ML20210L983
| ML20210L983 | |
| Person / Time | |
|---|---|
| Issue date: | 08/13/1997 |
| From: | Kalmbach R, Mace M NRC OFFICE OF ADMINISTRATION (ADM), SOUTHWEST RESEARCH INSTITUTE |
| To: | |
| References | |
| CON-NRC-02-97-004, CON-NRC-2-97-4 NUDOCS 9708210392 | |
| Download: ML20210L983 (107) | |
Text
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AMENDttRNT CF SOLICITATION / MODIFICATION OF CONTRACT 38
- 2. AMENDMEN1/MODiflCAtlON NO.
- 3. Ef fECllVE DATE
- 4. AEQUltillON/PURCHA$E REQ. NO.
PRD 2
August 1,1997 WMS*97 004
- 6. IlSUED BY CODE
- 7. ADMINi$1EREu By CODE I U$ Nuclear Reputatcry Conenission (If other than item 6)
DIvIstonofContractsand Property Management, M/S 1712 Washington, DC 20555
- 8. NAME AND ADDREll of CONTRACT 0R (No., street, county, $ tate and 21P code) 9A. AMENDMENT OF 50LIC11 Ail 0N No.
$outhwest Research Institute 6220 Cutebra Road P0 Drawer 28510
- 98. DAfED (SEE 11EM 11)
$an Antonio, TX 78238 5166 10A. M00lflCA110N OF CONTRAC1/ ORDER NO.
X NRC+02 97 004 108. DATED (EEE 11EM 13)
CODE I H Cllitt CODE
- 11. THll ifEM ONLY APPLIES TO AMENDMENil 0F $0LICliA110N$
0 The above rueered noticitation is amended as set forth in item 14.
The hour and date specified for receipt of Offers Q is eatended, is not eatended. Of ferers sust acknowledge receipt of this amenenent for to the hour and date specified in the so ltation or as amended by one of the following methodst (a) By congleti Items 8 and 15, and return' ng co (b By acknowledging receipt of this amenenent on esq copy of the of fer subm tte5TF(c)p es of the amenenent)
By separate letter or te egram which includes a reference to the solicitetton and amenenent rueers. FAltuRE OF YOUR ACKNOWLEDGMENT 10 BE RECEIVED AT THE PLACE DESIGNA1ED FOR THE RECElPT OF OFFERE PRI HOUR AND DATE $PECIFIED MAY RESULT IN REJECTION Of YOUR offer. If virtue of this amenenent you desire to change an of fer already sutnitted referencetothesolicitatlonandthisamenenent,andisreceivedprortotheopeninghouranddatespecified.such change may be ma
- 12. ACCOUNilNG AND APPROPRIATIOP DATA (if required) n/a
- 13. THis ITEM APPLIES ONLY 10 M00lflCAil0NS OF CONTRACTS / ORDERS, 11 M00lFIES INE CONTRACT / ORDER NO. AS DESCRIBED IN ITEM 14 A. THis CHAhGE CdDER 15155UED PUR$uANT 10: ($pecify authority) THE CHANGES $El f0 RIM IN 11EM 14 ARE MADE IN THE CONTRACT ORDER No. IN ITEM 10A.
- 8. INE ABOVE NUMBERED CON 1RAC1/ ORDER ll M00lflED 10 REFLECT THE ADMINistRAttyt CHANGES (such as changes in paying office, appropriation data, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.1u3(b).
C. THil SUPPLEMENIAL AGREEMENT !$ ENTERED INTO PUR$UANT 10 AUTHORITY 07:
X Mutual Agreement of the Parties D.OTHER(6pecifyTypeofmodificationandauthority)
~
E. IMPORTANil Contractor O is not, 9 is required to sign this document and return 2 copies to the issuing office.
- 14. DESCRIP110N Of AMENDMENT /MOOlFICATION (Organized by UCF section headings, including solicitation / contract subject matter where feasible.)
See attached.
D ifDJ'
/
Except as provided herein, all terms and conditions of the document referenced in Item 9A or 10A, as heretofore changed, remains unchanced and in f ui t f orce and ef f ect.
15A. NAME AND fliLE of stGNER (type or print) 16A. NAME AND liitE OF CONTRACTING Of flCER (Type or print)
R. B. Kalmbach Diredor, Contracts q Q Mary H. hace
./
8/13/
fr-(Siane ce of oerson authortred to sinn)
TBlanature of contractine Of ficerT lU 1 41
'1-01-152 8070 30-105 STANDARD FORM 30 (REV.10 83)
'il0N UNUSABLE Prescribed by GSA FAR (48 CFR) 53.243 1392 970813 l
004 PDR
. y a o
e Modification No. 2 Contract NRC 02 97 004 Page 2 of 38 The purpose of this modification is to definitize letter contract NRC 02 97-004 which was effective May 30, 1997.
A summary of obligations for this contract is given below:
Total FY97 obligation amount:
$40,000 Cumulative total of NRC obligations:
$40,000 This modification does not obligate funds.
I z
NRC-02-97-004 Section B PART I - THE SCHEDULE SECTION B - SUPPLIES OR SERVICES AND PRICES / COSTS D.1 PROJECT TITLE The title of this project is as follows:
)
Technical Assistance in the Preparation of an Environmental l
Impact Statement (EIS) for the Application for a License to Operate an Independent Spent Fuel Storage Installation (ISFSI) to Store TMI-2 Spent Fuel at the Idaho Nuclear Engineering Lab (INEL) Site.
'*End of Clause)
B.2 BRIEF DESCRIPTION OF WORK (MAR 1987)
The objective of this project is to provide technical assistance to the NRC in the environmental review of the environmental report submitted by the Department of_Snergy (DOE) and to prepare an environmental impact stateme n (EIS) for the proposed licensing action.
(End of Clause)
D.3 CONSIDERATION AND OBLIGATION--CodT PLUS FIXED FEE (JUN 1988) ALTERNATE I (JUN 1991)
(a) The total estimated cost to the Government for full performance of this contract is $269,578.00,_ of which the sum of $247,049 represents the estimated reimbursable costs, of wnich the sum of $5,730 represenco facilities capital cost of money, and of which $16,799 represents the fixed fee.
(b) There shall be m cdjustment in the amount of the Cc.. tractor'a fixed fee by reason of differences between any estimate of cost for performance of the work under this contract and the actual cost for performance of that work.
(c) The amount currently obligated by the Government with respect to this contract is $40,000.00, of which the sum of $37,523 represents the estimated reimbursable costs, ant of which
$2,477 represents the fixed fee.
(d) It-is estimated that the amount currently allotted will cover performance through August 15, 1997.
[End of Clause)
Page 3 of 38 L
NRC-o2 97-oo4 Section C SECTION C - DESCRIPTION / SPECIFICATIONS / WORK STAT".N2NT
-C.1.0 Backnround The Department of Energy (DOE)-has submitted an application for a license to operate an ISFSI at the INEL site for temporary storage of the THI-2 spent fuel (fuel bearing material).
An Environmental Report (ER) has been submitted for the proposed licensing action.
-This action is considered to be a major federal action and in accordance with'10 CFR 51, an Els has to be prepared prior to approval of-a license to operate the ISFS: facility.
LC.2.0 Obiective The objective is to provide technical isustance to the NRC in the environmental review of the submitted ER and to prepare an EIS for the proposed action.
C.3.0 Technical and Other Soecial Qualifications Reauired The )rincipal investigators represent the technical expertise provided by tie Contractor and provide technical continuity during the entire review process.
They should have arofessional credentials in the technical areas assigned D them t1at will qualify them as expert witnesses for testifying tc public hearings.
They should have a clear-understanding of the depth of review generally required by the NRC and specifically required by the type of-activity-prg osed by the applicant for the disciplines they represent.
In areas that can be best accomplished by less experienced personnel, the princit'ai invastinators may act as overseer, providing contractor quality control to e activities.
The reviewers will be resF sible for a timely technical review of discrete areas within the e,. ire review effort.
Reviews can be-
.;'I performed by any qualified support staff member but may be performed by a principal investigator or even by the project manager.
The reviewers who perform the actual work will provide detailed technical records of the methods used to evaluate all aspects of their Lreas of_ responsibility. Upon completion of an evaluation. thi reviewer or responsible principal investigator will distill this record to suitable documentation-for inclusion in NRC reports.
Page 4 of 38
NRC 02 97 004 Section C The contractor shall commit the appropriate number of qualified staff to the project encompassing the recu1 red disciplines to perform the environmental evaluation.
The bRC reserves the right to approve the Principle Investigator (PI) and the individual personnel assigned to the task from the necessary disciplines including health physics, hydrology, geology, ecology, risk assessment. and sociveconomics The contractor PI shall be experienced in managing environmental projects includ.ng l
preparation of an EIS and may not be changed during the project without the written approval of NRC.
C.4.0 Level of Effort Thelevelof-efforte$1matedforthisprojectisdividedintotwo phases.
The first phase is comprised of steps one through four of ths scope of work below.
The second phase is co:nprised of the remainder of the steps.
The estimated level of e 'rt for Phase 1 is.3 FTE.
The estimated level of effort for Phase 2 is.7 FTE if the 00E INEL EIS can be incorporated or 3.2 FTE if it cannot be incor> orated.
The contractor's initial proposal for Phase 2 shall se for the lesser level of effort.
These estimates do not include the potential for a hearing, C.5.0 Scooe of Work Because an EIS exists for the INEL site, this information should be utilized in the preparation of the EIS to minimize the required effort to satisfy the requirements of 10 CFR 72.34.
A revised proposal should be submitted after the initial review is performed.
This oroposal should justify whether or not the EIS prepared for the INE. site can be integrated into the EIS for--the spent fuel ar.d therefore not duplicate efforts that were already expended by DOE. At tima of the revised proposal, a. detailed schedule needs to be prepared to allow the NRC to commit to dates for completing the review that we can justify to DOE INEL.
The environmental review is a multi disciplinary activity culminating in a written record (i.e., the EIS) that will clearly demonstrate-the applicant's compliance with the requirements of 10 CFR Parts 72 and 51.
The major scope of the review of the ER includes:
Phase 1 1)
Preacceptance review.
2)
Initial review.
3)
Site visit.
4)
Scoping meeting, revised proposal based on scoping meeting Page 5 of 38
.l*C 02 97 004 hection t Phase 11 5)
Request for addition quest 1cos.
6)
Review of applicants' response.
7)
Prepare draft EIS.
8)
Resolve Internal comments on draft EIS.
9)
Publish draft EIS for public comment.
10)
Resolve public comments and request additional information.
11)
Prepare final EIS.
I 12)
Resolve internal comments and; 13)
Issue final EIS.
The contractor shall provide details of the review method, requests for informat Mn in a form suitable to transmit to the applicant, and documentation summarizing the evaluation and findings suitable to include in NRC reports.
The last of these will be submitted in draft and final form (i.e.,,the di af t EIS aM final EIS. and t a scop..,9 meeting summary report).
C 6.0 Technical Reoorts Technical reports shall be edited and reviewed by the performing organization and checked in accordance with the quality assurance requirements addressed below.
Within 30 days of receipt of each draft task report, the Project Off1cer will provide comments to the performing organization to be considered in the preparation of the final task report.
These comments will identify potential problem areas. discrepancies, and technical insights on the draft report.
The comments will be for the pur]ose cf clarification only and will not be construed as to prejudge t1e performing organization's work or technical findings. Within 30 more days, the performing organization shall revise the draft task report.
incorporating ru olution of commants. and suomit a camera-ready copy u..d an NRC-compatible electronic media copy of the final task report.
C.7.0 Deliverable /Scheoule The following schedule is based on estimates of time intervals to accomplish steps in the review process.
A.
Preacceptance review 4 month B.
Initial review 2 months C.
Site visit and scoping meeting and prepare scoping report / revise proposal 1 month D.
Request for additional information 1 months E.
Applicant response and review 14 months Page 6 of 38
NRC 02 97 004 Section C F.
Prepare draft EIS 2 months G.
Resolve internal comment I rr.onth H.
Publish draft EIS for public comment 1 months 1.
Resolve public comments and request additional questions 2 months J.
Prepare final EIS 2 months K.
Resolve internal comments 1 month L.
Issue FES 1 month The above schedule assumes that no hearing is anticipated for tne proposed action.
l C.8.0 Meetinos and Travel it is expected that there will be several coordination meetings between the contractor and NRC staff throughout the duration of the task.
Meetings will be held either at the contractor location or at NRC headquarters in Rockville Maryland, at the NRC's discretion (assume eight person trips to the NRC of three days duration).
One trip for approximately four key contractor reviewers to the proposed site is expected.
Another trip will be to conduct the sco)ing meeting which is normally held at the local area near the site.
Taese trips are estimated to be of one week dur5 tion.
If during the review arocess an area of review requires technical discussions between t1e contractor and the applicant, the contractor may be requested to attend meetings with the applicant.
It is anticipated this could involve two c.eetings, one it the applicant's site, and one at NRC': offices % dock"Cle. Maryl:na. of one weeks duration eNh.
C.9.0 Technical /Prolect Direction Edward Shum is designated as the NMSS Technical Monitor (TM) for the CNWRA work tasks.
Daniel T. Huang is designated as the NRC Project Officer (PO).
Technical instructions may not constitute new assignments of work or changes of such a nature as to justify P 'djustment in cost or aeriod of performance.
The NMSS TM is responsible for providing tecinical guidance to the 3erforming organization regarding staff l
interpretatior.s of the tecinical aspects of regulatory requirements l
along with copies of relevant documents (e.g. Regulatory Guides) when requested by the performing organization.
All work products must be reviewed and approved by the NMSS TM before they are submitted as final documents.
All technical direction given to the performing organization must be consistent with the work scope and schedule.
The NMSS TM is not authorized to unilaterally make changes to the approved work scope or schedule or give the performing organization any direction that would increase costs over approved levels, Page 7 of 38
NRC 02 97 004 Section C C.10.0 Quality Assurance 10.1 For all draft and final reports delivered under this agreement.
the performing organization shall assure that an independent review and verification of all numerical computations and mathematical equations and derivations are performed by qualified personnel other than the original author (s) of the reports, if the performing organization pro)oses to verify / check len than 100 percent of all computations and matlematical equations and derivations in the report (s), (such as might be the case when there are a large number of routine, repetitive calculations), the performing organization must first obtain writter, approval from the NMSS P0.
Computer generated calculations will not require verification where the computer program has already been verified.
The NM s PO has the optio Of auditing all doCumenta*" 9n including project correspondence. drafts, calculations and unrefined data.
10.2 in addition, all reports, including those which do not contain numerical analyses must be reviewed by the performing organization's management and approved with two signatures, one of which is for the performing organization's management at a level above the program manager.
I 10.3 When revisions for the reports are issued. a section must be included in the revised report to document dates of, reasons for, and scope of all changes made since the issuance of the first performing organization's approved report.
10.4 NRC has the option of appointing a Peer Group to review the draft report and make changes to the final report.
The performing organization may recommend candidates for the Peer Group for approval by tne NMSS P0. In the occasion of dissent.
the content of the final report, the dissenting party will have the option of stating its viewpoints and findings in a section of the report.
C.11.0 NRC Furnished Material.
The NRC will furnish the contractor documents under the appropriate docket and the format for requesting additional questions.
Guidance in handling environmental justice from NMSS will also be furnished.
C.12.0 CNWRA Acouired Material No materials are expected to De acquired under this contract.
Page 8 of 38 "Y
NRC-02-97-004 Section C C.1 NRCAR 2052.215-83 TRAVEL APPROVALS (JAN 1993)
(a) All domestic travel requires tne prior app o/a1 of the project officer.
(b) All foreign travel must be approved la advance by the NRC on NRC Form 445 and must be in compliance with FAR 52.247-63 Preference for U.S.
Flag Air Carriers.
Foreign travel approval must be communicated in writing through the contracting officer.
[End of Clause]
Page 9 of 38
f..-
- NRC-02_-97 _004 Section D--
SECTION-D -~ PACKAGING AND MARKtNU
-D.1-PACKAGING AND MARKING '(MAR 1987).
i
-The Contractor shall package material for shipment to the_NRC !:,
such a manner that.will ensure acceptance by-common carrier and safe delivery at destination.
Containers and' closures shall comply with the Interstate Commerce-Commission' Regulations,.
Uniform Freight Classification Rules,.or regulations of other carriers as applicable to the mode.of transportation.- On--the front of the-package, the Contractor.shall clearly identify the contract number under which the product-is being provided.
- End of Clause]-
l Page 10 of 3_8-
.4 4
NRC-02-97-004 Section E SECTION E - INSPECTION AND ACCEPTANCE E.1-52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988)
This contract incorporates one or more clauses by reference, with-the same force and effect as if they were given in full text.
Upon request, the contracting Officer will make their full-text available.
I.-
FEDERAL ACQUISITION REGULATION (4 8 CFR CHAPTER 1) CLAUSES NUMBER TITLE DATE i
-52.246-5 INSPECTION OF SERVICES
'?R 19E',
[
- COST-REIMBURSEMENT l-(End of C3Tuse)
E.2 PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987)
Inspection and acceptance of the deliverable items to be furnished hereunder shall be made by the Project Officer at the destination.
I.End of Clause]
Page 11 of 38
s
,e NRC-02-97-004 Section F SECTION F - DELIVERIES OR PERFORMANCE F.1 52.252-2 CLAUSES INCORPORATMD BY REFERENCE (JUN 1988)
This contract incorporates one or more clauses by reference, with the same force and effect an if they were given in full text.
Upon request, the Contracting Officer will make their full text available.
I.
FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES NUMBER TITLE DATE i
52.242-15 STO'-WORK ORDER AUG 1909 Alternate I (APR 1984)
(End of Clau:
F.2 NRCAR 2052.212-70 PREPARATION OF TECHNICAL REPORTS (JAN 1993)
All technical reports required by Section C and any task orders issued under this contract are to be prepared in accordance with the attached Management Directive 3.0,
" Unclassified Contractor and Grantee Publications in the NUREG Series."
Management Directive 3.8 is not applicable to any Contractor Spending Plan (CSP) and any status report that may be included in this contract.
-(See-Section J for List of Attachments).
[End of Clause]
F.3 NRCAR 2052.212-71 TECHNICAL PROGRESS REPORT The contractor snall provide a periodic Technical Progress Report for each four week period to the project officer, the technical monitor, the contracting officer, the Director, SFPO, NMSS, and the NRC CNWRA Program Manager.
The report is due within 15 calendar days after the end of the report period and must
-identify the title of the project, contract number, job code number, project manager, period of performance, and the period covered by the report. Each report must include the following for each discrete task / task order:
(a) A listing of the efforts completed during the period, and milestones reached or, if missed, an explanation provided; (b) Any-problems or delays encountered or anticipated and Page 12 of 38
HRC-02-97-004 Section F F.3 (Continued) recommendations for resolution.
If the recommended resolution involves a contract modification, e.g., chansa in work requirements, level of effort (cost) or schedule delay, the contractor shall submit a separate letter to the contracting officer identifying the required change and estimated cost impact.
(c) A summary of progress to date; and (d) Plans for the next reporting period.
[End of Clause)
P.4 2052.212-72 FINANCIAL STATUS REPORT (DEC 1995)
The contractor shall provide a periodic Financial Status Report for each four week period to the project officer, the technical monitcr, the contracting officer, "b e Director, SFPO, NMSS, and the NRC CNWRA Program Manager. Also, whenever the report references the acquisition of, or changes in status of, property valued at the time of purchase at $50,000 or more, send a copy of the report to the Chief, Property Management Branch, Div. of Facilities and Property Mgmt., ADM.
The report is due within 15 calendar days after the end of the report period and shall identify the title of the project, the contract number, job code, project manager and/or principal investigator, the contract period or performance, and the period covered by the report. Each report must include the following for each discrete task:
(a) Total estimated contract amount.
(b) Total funds obligated to date.
(c) Total costs incurred this reporting period.
(d) Total cosis incurred to date.
(e) Detail of all direct and indirect costs incurred during the reporting period for the entire contract or each task, if it is a task ordering contract.
(f) Balance of obligations remaining.
(g) Bala ce of funds required to complete contract / task order.
(h) Contractor Spending Plan (CSP) status:
(1) Projected percentage of completion cumulative through the report period for the project / task order as reflected in the current CSP.
Page 13 of 38
4 4
-NRC-03-97-004.
-Section ?-
LF.4 (Continued)-
(2) Indicate lif there has been a significant change in the original CSP projection in either dollars or percentage of completion.
