ML20211A386

Mod 107 to Contract NRC-02-97-009

ML20211A386
Person / Time
Issue date:	09/19/1997
From:	Goland M, Mace M NRC OFFICE OF ADMINISTRATION (ADM), SOUTHWEST RESEARCH INSTITUTE
To:
References
CON-NRC-02-97-009, CON-NRC-2-97-9 NUDOCS 9709240244
Download: ML20211A386 (160)

Text

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s AMENDMENT OF SOLICITATION / MODIFICATION OF CONTRACT FFS#5097R081

2. AMENDMEhi/MQO!FlCATION NO.

3. (FFECilVE DAlt

6. REQUIslilON/ PURCHASE kEQ. NO.

5. FROJECl h0.

(11 applicable)

.107 9/27/97 RFPA NMS 97 009 9/3/97 i

6. ISSVED BT C00E

7. ADMINISTERED BT CODE 1 (If other than Iten 6)

U. S. Nuclear Regulatory Consnission Division of Contracts, M/S T*712 Washington, DC 20555

8. NAME AND ADDRESS OF CONTRACTOR (No., street, county, State and ZIP code) 9A. AMENDMEh! 0F SOLICllATION NO.

Southwest Research Institute 6220 Culebra Road Post office Drawer 28510

98. DATED (SEE ITEM 11)

San Antonio, Texas 78228 0510 i

Wesley C. Patrick, fresident, CNWRA 10A, M00lflCAllON OF CONTRACT / ORDER h0.

X 7

4 NRC 02 93 005/02 97 009 108. DATED (SEE ITEM 13)

CODE

! FAC hift CODE

11. THis ITEM ONLY APPLIES TO AMENDMENTS OF SOLICITATIONS 4

O The above numbered solicitation is ameress as set f e.-th in item 14, The hour and date specified for receipt of Offers Q is extended, O is not extended. Of f erors must acknowledge recelot of this amendnent prior to the hour and date specified in the solicitation or as amended by one of the following methodst (a) By cortpleting items 8 and 15, i

and returning copies of the amendnenti (b By acknowledging receipt of this amenonent on each copy of the of f er submittec or (c) By separate letter or te egram which includes a reference to the solicitation and amenonent numbers. FAILURI 0F YOUR ACKNOWLEDGMENT TO BE RECElVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PR 4

HOUR AND DATE SPECIFIED MAY RESULT IN REJECTION OF YOUR OFFER. If by virtue of this amenenent you desire to change an of fer already submitted lon and this amenenent, and is received prior to the opening hour and date specified.such change reference to the solicitat

12. ACCOUN!!NG AND APPROPRIAll0N DATA (li required)

N/A 1

13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS / ORDERS, IT MoulFIES THE CONTRACT / ORDER No. AS DESCRIBED IN ITEM 14.

I A. THIS CHANGE ORDER IS ISSUED PURSUANI 103 (Specify authority) THE CHANGES SET FORTH IN ITEM 14 ARE MADE IN l

THE CONTRACT ORDER NO. IN ITEM 10A.

8, 1HE ABOVE NUMBERED CONTRACT / ORDER IS M00lFIED TO REFLECT THE ADM NISTRAllVE CHANGES (such as changes in paying X

office, appropriation data, etc.) SET FORTH IN ITEM 14, PURSUANT TO THE AUTHORITY OF FAR 43.103(b).

i l

C. THIS SUPPLEMENTAL AGREEMENT IS ENTERED INTO PURSUANT TO AUTHORITY Oft x

F.3 entitled " Period of Performance". Renewal modification

=

in accordance witn FAR 35.017 1(e) and OFPP Policy Ltr. 84 1 4

D. OTHER (Specify type of modification and authority) i E. IMPORTANT: Contractor O 13 not, 8 is required to sign this docunent end return 2 copies to the 4

issuing office.

1

14. DESCRIPTION OF AMENDMENT /MODIFICAi!ON (OrganiIed by UCF section headings, including solicitation / contract subject matter where feasible.)

