-51 E. Themal Insulation Materials 5-53 F. Seals, Gaskets, Packings, Sealants, Paints and

• Protective Coatin Fluids, Cleaning,gs, Lubricants and HydraulicPackaging and Sto G. Electrical Paterials 5-55 H. Weld itaterials 5-56 b

iii

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9

{ CONTENTS (Continued)

Section P.,ag 5.4' Process Controls A. Fabrication Controls - 5-5E B. Examinations and Tests 5-5E C. Shipping and Storage 5-59 D. Installstion 5-61 E. Flush, Hydro, and Layup 5-61 5-62 5.5 Environmental A.

Controls in the Plant 5-62 PWR Chemistry Guidelines B. BWR Water Chemistry Guidelines 5-62 C. 5-65 6.0 General Environmental Considerations 5-65 RELIABILITY AND AVAILABILITY 6.1 Introduction 6.2 Plant Requirements 6-1 A. Analysis Requirements 6-2 B. System Design Requirements 6-2 6-8 7.0 CONSTRUCTABILITY 7.1 Introduction 7.2 Construction Program 7-1 A. Schedule 7-2 B. Construction Plan 7-2 C. Construction Program Control 7-5

( i.3 Design / Construction Integration A. Design Completion Prior to Construction 7-9 7-13 B. 7-13 Construction / Design Interfacing 7-17 C.

Control Room Simulator 7.4 7-20 Utilization of Advanced Construction Techniques and Practices A. 7-20 B.

Modularization and Construction Sequence 7-21 Methods and Practices C. 7-24 7.5 Construction Facilities 7-28 Plant Design Features to facilitate Constructior.,

7.6 Installation, Removal and Testing 7-31 System Completion. Startup Testing and Owner Acceptance A. 7-36 Start-Up Planning and Implementation B. 7-36 Construction /Startup/0wner Interface Matrix 7-36 C. Startup Schedule D. 7-37 Preoperational and Acceptance Test Procedure Development E. System Completion 7-37 F. Startup Work List 7-3B G. Startup Problem Reports 7-41

' H. Startup Work Permits 7-41 I. Equipment Maintenance and Site Cleanliness 7-42 J. Owner Acceptance 7-43 7-44 k

iv

( (

p CONTENTS (Continued)

\

Section Paae 8.0 OPERABILITY AND MAINTAINABILITY -

8.1 Introduction 8-1 8.2 Provisions to Enhance Operability and Maintenance Ability A. 8-2 Standardization of Components 8-2 B. Review of Industry Operation / Maintenance Experience C. B-3 Human Factors Provisions to Facilitate Operation and Maintenance 8-12 D. Integration of Operation and Maintenance Requirements 8-22 8.3 Minimizing Dose Levels to Personnel (ALARA) 8-28 A. Overall Exposure Objectives B. 8-28 Required Features to Minimize Radiation Levels 8-28 C. Automatic Equipment for Inspection and Repair Operations 8.4 Facility Recuirements 8-31 A. B-33 Facilitics for Handling, Controlling, and Processing Personnel Within the Plant 8-34

8. Repair Shop Requirements - Contaminated and Clean

( C. Spare Parts Supply Storage, and Control 8.5 Provisions for Replacement of Major Components 8-41 8-44 8-46 9.0 QUALITY ASSURANCE 9.1 Introduction 9-1 9.2 Program Requirements 9.3 Interfaces 9-2 9.4 Records 9-7 9-9 10.0 LICENSING 10.1 Introduction 10-1 10.2 Requirements 10-2 k

v

.s (REVISED - 6/64)

BILLING INSTR"CTIONS FOR NRC COST-TYPE CONTRACTS General. The contractor shall submit vouchers for cost-reimbursement in the manner and forret described herein and as illustrated in the sample voucher.

Nu~.ber of Copies. . An original and two copies should be mailed to the NRC office identified below.

Frequency.

The contractor shall submit claims for reimbursement once each month unless otherwise authorized by the Contracting Officer.

Fo rm.

Claims shall be submitted on the Form DC-3 " Voucher for Purchases and Services Other Than Personal." These forms are available from the Contracting Officer. (The instructions for preparation and itemization of the voucher are shown on the form.)

Billing of Costs Afte'r Expiration of Contract. If costs are incurred during the contract period and claimed after the contract has expired, the period during which these costs were incurred must be cited.

Currency. Billings may be expressed in the currency normally used by the contractor in maintaining his accounting records; payments will be made in that currency. However, the U. S. dollar equivalent for all l invoices paid under the contract may not exceed the total U. S. dollars authorized in the contract.