Identify the change, the reasons for the
. change, whether:there-is any projected overrun, and when additional funds-would be required.
If there have been no changes to_the original NRC-approved CSP projections, a written statementLto that effect is sufficient in lieu i
of submitting a detailed response to item _h.
l l
4 (3) A revised CSP is required with the. Financial Status Report whenever the. contractor or the contracting officer has reason to believe that the total cost-for performance of this-contract will be either greater or substantially less'than what had been previously estimated.
'(i) Property status:
(1) List property acquired for e project during the month l
with an acquisition cost of S500 or more and less than
$50,000.
Give the item number for the specific pjece of equipment.
-(2) List property acquired for the prcject during the month-with an acquisition cost of $50,000 or more.
Provide the following information for each item of property:
item description or nomenclature, manufacturer, model number, serial number, acquisition cost, and receipt-date.
If no property was acquired _during the month, include a.
statement-to that effect.
Note:
The same information shall-be provided-for any component or peripheral--
equipment which is part of a " system or system unit."
(3) For multi-year projects, in : the-period _13 financial status report provide a cumulative listing of property _
s with an acquisition cost-of,$50,000 or more ($5,000 or more if p"rchased prior tc October 1, 1995) shc.ving the above information.
(4)1 In the final status report provide a closecut property report containing the same elements as described above for the monthly financial-status reports, for all.
property purchas d with NRC funds regardless of value unless title has been vested in the contractor.
If no property 1was acquired under.the' contract, provide a
. statement to that effect.
The report lshould note any property requiring special handling for security, health, safety, or other reasons as part of the report.
=(j) Travel status:
Page 14 of 38
4
_NRC-02-97-004-Section F F.4-(Centinued)
List the starting and end dates for each trip, the starting point and_ destination, and the traveler (s) for each trip.
-If the data in this report' indicates a need for additional funding beyond that_already obligated, this information may only-be used as support to the official request for funding required in accordance with-the Limitation of Cost (LOC) Clause (FAR 52.232-
- 20) or the Limitation of Funds (LOF) Clause (FAR 52.232-22).
F.5 PLACE OF DELIVERY--REPORTS (JUN 1988)
The items to be furnished hereunder shall be delivered, with all charges paid by the Centractor, to:
(a) Project Officer (4 copies)
Daniel T.
Huang U.S. Nuclear Regulatory Commission Program Management, Policy Development, and Analysis Staff, NMSS Washington, DC 20555 (b) Contracting Officer (1 copy)
(End of Clause)
-F.6 DURATION OF CONTRACT PERIOD (MAR 1987)
This contract shall. commence on 5/30/97 and will expire September 30, 1998.
[End'of Clause)
F.7 RESOLVING NRC CONTRACTOR DIFFERING PROFESSIONAL VIEWS (DPVs)
The Nuclear F.egulation Commission's (NRC) policy is to support the contractor's expression of professi'onal health and safety related concerns associated with the contractor's work for NRC that (1) may differ from a prevailing NRC staff view, (2)' disagree with an NRC decision cnr policy position, or (3) take issue with
-proposed or established agency practices.
An occasion may arise when an NRC contractor, contractor's personnel, or subcontractor personnel believes that a conscientious expression of a competent judgement is required to document such concerns on matters directly associated with its performance of the contract.
The procedure that will be used provides for the expression and Page 15 of 38
NRC-02-97-004 Section F F.7 (Continued) resolution of differing professional views (DPVs) of health and safety related concerns associated with the mission of the agency
-by NRC contractors, contractor personnel or subcontractor personnel on matters directly associated with its performance of the contract, may be found in Section J of the solicitation.
The contractor shall provide a copy of the NRC DPV procedure to all of its employees performing under this contract and to all subcontractors who shall, in turn, provide a copy of the procedure to its employees.
NOTE:
The prime contractor or subcontractor shall submit all DPV's received by need not endorse them.
(End of Clause]
Page 16 of 38
i NRC-02-97 OO4 Section G SECTION G - CONTRACT ADMINISTRATION DATA G.1-NRCAR 2052.215-71 PROJECT OFFICER AUTHORITY
-(JAN 1993)
(a)- The contracting officer's authorized representative hereinafter referred to as the project officer for this contract is:
Name:
Daniel T.
Huang Address: U.S.-Nuclear Regulatory Commission Program Management, Policy Development and Analysis Staff, NMSS Washington, DC 20555 Telephone Number: 301-415-7805 (b) Performance of the work under this contract is subject to the technical direction of the NRC project officer.
The term technical direction is defined to include the following:
(1) Technical direction to the contractor which shifts work emphasis between areas of work or tasks, fills in details, or otherwise serves to accomplish the contractual statement of work.
-(2) Provide advice and guidance to the-contractor in the preparation of drawings, specifications, or technical portions of the work description.
(3) Review and, where required by the contract, approval of technical drawings, specifications, and technical information tc be delivered by the contractor to the Government under the contract.
(c). Technical direction must be within the general statement of work stated in the contract.
The project officer does not have the authority to and may not issue any technical direction which:
(l' Constitutes an assignment of work outside the general scope of the contract.
(2) Constitutes a change as defined in the " Changes" clause of this contract.
(3) In any way causes an increase or decrease in the total Page 17 of 38
-NRC-02-97-004 Section G 0.1 (Centinued) estimated contract cost, the fixed fee, if any, or the time required for contract performanca.
(4) Changes any of the expressed terms, conditions, or specifications of the contract.
(5) Terminates the contract, settles any claim or dispute arising under the contract, or issues any unilateral directive whatever.
(d) All technical directions must be issued in writing by the project officer or must be confirmed by the project officer in writing within ten (10) working days after verbal issuance.
A copy of.the written direction must be furnished to the contracting officer.
(e) The contractor shall proceed promptly with the performance or technical directions duly issued by the project officer in the manner prescribed by this cl,uec 'nd within the project officer's authority under the provisions of this clause.
t (f) If, in the opinion of the contractor, any instruction or direction issued by the project officer is within one of the categories as defined in paragraph (c) of this section, the l
contractor may not proceed but shall notify the contracting officer in writing within five (5) working days after the receipt of any instruction or direction and shall request the contracting officer to modify the contract accordingly.
Upon receiving the notification from the contractor, the contracting officer shall issue an appropriate contract modification or advise the contractor in writing that, in the contracting officer's opinion, the technical direction is within the scope of this article and does not constitute a caange under the " Changes" c:ause.
(g) Any unauthorized commitment or direction issued by the project officer may resule. in an unnec-ssary delay in the cc.itractor's performance ano may even result in the contractor expending funds for unallowable costs under the contract.
(h) A failure of the parties to agree upon the nature of the instruction or direction or upon the contract action to be taken with respect there to is subject to FAR 52.233 Disputes.
(i) In addition to providing technical direction as defined in paragraph (b) of the section, the project officer shall:
(1) Monitor the contractor's technical progress, including surveillance and assessment of performance, and recommend to the contracting officer changes in requirements.
Page 18 of 38
NRC-02-97-004 Section G 0.1 (Continued)
(2' Assist the contractor in the resolution of technical problems encountered during performance.
(3) Review all costs requested for reimbursement by the contractor and submit to the contracting officer recommendations for approval, disapproval, or suspension l
of payment for supplies and services required under this contract.
[End of Clause) i G.2 NRCAR 2052.215-82 TRAVEL REIMBURSEMENT
- ALTERNATE 1 (JAN 1993)
(a) The contractor is encouraged to use Government contra-t airlines, AMTRAK rail services, and discount hotel / motel properties in order to reduce the cost of travel under this contract.
The contracting of'icer ehall, upon request, provide each traveler with a letter of identification which is required in order to participate in this program.
The Federa?.
Travel Directory (FTD) identifies carriers, contract fares, schedules, payment conditions, and hotel / motel properties which offer their services and rates to Government contractor l
personnel traveling on official business under this contract.
The FTD, which is issued monthly, may be purchased from the U.S.
Government Printing Office, Washington, DC 20402.
(b) The contractor will be reimbursed for reasonable travel costs incurred directly and specifically in the performance of this contract.
The cost limitetions for travel costs are determined in accordance with the specific travel regulations cited in FAR 31.205-46, as are in effect on the date of the trip.
Travel costs for research =.d related activities performed at State and nonprofit i n s t. i.u t i o n s, in accordance with Section 12 of Pub.
L.
100-679, shall be charged in accordance w ch the contractor's institutional policy to the degree that uhe iimitations of Office of Management and Budgcw (OMB) guidance are not exceeded.
Applicable guidance documents include OMB Circular A-87, Cost Principles for State and Local Governments; OMB Circular A-122, Cost Principles for Nonprofit Organizations; and OMB Circular A-21, Cost Principles for Educational Institutions.
(c) When the Government changes the Federal Travel Reaulations, or other applicable regulations, it is the responsib_lity of the contractor to notify the contracting officer in accordance with the Limitations of Cost clause of this contract if the contractor will be unable to make all of the approved trips and remain within the cost and fee limitations of this contract due to the changes.
Page 19 of 38
Sectio:$ G
$NRC-02-97-004 G.2 (Continued)
(End of Clause)
G.3 NRCAR 2052.216-71 INDIRECT COST RATES (JAN 1993)
(a)-
Pending the establishment of final indirect ' rates which must beinegotiated based on~ audit of actual costs, the contractor shall be reimbursed for allowable indirect costs as follows:
Category Rate
' Cost Base Period SwRI O/H Direct Labor & Fringe DOA - 9/26/98 CNWRA O/H Direct Labot & Fringe DOA
"'26/98 Fringe-Direct Labor DOA - 9/26/98 l_
_ Materials & Handling Materials & Supplies DOA - 9/26/98 i
(b)
The Contracting Officer may adjust the above rates as appropriate during the term of the contract upon acceptance of any revisions proposed by the contractor.- It is the contractor's responsibility to notify the Contracting Officer in accordance with FAR 52.232-20, Limitation of Cost or FAR 52.232-22, Limitation of Funds,-as applicable, if these changes affect
- performance of work within the established cost or funding
limitations.
- G.4' USE-OF AUTOMATED CLEARING HOUSE (ACH)
ELECTRONIC PAYMENT l
The Debt Collection-Improvement Act of 1996 requires that all-payments except' IRS _ tax refunds be-made by Electronic Funds Transfer.
't is tha enliev of-the '.S. Nuclear Regulatory Commission to pay vendors by the Automated Clearing House (ACH) electronic funds transfer.-payment system. The electronic system is known as Vendor Express. Payment shall be made in accordance with
'FAR 52.232-33, entitled, " Mandatory Information for Electronic Funds-Transfer Payment."
To receive payment, the contractor shall complete the." Company
-Information" portion of the Standard Form 3881, entitled "ACH/ Vendor /-Miscellaneous Payment Enrollment Fcrm" found in Section J.
The contractor.shall take the form to the ACH
' Coordinator at the' financial-institution that maintains its company's bank account.
-The' contractor shall discuss _with the ACH Coordinator how the payment identification information (addendum record);will be passed to them once.the payment is received by the Page 20 of 38
- NRC-02-97-004 Section G G,4'
.(Continued) financial' institution.. To ensure that' adequate -syment informatien=will.be available to the contracto, the contractor should inform the financial institution that the addendum record must not be stripped from the payment.
Further information
.concerning the addendum is provided at-Attachment 5.-
The ACH Coordinator will fill out the " Financial Institution Information" i
portion of the form and' return it to the Office of the Controller at the following address: ' Nuclear Regulatory Commission, ATTN:
ACH/ Vendor Express, Division of Accounting and Finance, Financial
' Operations Section, Mail Stop T-9-H-4, Washington, DC 20555.
It
_is the responsibility of the contractor to ensure that the financial institution returns the completed form.to the above cited NRC address.
If the contractor can provide the financial information, signature of the financial institution's ACH Coordinator is not required-The NRC is under no obligation to send reminders.
Only after the Office of the Contro'ler kas processed the contractor's sign-up form will the contractor be eligible to receive payments.
Once electronic funds transfer is established for payments authorized by NRC, the contractor needs to submit an additional.SF 3881-only to report changes to the information supplied.
Questions concerning ACH/ Vendor Express should be-directed to the Financial Operations Staff at (301) (15-7520.
[End of Clause)
Page 21 of 38 f
-NRC-02-97-004 Section H SECTION H - SPECIAL CONTRACT REQUIREMENTS Hol NRCAR 2052.209-73 CONTRACTOR' ORGANIZATIONAL CONFLICTS OF INTEREST (JAN 1993)
(a) Puroose. 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 interests (financial, contractual, organir.ational, or otherwise) which relate to the work under this contracts and (2) Does not obtain an un' fair competitive advantrge Sver other parties by virtue of its performance or this contract.
(b) Scoce. The restrictions described apply to performance or
-participation by the contractor, as defined in 48 CFR 2009.570-2 in the activities covered by this clause.
(c) Work for others.
(1) _Notwithstanding any other provision of this contract, during the-term of this contract the contractor agrees to 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 performed under this contract.
The contractor shall ensure that all employees under this contract abide by the provision of this clause.
If the contractor-has reason to believe with respect to itself or.any employee that.any proposed consultant or other contractual arrangement with any firm or organization may involve a notential confilet of interest, the contractor shall obtain tne written approval of the contracting officer before the execution of such contractual arrangement.
(2) The contractor may not represent, assist, or otherwise support an NRC licensee or applicant _ undergoing an NRC audit, inspection, or review where the_ activities that are the subject of.the audit, inspection or review are the same as or substantially similar to the services within the scope of this contract (or task order as appropriate), except where the NRC licensee or applicant requires the contractor's support to explain or defend the contractor's prior work for the utility or other entity-which NRC questions.
Page 22 of 38
~NRC-02-97-004 Section H H.1 (Continued) 3 (3) When.the contractor performs work for the NRC_under this f-contract.at any NRC licensee or applicant' site, the-1
-contractor shall neither solicit nor perform work in the j
same or similar technical area for that licensee or applicant organization for a peried commencing-with the award of the task order or beginning of work on the site (if not a task order contract)'and ending'one year after completion of all work-under the associated task orderi or last time at the site (if not a task order contract).
(4) When_the contractor performs work for the NRC under this contract at any NRC licensee or applicant site, (i) The contractor may not solicit work at that site for that licensee or applicant during the perini of performance-of the task order or the contract, as appropriate.
(ii) The contractor may not-perform work at that site for'that licensee or applicant _during the period of performance of the task order or the contract, as appropriate, and for one year thereafter.
(iii) Notwithstanding the foregoing, the contracting officer may authorize the contractor to solicit or perform this type of work (except work in the same or similar technical area) if the contracting officer determines that the' situation will not pose a potential for technical bias or unfair competitive advantage.
(d) Disclosure after award.
(1) The1 contractor _ warrants-that to the best of its knowledge and belief, and except as otherwise set"forth in this
-contrar.,-it'does not havr any organizational conflic a of interest as defined in 48 CFR 2009.570-2.
(2) The contractor-agrees that, if:after award, it discovers organizational conflicts of interest with respect to this contract,_it shall make an immediate and full disclosure in writing to the contracting officer. This statement must include a description of the action which the:
contractor has taken'or. proposes to'take to avoid or mitigate such conflicts'.
The NRC may, however,-terminate the contract if-termination is in the best interest of the government.
(3) It is--recognized that the scope of work of a task-order-type contract necessarily encompasses a. broad Page-23 of 38
LNRC-02-97-004 Section H M1 (Continued) spectrum of activities. Consequently, if this is a task-order-type contract, the contractor agrees that it will disclose all proposed new work involving NRC licensees or. app}icants which comes within the scope of work of the underlying contract. Further, if this contract involves work at a licensee or applicant site, the contractor agrees to exercise diligence to discover and disclose any new work at that licensee or applicant site.
This disclosure must be made before the submission of a bid or proposal to the utility or other regulated entity and must be received by the NRC at least 15 days before the proposed award date in any event, unless a written justification demonstrating urgency and due diligence to discover and disclose is provided by the contractor and approved by the contracting officer.
The disclosu 3 must ine,1ude :1.e statement of work, *he dollar value of the proposed contract, and any other documents that are needed to fully describe the proposed work for the regulated utility or zaher regulated entity.
NRC may deny approval of the disclosed work only when the NRC has issued a task order which includes the technical area and, if site-specific, the site, or has plans to issue a task order which includes the technical aree and, if site-specific, the site, or when the work violates paragraphs (c) (2), (c) (3) or (c) (4 ) of this section.
(e) Access to and use of information.
(1) If in the performance of this contract, the contractor obtains access to information, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (5 U.S.C.
Section 552a (1988)), or the Freedom of Information Act (5 U.S.C.
Section 552 (1986)), the contractor agrees not to:
I l
fi) Use this information for any private purpose un il the information has oeen released to the public; (ii) Compete for work for the Commission based on the information for a period of six months after either the completion of this contract or the release of the information to the public, whichever is first; (iii) Submit an unsolicited proposal to the Government based on the information until one year after the release of the information to the public; or (iv) Release the information without prior written approval by the contracting officer unless the information has previously been released to the Page 24 of 38
NRC-02-97-004 Section H-H.1-(Continued) public by_the NRC.
(2).In addition, the con. actor agrees that, to the extent it receives or is given access to proprietary data, data protected-by-the Privacy Act of 1974 (5 U.S.C.
Section 552a (1988)), or the Freedom of Information Act (5 U.S.C.
Section 552 (1986)), or other confidential or privileged technical,-business,- or financial information under this contract, the contractor shall treat the information in accordance with restrictions placed on use of the
-inf oreta tion.
(3) Subject to patent and security provisions of this contract,:the contractor shall have the right to use technical data it produces under this contract for private purposes provided that all requirements af this contract have been met.
(f) Suncontracts.
Except as prov ded in 48 CFR 2009.570-2, the contractor shall include this clause, including this paragraph, in subcontracts of any tier.
The terms contract, contractor, and contracting officer, must:be appropriately l
modified to preserve the Government's rights.
_(g) Remedies.. For breach of any of the above restrictions, or L
for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract cnr for such erroneous representations that necessarily imply bad faith, the Government may terminate the contract for default, disqualify _the contractor from.
subsequent contractual efforts, and pursue other remedies permitted by law or this contract.
(h) Waiver, A request for waiver under this clause must be directed in writing to the contracting. officer in-accordance with the procedures outlined-in 48 CFR 2009.570-9.
(i). Follow-on ef tert.
The contractor shall be ineligib.e to participate-in NRC contracts, subcontracts, or proposals-1 therefor (solicited or unsolicited), which stem directly from
=
the contractor's' performance of work under this contract.
Furthermore, unless so directed in writing by the contracting officer, the contractor may not perform any technical j
consulting or management support services work _or evaluation-activities _under this contract on any :]
products or-services or the products or services of another firm if'the contractor has been substantially' involved in the development or marketing of the products or(services.
(1) If the contractor, under this contract, prepares a-complete or essentially complete: statement of work or Page 25 of 38
3-4
<-:NRCe02-97-004 Section H.
H.1:
(Continued) s specifications,- the contractor is not e'igible to perforra or participate in the~ initial contrac'
.l. effort which is
=-
based on_the statement of. work or specifications.
The contractor may-not incorporate its products or services in the statement of work or-specifications unless so directed-in writing by the contracting officer, in which case the restrictions in this paragraph do not apply.
(2)'Nothing in.this paragraph precludes the contractor from offering or selling its standard commercial items to the Government.
(End of Clause)
H.2 NRCAR 2052.215-70 KEY PERSONNEL (JAN 1993)
(a)LTht?following individuals are considered to be essential to-the successful performance of_the work hereunder:
Asadul H. Chowdhury David R.
Turner Amit-Armetrong Michael Miklas-James Weldy The contractor agrees that personnel may not be removed from the contracr-work or replaced without compliance with paragraphs (b) and (c)'of this section.
(b) If.one or more of;the key personnel,.for whatever reason,
'becomes, or is expected to.become, unavailable for work under this-contract for a continuous period exceeding 30 work days, orlis expected to' devote substantially 1.as effort to the work than indicated in the proposal or initially anticipated,.the
-contractor >shall immediately notify the contracting officer and shall,-aubdact to the con-rrence of the contract 4rq officer, promptiy replace _the personnel with personner of at least substantially equal ability and qualifications.
(c)=Each request for approval of substitutions must be in writing and contain a' detailed explanation of the circumstances necessitating the proposed substitutions.
The request must also contain a complete resume for the proposed _ substitute and otP-~-information requested or needed by-the contracting officer to evaluate the. proposed' substitution.
The contracting officer or his/her autherized representative shall evaluate the request.and promptly notify the contractor of his or her approval or disapproval in writing.
(d) If-the contracting officer determines that suitable and timely Page 26 of 38
NRC-02-97-004 Section.H H.2 (Continued)-
o repla ement of key personnel who have been reassigned, ter..aated, or-have otherwiseEbecome unavailable for the contract work _is not'reasonablyfforthcoming, or that the resultant reduction of productive: effort would be so
- substantial as to impair _the successful completion of the contract or the service-order,1the contract'may be terminated by the contracting officer for default or for the convenience of the Government, as appropriate.
If the contracting officer finds the-contractor at-fault for the' condition, the contract price or fixed fee may be equitably-adjusted downward to compensate the. Government for.any resultant delay, loss, or damage.
(End of Clause)
H.3
- NRCAR 2052.23 C-70 P"BLIr% TION OF RESEARCH RESULTS (JAN-1993)
The pr'ncipal investigator (s)/centractor shall comply with the (a) i provisions of NRC Handbook 3 (tornerly MC 3202) and NRC
-Manual Chapter 3206 regarding publication in refereed scientific-and engineering journals or dissemination to the public of any information, oral or written, concerning the work performed under this contract.-
Failure to comply with this clause shall be grounds for termination of this contract.
(b). The principal investigator (s) / contractor may publish the results of this work in refereed scientific and engineering journals or in open literature and=present papers-at-public or association meetings at interim stages of work, in addition to submitting to NRC the final reports and other deliverables -
-requir-d under this contract.
However, such publication and papers shall focus on advances in science and technology _and_
minimize conclusions and/or recommendations which may.have lagulatory_ implications.
(c) Prior to any such publication, the contractor shall submit the proposed pub]ir-* ion to the NRe Contracting Officer and Project-Officet for review and approval.
[End of Clause]
H.4 NRCAR 2052.235-72 SAFETY,= HEALTH, AND FIRE PROTECTION (JAN 1993)
The~ contractor shall take all reasonable precautione in the performance'of.the work under this contract to protecc.the health-
-and safety of its employees-and of members of the public, including NRC employees and contractor personnel, and to minimize danger from all hazards to life and property and shall comply with all applicable health, safety, and fire-protection regulations and requirements (including reporting requirements) of the Commission Page 27 of 38
NRC-02-97-004-Section !!
H.4
- (Continued) and the Department of-Labor.
In the event that the contractor fails to comply with these-regulations or requirements, the contracting ~ officer-may,iwithout prejudice to any other legal or contractual rights of the Commission, issue an order stopping all-or any part of the work; thereafter, a start order for resumption of work may-be issued-at the discretion of the contracting officer.
The contractor shall make no claim-for an extension of time or for compensation or damages by reason of, or in connection with, this type of work stoppage.
[End of Clause]
H.5-GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED (JUN 1982)
The Government-will nc provide any equipment /prope ty under this contract.
[End of 71at-3' Page 28 of 38 l
\\
NRC-02-97-004 Section I PART II CONTRACT CLAUSES SECTION ! - CONTRACT CLAUSES I.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988)
This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text.
Upon request, the Contracting Officer will make their full text available.
I.
FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES NUMBER TITLE DATE 52.202-1 DEFINITIONS OCT 1995 52.203-3 GRATUITIES APR 1984 52.203-5 COVENANT AGAINST COFINGENT FEES APR 1984 52.203-6 RESTRICTIONS ON SUBCONTRACTOR JUL 1995 SALES TO THE GOVERNMENT 52.203-10 PRICE OR FEE ADJUSTMENT FOR JAN 1996 ILLEGAL OR IMPROPER ACTIVITY i
52.203-12 LIMITATION ON PAYMENTS TO JAN 1990 l
INFLUENCE CERTAIN FEDERAL TRANSACTIONS 52.204-4 PRINTING / COPYING DOUBLE-SIDED JUN 1996 ON RECYCLED PAPER j
52.209-6 PROTECTING THE GOVERNMENT'S JUL 1995 INTEREST WHEN SUBCONTRACTING WITH CONTRACTORS DEBARRED, SUSPENDED, OR PROPOSED FOR DEBARMENT 52.215-2 AUDIT.AND RECORDS--NEGOTIATION AUG 1996 Alternate II (JAN 199 7) 52.215-22 PRICE REDUCTION FOR DEFECTIVE OCT 1995 COST OR PRICING DATA 52.215-24 3UBCONTo3CTOR COF'? OR OCT 15'5 PRICING LATA 52.215-27 TERMINATION OF DEFINED BENEFIT MAR 1996 PENSION PLANS 52.215-33 ORDER OF PRECEDENCE JAN 1986 52.215-39 REVERSION OR ADJUSTMENT OF PLANS MAR 1996 FOR POSTRETIREMENT BENEFITS OTHER THAN PENSIONS (PRB) 52.215-40 NOTIFICATION OF OWNERSHIP CHANGES FEB 1995 52.216-8 FIXED FEE MAR 1997 52.217-2 CANCELLATION UNDER MULTIYEAR JUL 1996 CONTRACTS Page 29 of 38
NRC-02-97-004 Section I I,1 (Continued) i NUMBER TITLE DATE l
52.219-8 UTILIZATION OF SMALL, SMALL OCT 1995 DISADVANTAGED AND WOMEN-OWNED SMALL BUSINESS CONCERNS 52.222-3 CONVICT LABOR AUG 1996 52.222-26 EQUAL OPPORTUNITY APR 1984 52.222-35 AFFIRMATIVE ACTION FOR SPECIAL APR 1984 DISABLED AND VIETNAM ERA.ETERANS 52.222-36 AFFIRMATIVE ACTION FOR APR 1984 HANDICAPPED WORKERS 52.222-37 EMPLOYMENT REPORTS ON SPECIAL JAN 1988 DISABLED VETERANS AND VETERANS OF THE VIETNAM ERA 52.223-2 CLEAN A';R AND WATER
'?R 19E 52.223-6 DRUG-FREE WORKPLACE JAN 1997 52.225-11 RESTRICTIONS ON CERTAIN OCT 1996 FOREIGN PURCHASSS 52.227-1 AUTHORIZATION AND CONSENT JUL 1995 52.227-2 NOTICE AND ASSISTANCE REGARDING AUG 1996 PATENT AND COPYRIGHT INFRINGEMENT 52.227-11 PATENT RIGHTS - RETENTION BY JUN 1989 THE CONTRACTOR (SHORT FORM) 52.227-14 RIGHTS IN DATA - GENERAL JUN 1987 52.228-7 INSURANCE - LIABILITY TO THIRD MAR 1996 PERSONS 52.232-17 INTEREST JUN 1996 52.232-22 LIMITATION OF FUNDS APR 1984 52.232-23 ASSIGNMENT OF CLAIMS JAN 1986 52.232-25 PROMPT PAYMENT MAY 1997 52.232-33 MANDATORY INFORMATION FOR AUG 1996 ELECTRONIC FUNDS TRANSFER PAYMENT 52.233-1 DISPUTES OCT 1995 52.233-3 PROTEST AFTER AWARD AUG 1996 Al arna*e I (JUN 985) 52.242-1 NOTICE UF INTENT TO DISALLOW COSTS APR 1984 52.242-13 BANKRUPTCY JUL 1995 52.243-2 CHANGES - COST-REIMBURSEMENT AUG 1987 Alternate I (APR 1984) 52.244-2 SUBCONTRACTS (COST-REIMBURSEMENT FEB 1997 AND LETTER CONTRACTS) 52.244-5 COMPETITION IN SUBCONTRACTING DEC 1996 52.246-25 LIMITATION OF LIABILITY - SERVICES FEB 1997 52.249-6 TERMINATION (COST-REIMBURSEMENT)
SEP 1996 52.249-14 EXCUSABLE DELAYS APR 1984 52.253-1 COMPUTER GENERATED FORMS JAN 1991 52.245-5 GOWRFENT PROPERTY JAN 1986 52.251-1 00ERfENT SUPPLY SOURCES APR 1984 Page 30 of 38
NRC-02-97-004 Section I I.1_
(Continued)
I l
NUMBER TITLE DATE l
I.2 52.216-7 ALLOWABLE COST AND PAYMENT (MAR 1997)
(a) Invoicina.
The Government shall make payments to the Contractor when requested as work progresses, but (except for small business concerns) not more often than once every 2 weeks, in amounts determined to be allowable by the Contracting Officer in accordance with Subpart 31.2 of the Federal Acquisition Regulation (FAR) in effect on the dste of this contract and the terms of this contract..The Contractor may submit to an authorized representative of the Contracting Officer, in such form and reasonable detail as the representative may require, an invoice or voucher supported by a state ent of the claimad allowable cost for performing this contract.
(b) Reimbursino costs.
(1) For the purpose of reimbursing allowable costs (except as provided in subparagraph (2) below, with respect to pension, deferred profit sharing, and employee stock ownership plan contributions), the term " costs" includes only--
(i)
Those recorded costs that, at the time of the request for reimbursement, the contractor'has paid by cash, check, or other form of actual payment for items or services purchased directly for the contract; (ii)
When the contractor is not delinquent in paying costs of contract performance in the ordinary course of business, costs incurred, but not-necessarily paid, for--
(A) Materials issued from the Contractor's inventory and p' aced in the production prot.ss L
for use on the contract; (B) Direct labor; (C) Direct travel; (D) Other direct in-house costs; and (E) Properly allocable and allowable indirect costs, as shown in the records maintained by the Contractor for purposes of obtaining reimbursement under Government contracts; and (iii) The amount of progress and other payments that Page 31 of 38
NRC-02-97-004 Section I I.2 (Continued)
\\
have been paid by cash, check, or other form of payment to the Contractor's subcontractors under
(
similar cost standards.
(2) Contractor contributions to any pension or other postretirement benefit, profit-sharing or employee stock ownership plan funds that are paid quarterly or more often may be included in indirect costs for payment purposes; Provided, that the Contractor pays the contribution to the fund within 30 days after the close of the period covered.
Payments made 30 days or more after the close of a period shall not be included until the Contractor actually makes the payment.
Accrued costs for such contributions that are paid less often than quarterly shall be excluded from indirect costs for payment I arposes until t'.t Contractor actually -,kes the payment.
(3) Notwithstanding the audit.nd adjustment of invoices or vouchers under paragraph (g) below, allowable indirect costs under this contract shall be obtained by applying indirect cost rates established in accordance with paragraph (d) below.
(4) Any statements in specifications or other documents incorporated in this contract by reference designating performance of services or furnishing of materials at the Contractor's expense or at no cost to the Government shall be disregarded for purposes of cost-reimbursement under this-clause.
(c) Small business concerns.
A small business concern may be paid more often than every 2 weeks and may invoice and be paid for recorded costs for items or services purchased directly for the contract, even though the concern has not yet paid for those items or services.
(d) Final indirect cost rates.
(1) Final annual indirect cost rates and the appropriate bases shall be established in accordance with subpart 42.7 of the Federal Acquisition Regulation (FAR) in effect for the period covered by the indirect cost rate proposal.
4 (2) The Contractor shall, within 90 days after the expiration of each of its fiscal years, or by a later date approved by the Contracting Officer, submit to the cognizant Contracting Officer responsible for negotiating its final indirect cost rates and, if required by agency procedures, to the cognizant audit activity proposed final indirect cost rates for that period and supporting cost data specifying the contract and/or subcontract to Page 32 of 38 l
NRC-02-97-000 Section I I.2 (Continued) which the rates apply.
The proposed rates shall be based on the Contractor's actual cost experience for that l-period.
The appropriate Government representative and contractor shall establish the final indirect cost rates as promptly as practical after receipt of the Contractor's proposal.
(3-The Contractor and the appropriate Government representative shall execute a written understanding setting forth the final indirect cost rates.
The understanding shall specify (i) the agreed-upon final annual indirect cost rates, (ii) the bases to which the rates apply, (iii) the periods for which the rates apply, (iv) any specific indirect cost items treated as direct costs in the settlement, and (v) the affected contract and/or subcontract, identifying any with advance agreements or special terms and the applicable rates.
The understanding shall not change any monetary ceiling, contract obligation, or pecific cost allowance or disallowance provided for in this contract.
The understanding is incorporated into this contract upon execution.
(4) Within 120 days after settlement of the final indirect cost rates covering the year in which this contract is physically complete (or longer, if approved in writing by the Contracting Of ficer), the Contractor shall submit a completion invoice or voucher to reflect the settled amounts and rates.
(5) Failure by the parties to agree on a final annual indirect cost rate shall be a dispute within the meaning of the Disputes clause.
(e) Billina rates.
Until final annual indirect cost rates are established for any period, the Government shall reimburse the Contractor at bill
..g rates er ablished by the Contrac*ino officer or by an authorized representative (the cog..izant auditor), subject to adjustment when the final rates are established.
These billing rates--
(3 ) Shall be the anticipated final rates; and (2) May be prospectively or retroactively revised by mutual agreement, at either par.y's req.2C
, prevent substantial overpayment or underpayment.
(f) Ouick-closecut procedures.
Quick-closecut procedures are applicable when the conditions in FAR 42.708(a) are satisfied.
(g) Audit.
At any time or times before final payment, the Page 33 of 38
- NRC-02-97-004 Section I I.2
'(Continued)
Contracting Officer mayLhave the' Contractor'- invoices or vouchers and statements of cost audited.
's/ payment may be (1) - reduced by amounts found by the Contracting Of ficer not to constitute allowable costs or (2) adjusted for prior-overpayments or underpayments.
-(h)~ Final cavment.
-(1) Upon approval of a completion invoice
-or voucher submitted by the: Contractor in accordance with paragraph (d) (4) of this clause, and upon the Contractor's compliance with all terms of this contract, the Government shall promptly pay-any balance of allowable costs and that part.of the fee (if any) not previously_ paid.
(2): The Contractor shall pay to the Government any refunds, rebates, credits, or other amounts (including interest, if any) accruing to or rceeived by the Cont" acte or. cay assignee under this contract, to the extent that those amounts are properly allocable to costs for which the contractor has been reiabtraed by the Government.
Reasonable expenses incurred by the Contractor for securing refunds, rebates, credits, or other amounts shall be allowable' costs if approved by the Contracting Officer.
Before final payment under this contract, the Contractor and.each assignee whose assignment is in effect at the time of final payment'shall execute and deliver--
(i)
An assignment to the Government, in form and substance satisfactory to the Contracting Officer, of refunds, rebates, credits, or other amounts (including interest, if any) properly. allocable to costs for which the Contractor has been reimbursed by the Government under this contract; and (ii) A_ release discharging the Government, its officers, agents, and employees from all_ liabilities,
^bl'~ations, and citims arising out of or -der unis contract, except--
(A) Specified-claims stated in exact amounta, or in estimated amounts when the exact amounts are not known; f
(B) Claims (including _ reasonable _ incidental expenses) based upon liabilities of the Contractor to third parties arising out of the performance of this contract; provided, that the claims are not known to the Contractor on the date of the execution of the release, and that the Contractor-gives notice of the claims in writing to the Contracting Officer within 6 Page 34 of 38
NRC-02-97-004 Section I
- I.2-(Continued).
years following the release date or-notice _of final payment date, whichever-is earlier; and 1
(C) Claims for reimbursement of costs, including reasonable incidental expenses, incurred-by the Contractor under the patent clauses of this contract, excluding, however, any expenses arising'from the Contractor's indemnification of the Government against patent liability.
[End of Clause)
- I.3
'52.222 PAYMENT FOR OVERTIME PREMIUNS (JUL 1990)
(a) The use of overtime is. authorized under this contractEif the overtime 1.remir coat does not exceed $0,00 or the overtime premium is paia for work--
(1) Necessary to cope with e ergencies such as those resulting from accidents, natural disasters, breakdowns of production equipment, or occasional production L
bottlenecks of a sporadic nature; l
I (2) By indirect-labor employees such as those performing duties in connection with-administration, protection,_-
transportation, maintenance, standby _ plant protection, operation of utilities, or accounting; (3) To perform tests, industrial processes, laborat'ory procedures,-loading or unloading of transportation conveyances, and' operations in flight or afloat that are continuous in nature and cannot reasonably be interrupted or completed otherwise; or (4) That will result'in_ lower,overall costs to the Government.
--(b)-Any request _ tor _ estimated overtime premiums that exceeds.the amount specified above shall include all-estimated overtime for--contract completion and shall--
(1) Identify the work unit; e.g.,
department or section in which the requested overtime will be used, together with present workload, staffing, and other data of the affected unit sufficient to permit the Contre: ting _
officer to evaluate the necessity-for the overtime;
~(2) Demonstrate:the_effect-that denial of the request will have on~the contract delivery or performance schedule; Page 35 of 38
~
kiRC-02-97-004 Section I I.3 (Continucd)
\\
l (3) Identify the extent te which approval of e nrtime would l
affect the performance or payments in connection with other Government contracts, together with identification of each affected contract; and l
(4) Provide reasons why the required work cannot be performed I
by using multishift operations or by employing additional personnel.
[End of Clause]
I.4 52.242-4 CERTIFICATION OF INDIRECT COSTS (OCT 1995)
(a) The Contractor shall--
(1) Certify any proposal to establish cr modify billing rates or to establish final indirect cost rates; (2) Use the format in paragraph (c) of this clause to certify; and (3) Have the certificate signed by an individual of the Contractor's organization at a level no lower than a vice president or chief financial officer of the business segment of the Contractor that submits the proposal.
(b) Failure by the Contractor to submit a signed certificate, described in this clause, shall result in payment of indirect as costs at rates unilaterally established by the Government.
(c) The certificate of indirect costs shall read as follows:
'ertificate of Indirect Costs This is to certify that to the best of my knowledge and belief:
1.
I have reviewed this indirect cost proposal; 2.
All costs included in this proposal (identify proposal and date) to establish billing or final indirect costs rates for (identify period covered by rate) are allowable in accordance with the requirements of contracts to which they apply and with the cost principles of the Federal Acquisition Regu:ation (FAR) and its supplements applicable to those contracts; 3.
This proposal does not include any costs which are unallowable under applicable cost principles of the Page 36 of 38
NRC-02-97-004 Secti6n I I.4 (Continued)
FAR or its supplements, including, but not limited tot advertising and public relations costs, contributions end donations, entertainment costs, fines and penalties, lobbying costs, defense of fraud proceedings, and goodwill; and 4.
All costs included in this proposal are properly allocable to Government contracts on the basis of a beneficial or casual relationship between the expenses incurred and the contracts to whici. they are allocated in accordance with applicable acquisition regulations.
I declare under penalty of perjury that the foregoing is true and correct.
i Firm:
1 Signature:
Name of Certifying Official:
Title:
Date of Execution (End of Clause)
Page 37 of 38
NRC-02 97-004 Section J PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS SECTION J - LIST OF ATTACHMENTS J.1 ATTACNMENTS (MAR 1987)
Attachment Number Title 01 Billing Instructions 02 NRC Contractor Organizational Conflicts of Interest 03 NRC Handbook 3,8 i
1 04 Procedures for Resolving NRC Contractor Differing Professional Views.
i Page 38 of 38
Attcchment No. 1 (MARCH 1996)
BILLING INSTRUCTIONS FOR COST REIMBURSEMENT TYPE CONTRACTS i
The contractor shall prepare vouchers / invoices for General reimbursement of costs in the manner and format described herein.
i FAILURE TO SUSNIT YOUCEERS/ INVOICES IN ACCORDANCE WITN TNESE INSTRUCTIONS WILL R1SULT IN REJECTION OF TNE YOUCEER/ INVOICE AS l
INFROPER.
Number of Cecies:
An original and three copies, including supporting documentation, if any, shall be submitted.
A copy of all supporting documents, if any, must be attached to each copy of your voucher / invoice'.
Failure to submit all the required copies will result in rejection of the voucher / invoice as improper.
Desionated Acenev Billino Officei Vouchers / invoices shall be submitted to the following address:
U.S. Nuclear Regulatory Commission Division of Contracts T-7-I-2 Washington, DC 20555 HAND DELIVERY OF VOUCHERS / INVOICES IS DISCOURAGED AND WILL NOT EXPEDITE PROCESSING BY NRC.
However, should you choose to deliver vouchers / invoices by hand, including delivery by any express mail services or special delivery services which use a courier or other person to deliver the voucher / invoice in person to the NRC, such vouchers / invoices must be addressed to the above Designated Agency Billing Office and will only be accepted at the following location U.S. Nuclear Regulatory Commission one White Flint North 11555 Rockville Pike Mail Room Rockville, MD 20852 RAND-CARRIED SJBMISSIONS WILL NOT BE ACCEPTED AT OTHER THAN THE ABOVE ADDRESS.