Supersession. These instructions supersede all previous billing instructians. -

5 I

I

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

INSTRUCTIONS FOR PREPARING COST TRTORMATION FOR NRC CONTRACTS P-eparation and Itemization of the Voucher. The contractor shall furnish the information set forth in the explanatnry notes below. These notes are keyed to the entries on the sample voucher.

Payor's Name and Address. (i) Address the original voucher (with 2 copies) to: U.S. Nuclear Regulatory Comission. Division of Accounting and Finan:e, Of fice of Resource Management, ATTN: GOV /COM Accounts Section, Washington, D.C. 20555.

Any questions regarding vouchers yet to be paid by the NRC should be addressed to Division of Accounting (301-492-7535). Any questions regarding vouchers for which payment hes been received (either in full or partially with suspensions or disallowances) should be ad-dressed to the Contracting Officer.

Payee's Name and Address. Show the name of the contractor as it appears in the contract and its correct address; except when an approved assign-ment has been made by the contractor, or a different payee or addressee has been designated, then insert the name and address of the payee.

Indicate the individual responsible for answering any questions NRC may have reoarding the invoice (name and phone rumber).

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

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

(c) Voucher Number - Insert the appropriate serial number of the voucher beginning with 001 for this contract. Contractors may also include individual internal accounting numbers in addition to the three digit number.

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

(e) Contract Amount - Insert the total estimated cost of the contract, exclusive of fixed-fte.

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

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

1

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

(1) Direct Labor - This consists of salaries and wages paid (or accrued) for direct performance of the contract itemized as follows:

La bor Labor Hours Cumulative Category Negotiated Hours Billed Rate Total Hours Billed (2) Fringe Benefits - This represents fringe benefits applicable to direct labor and billed as a direct cost. Where a rate is used, indicate the rate. Fringe benefits included in direct labor should not be identified here.

(3) Direct Equipment For educational institu-tions list each iter costing 5500 or more, and having a life expect-ancy of more than ont year. Fcr contractors other than educational institutions list each iter ccsting $200 or more, and having a life expectancy of more than one year. List only those items of equipment for which reimbursement is requested. A reference shall be made to the following (as applicable): (1) the item number for the specific piece of equipment listed in the property schedule of the contract; (2) the Contractinq Officer's approval letter if the equipment is not covered by the property schedule; or (3) be preceded by an ast-erisk (*) if the equipment is below the approval level. Further itemization of vouchers shall only be required for items having specific limitations set forth in the contract.

(4) Materials, Supplies, and Other Expendable items - These are consumable materials and supplies an:: equipment other than that described in (3) above.

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

(6) Consultants' Fee . Thc supporting information must include the name, hourly or daily rate of the eersultant and reference the NRC approval (if not specifically approved in the original contract).

(7) Travel - Domestic travel is travel within the United States, its territories, possessions, and Canada; it should be billed separately from foreign travel. Travel costs billed will provide for individual Per Diem, and all supporting infonnation for each trip taken.

2

6 All costs associated with each trip must be shown in the following forma t : (Unless the organization's travel policy has been negotiated and approved by NRC)

Da te Traveler Destination Purpose Cost From To From To

1. Airfare

2. Rental Car

> 3. Local Travel 4 Per Dier Days P =

5. Meals:

Date Breakfast Lunch Dinner If not included in Per Diem.

6. Tips, Misc.

- (Itemize if more than 510,00)

(8) Subcontracts - Include all costs paid to approved subcontractors during billing period. This includes the details of the subcontract terms (i.e.,

cost-plus-fixed-fee, direct labor, indirect costs, travel, profit, etc.)

(9) Other - List all other direct costs by cost elements and dollar amount sepa ra tely.

(1) Indirect Costs--Overhead - Cite the formula (rate and base) in effect durin; the time the cost was incurred and for which reimbursecent is claimed.

(j) Fixed-Fee - If the contract provides for a fixed-fee, it must be claimed as provided for by the contract. Cite the formula or method of computation.

Contractor may bill for fixed fee only up to 85% of total fee.

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

I

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'n- ,o (1) Cumulative Amount from Incep:fon to Date of this Billing - Insert the cumulative amounts billed for the major cost elements and adjusted amounts claimed during this contract.

(m) Total Amounts Claimed - Insert the total amounts claimed for the current and cumulative periods.

(n) Adjustments - This includes amounts conceded by the contractor, outstand-ing suspensions, and disapprovals subject to appeal.