Note that the official receipt date for hand delivered vouchers / invoices will be the date it is received by the official
' Supporting documentation is not required to be submitted with invoices per agreement between NRC, SwRI, and DCAA.
However, al. such documentation should be available at SwRI for inspection by NRC and/or DCAA upon request.
In addition, periodically, certain supporting documentation may be requested by NRC for verification of invoiced amounts.
cg ncy billing offico in th9 Division of contrcces.
Acency Payment Officet Payment will continue to be made by the office designated in the contract in Block 12 of SF 26 or Block 25 of SF 33, whichever is applicable.
The contractor shall submit claims for reimbursement Frecuency :
on a periodic basis (every f our weeks).
Claims should be submitted in the format depicted on tne attached sample form entitled " Voucher / Invoice for Purchases and Forma t :
Services Other than Personal" (see Attachment 1).
The sample format is provided f or guidance only.
The format is not required for submission of a voucher / invoice.
Alternate formats are permissible provided all requirements of the billing instructions are addressed.
The instructions for preparation and itemization of the voucher / invoice are included with the sample form.
If the contractor bills for more than Task orderina contracts:
under a voucher / invoice, detailed cost information one task orde.
for each individual task order shall be submitted, together w.;h a cumulative summary of all charges billed on the voucher / invoice.
This includes all applicable cost elements discussed in paragraphs (a) through (n, of the attached instructions.
Fee Recovery Billinos:
Pursuant to the provisions of 10 CFR Part 170 and 171 on license fees, the NRC must recover the cost of work perf ormed.
Accordingly, the contractor must provide the total amount of funds billed during the period, fiscal year to by date and the cumulative total f or each task or task assignment The fee recovery billing reports shall be on facility or report.and shall be in the format provided in a separate page,The billing period for fee recovery costs should.
be the same as the invoice period.
Each separate fee billing be attached to the periodic invoice and cover the report must same period as the invoice.
will contain a docket number or other unique Each report The NRC will provide a unique identifier for all identifier.
Costs should be reported as whole number to the work performed.
nearest cent.
For work that involves more than one facility at the same site, each facility should be listed separately and the costs should be split appropriately between the facilities.
Common costs, as defined below, shall be identified as a separate each month.
line item in the fee recovery billing report Common costs are those costs that are not licensee unique and associated wita the performance of an overall program that benefit all similar licensees covered under that program or that are required to satisf actorily carry out the program.
Common costs include costs associated with the following:
preparatory or start-up ef forts to interpret and reach agreement on methodology, approach, acceptance criteria, regulatory position,
or tcchnical rcporting rcquircments; ef forto cococioted witn tns that might be involycd during th3 first ono
" lead planta concept or two plant reviews; meetings and discussions involving the above efforts to provide orientation, background knowledge er guidance during the course of a orogram; any technical effort applied to a docket or other unique identifier; and project Common costs must be reporting monthly for each management.
docket or unique identifier.
Common costs must be computed based on the proportion of direct costs incurred against each dockot or unique identifier for the billing period.
After Exoiration of Contract:
If costs are j
Billina of Cost incurred during the contract period and claimed after the contract has expired, the period during which these costs were incurred must be cited.
To be considered a proper expiration voucher / invoice, the contractor shall cicarly mark it " EXPIRATION VOUCHER" or " EXPIRATION INVOICE".
Final vouchers / invoices shall be marked " FINAL VOUCHER" or " FINAL INVOICE".
Billings may be expressed in the currency normally i
Currenev:
used by the contractor in maintaining nis accounting records; payments will be made in that currency.
However, the U.S. dollar equivalent for all vouchers / invoices paid under the contract may exceed the total U.S. dollars authorized in the contract.
not These instructions supersede any previous billing Suoersession:
instructions.
INVOICE / VOUCHER FOR PURCHASES AND SERVICES OTHER TIM PERSONAL (SAMPLE FORMAT)
. Of ficial Aoen:v B'llino Of fice (a)
Contract Number U.S. Nuclear Tegu'atory Commission Division of Contract MS: T712 Task Order No. (If Applicable)
Washington. DC 20555 0001 Pavee's Name and Address (b)
Voucher /Invoicef (c)
Date of Voucher / Invoice Individual to Contact (d)
Fixed Fee Regarding this Voucher Name:
Tel. No.:
(e)
This voucher represents reimbursable costs for the billing period for the billing period from through Amount Billed Current Period Cumulative
'f)
Direct Costs (1)
Direct 1 abor *.............................
(2)
Fringe benefits t
l
(
- t. If computed as percentage)......
l (3)
Capitalized nonexpendable i
equipment ($50,000 or more -
see instructions)*......................
(4)
Non. capitalized equipment, materials, and supplies *................
(5)
Premium pay (NRC approved overtime).......
(6)
Consultants..............................
(7)
Travel...................................
(8)
Subcontracts.............................
(9)
Other costs..............................
Total Direct Costs..
(g)
Indirect Costs (A)
Overhead _.__ t of(Indicate Base).........
(B)
General & Administrative Expense 2 of Cost Elements Nos.
Total Direct & Indirect Costs (h)
Fixed. Fee (Cite Formula):
(i)
Total Amount Billed.............................
(j)
Adjustments.....................................
(k)
Gr a nd Tot al s....................................
- (Requires Supporting Information See Attached)
SAMPLE SUPPORTlW INFORWTION l
l 1)
Direct Labor. $2400 Labor Hours Cumulative Cateoorv
$1}. lad 8113 Igtal htL Billed Senior Engineer I 100
$14.00
$1400 975 Engineer 50
$10.00
$500 465 Computer Analyst 100
$5.00 320 g
4 I
3)
Caoitalized Non Exoendable Enuionent Prototype Spectrometer item number 1000 01 $60,000 4)
Non cacitalized Eautoment. Materials. and Suno11es
$1100.00 10 Radon tubes 9 $110.00
=
$900.09 6 Pairs Electrostatic gloves 9 $150.00
=
$2000.00 l
M
INSTRUCTIONS FOR PREPARING j
COST INFORMATION FOR NRC CONTRACT VOUCHERS / INVOICES In order to constitute a Preparation and Itemization of the Voucher / Invoice:
proper invoice, the contractor shall furnish all the inforsation set forth These notes are keyed to the entries on the sample voucher / invoice.
below.
l Address the original and 3 copies of the Official Agency Billing Office:
voucher / invoice. together with supporting documentation attached to each copy U.S. Nuclear Regulatory Comission. Division of Contracts. MS: T 7 1 2.
to:
Washington. DC 20555 0001.
Vouchers / invoices delivered by hand, including delivery by express mail or special delivery services which use a courier or other person to deliver the voucher /invo.ce in person to the NRC, should be addressed in accordance with the foregoing and delivered to:
U. S. Nuclear Regulatory Commission. !,ae White Flint North.11555 Rockville Pike Mail Room. Rockville. Maryland l
20852. Hand delivered vouchers / invoices will not be accepted at other than the above address. Note, however, that the official receipt date for hand-delivered vouchers / invoices will be the date it is received by the official agency billing office in the Division of Contracts.
Payee's Name and Address. Show the name of the contractor as it ap) ears in the contract and its correct address. When an approved assignment 1as been made by the contractor, or a different payte or addressee has been designated.
insert the name and address of the payee, Indicate the name and telephone number of the individual responsible for answering any questions that the NRC l
may have regarding the invoice, The following guidance corresponds to the entries required on the sample form.
(a)
Contract Number. Insert the NRC contract ntaber.
Task Order Number, if applicable. Insert the task order number.
(b)
Voucher / invoice ntaber. The a>propriate sequential number of the voucher / invoice, beginning witi 001 should be designated. Contractors may also ine.iude an individual internal accounting number. if desired.
in addition to the 3 digit sequentiel number.
(c)
Date of Voucher / Invoice.
Insert the date the voucher / invoice is prepared.
(d)
Fixed Fee. Insert total fixed fee.
Include this information as it applies to individual tau orders as well.
Insert the beginning and ending dates (day, month.
Billing Period.
(e) year) of the period during which costs were incurred and for which reimbursement is claimed.
Direct Costs Insert the amount billed for the following cost elements.
(f) adjustments, suspensions, and total amounts, for both the current billing period and for the cumulative period (from contract inception to end date of this billing period).
Direct Labor. This consists of salaries and wages paid (or (1) accrued) for direct performance of the contract itemized between SwRI labor and CNWRA labor. May include premita pay if proposed and approved as part of a task order.
l (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 or in other indirect cost pools should not be identified here.
(3)
Capitalized Non Expendable Equipment. List each ites costing 550.000 or more and having a life expectancy of more than one year. List only those items of equipment for which reimbursement is requested. For each such item, list the following (as applicable): (a) the item number for the specific piece of equipment listed in the property schedule of the contract; or (b) the Contracting Officer's approval letter if the equipment is not covered by the property schedule.
Non. capitalized Equipment.' Materials, and Suplies. These are (4) equipment other than that described in (3) azve, plus consumable materials, supplies.
(See footnote on page 1) List by category.
List items valued at $500 or more separately. Provide the item number for each piece of equipment valued at $500 or more.
Supporting information, including the name, and j
Consultants.
(5) hourly or daily rate shall be available per footnote on page 1.
(6)
Travel. Supporting information shall be available per footnote on page 1.
(7)
Subcontracts. Supporting information shall be available per footnote on page 1.
Although no su: porting inforsation is required to be Other Costs.
(8)
J submitted. NRC may contact tw contractor to obtain specific I
information if required in evaluating the invoice.
l Indirect Costs (Overhead and General and Ahinistrative Expense). Cite (g) the forwula (rate and base) in effect in accordance with the terms of the contract. during the time the casts were incurred and for which reimbursement is claimed.
(h)
Fixed Fee.
If the contract provides for a fixed fee, it must be claimed Cite the formia or method of as provided for by the contract.
computation. The contractor may bill for fixed fee only up to 85% of total fee.
(i)
Total Amount Billed, insert the total amounts claimed for the current and cumulative periods.
(j)
Adjustments. For cumulative amount, include outstanding suspensions.
(k)
Grand Totals.
Further itemization of youchers' invoices shall only be required for items having specific limitations set forth in the contract.
FEE KCOWDtY BILLils EPGIT flN:
Facility Name or Report
Title:
TAC or Inspection Report Number:
(or other unique identifier)
Docket Number (if applicable):
Period Fiscal Year Total Cost Categories Period Amt. Cost Incurrec To Date Costs Ctmulative Costs Labor Materials Subcontractor /
Consultant Travel Other (specify)
Comon Costs Total Remarks:
NUCLEAR REGULATORY Co m lSSION ACQUISITION REGULAil0N 2009.570 WC organizational conflicts of interest.
(2009.570-1 scope of policy.
It is the policy of NRC to avoid, eliminate, or neutraltre (a)
The NRC achieves this contractor organizational conflicts of laterest.
objective by requiring all prospective contractors to submit information describing relationships, if any, with organizations or persons (including those regulated by the NRC) which may give rise to actual or potential confilets of interest in the esent of co'itract award.
Contractor conflict of interest determinattoris cannot be made (b) automatically or routinely. The application of sound judgment on virtually a case-by-case basis is necessary if the policy is to be applied to satisfy the It is not possible to prescribe in advance a j
overall pubite interest.
specific method or set of criteria which would serve to identify a#Td resolve all of tha. contractor conflict of interest situations which might arise.
However, examples are provided in these regulations to guide app 1tcation of l
The ulttaate test is as follows: Might the contractor, this policy guidance.
tf awarded the contract, be placed in a poJition where its judgment may be biased, or where it may have an unfair competitive advantage?
The confilet of interest rule contained in this subpart applies to (c) contractors and offerors only.
Individuals or firms who have other relationships with the NRC (e.g., parties to a licensing proceeding) are not This rule does not apply to the aceutsition of covered by this regulation.
consulting services through the personnel appointment process, NRC agreements with other Government agencies, international organizations, or state, local, or foreign Governments. Separate procedures for avoiding confilets of interest will be employed in chose agreements, as appropriate.
52009.570-2 Definitions.
As used in $2009.570:
Affiliatet 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.
Caniract means any contractual agreement or other arrangement with 'the NRC except as provided in $2009.570-1(c).
Cohtractor esans any person, fire, unincorporated association, joint venture, co-sponsor, partnership, corporation, affiliates tiiereof, or their successors in interest, including their chief executives, directors, key personnel (identified in the contract), proposed consultant or subcontra: tors, which are a party to a contract with the NRC.
Evaluation activities means any effort involving the appraisal of a technology, process, product, or policy.
association, joint venture, co-sponsor, partnership, corpo affiliat 4 or successors in interest, including their chief executives,.
directors, key personnel, proposed consultants, or subcontractors, submitting a bid or proposal, solicited or unsolicited, to the NRC to obtain a contract.
Ornanizational conflicts of interest means that a relationship exists whereby a contractor or prospective contractor has present May diminish its capacity to give impartial, technically sound, nbjective assistance and advice, or may otherwise result in a biased work (1) product; or May result in its being given an unfair competitive advantage.
l (2)
Potential conflict of intggli means that a factual situation exists fa that suggests that an actual conflict of interest may arise from award o
~
propos g contraqt.
' hose situations that-Merit investigation before.ontract award to ascertain whether (1) award would give rise to an actual conflict; or Must be reported to the contracting officer for investigation if (2) they arise during contract performance.
Research means any scientific or technical work involving theoretical analysis, emploration, or experimentation.
Subcontractor means any subcontractor of any tier who performs work unJer a contract with the NRC except subcontracts for supplies and subcontracts in amounts not exceeding the small purchase threshold.
. Technical consultino and manneement suonert services means internal assistance to a component of the NRC in the fonsulation or administration of its programs, projects, or poltetes which nonnally require that the contracto be given access to proprietar} These services typically include assistance in made available to the public.
the preparation of program plans, preliminary designs, specifications, or statements of work.
Criteria for recognizing contractor organizational conflicts af 4200g.570-3 interest.
(a)
- General, Two questions will be asked in determining whether actual or (1) potential organizational conflicts of interest exist:
(i)
Are there conflicting roles which might bias an offeror's or contractor's judgment in relation to its work for the NRC?
May the offeror or contractor be given an unfair (ii) competitive advantage based on the performance of the contract?
NRC's ultimate determination that organizational conflicts f
(2) of interest exist will be made in Itght of common sense and good t>usinessWhile
.ludgment based upon the relevant facts.
to prescribe in advance a specific method for avoiding all of the various situations or relationships that sight involve potential organizational conflicts of interest, NRC personnel will pay particular attention to proposed contractual requirements that call for the rendering of advice, consultation or evaluation activities, or similar activities that directly lay the 9roundwork for the NRC's decisions on regulatory activities, futureAny work procurements, and research programs.
Itcensee site vill also be closely scrutinized by the dC staff.
(b)
Situations or relationshios. The following situations or relationships may give rise to organizational conflicts of interest:
The offeror or contractor shall disclose information, that (1),
may give rise to organizational confilets of interett under the following The information may irclude the scope of work or specification circumstances.
for the requirement, being perfornied, 'ie period of performance, and the name and telephone number for a point of contact at the organization knowledgeable about the cosusercial contract.
(i)
Where the offeror or contractor provides advice and l
l recommendations to the NRC in the same technical area where it is also providing consulting assistance to any organization regulated t
by the NRC.
Where the offeror or contractor provides advice to the (11)
NRC on the same or similar matter on which it is also providing l
assistance to any organization regulated by the NRC.
(iii) Where the offeror or contractor evaluates its own products or services, or has been substantially involved in the development or marketing of the products or services of another entity.
Where the award of a contract would result in placing (iv) the offeror Jr contrac'.or in a confilcting role in whi.~. its judgment may be biased in relation to its work for the NRC, or would result in an unfair competitive advantage for the offeror or contractor.
(v)
Where the offeror or contractor solicits or performs work at an applicant or licersee site while performing work in the same technical area for the NRC at the same site.
(2)
The contracting officer may request snecific information from an offeror or contractor or may require special contract clauses such as provided in (2009.570-5(b) in the following circumstances:
(l}
Where the of feror or contractor prepares specifications that are to be used in competitive procurements of products or services covered by the specifications.
Where the of feror or contractor prepares plans for (ii) specific approaches or methodologies that are to be incorporated into competitive procurements using the approaches or methodologies.
(111) Where the offeror or contractor is granted access to information not available to the public concerning NRC plans, Policies, or programs that could form the basis for a later procurement action.
Where the offeror or contractor is granted access to (iv) proprietary information of its competitors.
Where the award of a contract might resulitin placing (v) the. offeror or contractor in a confileting reis in which its joQ aent may be biased in relation to its work for the NRC or might result in an unfair competitive advantage for the offeror or contractor.
(c)
Policy anolication cuidante. The following examples are illustrative only and are not intended to identify and resolve all contractor e
organizational conflict of interest situations, The ABC Corp., in response to a Request For (1)
(1)
E xamol e.
Proposal (RFP), proposes to undertake certain analyses of a j
reactnr component as called for in the RFP. The A8C Corp is one l
of several companies considered to be technically well qualified.
in response to the inquiry in the RFP, the A8C Corp. advises that it is currently performing sistlar analyses for the reactor manufacturer.
Guidance. An NRC contract for that particular work (ii) normally would not be awardet to the Atc Corp. because the company would be placed in a position in which its judgment could be biased in relationship to its work for the NRC, Cecause there are other we'.'.-qualified companies available, there would be no reason for considering a waiver of the policy.
(2)
(i)
Egasth. The ABC Corp., in response to an RFP, proposes to perfors certain analyses of a reactor component that As is the case with is unique to one type of t.dvanced reacter.
other technically qualified companies responding to the RFP, the ABC Corp, is performing various projects fnt 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 quallfled company to perform the work outlined in the RFP.
(11) Guidance. An NRC contract normally could be awarded to the ABC Corp. because no conflict of interest exists which
could 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 with the private sector that could create a conflict during the perforsance of the NRC contract. For example A8C Corp. would be precluded from the perfomance of similar work for the coepany developing the advanced reactor mentioned in the example.
(3)
(1)
Examole. The ABC Corp., in response _to a competttive RTP, submits a proposal to assist the NRC in revising NRC's guidance documents on the respiratory protection requirements of 10 CFR Part 20. ABC Corp. is the only fire determined to be technically accepteble. A8C Corp, has perfor1med substantial work for regulated utilities in the past and is expected to continue similar efforts in the future. The work has and will cover the writing, implementation, and adelnistration of compliance respiratory protection programs for nuclear power plants.
t (ii) Guidance. This situation would place the (fra in a role where its judgment could be biased in relationship to its work for the NRC. Because the nature of the required work is vitally irportant in terms of the NRC's responsibilities and no reasonabl alternative exists, a waiver of the policy, in accorda%e with $2009.570-9 may be warranted. Any waiver must be fully documented in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms to guard against bias.
(4)
(i)
Ex ampl e.
The ABC Corp. submits a proposal for a new
~
systes to evaluate a specific reactor component's performance for the purpose of developing standards that are important to the NRC The ABC Corp, has advised the NRC that it intends to program.
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.
(11) Guidance. A contract could be awarded to the ABC Corp. if the contract stipulates that no information produced under the contract will be used in the contractor's private activities unle,s this information has been reported to the NRC.
Data on how the reactor component performs, which is rep--t u to the NRC by contractors, will normally be disseminated by the NRC-to others to precluut an unfair competitive advantage. When the NRC furnishes inforsstion about the reactor component to the con-tractor for the performance of contracted work, the information may not be used in the contractor's private activities unless the information is generally available to others, rurther, the contract will stipulate that the contractor will inform the NRC contracting officer of all situations in wnu.m the information, developed about the performance of the reactor component under the contract, is proposed to be used.
(5)
(i)
Examole. The ABC Corp., in response to a RFP, proposes to assemble a map showing certain seismological features 1
i g
I of the Appalachian fold belt.
In accordarce with the representation in the RFP and $2009.570 3(b)(1)(1). A8C Corp.
j infoms the NRC that it is presently doing seismological studies l
for several utilities in the eastern United States, but none of the sites are within the geographic area contemplated by the NRC l'
study.
(11) Guidanet. The contracting officer would normally conclude that award of a contract would not place A8C Corp. In a Section conflicting (c)le where its judgment might be biased. Work fo ro j
2052.209 73 i
accepting work which could :reate a conflict of interest during the ters of the NRC contract.