(o) Grand Totals 4

4

m g *N

. 10JCHLR$ f 04 FORUiASLS A;D SLRVICLS 01HtR lHAN PERSONAL J-SAMrLE VOUCHER Payor's Name and Address The U.S. Nuclear Regulatory Comission (a) Contract humber NRC-10-81-624 Division of Accounting and Finance () fP Concepts..

ct " Study of Nuclear Waste Office of Resource Management Attention: GOV /COM Accts Section Washington, D.C. 20555 Payee's Nare and Address (c) Voucher Number 003 ABC CorVORATI0li The National Bank (d) Date Voucher Prepared 10/18/82

! 100 Main Street or Anywhere, U.S.A. ,

Anywhere, U.S.A. Assignee for ABC CORP. (e) Total Estimated Cost of Contract Anywhere, U.S.A. 5350.000.00 (When Payments Assigned)

Indiividual to Contract (f) Total Fixed-Fee

, ,' . " " 0 0

Regarding This Voutner

-

fiame : Harry Murphy Tel, ho.: 215-321-8654 I(9) This voucher represents reirturseable costs from 3/1/82 thru 3/30/62 Amount Billed (L) Current Period (1) Inception to Date l(h) Direct Cests .

(1) Direct Labor * $2.400 $6.800 (2) Frince Benefits P lf.5 '

l (if computed as percer.taae) 600 1.200 (3) Direct 5,000 Eouipment

• S 000 (4) haterials, Supplies and Other Expendable Items

• 2.000 4.000

($) Tre 1u~ Pay 100 150

(() Censultants

• 100 100

(?) T rne' - Dc er tic

• 2: 707

. tereter *

(S) Subcontract

• 200 200 1 (9) Other Costs

• 3.000 9.000 l (i) If.D: RECT COSTS i A) Overneac 100 ', of Total Direct Costs

' $13.600 $29.650 (Indicate Base) l Subtotal $27.200 $59.300 B) General & Administrative Expense 3.264 6.450

- "-" ~

12 '. of Cost Elements Nos.1-9. A Total Costs $30.4f>4 $65. N (i) FDEC FEE EARNED (formula) 1.5?3 3.40c lV' icial Ausnts Claired $ 31. 9" $ P .15

l (r ' Ac.'ustrents Outstanding Suspensions

• I.700 1.I00 (o) r,,*a n d T o t a l s I3 I' ' ft'W I

• I M : , * : E 5 5 t 0t " l'.7, t r.r 0r" AT 10'. . )

i ($i; C it:eEO.)

P:-? " / f .~

I .

SAMILE SUPPORTING INFORMATION

1) Direct Labor - $2400 Labor Labor Hours Hours Cumulative Category Negotiated Billed Rate Total Hours Billed Senior Engineer I 2400 100 $14.00 $1400 975 Engineer 1500 50 $10.00 $500 465 Computer Analyst 700 100 $5.00 $500 320 3N'6T

3) Direct Eauipner.:

Spectrometer - General Electric (as approved in Property Schedule) $5,000

4) Materials Supplies & Other Expencable items 10 Radon Tubes 0 $110.00 = $1100.00 6 Pairs Electrostatic Gloves 0 $150.00

= $900.00 32000.00

5) Premium Pay Walter Murphy - 10 hours1.157407e-4 days <br />0.00278 hours <br />1.653439e-5 weeks <br />3.805e-6 months <br />.0 $10.00 Per Hour = $100 (This was approved by NRC in letter dated 3/6/82.)

6) Consultants' Fee Dr. Carney - 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br /> 0 $100 = $100

7) Travel Date Traveler Destination Purpose Costs From g From o To, 3/1/82 3/6/82 William King Chicago, Wash., Meeting with 1) Airfare $80.00 Il DC Project 2) Rental Car $15.00 Officer 4) Per Diem - 2 Days 0 $50.00 = $100.00

~

6) Tips, Misc. $5.00 TOTAL: $200

.c.

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8) Subcontracts XYZ CORP. (CPFF)

Direct Labor: - 80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br /> 9 $20.00 per hour = $1600.00 0/H 9 50% = $800.00 Travel - 2 Trips - Wash. , DC 9 $200 = $400.00 to Boston, MA Profit 9 7% = $200.00 TOTAL: 53000.00 (j) Fixed-Fee (Formula)

( 5's )

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

$27,200 X Si = $1360 Fee Billed for this Period (n) Adjustments

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

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