(6)
(1)
Example. AD Division of ABC Corp., in response to a i
RFP, submits a proposal to assist the NRC in the safety and environmental review of applications for licenses for.tpe constructir. op"ation, and decommissioning of fuel cycle facilities. A8C Corp. is olvided into twc separate and distinct divisions, AD and BC. The BC Division performs the same or similar services _for industry The BC Otvision is currently pro-viding the same or similar services required under the NRC's contract for an applicant or Itcensee.
(ii) Guidance. An NRC contract for that particular work h
would not be awardeo to the ABC Corp.
Ine AD Division could be placed in a position to pass judgment on work performed by the CC Division, which could bias its work for NRC. Further, the l
Conflict of Interest provisions apply to ABC Corp. and not to separate or distinct divisions within the company. If no reasonable alternative exists, a waiver of the policy could be i
sought in accordance with (2009.570-9.
I 7(1) 1931[ The ABC Corp, completes an analysis for NRC of steam Three generator tube leaks at one of a utility's six sites.
i I
months later, ABC Corp is asked by this utility to perform the same analysis at another of its s. M.
(11) GUILANCE $205?.290-73(c)(3) would prohibit the contractmr ' on beginning this wrk for the utility until one year after completion of the NRC work at the first site.
I LMEL[ ABC Corp. is assisting NRC in a major on-site 8(1) analysis of a utility's redesign of the common areas between its twin reactors. The contract is for two years with an estimated value of 55 million. Near the completion of the NRC work ABC Corp. requests authority to solicit for a ilooK contract with the same utility to transport spent fuel to a disposal site. ABC Corp is performing no other work for the utility.
(ii) GUIDANCE The Contracting Officer, would allow the contractor to proceed with the solicitation because A) it is not in the same technical area as the NRC work and B) the potential for technical bias by the contractor because of financial ties to I
1 l
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,1 er un e,wi
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,-w-e,., ~
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,-ww-,--w-
, - - -. + - +.,
,w-,1-,,-
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the utility is slight due to the relative value of the two contracts.
9(i) (KAMPLE The ABC Corp. is constructing a turbine building and installing new turbines at a reactor site.
The contract with the utility is for five years and has a total value of $100 alliton.
A8C Corp. has responded to an NRC Request For Proposal requiring the contractor to participate in a major team inspection unrelated to the turbine work at the same site.
The estimated value of the contract is $75K.
(11) SUIDANCE An NRC contract would not nonnally be awarded to ABC Corp. since these factors create the. potential for financial loyalty to the utility that may bias the technical judgment of the contractor.
(d)
Ot6er considerations.
(1)* The fact that the NRC can identify and later avoid.
citminate, or neutralize any potential organizational confltets arising from the performance of a contract is not releurt to a determination of the existence of 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.
(2009.570-4 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. The procedures apply to small purchases meeting the criteria stated in the following paragraph (b) of this section.
(b)
The organizational conflicts of interest representation provision at 12052.209-72 must be included in solicitations and unsolicited proposals,.
(including those for task orders and modifications for new work) 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 the resulting contract. This representation requirement also applies to all modifications for additional effort under the contract except those issued tender the ' Changes
- cl ose. Where, however, a statement of the type required by the organizational conflicts of interest representation provisto.)s has previously been submitted with regard to the contract being modified, only an updating of the statement is required.
I
The offeror may, because of actual or potential organizational (c) conflicts of interest, propose to exclude specific kinds of work contained in a RFP unless the RFP specifically prohibits the exclusion. Any such proposed exclusion by an offeror will be considered by the NRC in the evaluation of If the NRC considers the proposed excluded work to be an essential proposals.
or integral part of the required work and its excluston would be to the I
detriment of the competitive posture of the other of ferors, the NRC shall reject the proposal as unacceptable.
The offeror's failure to execute the representation required by (d) paragraph (b) of this section with respect to an invitation for bids is The offeror will be permitted to considered to be a ainer informality.
correct the omission.
(2009.570-5 Contract clauses.
All contracts and small purchases of the General enntract clang.
(a) 52009.570 4(b) must include the clause entittel.e types set forth in
" Contractor urganizational Confilets of Interest," set forth in $2052.209-73.
(b)
Other snecial contract clauses.
If it is determined from the nature of the proposed contract that an organizational conflict of interest l
exists, the contracting officer may determine that the conflict can be avoided, or, after obtaining a waiver in accordance with 12009.570-9, neutralized through the use of an appropriate special contract clause.
If l
appropriate, the offeror may negotiate the terms and conditions of these These clauses, including the extent and time period of any restriction.
clauses include but are not limited to:
(1)
Hardware exclusion clauses which prohibit the acceptance of production contracts following a related non-production contract previously performed by the contractor; (2)
Software exclusion clauses; (3)
Clauses which require the contractor (and certain of its key personnel) to avoid certain organizationai conflicts of interest; and (4)
Clauses which provide for protection of confidential data and guard against '*5 unauthorized use.
52009.570-6 Evaluation, findings, and contract award.
The contracting officer shall evaluate all relevant facts submitted by After evaluating this information an offeror and other relevant information.
the contracting officer shall make a agains; the criteria of $2009.570 3, finding of whether organizational conflicts of interest exist with respect to a particular offeror, if it has been determined that real or potential conflicts of interest exist, the contracting officer shall:
(a)
Disqualify the offeror from award; (b)
Avoid or eliminate such confilets by appropriate measures; or
Award the contract under the talver provtsion of $2009.570 9.
(c) 52009.570-7 Conflicts identified after award, award with respect to a particular contractor, and the cont deterstnes that confilets do exist and that it would not be in the best interest of the Gcvernment to terminate the contract, as provided in the the contracting officer shall take every clauses required by $2009.570-5, reasonable action to avoid, eliminate, or, after obtaining a waiver in neutralize the effects of the identified accordance with (2009.570-9, conflict.
(
62009.570-8 Subcontracts.
The contracting officer shall require offerors and contractors to submit a representation statement from all subcontractors (other than a supply subcontractor) and consultants performing services in excess of Mf,000 in I
The contracting officer shall reoutre the accordance with.52009.570-4(b).
contractor to include contract clauses in accordance with (2009.570-5 in consultant agreements or subcontracts involving performance of work under a prime contract.
52009.570-9 Waiver.
The contracting officer determines the need to seek a waiver for (a) specific contract awards, with the advice and concurrence of the programUpon th office director and legal counsel.
Executiva, and af ter consvitation with legal counsel, the Executive Director for Operations may waive the policy in specific cases if he determines that it is in the best interest of the United States to do so.
Walver action is strictly limited to those situations in which:
(b)
The work to be performed under contract is vital to the NRC (1) progras.
The work cannot be satisfactorily performed except by a (2) contractor whose interests give rise to a question of conflict of interest.
Contractual and/or technical review and surveillance methods (3) can be employed by the NRC to neutralize the conflict.
For any waivers, the justification and approval documents must be (c) placed in the NRC Public Document Room, 21201. Street, NW. (lower level),
Washington, DC.
52009.570-10 Remedies.
In addition to other remedies permitted by law or contract for a breach J the restrictions in this subpart or for any intentional misrepresentation or intentional nondisclosure of any relevant interest required to be provided for this section, the NRC may debar the contractor from subsequent NRC contracts.
4
Unciassified Contractor and Grantee Publications in the NUREG Series
_ = = = = = = = = = = = = = = = _ = =
Directive S
S 3.8 9
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Volume 3, Part 1 - Publications, Mail, cnd Inf:rmati:n Discl:sure Unclassified C:ntract:r and Grantee Publications in the NUREG Series Directive 3.8 Contents l
Policy.................................................................
1
)
O bj ect i ves............................................................
1 Organizational Responsibilities and Delegations of Authority............
2 Executive Director for Operations (EDO)................................
2 Deputy Executive Director for Nuclear Reactor Regulation, Regional Operations and Research (DEDR)......................................
2 Deputy Executive Director for Nuclear hiaterials Safety, Safeguards, and Operations Support (DEDS)........................................
3 Offi ce Directors......................................................
3 Director, Office of Administration (ADhi)................................
4 Director, Division of Freedom of Information and Publications Se rvices, (DFIPS), ADhi..............................................
4 1
}
Director, Division of Contracts (DC), ADhi..............................
4 Ap pli cab ili ty..........................................................
5 Empl oye e s..........................................................
5 Oth e r Publications...................................................
5 H a n d b ook.............................................................
5 Refe ren ces............................................................
5 Approved: June 17,1991 (Revised: July 9,1995) m
. Q T
G. S, Nuclear Regulatorv Commission W
S Volume: 3 Information Management
- gp* * *.+ /P rt:
1 Publicctions, Mail, and Information Disclosure ADM Unclassified Contractor and Grantee Publications in the NUREG Series Directive 3.8 Policy (3.8-01)
U.S. Nuclear Regulatory Commission policy requires that the following publications published by NRC adhere to the documentation and production requirements, standards, and practices specified in this directive and handbook: (1) unclassified NRC contractor, consultant, or grantee formal reports, books, and intemational agreement reports in the NUREG/CR (contractor reports), NURIT /G R (grant repo rts), and NUREG /I A (international agreement repo ts) series:(2) reports and books by contractors of the U.S. Department of Energy (DOE); and (3) publications prepared for NRC under memoranda of understanding and interagency agreements.
Objectives (3.8-02)
To insure the production and dissemination of information and publications as required by the Energy Reorganization Act of 1974 and the Freedom of Information Act. (a)
To ensure technical staff and management reviews of formal reports and books before publication. (b)
To ensure that national security, patent rights, copyrights, proprietary rights, and rights in other sensitive unclassified information, including those speci5ed in interagency and international agreements and memoranda of understanding, are not compromised by the release or publication ofinformation by hTC. (c)
Approved: June 17,1991 (Revised: July 9,1995) 1
J Volume 3, Part 1 - Publications, M:ll, cnd Inf:rmati:n Discl:sure Unclassified C:ntract:r cnd Grantee Publicati:ns in the NUREG Seri:s l
Directive 3.8 Ob,lectives (3.8-02)(continued)
To ensure that all unclassified NRC contractor or grantee e
publications in the NUREG series cany the registered Government identification NUREG/CR-0000, NUREG/
GR-0000, or NUREG/IA-0000, with the exception of some publications prepared by grantees, and indicate the availability of source material used in these publications. (d)
To ensure that NRC-sponsored book manuscripts receive proper peer review from experts within and outside NRC. (e)
To provide uniform procedures for publishing formal reports and books prepared by NRC contractors or grantees. (f)
Organizational Responsibilities and Delegations of Authority (3.8-03)
Executive Director for Operations (EDO)
(031)
Delegates to the Deputy Executive Directors for Operation decisionmaking authority for the resolution of differences between NRC and contractors about the contents of publications, about granting contractors permission to publish NRC-sponsored information in the open literature, and about permitting contractors to issue press or other media releases concerning NRC-sponsored information.
Deputy Executive Director for Nuclear Reactor Regulation, Regional Operations and Research (DEDR)
(032)
As delegated from the EDO, makes final decisions in the following areas for the Office of Nuclear Reactor Regulation, the Office of Nuclear Regulatory Research, and regional offices:
When an office director refuses to publish an NRC-sponsored e
document because of irreconcilable differences between himself or herself and the author about the contents of the document. (a)
Approved: June 17,1991 (Revised: July 9,1995)
V:lume 3, Part 1 - Publicati:ns, MclI, and Inf:rmati:n Discl:sure Unclassified C:ntrcet:r cnd Grantee Publicati:ns in the NUREG Series Directive 3.8 Deputy Executive Director for Nuclear i
Reactor Regulation, Re and Research (DEDR) gional Operations (032)(continued)
When an office director refuses to permit a contractor's principal invesugator to publish NRC-sponsored information in the open l
literature. (b)
When an office director refuses to permit a contractor to issue a press or other media release about an NRC-sponsored publication. (c)
Deputy Executive Director for Nuclear Materials Safety, Safeguards, and Operations Support (DEDS) j (033)
As delegated from the EDO, makes final decisions in the following l
areas for the offices reporting to the DEDS:
When an office director refuses to publish an NRC-sponsored document because of irreconcilable differences between himself or herself and the author about the contents of the document. (a)
When an office director refuses to pennit a contractor's principal l
investigator to publish NRC-sponsored information in the open literature. (b)
When an office director refuses to permit a contractor to issue a press or other media release about an NRC-sponsored publication. (c)
Office Directors (034)
Ensure that publications will be reviewed in draft for acceptability before final printing and distribution by determining that they are consistent with agency policy, management decisions, and that they raise no significant legal issues. (a)
Ensure that statements of work on contracts
- include a requirement that contractors comply with this directive and handbook and with Government Printing and Binding Regulations. (b)
- *Contnet" in thn' context encompames the
- standard order for doe Work'(NRC Form 173). interagency and internatonal agreem and grants Approved: June 17,1991
- (Revised: July 9,1995) 3
Volume 3, Part 1 - Publications, hiall, cnd Inf rst. of:n Discl:sure Unclassifled Contract:r and Grantee Publicati:nt, in the NUREG Series Directive 3.8 Office Directors (034)(continued)
Sign, or delegate signature authority for, the NRC Form 426A, e
" Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports" (Exhibit 1 of Handbook 3.8),
and for memoranda requesting reprints of contractor publications. (c)
{
Director, Office of Administration (ADhi)
(035)
As delegated from the DEDS, administers NRC's programs and policies for publishing unclassified contractor and grantee reports and books in the NUREG series.
Director, Division of Freedom of Information and Publications Services, (DFIPS), ADh1 (036)
Develops and administers, as delegated from the Director, ADM, NRC's program and policies for publishing unclassified contractor, consultant, and grantee formal reports, books, and international agreement reports in the NUREG/CR, NUREG/GR, and NUREG/lA series. (a)
Applies the policy, procedures, standards, and guides for the documentation, fonnatting, composition,
- printing, and dissemination of NRC-sponsored publications in the NUREG series consistent with the mission of the agency and in accordance with the requirements of the Government Printing and Binding Regulations issued by the Joint Committee on Printing, U.S.
Congress. (b)
Deulops and administers the central agency publication numbering system for identifying, producing, and retriesing unclassified NRC-sponsored publications in the NUREG series. (c)
Director, Division of Contracts (DC), ADh1 (037)
Ensures that those requests for proposals, imitations for bids, and grant proposals, and the ensuing contracts and grants that require 4
Approved: June 17,1991 (Revised: July 9,1995)
=
V:lume 3, Part 1 - Publicati:ns, Mall, and Inf:rmati:n Discl:sure Unclassified C:ntract:r cnd Grantee Publicati:ns in the NUREG S:ri s Directive 3.8 Director, Division of Contracts (DC), ADM (037)(continued) publications as deliverables include provisions requiring that contractors comply with this directive and handbook and with l
Government Printing and Binding Regulations.
I Applicability (3.8-04)
Employees (041) l All NRC employees shall follow the policy and guidance specified in this directive and handbook.
Other Publications (042)
The provisions of this directive and handbook do not apply to NRC staff publications in the NUREG series. NRC docket material, or documents created by NRC boards, panels, advisory committees, or offices that report to the Commission.
Handbook (3.8-05)
Handbook 3.8 gives detailed guidelines for preparing unclassified contractor snd grantee publications in the NUREG series.
References (3.8-06)
A Manual of Style, University of Chicago Press.
Atomic Energy Act of 1954, as amended (42 U.S.C. 2011 et seq.).
" Copyrights," Title 17, United States Code.
" Cost Principles for State and Local Governments," OMB Circular A-87, Office of Management and Budget, January 1981.
Energy Reorganization Act of 1974, as amended (42 U.S.C. 5801 et seq.).
Approved: June 17,1991 (Revised: July 9,1995) 5
V:lume 3, Part 1_- Publications, htil, and Inf rmati:n Disclosura Unclassified Contract r cnd Grantee Publicati::ns in tha NUREG S:rits Directive 3.8 r=
References (3.8-06)(continued)
" Federal Grant scid Cooperative Agreement Act," Pub. L 95-224, February 3,1978.
" Federal Regulation Requirements," Executive Order 12291, February 17,1981 (5 U.S.C. 5601 Note).
Freedom of Information Act (5 U.S.C. 552).
Government Printing and Binding Regulations, Pub. L 101-9, February 1990.
" Grants and Agreements With Institutions of Higher Education, Hospitals, and Other Nonprofit Organizations," OMB Circular A-110, Office of Management and Budget, July 1976.
Memorandum of Understanding Between the Department of Energy '
and the U.S. Nuclear Regulatory Commission, February 24,1978.
Memorandum of Agreement Between the Institute of Nuclear Power Operations and the U.S. Nuclear Regulatory Commission, dated September 17,1993.
NRC Management Directive 3.9, "NRC Staff and Contractor Speeches, Papers, and Journal Articles on Regulatory and 'Iechnical Subjects."
3.11, " Conferences and Conference Proceedings."
12.2, "NRC Classified Information Security Program."
12.6, "NRC Sensitive Unclassified Information Security Program."
NUREG-0650, Revision 1, " Publishing Documents in the NUREG Series," November 1990.
NUREG/BR-0075, Revision 2, "NRC Field Policy Manual," Field Policy Manual No. 9, dated March 22,1993.
"Public Printing and Documents," Title 44, Chapter 3, Government Printing Office, United States Code.
U.S. Govemment Printing Office Style Manual,1984.
6 Approved: June 17,1991 (Revised: July 9,1995)
Unciassified Contractor and Grantee Publications in the NUREG Series
===_===_==__=====_=___
o Handbook 3.8 l
l I
E5125tT!EC12"CirEMO"mmr4LSidPC?ME2"rC32C!ICCr1T220?2T:TI E X I30"#;"S4T 3 L"."270 0 7 8
V;lume 3, Part 1 - Publicati:ns, M:ll, cnd Inf:rmati:n Discl:sure Unclassified Ccntractor cnd Grantee Publicati:ns in the NUREG S:ri s H^ndbook 3.8 Parts I - VI Contents Part I In t rod u ction..........................................................
1 Part II Preparing Publication Requirements for Statements of Work for Con t ract s..........................................................
2 Specifying Publication Requirements (A)..................................
2 Publishing Formal Reports (B)..........................................
2 Publishing Unclassi5ed Information in the Open Literature and Presenting Papers (C)......................................................
4 Reports Containing Sensitive Unclassified and Classified Infc'rmation (D).......
6 l
Conference and Workshop Proceedings (E)................................
7 Distribution of Reports to Contractors (F)................................
7 Coordinating Contractor Press or Other Media Releases of Information (G)....
7 Part III Draft and Final NUREG Reports...........
8 Identification Information,(A)...........................................
8 NUREG N umb e r ( 1 )..............................................
8 Authors' Names (2)...............................................8 Organizational Identification (3).....................................
9 Previous Reports in Series (4).......................................
9 Rep ort Dates (5)..................................................
9 Report Organization and Components (B)................................
9 Pre-Publication Reviews (C)............................................
9 Paten t Resiew (1).................................................9 Security Review (2)............................................... 10 Copyright Review (3).............................................. 10 Col or Printing (D)....................................................
10 Mi crofi ch e (E).......................................................
12 Disclaimers (F).......................................................
13 Approved: June 17,1991 (Revised: July 9,1995) iii
Volume 3, Part 1 - Publications, Mail, cnd Inf:rmati:n Disclosure Unclassified Contractor and Grantee Publicati:ns in tha NUREG S:ri:s Handbook 3.8 Parts I - VI Contents (continued)
Part III (continued)
Availability Information (G)............................................
13 Reference Material (1).............................................
13 Reports (2).....................................................
14 Forms (H)........................................................... 14 Bibliographic Data Sheet (NRC Form 335) (1).........................
14 Release To Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A) (2)..............
14 Printing and Reprinting (I).............................................
15 Distribution (J).......................................................15 Part IV International Agreement Reports......................................
16 Backgroun d and Rationale (A)..........................................
16 Identification Information (B)..........................................
16 Cover and Title Page (1)...........................................
16 NRC Report Number (2)...........................................
16 Previous Reports in Series (3).......................................
17 Report Organization and Components (C)................................
17 Availability Information (D)............................................
17 References and Bibliographies (1)...................................
17 Reports (2)......................................................
18 Disclaime r (E).......................................................
18 Forms (F)...........................................................
19 Bibliographic Data Sheet (NRC Form 335) (1).........................
19 Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A) (2)..............
19 Classified or Sensitive Unclassified Information (G).........................
19 Approved: June 17,1991 iv (Revised: July 9,1995)
V:lume 3, Part 1 - Publicati:ns, Mail, and Inf:rmation Disclesure Unclassified C:ntrcct:r cnd Grantee Publicati:ns in the NUREG S:ri:s Hcndbook 3.8 Parts I - VI Contents (continued)
Part V B oo ks................................................................
2 0 G e ne ral (A)......................................................... 20 D e 5ni ti on (B)........................................................ 20 Form a t (C).......................................................... 20 NRC Document Number (D)...........................................
21 Availability of Reference Materials (E)................................... 21 Revi e ws (F).......................................................... 22 Pe e r ( 1 )......................................................... 22 Copyrigh t (2).................................................... 23 s e curi ty (3)...................................................... 23 Pa t e n t (4)....................................................... 23 Publishing Authorization Form (G)...................................... 23 Discl aim e rs (H)...................................................... 23 Prin ting (I)..........................................................
24 Distribution and Sales (J).............................................. 24 Part VI G rant P ublica tions...................................................
25 Background and Rationale (A)......................................... 25 Publication of Results (B).............................................. 25 Publication by NRC (1)............................................ 25 Publication by a Grantee (2)........................................ 25 Publication by a Grantee in the Open Literature (3).................... 25 Reprints of Open Literature Publications (4)........................... 27 Identification Information (C)........................................... 27 Pre-Publication Reviews (D)............................................ 27 G l o s s a ry.....................................................28 Approved: June 17,1991 (Revised: July 9,1995)
V stu
V:lume 3, Part 1 - Publicati: s, Mail, cnd Informati:n Discl:sure Unclassified C:ntract:r cnd Grantee Publicati:ns in tha NUREG S:ri:s
_ Handbook 3.8 Parts I - VI 4
Contents (continued)
Exhibits
- 1. NRC Form 426A, " Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports"........................
32
- 2. NRC Form 335, " Bibliographic Data Sheet"............................
33
- 3. Microfiche Sheet Sample...........................................
35 l
i Approved: June 17,1991 vi (Revised: July 9,1995)
V: lum 2 3, Part 1 - Publicati:ns, M:ll, cnd Inftrmati:n Discl:rure Unclassified C ntract:r cnd Grantee Publications in the NUREG Series Handbook 3.8 Part I Part I Introduction This handbook specifies the procedures that the Nuclear Regulatory Commission (NRC) contractors and grantees need to follow when preparing the following publications for the NRC: (A)
Final NUREG reports (1) e International agreement reports (2) e Books (3) e Grant publications (4) e The handbook is divided into six major parts and includes a glossary and exhibits. PartII provides general information for staff consideration in preparing statements ofwork. Parts III,IV, V, and VI provide publishing guidelines specific to, respectively, contractor reports, international agreement reports, books, and grantee publications. (B)
Contmetor means a private contractor, consultant, expert, another State or Federal agency working under an interagency agreement, or a Department of Energy (DOE) facility or subcontractor, such as a nationallaboratory, working under the DOE /NRC Memorandum of Understanding of February 24,1978, and any subcontractors of these organizations. (C)
This directive and handbook, as well as a copy of " Publishing Documents in the NUREG Series"(NUREG-0650, Revision 1), must be included or referenced in all contracts, interagency and international agreements, and grants for which the publications previously listed are contract deliverables or grant obligations. In addition to the guidelines specific to each type of publication that appear in subsequent parts of this handbook, all statements of work must contain the applicable guidelines outlined in Part II. (D)
I Approved: June 17,1991 (Revised: July 9,1995) 1
V:lume 3, Part 1 - Publicati:ns, htil, cnd Inf:rm ti:n Discl:suro Unclassified C:ntract:r end Grcntee Publications in the NUREG Series Handbook 3.8 Part II Part II Prep'aring Publication Requirements for Statements of Work for Contracts Specifying Publication Requirements (A)
List and describe the type of technical reports required from each project, task, or subtask, as applicable. State when, how many, and to whom the reports should be submitted and the scope of.information they should contain. These reports may be unclassified, sensitive unclassified, or classified. For guidelines and requirements covering sensitive unclassi5ed and classified publications, refer to Management Directive (MD) 12.2, "NRC Classified Information Security Program," and MD 12.6, "NRC Sensitive Unclassified Information l
Security Program."(1)
This directive and handbook pertain to publications that will be issued in the NUREG/CR, NUREG/IA, and NUREG/GR series. (2)
Publishing Formal Reports (s).
NUREG series reports will be printed and distributed by NRC from camera-ready copy submitted by the contractor to the Publications Branch, Mailstop T-6 E7, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The camera-ready copy is to be prepared in accordance with the provisions of this handbook.
Recommended guidelines for the organization and format of formal reports are specified in " Publishing Documents in the NUREG Series" (NUREG-0650, Revision 1). (1)
When the report contains sensitive unclassified or classified information, the contractor must comply with MD 12.2. (2) 2 Approved: June 17,1991 (Revised: July 9,1995)
Unclassified C:ntract:r cnd Grcntee Publicati ns in the NUREG Serbs Handbook 3.8 Part II Publishing Formal Reports (a)(continued)
If a draft is desired before completing a final repon, specify in the statement of work (SOW) the due date for delivering the final camera-ready copy after receiving comments from NRC staff or participants (if applicable) on the draft. State that all draft material be submitted to the cognizant NRC contact. (3)
When the contractor is to submit draft material for comment before preparing the final repon, state that the contractor will be asked to make changes if there are comments from NRC staff or participants. If agreement on the changes is reached, the NRC contact will authorize the contractor to prepare the final copy and submit it to the NRC contact ifit is a letter report or input to a Safety Evaluation Report or an Environmental Statement, or to the Director, Division of Freedom of Information and Publications Services (DFIPS) if it is a i
camera-ready copy for printing and distribution. This procedure will ensure proper publication, handling, distribution and, among other things, preclude funher changes that might nullify the agreement. (4)
If special caveats were agreed to between the contractor and the NRC contact, the caveats should accompany the NRC Form 426A l
(Exhibit 1) for approval when it is sent to the NRC contact. A copy of special caveats should also accompany the camera-ready copy sent to DFIPS. (5)
If agreement on changes to a formal technical report to be issued in the NUREG/CR series is not reached, the NRC contact may request the contractor to prepare the camera-ready copy with, in addition to the standard disclaimer required on all contractor formal reports (see Section (F), Part III of this handbook), any caveats deemed necessary to cover NRC objections. These caveats may range from "The siews expressed in this repon 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. (6)
If NRC objections cannot be covered in this manner, NRC can refuse to publish the repon. In the case of DOE / national laboratory reports, the DOE Operations Office Manager responsible for the laboratory should be informed by the NRC office director or regional administrator of the decision and the reasons therefor. A copy of the decision should be sent to the laboratory director. In the case of another Federal agency, a State, or a private contractor, the person who entered into the contract should si ilarly be informed by the m
Approved: June 17,1991 (Revised: July 9,1995) 3
l V:lume 3, Part 1 - Publicati:ns, Mail, and Infcrmati:n Discl:sure l
Unclassified Contract:r and Grantee Publicati:ns in the NUREG S:ri:s Handbook 3.8 Part II Publishing Formal Reports (s)(continued) l NRC contracting officer. The contractor is then free to publish the report without identifying NRC as the funding sponsor of the report and without the NRC disclaimer. Decisions by the office director or designee may be appealed to the appropriate Deputy Executive Director for Operations. (7)
Publishing Unclassified Information in the Open Literature and Presenting Papers (C)
Specify whether the contractor's principal investigator is permitted to publish in the open literature instead of submitting a final report and/or to present papers at public or association meetings during the course of the work. If this arrangement is authorized, add the following statement to the SOW:(1) mwmmmmme blishtheresultsofthisworkin!
mmmmmwm iThepruncapalmvestigatormaypu
'ttnopedlifeFatuifinsi&Ad etTsulisaist'ingfa' fidallrip6donn5%
$g igisegni,y,W:w[w r NsentipspersiatSinblid srfassocidtionimeetinisinhindrimi mn ' wW
- ni m / %
w m;;agggm If the NRC contact wants to review the paper or joumal article before presentation or submission for publication, so state in the SOW, as follows:(2)
M[iM[Ti'$5E@sisdWsubmisiingefinsliriinnMaiiafi eY$iEMEt7rsEili[5IEMI$*]
(ilss'ioiwiliieriiulsias lsisesensyydpersnatipubliEier%=einionsmeetinssisdiniidal
}stageier theMif tlEniiclAMpapeNifi%Mreviewed tiy'tii$
iNRCeonistndsfiforninfagreeEinilikiftiNEreactied A61 (16E M 8s E M 4 5 di$ l e d d e dfi5ii h d $ d di a dI D d If agreement is not reached, NRC may also require that the paper include in addition to the standard statement " Work supported by the U.S. Nuclear Regulatory Commission," any caveats deemed necessary to cover NRC objections. If NRC objections cannot be covered in this manner, NRC may refuse to authorize publication in the open literature and/or presentation of papers. (3)
In the latter case, NRC will inform the contractor of the decision, as pr(viously stated. The contractor is then free to publish without identifying NRC as the funding sponsor of the information. Decisions by office directors or designees may be appealed to the appropriate NRC Deputy Executive Director for Operations. (4)
Approved: June 17,1991 4
(Revised: July 9,1995)
V:lume 3, Part 1 - Publications, htil, and Infcrmation Disclosure Unclassified Ccntrccior cnd Grcntee Publications in the NUREG Seri:s Handbook 3.8 Part II Publishing Unclassified Inforniation in the Open Literature and Presenting Papers (C)(continued)
' If the contractor proposes to publish in the open literature or present the information at meetings in addition to submitting the required technical reports, approval of the proposed article or presentation should be obtained from NRC. NRC shall approve the material as submitted, approve it subject to NRC-suggested revisions, or disapprove it. In any event, NRC may disapprove or delay presentation of papers on information that is subject to the Commission's approval that has not been ruled upon or that has been disapproved. (5)
If the contractor requests permission to publish in the open literature even though the contract does not explicitly provide for this type of publication, the contract can be modified to provide for such presentations. (6)
When the contractor submits journal articles for publication, each must be accompanied by the following statement: (7)
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!iliell.S!CEOdiF6Ader:CusfrEttN$M@!ANefdihgly/tlis lsu.S$CL'._ShlisiininansEclukiQ U
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All published papers and articles must include the following disclaimer:(8)
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'For DOE work orders. the appropriate job code number is applicable.
Approved: June 17,1991 (Revised: July 9,1995) 5
V:lume 3, Part 1 - Publicati:ns, htil, cnd Inf:rrnati:n Discl:sure Unclassified Contractor and Grantee Publicati:ns in the NUREG S:ri:s Handbook 3.8 Part U Publishing Unclassified Information in the Open Literature and Presenting Papers (C)(continued)
If the contractor is requested by the journal or other publisher to transfer the copyright, the contract author will respond to the journal or other publisher in writing in accord with the sample letter shown as follows:(9)
IQNyr~idEdW sin k; m;ww.,4w[ocum%ef}e:sM If 3 2 E 3 am:dogsignatureiass. gn w
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gs strans (Sufmdrkh.ip$AccaritiMMherebyjeptiss'ly}%nsfer fasfsign%udigtkof?eamershiMinittiefibssnidhverklid lfifEieriEWysblisne$dt g%@$ bass $iM657 FNE
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- l Ascordingly,::';the'Q11.S&sonrn'aient: has ^a nonezclusiM5 j usjsttp freelicenisWhabDsh%nproduce tiie imblish~ei) 5 i foran of:ttais contribution, er allow others io do'so,for,U.s. )
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If NRC approves open literature publication and page charges and travel costs are required for the presentation of papers, see MD 3.9, "NRC Staff and Contractor Speeches, Papers, and Journal Articles on Regulatory and Technical Subjects." (10)
Reports Containing Sensitive Unclassified and Classified Information (D)
Examples of the proper marking of reports designated Official Use Only, Limited Official Use, Proprietary Information, Safeguards Information, and classified (CONFIDENTIAL, SECRET, and TOP SECRET) are specified in MD 12.2.
Approved: June 17,1991 6
(Revised: July 9,1995)
V: luma 3, Part 1 - Publicati:ns, hizil, and Inf rm: tion Disclosura Unclassified Ccntract:r cnd Grantee Publications in th: NUREG Series Handbook 3.8 Part II Conference and Workshop Proceedings (E)
If NRC approves publication of compilations of papers presented at NRC-sponsored orcospons : -
etings, conferences,and symposia, see MD 3.11, " Conferences ono Conference Proceedings."
Distribution of Reports to Contractors (F)
Up to 50 copies of printed unclassi5ed NUREG/CR, NUREG/GR, and NUREG/IA reports will be bulk shipped to the contractor by NRC. (The Joint Committee on Printing's Govemment Printing and Binding Regulations permit contractors to receive free of charge up to 50 copies of reports they have produced for NRC.) If fewer than 50 copies are needed, indicate the desired q.ntity on NRC Form 426A (Exhibit 1). Contractors requesting single copies for speciSc individuals in organizations other than the contractor's organization who are not included in the distribution requested by the NRC contact may address such a request, with written justification, to the NRC contact. If the additional distribution is approved by the NRC contact, the contractor shall send address labels with the camera-ready copy to the Publications Branch, DFIPS, USNRC, \\Wshington, DC 20555-0001, and that distribution will be made along with the standard distribution.
Coordinating Contractor Press or l
Other Media Releases ofInformation (G)
A contractor may request permission to issue a press or other media release on the work being done. That request must be made to the NRC office director or designee, who will consult with the staff of the Office of Public Affairs. The contractor must not issue a press release on nonroutine information without this prior approval. This approval may be obtained by a telephone call to the office direct or designee to expedite the request. The contractor may appeal decisions not to authorize the release ofinformation or delays in handling the request to the appropriate Deputy Executive Director for Operations.
Approved: June 17,1991 (Revised: July 9,1995) 7
-]
V: luma 3, Part 1 - Publicati:ns, Mail, cnd Inf rmati:n Disclosure Unclassified Contrceter cnd Grantee Publications in the NUREG Series Handbook 3.8 Part III Part III Draft and Final NUREG Reports Identification Information (A)
NUREG Number (1)
Each contractor repon published by NRC must be identified by a unique alphanumeric designation controlled and maintained by the Division of Freedom of Information and Publications Senices (DFIPS). To obtain an NRC repon number, call the Publications Branch, DFIPS, at (301) 415-7008. (a)
The NRC identification numbers will have one of the following forms:(b)
NUREG/GR-0000 NUREG/IA-0000 CR indicates contractor report, GR indicates grant report, and IA indicates international agreement report. The contractor repon number, if any, will be placed below the NUREG number on the title page and cover. (c)
When a repon consists of more than one volume or binding, or is issued in more than one edition, an appropriate volume, number, supplement, pan, addendum, or revision designation must appear immediately below the NRC repon number and the contractor's report number, if any. (d)
Authors' Names (2)
Authors' names must appear on the repon cover and title page, unless placing them there is impractical, as for an annual repen having many contributors. Editors or compilers with subject-area expertise may also be identiGed as such on the cover and title page. The authors' 8
Approved: June 17,1991 (Revised: July 9,1995)
V:lume 3, Pcrt 1 - Publicati:ns, M ll, cnd Inf:rm:tirn Discl sure Unclassified Ccntrcct:r cnd Grcntee Publicati:ns in the NUREG Series Handbook 3.8 Part m Identification Information (A)(continued)
Authors' Names (2)(continued) affiliation need not be listed unless it differs from the organization creanng the report.
Organizational Identification (3)
The Publications Branch, DFIPS, prepares the covers and title pages for all repons and will sist information about the organization that created the repon as it is provided.
Previous Reports in Series (4)
If the report being prepared is one in an ongoing series, list all presious repons in the series. Include repon numbers and issuance dates. Place this list on the back of the title page. If this list cannot be placed on a single page, place the pages at the end of the front matter rather than on the back of the title page.
Report Dates (5)
The report dates are shown on the title page. These dates include the month and year the report is completed and the month and year it is published.
Report Organization and Components (s)
The organization and components of contractor reports vary, depending on their purpose and scope. Recommended format and organizational guidelines appear in " Publishing Documents in the NUREG Series" (NUREG-0650, Revision 1). (1)
Each draft and final report prepared for NRC must include an abstract of 200 words or less that appears on a separate page preceding the table of contents. The abstract also must appear on the " Bibliographic Data Sheet," NRC Fonn 335 (Exhibit 2). Instructions for completing NRC Form 335 appear on the back of the form. Guidelines on the special writing requirements for preparing abstracts appear in Section 5.5 of NUREG-0650, Revision 1. (2)
Pre-Publication Reviews (C)
Patent Review (1)
Patent implications must be considered before approval of repons for public release so that disclosure will not adversely affect the patent Approved: June 17,1991 (Revised: July 9,1995) 9
V:lume 3, Part 1 - Publicati:ns, Mdl, and Inf:rmati:n Disc 1:sure Unclassified Contract:r cnd Grantee Publicati:ns in the NUREG S: ries Handbook 3.8 Part III Pre-Publication Reviews (C)(continued)
Patent Review (1)(continued) rights of NRC or the wntractor. If the work being reported is contractually managed through another Government agency (e.g.,
DOE national laboratories), the contractor should request that Government agency to perfonn the patent review. The result of the review must be reported on NRC Form 426A under item 8 (see Exhibit 1). (a)
If NRC directly administers the contract, or tiie contractor is unable to obtain a patent clearance from the Government agency administering the contract, the responsible NRC contracting officer must be consulted, and the responsible NRC technical contact shall consider the patent implications. If the report does not require a patent resiew because the report does not contain any description of novel technical developments that may be of an inventive nature, mark "N/A" on the NRC Form 426Ain the space for the Patent Counsel's signature. If a possibility exists that developments of an inventive nature are disclosed, the contracting officer shall request assistance from the NRC Assistant General Counsel for Administration, Office of the General Counsel, on (301) 415-1553. (b)
Security Review (2)
If a report of sensitive unclassi5ed or classified work is required, the NRC contact must work with the NRC Division of Security to establish the appropriate procedures and inform the contractor of these procedures through the contracting officer. The standards for marking and handling these reports are given in Management Directive (MD) 12.2, "NRC Classified Information Security Program."
Copyright Review (3)
Copyrighted material must not appear in NRC-sponsored publications without written permission from the copyright holder.
See Section 3.4 of NUREG-0650, Revision 1, for information about obtaining copyright permission.
Color Printing (o)
Regulations issued by the Joint Committee on Printing (JCP) restrict the use of color in printed materials to those uses that are of demonstrable value. JCP regulations specify that " demonstrably valuable multicolor printing" includes the following categories: (1)
Approved: June 17,1991 10 (Revised: July 9,1995)
V:lume 3, Part 1 - Publications, Mail, and Inf:rmati:n Discl:sure Unclassified Ccntrcct:r cnd Grantee Publications in tha NUREG Series Handbook 3.8 Part III Color Printing (o)(continued)
Maps and technical diagrams for which additional color is e
necessary for clarity. (a)
Object identi5 cation (medical specimens, diseases, plants, flags, e
uniforms, etc.). (b)
Safety programs, fire prevention, savings bonds programs, and competitive areas of personnel recruiting. (c)
Areas wherein clearly identifiable savings in costs can be soundly predicated on multicolor use. (d)
Printing for programs required by law, whose relative success or e
failure is in direct ratio to the degree of public response, and for which that response can be logically attributable to the number of colors planned and the manner in which they are proposed to be j
used. (e)
Color for promotional or motivational purposes, such as programs
=
concerning public health, safety, and consumer benefits, or to encourage utilization of Government facilities, such as programs for Social Security, Medicare, and certain areas of need for veterans. (f)
The regulations indicate that the following categories do not meet the
" demonstrable value" criteria: (2)
Printed items wherein additional color is used primarily for
=
decorative effect. (a)
Printed items for which additional color is used primarily in lieu of e
effective layout and design. (b)
Printed items for which additional color is used excessively, that is, e
four colors when two or three will fulfill the need, three colors when two are adequate, two colors when one is adequate. (c)
Printed items wherein the inclusion of multicolor does not reflect e
careful, competent advance planning that recognizes the contribution that the use of color is expected to make to the ultimate end-purpose. (d)
Approved: June 17,1991 (Revised: July 9,1995) 11
V:1ume 3, Part 1 - Publications, Mail, cnd Inf:rintti:n Disclcsurc Unclassified C:ntract:r cnd Grantee Publications in th2 NUREG S: ries Handbook 3.8 Part III Color Printing (D)(continued)
If color printing is anticipated when the statement of work or standard order for DOE work is being prepared, contact the Publications Branch, DFIPS. Prior approval must be granted by the Director of DFIPS. lf a requirement for color pzinting arises as the report is being prepared, submit a written justification for its use to the Director of DFIPS. (3)
Microfiche (E)
NRC contractors and DOE laboratories submitting microfiche with reports must submit a hard copy of each microfiche, include headers on each micro 5che as shown in Exhibit 3, and conform to the following NRC specifications.*
Microfiche must conform to'either the 24/98 format for source documents with 14 columns and 7 rows (reduction ratio of 1 to 24) or the 48/270 format for computer output microfilm with 18 columns and 15 rows (reduction ratio of 1 to 48). (1)
The microfiche sheet must be standard 105 mm by 148 mm. (2)
The microfiche must be either a silver-halide master or a black or blue-black diazo placed in acid-free envelopes. (3)
The micro 5che must contain headers as shown in the sample in Exhibit 3. Specifically, the first block of the header must contain the NUREG number (include volume or revision, if applicable),
the contractor identification number, and the classification (e.g.,
unclassified, proprietary). The second block must contain the description of the microfiche and may include the contractor's name. The third block must contain the publication date and the sheet identification. (4)
The header information must be eye readable on a clear background. (5)
A foldout page must be microfihned in sections if the page is too e
large to be microfilmed in a double frame. No less than 25-mm overlap of original material is acceptable. (6)
- With the exception of items (3), (4). and (8), these speci5 cations are consistent with the American National standards Incutute
- Standard for Micrographics-hbcrofiche, ANSI /AIIM Ms5-1985? Copics of this standard are available from the American National standards Institute. ATne sales Department,11 West 42nd street.13th floor, New York. NY 10036 (212) 642-4900, or from the Asscx:iation for Information and Image Management.
ATTN: Publications scetion.1100 Wayne Avenue, silver spring, MD 20910 (301) 587-8202.
Approved: June 17,1991 12 (Revised: July 9,1995)
V:lume 3, Part 1 - Publicati2ns, htil, cnd Inferm:thn Discl:sure 4
Unclassified C:ntract:r cnd Grantee Publicati:ns in th] NUREG Seriet Handbook 3.8 Part Ill Microfiche (E)(continued).
j The first frame must be blank (on the Erst sheet only), and the e
second frame must contain the National Institute of Standards and Technology's (NIST's) Reference Material resolution target in Microcopy Test Charts (NBS SRM 1010A). (7)
Jacketed microfiche is unacceptable. (8) e Disclaimers (F)
The following notice will be added by the Publications Branch, DFIPS, before the printing process on the inside front cover: (1)-
re n w m m m m w w m m m m e pThis nportpas prepared;astan: account of werk sponsoNm d by h"jan ngenef of the Unitsd Sists Gskinacknt. Nntlicine StAtesiGohrnmendnor?any[agsndf deisplup s$ mags Banp? warrangs[thbFesf[noEnsyjsf/th
??issumes%$ifilsiidbliabiliiffoE;responsibilitNfoETanyphind nparti'sius4 tnirssiittsist Asieh44&any:lifofmatidif happarash$@hNdu$,IoNpiecekEdishlbsed $intidsiirdho Irepre'sents tiist idhsei by' lliskMhiid!$$NiImnAld Sist 'infrinsA PsiintelfimnedlighdM@am@am$au' amuuawuama'd QO M M C wammummaxu 1
1 The branch will print the additional statement, "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission," below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed. (2)
Availability Information (G)
Reference Material (1)
Reports or other documents referenced in text, reference sections, bibliographies, and appendixes of unclassi5ed regulatory and tecimical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printmg Office (GPO), at the National Tbchnical Information Senice (NTIS), or at other reference or sales outlets) or in the NRC Public Document Room (PDR). This means that references should not be made to personal communications and inteniews, unpublished information and information with restricted distribution (e.g.,
proprietary, National Security, and Official Use Only). If the unretrievable information is important and unrestricted, quote it in
_ Approved: June 17,1991 (Revised: July 9,1995) 13
V;1ume 3, Part 1 - Publicati:ns, Mail, and Inftrm:ti:n Disclosure Unclassified Centract:r cnd Grantee Publicati:ns in the NUREG Seri;s Handbook 3.8 Part III Availability Information (G)(continued)
Reference Material (1)(continued) the text orin footnotes. Provide any credit due to individuals in the text or in an acknowledgment section. Availability may be stated collectively for all entries. (a)
Although proprietary reports may not be included in a list of references, listing or identification of proprietary reports may be included in an appendix or in a separate listing following the referenc'e section titled " Proprietary Sources of Information." (b)
In addition, reference to Institute of Nuclear Power Operations (INPO) documents may not be made without prior approval from INPO. Approval to reference INPO documents must be stated on the NRC Form 426A. (c)
Guidelines for developing and presenting reference material are provided in NUREG-0650, Revision 1. (d)
Reports (2)
Most final reports are sold by GPO and NTIS. A statement indicating this availability is added to each report, is a,propriate, by the Publications Branch staff before the repon is p1Mted. (a)
Draft reports for which comments are recuested are typically announced in the Federal Register as being available from the NRC.
These reports are not sold at GPO or at NTIS. (b)
Forms (a)
Bibliographic Data Sheet (NRC form 335) (1)
All published NRC reports must include an NRC Fonn 335 as the final right-hand page of the manuscript. Instructions for completing the NRC Form 335 appear on the back of the form. A completed NRC Form 335 must be submitted to the Technical Publications Section, DFIPS, with the camera-ready copy of the report. Exhibit 2 shows a completed NRC Form 335.
Release To Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A) (2)
The NRC contact must submit a completed NRC Form 426A (see Exhibit 1) with the camera-ready copy of the report to the Technical Publications Section, DFIPS. NRC Form 426A must be signed by the staff member designated by the appropriate office director.
Approved: June 17,1991 14 (Revised: July 9,1995)
V: lum 2 3, Part 1 - Publicati:ns, htil, cnd Inftrmati:n Discl:sure Unclassified Ccntract:r cnd Grcntee Publicati:ns in tha NUREG Series Handbook 3.8 Part III Printing and Reprinting (I)
The Publications Branch, DFIPS, will review the camera readyreport submitted for printing for its adherence to the standards and requirements set forth in this directive and handbook, as well as any relevant guidelines fron NUREG-0650, Revision 1. Unsatisfactory manuscripts will be returned to the NRC contractor for appropriate action. (1)
Submit a memorandum requesting a reprint to the Director, DFIPS, or designee, for approval. Include with the request a written justification and the approval of the office director or designee for reprinting. Also provide address labels for recipients not on NRC standard distribution lists. (2)
Distribution (J)
The Publications Branch, DFIPS, will arrange distribution for all l
copies of unclassified fortnal contractor reports in accordance with instructions on NRC Form 426A (Exhibit 1). The Publications Branch will also arrange automatic distribution of these reports to b7C NUDOCS, the NRC PDR, NTIS, GPO, and the GPO Federal Depository Library Program. (1)
Sensitive unclassi5ed and classified reports will be distributed by the NRC sponsoring office on a case-by-case basis. (2)
Approved: June 17,1991 (Revised: July 9,1995) 15
-____ O s
r V:lume 3, Part 1 - Publicati:ns, Mail, cnd Inf;rmati n Disclosure Unclassified C:ntrcct:r cnd Grcntee Publications in the NUREG Series Handbook 3.8 Part IV Part IV
.I.nternational Agreement Reports Background and Rationale (A)
NRC has cooperative nuclear safety research programs that involve either or both foreign governments and organizations and U.S.
industry. These programs include monetary contributions, information exchange, and comments on program plans and results as authorized in the Energy Reorganization Act of 1974. To this end, international and U.S. industry agreements have been signed that provide for transmitting unclassified technical information from foreign participants to NRC. These procedures apply only to NRC-managed work. (1)
The interests of all NRC international nuclear safety research program participants are served best by formal dissemina tion ofinformation on these programs or codes developed for or in cooperation with NRC (2)
Identification Information (B)
Cover and Title Page (1)
The cover and title page will contain a title, a subtitle (if appropriate),
the names of the authors, the performing organization, and the NRC office sponsoring the project. The cover and title page will be prepared by the Publications Branch, Division of Freedom of Information and Publications Services (DFIPS).
NRC Report Number (2)
Each report must be identified by an NRC-controlled alphanumeric number as the prime number unique to that report. The centralized document control system for unique identi5 cation is maintained by DFIPS. Numbers may be obtained by calling the Publications Branch at (301) 415-7008. (a) 16 Approved: June 17,1991 (Revised: July 9,1995)
V lune 3, Part'l - Publicati:ns, M:ll, cnd Inf:rinati:n Discl: sura Unclassified Ccntract:r cnd Gr.:ntee Publicati:ns in the NUREG Serits Handbook 3.8 Part IV Identification Information (B)(continued)
NRC Report Number (2)(continued)
The NRC identification number will have the form "NUREG/IA-000," where 1A indicates " international agreement."
The foreign panicipant's report number, if any, may be inserted below the NUREG number on the cover, if desired. (b)
When a report consists of more than one volume or binding or is issued in more than one edition, include an appropriate volume, number, supplement, part, addendum, or revision designation below the report number and the foreign participant's report number, if any. (c)
Previous Reports in Series (3)
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. If this list cannot be placed on a single page, place the pages at the end of the front matter rather than on the back of the title page.
l l
Report Organization and Components (C)
The organization and components of cooperative agreement reports vag somewhat, depending on their purpose and scope. Each of these reports must include an abstract of 200 words or less that appears on a separate page before the table of contents. The abstract must also appear on the " Bibliographic Data Sheet,"NRC Form 335 (Exhibit 2).
Instructions for completing NRC Form 335 appear on the back of the form (Exhibit 2). Guidance on the special writing requirements for preparing abstracts appears in Section 5.5 of NUREG-0650, Revision 1.
Availability Information (D)
References and Bibliographies (1)
Reports or other documents referenced in text, reference sections, bibliographies, and appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office (GPO), at the National Technical Information Service (NTIS), or at other reference or sales outlets) or in the NRC Public Document Room This means that references should not be made to personal communications, interviews, and unpublished information with restricted distribution (e.g., proprietary, National Security, Official Use Only). lf the unretrievable information is important and Approved: June 17,1991 (Revised: July 9,1995) 17
Volurn] 3, Part 1 - Publicati:ns, Mail, cnd Inf rmati:n Disclasure Unclassified Contract:r cnd Grantee Publicati:ns in the NUREG S: ries.
Handbook 3.8 Part IV Availability Information (D)(continued)
References and Bibliographies (1) (continued) unrestricted, it can be quoted in the text, in footnotes, or in appendixes. If the title of a document containing proprietary infonnation is unclassified,it can also be quoted in the text or in a footnote. If credit is due to individuals, they can be mentioned in the text or in an acknowledgment section. Availability may be stated collectively for all entries. (a)
Although proprietary reports may not be included in a list of references, listing or identification of proprietary reports may be included in an appendix orin a separate listing following the reference section titled " Proprietary Sources of Information." (b)
In addition, reference to Institute of Nuclear Power Operations (INPO) documents may not be made without prior approval from INPO. Approval to reference INPO documents must be stated on the NRC Form 426A. (c)
Guidelines for developing and presenting reference material are provided in NUREG-0650, Revision 1. (d)
Reports (2)
These reports will be made available for sale by GPO and NTIS.
Disclaimer (E)
The following notice will be added by the Publications Branch, DFIPS, on the inside front cover before printing.
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-- m Approved: June 17,1991 18 (Revised: July 9,1995)
V; lum 3 3, Part 1 - Publicati:ns, Mail, and Infcrmati:n Discl:sure Unclasified C:ntract:r cnd Grantee Publicati:ns in the NUREG S: ries Handbook 3.8 Part IV -
Forms (F)
Bibliographic Data Sheet (NRC Form 335) (1)
Submit a typed NRC Form 335 (Exhibit 2) with the camera-ready copy to the Technical Publications Section, DFIPS, as the final right-hand page.
Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A) (2)
An NRC Form 426A (Exhibit 1) must be completed and signed by the office director or designee and submitted with the camera-ready copy of the report to the Technical Publications Section, DFIPS.
Classified or Sensitive Unclassified Information (G)
The NRC contact should refer to Management Directive 12.2 or call the Division of Security for answers to questions about the status of classified or sensitive unclassified information in hTREG/IA reports.
Approved: June 17,1991 (Revised: July 9,1995) 19 i
V:lume 3, Part 1 - Publicati:ns, Mail, cnd Inf:rmati:n Discl sure Unclassified C:ntract:r and Grantee Publicati:ns in th: NUREG S: ries Handbook 3.8 Part V Part V Books General (A)
These guidelines apply to books written by contractors and grantees that are printed by NRC. See Part VI of this handbook for guidance on publications, including books, by grantees.
Definition (B)
A book refers to a publication intended as a permanent reference or as a textbook or major critical review of a technical or regulatory topic.
Format (C)
Books are usually 6 by 9 inches in trim size, but size will be based on requirements such as case of use and legibility for graphics, foldouts, and the like. The binding (casebound or paperback) will be chosen according to the need for durability. Additional guidance on manuscript preparations can be found in the U.S. Govemment Printing Office Style Manual and the Chicago Unive:sity's A Manual of Style.
Refer also to NRC's " Publishing Documents in the NUREG Series" (NUREG-0650, Revision 1). (1)
The contractor shall submit to the NRC project manager the typeset (photocomposed) manuscript suitable for printing. The NRC contact shall submit the manuscript to the Chief, Publications Branch, Division of Freedom of Information and Publications Sersices, (DFIPS), where it will be reviewed for adherence to the standards set forth and referenced in this directive and handbook. The manuscript will also be reviewed for printing acceptability by the Printing and Mail Services Branch, DFIPS. Unsatisfactory manuscripts will be reported to the NRC contact for appropriate contractual action by the NRC contracting officer or, in the case of Government agency or interagency agreement work, the publications manager of the performing organization. (2) 1 Approved: June 17,1991 20 (Revised: July 9,1995)
V;1ume 3, Part 1 - Publicati:ns, Mail, cnd Inf:rmati:n Discl:sure Unclassified C:ntract:r cnd Grantee Publicati:ns in the NUREG S: ries Handbook 3.8 Part V Format (C)(continued)
DFIPS will approve the design of the cover and title page containing _
appropriate information concerning-(3)
Authors' names (a)
Organizationalidentification (b) e Public availability and sales (c)
All books must include a comprehensive subject index of the book's contents, unless the book is made up almost exclusively of graphical or tabular matter. See NUREG-0650, or The Chicago Manual Style (13th ed.) for guidelines on creating an index. (4)
NRC Document Number (D) l Each book must be identified by an NRC-controlled alphanumeric code unique to that book. The alphanumeric code will have the form NUREG/CR for books prepared by contractors and NUREG/GR for books prepared by grantees. (1)
When a book consists of more than one volume or binding, or is issued in more than one edition, include an appropriate volume, number, supplement, part, addendum, or revision designation directly below the document number. (2)
Numbers are assigned by the Publications Branch, DFIPS. The number may be obtained before the manuscript is submitted to DFIPS for printing by calling the Publications Branch at (301) 415-7166. The DFIPS staff will arrange to meet with the NRC contact for the project and, when appropriate, the author (s), to discuss the publication production requirements and the schedule for the book. (3)
Availability of Reference Materials (E)
The guidelines for availability of reference material given in Section G of PartIII of this handbook also apply to books prepared by contractors and grantees that are published by NRC.
Approved: June 17,1991 (Revised: July 9,1995) 21
V:lume 3, Part 1 - Publicati:ns, M:il, cnd Inf:rmrti:n Disclosura Unclassified Ccntract:r cnd Grcntee Publicati ns in the NUREG S: ries Handbook 3.8 Part V Reviews, (F)
Peer (1)
Books published by NRC must undergo peer review by experts within and outside NRC. Peer review refers to a critical evaluation of the technical contents of a publication. These reviews may be conducted anonymously by reviewers from the author's own or a related field who are totally independent of the work leading to the manuscript. (a)
Reviewers should be chosen by the NRC office sponsoring the book from the potential audience for the publication and should proside an independent judgment about whether the publication successfully accomplishes the author's aims. Peer reviewers should be chosen for their expertise in the subject matter of the book. They may come from acadernia, the national laboratories, other Federal agencies, or from other research institutes or consulting firms. They may be identified from the membership rolls of professional societies, American National Standards Institute (ANSI) subcommittees, and the like. Do not choose more than one reviewer from the same organization. (b)
When assessing potential peer reviewers, screen for demonstrated competence and achievement in a speci5c discipline or research specialty. Assess competence based on the quality of research accomplished, publications in refereed journals, and other significant technical activities, achievements, and honors. Consider the judgment, perspective, and objectivity of reviewers. Consider also the personal integrity of those selected to ensure the confidentiality of information reviewed. Finally, avoid real or perceived conflicts of interest. Do not choose reviewers who are licensees or consultants to licensees, nor reviewers from intervenor groups. Likewise, do not choose reviewers who may profit financially from influencing the information reviewed. (c)
The senices of reviewers from outside the agency may be acquired through consultant senices contracts. The decision as to whether to 9
reimburse peer reviewers should be made on a case-by-case basis, however. Recognize that reimbursing peer reviewers may give the appearance of a conflict of interest, suggesting to some that because NRC is paying for this service, the agency will seek only resiewers thought to be favorably disposed to the material reviewed. One way to offset this impression is to seek recommendations for peer reviewers from independent organizations, such as the American Physics Approved: June 17,1991 22 (Revised: July 9,1995)
V lume 3, Part 1 - Publicati:ns, Mall, and Inf:rmation Disclosura Unclassified Contract:r and Grantee Publicati:ns in the NUREG Series Handbook 3.8 Part V Reviews (F)(continued)
Peer (1)(continued)
Society, the American Nuclear Society, the American Society of Mechanical Engineers or appropriate universities. Reimbursement could then be made to the orgamzation. (d)
Copyright (2)
~
Copyrighted material mt'st not be reproduced in NRC books without appropriate authority, usually written permission of the copyright holder. See Section 3.4 of NUREG-0650, Revision 1, for information l
about obtaining copyright permission.
Security (3)
On the basis of the knowledge of the information sources used, the a uthor is responsible for ensuring that the manuscript does not contain classified or other access-controlled information. If uncertainty exists with respect to the security classification of a reference document or manuscript, an authorized classifier or the NRC Dhision of Secority j
should be contacted for assistance. See also Management Directive 12.2, "NRC Classified Information Security Program."
Patent (4)
The patent review guidelines for draft and final formal reports specified in Section (C)(1) of Part III of this handbook also apply to books prepared by contractors and grantees.
PubilShing Authorization Form (G)
A completed NRC Form 426A (Exhibit 1), signed by the office director or designee or by a DOE national laboratory authorized official if the publication is prepared for the ' Office of Nuclear Regulatory Research, mtet be submitted to DFIPS with the book manuscript.
Disclaimers (u)
The following standard U.S. Government notice will be added before printing:(1) t Approved: June 17,1991 (Revised: July 9,1995) 23
Volume 3, Part 1 - Publications, Mail, and Inf;rination Discl:sure Unclassified Coninnet::r and Grantee Publicati:ns in the NUREG S::rles Handbook 3.8 Part V Disclainters (n)(continued) i by.an;doshGenC*iiis papared us is&Ec6 uni ofs64Ypou D is iagency;of the: United States Government.(NeitherLehs LUnisd States' Government nor any agency thereof, nor any of
~
shelpeaM makes anywarranty, exgiressed oriniplied,f of i asesines fanflegalillsbuiderWtsponsibilityifoRant third Lparty'sleWor;the'reindtsisf sush 'uWoffani,infonnatiory gapparatus pseduc(ofprocess disclosed in this' document, top t utpresists that its itse by such thhd partypould not infringi lFN v*thi f f @ Q 1ghtsg d Q l D : d Q f x j f( k g i j t
The following additional statement may be printed below the standard disclaimer,if authorized by the NRC office director or designee: (2)
[ThiidscEHiiiisTriiliiiEFiisid'EidEtLS.WilidFI6iiEWitM]
"Coministisni(NRC)s:,Contri&NoRWfinding 4Thi] opinions,1}
inni thosiVthhMuthof(s
..v._ied_sV._the NRC..0%a-@faihd'de
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Other qualifying statements may be added, if needed. (3)
Printing (I)
DFIPS will submit book manuscripts to GPO for printing. The printing cycle requires from 6 to 8 weeks.
Distribution and Sales (J)
The DFIPS staff will arrange distribution in accordance with distribution guidance provided by the NRC project mana;er on NRC Form 426A (Exhibit 1). (1)
Free distribution should be limited to those who contributed materially to the book or to those for whom the book's subject matter bears directly on their work at or for NRC. (2)
DFIPS will arrange to make the book available for sale through GPO.
DFIPS also will arrange to have it made available at the NRC PDR and for the GPO Federal Depository Library Program. (3)
. Approved: June 17,1991 24 (Revised: July 9,1995)
V:lume 3, Part 1 - Publicati:ns, htil, and Int:rmati:n Discl:sure Unclassified C:ntract:r end Grantee Publications in the NUREG Series Handbook 3.8 Part VI Part VI Grant Publications Background and Rationale (A)
The Nuclear Regulatory Commission funds grants for educational and nonprofit institutions, State and local governments, and professional societies for the expansion, exchange, and transfer of knowledge and ideas pursuant to the Atomic Energy Act of 1954, as amended, Sections 31.a and 141.b.
Publication of Results (a)
The grant will specify the publication requirements of the award.
Grant results may be published by NRC, by the grantee, or in the open literature.
l Publication by NRC (1)
This publication option must be governed by the guidelines specified in Part In of this handbook for reports or in Part V ofds handbook for books, as appropriate. See " Identification Information,"
Section (C) of this part.
Publication by a Grantee (2)
When the grant specifies that the grantee is to publish the results of his or her work, the grantee must grant to the Government a royalty-free, nonexclusive, irrevocable license to reproduce, translate, publish, use, and dispose of all copyrightable material first produced or composed in the grantce's performance under the grant.
Publication by a Grantee in the Open Literature (3)
When the grantee submits joumal articles for publication. each article must be accompanied by the following statement: (a)
Approved: June 17,1991 (Revised: July 9,1995)
.5
\\\\ : 5
Volume 3, Part 1 - Publicati:ns, htil, cnd Inf:rmati:n Discl:sure Unclassified Contract:r and Grantee Publications in the NUREG Seri:r, Handbook 3.8 Part VI Publication of Results.(s)(continued)
Publication by a Grantee in the Open Literature (3) (continued)
-, men Mine submitted =nnv-mm~n--n.-mnn--
==amaript has been authored by a grantee of the RS. Goverunnent ender Grant No?
.c Accordingly,i w
lthe US. Govemasent has~ a nonexclusive, royalty-fhe license to l Ipubilsb.er' reproduce ~the publistied fonn'of this' contribution,i
~
!assa an\\ low'others sid_isieffor U. SfG_oseenment purp_oris. a?!
- - ~
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ww s All open literature publications prepared under this grant must l
contain the following statement:(b) l
{Nt pThis? P*$WT*+MtV+****!**?4W*"WMWr$*@Mt-57*?* *W 'P*-* ?p M paperwasprepared with the support;of the U.S. Nucleari iRegulatory Onuumission1NRC)mader Grant No.
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espairssed hereinfartitheselsistbelauthor(s)?andMaiot!
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If the grantee is requested by the journal or other publisher to transfer the copyright, the grantee author will respond to the journal or other publisher in writing in accord with the sample letter &hown as follows:(c)
'DerTPeb11ther's Nin@5pp"GM."p@??Pve*9877?2 Tm ?
b W4:n : 4t:M::: y9 M G;&,MQnN%
Mekecently receivedWocument farisignature assigning copyrighti l mind Mesisbildation itsbei$tiu 'subudstell article (title) to (name,ef l publication).1his letterisindreiled ihliesMilmdecument as m'means' KeempletianisheteansrerlerLewaershiinAcennlingIsabereby' gespnselyj aransfer75nd sinissign ietidWig@ hts foffow ners jaboveelted aissEto $aisantiefpubitsher) a, @g&MBjn M,q Yen sant l advised,M beweverathat jtbejanmnsw~ man wawy,bowles n-w lphblisities[errepublicseen of the above cited workis subjed to the:
folW Govenument E
9 M rpayn s a %nn g/w% F 7 %nu< w%i 7thesubesittedu:nanuscrigst;hasbeenauthosulbya~gra; wA me nteeoftheU.Sf Govenumentfunder!GiantNo?w NMAccontingly,theLU.S.s GovernanEnt'linsYm4ecactusive, royalty-free lieease(to publistCod
[ reproduce tise published fonn'of this contribbtion, erfallsw others M idosieff5U.S.Governamentl purposes? %
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V lume 3, Part 1 - Publicati:ns, hiril, cnd Inf:rmati:n Discl:sure U classified Contract:r cnd Grcntee Publicati:ns in the NUREG Series llandbook 3.8 Part VI Publication of Results (n)(continued)
Reprints of Open Literature Publications (4)
When any article resulting from work under the grant is published in a scientific, technical, or professional journal, two teprints of the publication must be sent to the cognizant NRC program officer, clearly labeled with the grant number and other appropriate identifying infonnation.
Identification Information (c)
Each report or book published by NRC that results from a grant must be identified by an alphanumeric number, "NUREG/GR-000,"
l where "GR" indicates " grant report." (1)
When the publication consists of more than one volume, number, supplement, part, or binding, or is issued in more than one edition, an I
appropriate volume, supplement, part, or revision designation must appear below the NUREG/GR number. (2)
Numbers may be obtained from the Publications Branch at (301) 415-7008.(3)
Pre-Publication Reviews (o)
The U.S. Congress characterizes the relationship between a Federal agency and a grant recipient as one in which "the recipient can expect to nm the project without agency collaboration, participation, or intervention as long as it is run in accordance with the terms of the instrument."
Approved: June 17,1991 (Revised: July 9,1995) 27
Volunie 3, Pa:t 1 - Publications, M:ll, cnd Inf;rmati:n Discl:sure Unclassified Cntract:r cnd Grantee Publicati:ns in the NUREG Series Handbook 3.8 Glossary Glossary
- Book. Apublication intended as a permanent reference or textbook or as a major critical review of a technical or regulatory topic. It may be casebound (hardback) or paperbound.
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).
Casebound. Term denoting a book with a hard cover.
l Compose. To arrange letters, in type or filna, for printing. Usually synonymous with typesetting.
Composition. The process of setting type by hot-metal casting, phototypesetting, or electronic character generating devices (e.g.,
computers) for the purpose of producing camera-ready copy, negatives, a plate, or an image to be used in the production of printing or microform.
Contractor Report Record of work done (a report) prepared in accordance with the provisions of a contract or under or pursuant to an interagency agreement.
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. G ;nerally, copyrighted material may not be reproduced without the permission of the author or the publisher.
Disseminate. To announce the publication of reports and make them available for free distribution, sale, or copying.
'Words in italics in deSnitions are also denned in the glossary 28 Approved: June 17,1991 1
(Key sed: July 9,1995)
Volum] 3, Part 1 - Publications, htil, and Inf:rmation Discl:sure Unclassified Contract:r cnd Grantee Publicati:ns in the NUREG Series llandbook 3.8 Glossarv Glossary (continued)
Distribution. Repons dispensed to specific organizations and individuals to ensure their participation in the regulatory process and support of research and technological investigations. Such distribution may be accomplished by the use of standard distribution lists established and maintained by the Division of Freedom of Information and Publications Senices at the request i
of the originating office or region.
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 job code number), date, and availability.
Edition. All copies of a book printed from the same type. Edition also refers to format, such as paperback, casebound, or to the text, as revised, expanded, and so on. If extensive revisions have been made to the text and the book is reprinted, the revised version is the new edition.
Grant. Alegalinstrument which defines the relationship between the Government and a recipient for the transfer of money, property, senices, or anything of value to the recipient for the accomplishment of a public purpose of support or stimalation authorized by law. A grant presumes a limited amount of involvement by the agency in the performance by the recipient.
Grant Report. A record of work done prepared in accordance with the provisions of the grant.
Index. An alphabeticallist of all major topics discussed in a book. It cites the page numbers where each topic can be found.The index is the last section of a book.
International Agreement. Cooperative nuclear safety research programs that involve either or both foreign governments and organizations and U.S. industry. Such involvement, authorized under 42 U.S.C. 5801, includes menetary contributions, inic.mation exchanges, and comments on program plans and results.
International Agreement Report. A record of work done prepared in accordance with the provisions of an intemational agreement.
Approved: June 17,1991 (Revised: July 9,1995) 29
c V;1ume 3, Part 1 - Publications, Mall, cnd Inf rmati:n Discl: sura Unclassified Contractor cnd Grantee Publications in the NUREG S:ri:s Handbook 3.8 Glossary Glossary (continued)
Manuscript. A handwritten, typewritten, or composed version of a document, as distinguished from a printed copy.
NRC Project Manager. The NRC staff member responsible for the work performed by consultants or contractors and their subcontractors, or for work pe formed under or pursuant to an interagency agreement. -
Paperback. Abook with a flexible paper cover.
Peer Review. A criticnl evalu:: tion of the technical contents of a l
publication. These reviews are conducted by reviewers from the author's own or a related field who are totallyindependent of the I
work leading to the manuscript. Reviewers should be chosen from the potential audience for the publication and should provide an independent judgment abom whether the publication successfully accomplishes the author's aims.
Photocomposition. Typesetting performed when photosensitive paper or film is exposed to light in the form of letters and characters.
Photocomposition is to be distinguished from hot-metal and typewriter composition.
Printing. As defined by the Joint Committee on Printing, includes and l
applies to the process of composition, platemaking, presswork, collating, and microform; the equipment used in such processes; or the end product produced by such processes and equipment.
Proprietary Information. 'Irade secrets; privileged or confidential research, development, commercial, or financial information exempt from mandatory disclosure under 10 CFR Part 2 (Seetions 2.740 and 2.790) and under 10 CFR Part 9 (Seetion 9.17);
l and other information submitted in confidence to the NRC by a l
foreign source and determined to be unclassified by the NRC.
Public Domain. Materials for which a copyright never existed, such as U.S. Government publications, or for which a copyright has expired.
Publicly Available Documents. Information (reports and references) that is available in the NRC Public Document Room (PDR) for public inspection and copying or available in the public domain.
l Approved: June 17,1991 L
30 (Revised: July 9,1995) l
Volume 3, Part 1 - Publicati:ns, htil, cnd Inf:rmati:n Discl:sure Unclassifled Contract:r cnd Grantee Publicati:ns in the NUREG Series Handbook 3.8 Glossary Glossary (continued)
Reproducible Masters. Camera-ready copy that includes (1) originals ofline drawings (or prints that can be copied); (2) glossy prints of black and white photographs; (3) original type et or printed text, tables, cover, title page, contents, and abstract; or (4) other forms of the materials that a printer can reproduce.
Trim Size. The final size of the whole page, margins included.
Typesetting. The placement of type on a page (letters, numbers, and other characters) in conformance with specific style and layout instructions.
Unique Identification. NRC identification (NUREG number) used on a report and its attachments, revisions, and supplements that is not used on any other publication.
Approved: June 17,1991 (Revised: July 9,1995) 31
Volum] 3, P;rt 1_ Publications, Mail, cnd Inf:rmati:n Discl: sura Unclassified C:ntract:r cud Grantee Publications in the NUREG Series
_ Handbook 3.8 Exhibits Exhibit 1 NRC Form 426A, " Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports"
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Volume 3, Part 1 - Publications, htil, cnd Inf;rmati:n Discl:sure Unclassified Contract:r and Grantee Publicati:ns in the NUREG Seri:s IIandbook 3.8 Exhibits Exhibit 2 NRC Form 335, " Bibliographic Data Sheet" l
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part of the probabilistic risk as.
sessment of the Davis-sse n lear r.
t ton u ertaken by EG&G Idaho. Inc. In-f cluded in this evaluatio are
- tanks, t
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s the variabilities associated with them. Leak rates or les reas esti ed fo th tmlling modes of failure. The pressur1r capacities f th pi and we als a evaluated using limit-state analyses for the various failu mo con ered. The pacities att dependent on several factors. in-cluding the mat ria part
, no 1 9 assumptions and teria. The fail re d
for g ete -flange connections, the postulated failure cri-valves, and pumps do not lend th -
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Unclassified i.=v 66mo...c,ss Approved: June 17.1991 (Revised: July 9,1995) 33
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V:lume 3, Part 1 - Publicati:ns, M:ll, and Int:rmation Disci:surs Unclassified Contract:r cnd Grantee Publicati:ns in the NUREG S:ri:s Handbook 3.8 Exhibits Exhibit 2 (continued)
DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT NtSTRUCTIONS NRC PORM 338. DitLIOGRAPHIC OATA $HtCT,18 DA$to ON CUIDELINES POR FORhLAT AND Pf4CDUCTION OF SCitNTIPlc AND TECHNICAL REPORT 3. AN81230.18-1987 AVAILABLE PROM AMERICAN NATIONAL STANDARDS INSTITUTt, Id30 BROADWAY, NEW YORK. NY 10D18. EACH S$PARATELY SOUND REPORT-POR EXAMPLE, EACH VOLUpt IN A MULTIVOLUME SET-SHALL 04 AVE ITS UNIOUE 019UOGRAPHIC DAT A SHttT.
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- 8. PERPORealNO ORGANt2Afl04 NAME A880 e4AILeeso carry a enkelse alphenomerte essespwuen (NUREG) onesgrud ADDRESS. G6ve norme, street, enty, stem, and ElP sees, by the Repueetery Puheestions Stoneh, DWalen of Pressem List no mere then sure levels of an esgenisational hearuremy.
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'Teshnesel Report Number (STRNL Lhe uopersese letters,'
ederees.
Arable susmereas, siehst, and hyphens only, as in the $elhav.
ing seampeus: NUREG4100. NUREG/CP4010, NOREG/
9, SPON00 mile 0 ORGANIZATION. If NRC, type *5eme es CR4100, and N"JR90/544010. Per esports in a series odd sesve"J ll contreeter, arouseo NRC DMaien, Offese or Region, Vel, Snop., Rev., and Ateendum, tehon mesessary. Add UA Nueeser ftspulosery t -
- c. eed melung eneroes, seneruster arenvolevenne ternufasetten numeer of anyt below NUROG4ertos number, e.6, PNL,XXXX, SA,1DXX.
- 10. SUPPL 8estitTARY NOTES. Enter intermselon ret ineAuted XXXX, sal.YXXX.
elesushere but useful, such as: Propered in gesperation tutth...
Pressneed et senterence of... To be pidsitshed... Desket No.
- 2. TITLE AND SUSTITLE. Thee should indiesse steerty and f
8 briety the aut$ect tesoureen) of the seeert; anreushne any euhme se We mem idee, wien e swart is proceed an more van ene wounu, npest w ortnery me. sed plunw nume"'
- 11. AssTRACT. Ineeues e brief (200 words or best facesel sum-sad insiums subme ser Ww smalhe wounw. Un sepw and enery el the enest espilfenent information sentemed in the ome letmas, but sapindase esmauer sees nenws. De reeert, if she report eenemme e eapnefloent biblaestuohy or not use enronyme end inhassione > tesen; may be messe a" 8.corsesse survey er mukapes soeunes, monotes it eers. Abstreet perenthesis.
le to be propped by mapier et presset mensger.
- 12. EtY tuGR08/D89CRIPTOR$. Seteet trem the Enesyy Date 3* DATE REPORT PUBL8SNED. Leah report must sorry a esse Base SuWoct Timessumes. DOE / TIC.700R ft.4 tese presor indicating month one veer puhashed, ausheetsoul wrms teie' heentify the meier eencept of the romersh owl oro suffmently speelfic and pevoins to be essed
- 4. F8N OR GRANT asuesta. insert isw PIN or yont numbar
""*""I'"*"'""'8'
- 13. AVAILAS4LITY STAfstettlT, Ososse public eeleenshanty, tot commode unelmaant, or limisessen ser seasons other a
- 5. AUTNORit). Gave rienwis) in somentionsa ereer te.g., John shen esaurity.
R. Dee, A Robert Desk ust auther's atl6hstaan it 6 la antser.
est from she perfonning erguiteenen.
- 14. SECURITY CLASSIFICATION. Ensu UA Seeurtty Classifi.
estion in with U.S. $seurity Reguistions (Lt..
E. TYPE OF R$ PORT. 3 see ereft, thel, presaminary, sep6ssi.
mehnneel, repelesery, annus4, eusnarty, etc.
- 15. NLRIBSR OF PAGES. Leave bionit. (Aesed by NTIS)
- 7. PER600 COVERED. Add ins 6,sive seese.
- 18. PRICf. Leave bip*. (Aened by NTIS) u ns mems.m essem en ~
l Approved: June 17,1991 34 (Revised: July 9,1995)
Volume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series llandbook 3.8 Exhibits Exhibit 3 Microfiche Sheet Sample E
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"r"esE"$I' no.
CONTRACTOR NAME (Op v
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Approved: June 17,1991 (Revised: July 9,1995) 35
L P3 03 96 004 PROCEDURES FOR RESOLVING WRC CONTRACTOR DIFFERING PROFESSIONAL VIEWS The Nuclear Regalatory Commission's (NRC) policy is to support the expression of professional health and safety related concerns may differ from associated with tha contractor's work for NRC that a prevailing staff view, an NRC decision or policy position, proposed or established agency practices or similar considerations.
The following proesdure provides for the (DPVs,
expression and resolution of differing professional views of health and safety related concerns of NRC contractors and contracter personnel on matters connected to the subject of the contract.
The NRC may authorize up to eight reimbursable hours for the contractor to document in writing a DPV by the contractor, the contractor's personnel, or subcontractor personnel.
Subcontractor DPVs shall be submitted through the prime contractor. The prime contractor or subcontractor shall submit all DPV's received but need net endorse them. In the event sufficient funds are not available under the contract, the contractor shall first obtain authorization from the Contracting Office providing i
sufficient funds to cover the cost of preparing the DPV.
Witn the exception of the above specified paymeat f e t' eight hours work on a DPV, the contrac:or shall not be entitled to any additional compensation or additional work under its contract by virture of the DPV submission.
Contract funds shall not be authorized to document an allegation in the following instances where the use of this NRC contractor DPV process is inappropriate.
This process shall agi be used l
for allegations of wrongdoing which should be addressed directly to the NRC Office of that Inspector General (OIGli issues submitted anonymousiv; issues that are deemed by NRC to be fr:volous or otherwise no: in accordance with the policy underlying these procedures; or issues raised which have already been considered, addressed, or rejected, absent significant new information.
Note that this procedure does nel provide anonymity. Individuals desiring anonvmity should contact the NRC Office of the Inspector General-or submit the information under NRC's Allegation Program, as appropriate.
Each DFV shall be submitted in wri.ing and will be evaluated on its own merits.
DPV PROCEDURE When required, the contractor shall initiate the DPV process by submitting a written statement directly to the NRC Office Director or Regional Administrator responsibic for the contract, with a copy to the Contracting Officer, Divi.sion of Contracts, Office of Administration.
PROCEDURES FOR RESOLVING NRC CONTRACTOR DIFFERING PROFESSIONAL
s ic ct i:T.
.15.C2-96 004 VirWS The DPV, while being brief, shall contain the following as it relates to the subject matter of the contract: &L 10:14 a summary of the prevailing NRC view, existing NRC decision or stated position, or the proposed or establisned NRC pract.ce.
a description of the submitter's views and how they differ from any of the above items.
the rationale for the submitter's views, including an
-assessment based on risk, safety and cost benefit considerations of the consequences should the submitter's position not be adopted by NRC.
The Office Director or Regional Administrator will immediately forward the submittal to the NRC DPV Review Panel and acknowledge receipt of the DPV, crdinarily withing five (5) calendar days of receipt.
The panel will normally review the OPV within seven calandar l
days of receipt to determine whether enough information has been supplied to undertake a detailed 1eview of the issue.
Typically, within 30 calendar days of receipt of the necessary information te begin a review, the panel will provide a written report of its findings to the Of fice Dire ctor or Regional Administrator and to the Contracting officer, which includes a recommended course of action.
The Office Director or Regional Administrator will consider the DPV Review Panel's report, make a decision on the DPV and provide a written decision to the contractor and the Contracting Of ficer normally within seven calendar days after receipt of the panel's recommendation.
Subsequent to the decision made regarding the DPV Review' Panel's report, a summary of the issue and its disposition will be included in the NRC Weekly Informaiton Report submitted by the Office Director.
The DPV file will be retained in the Office or Region for a minimum of one year thereafter.
For purposes of the contract, the DPV shall be considered a deliverable under the contract.
Based upon the Office Director or Regional Administrator's report, the matter will be closed.
f