The purpose of this modification is to renew the contract with an effective date of September 27, 1997.

Expenditures for the renewal period shall be separate from those during the first and second five year period of performance (A]/

of the contract. This modification incorporates all modifications-to date and includes new and updated. clauses and attachments. For administrative purposes the contract number for thin renewal period is changed to "NRC-02-97-009".

i Please note that enclosed are-new/ revised attachments 1, 2a, 8,

9, 11, 14 and 19.

All other attachments remain unchanged.

j(

6 Except as provided herein, all terms and conditions of the document referenced in item 9A or 10A, as heretofore changed, rwains unchanged and in full f orce and ef f ect.

15A, hAME AND TITLE OF SIGNER (Type or priet) 16A. NAME AND TITLE OF CONTRACTING OFFICER (Type or print)

Martin Goland a

9 resident Mary;H. Mace,.

/

.156. C TRAC, /0F 4 15C. DATE SIGt D 168. UN TfD 'TATES Op AMERI e

'r 16C. DATE SIGNED l

09/19/97 fI // /

'I 5

BY

/

e'

'M'

/

/ ~~ O '

1 (Signature of persoA autherned to sign)

(signature of Contracting 'Of ficer)

/

STANDARD FORM 30 (REV.10 83)

NSN 7540-01-152-8070 30-105 PREVIOUS EDITION UNUSABLE Prescribed by GSA f

FAR (48 CFR) 53.243 n

9709240244 970919

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-PDR CONTR n

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-NRC-02-93-OO5 PDR 2

__g NRC-02-97-009 Modification No.107 Page 2 B.1 Brief Descriotion of Work and Placement of Work Information Southwest Research Institute (SwRI or Contractor) shall perform all work required by the Nuclear Regulatory Commission (NRC) within the purpose.

scope, mission. and/or special competency of the Center for Nuclear Waste Regulatory Analyses (CNWRA) as described under Section C. the then current Operatier.s/ Project Plans, and the Charter (Attachment 2) with few exceptions.

Those exceptions, which are established by NRC Policy.

are outlined in Attachment 2a.

In addition to the work mentioned above. the CNWRA may perform work for others, or NRC. within its purpose, scope, mission, and/or special competency. as approved by NRC. consistent with the provisions of Federal Acquisition Regulations (FAR) Subsection 35.017 and procedures for authorization and conduct of such work, as set forth in Attachment

16. Upon receipt of a directive from the Contracting Officer (CO). the CNWRA shall prepare detailed Operations / Project Plans and appropriate 4

spending plans.

The C0 will issue a directive authorizing performance in accordance with approved Operations / Project Plans.

Procedures for Placing and Revising Work are included as Attachment 1.

B.2 Consideration and Oblication Historical Information A. October 15. 1987 - October 14 1992 (Oriainal Contract NRC-02-88-005) a.

Tne total estimated ceiling amount of this Cost-Plus-Award-Fee type contract for the above mentioned period was $44.803.009.

b.

The amount obligated by the Government with respect to this contract for this period was $44.589.684. of which the sum of $41.286.744 represents estimated reimbursable costs, and of which $3.302.940 represented the available award fee. The base fee was $0.

The award fee pool was as stated in the Award Fee Determination Plan (AFDP).

The AFDP reflected the actual fee pool based on cumulative estimated costs for performance of approved Operations / Project Plans.

I c.

Evaluation of the award fee earned was accomplished in accordance with the then current AFDP. see Attachment 11.

Neither the determination as to the amount of fee available during a given period, the amount of award fee earned, nor the determination of the criteria under which the subject award fee was made. was subject to the FAR Subpart 52.233-1. entitled " Disputes."

d.

Total funds obligated by Job Code (JC) are as follows:

High-level Waste Transportation JC:

D1035 JC:

D1070 AMOUNT:

531.303.604 AMOUNT:

596.200 Research Licensing Support System JC:

B6666 JC:

L1590 AMOUNT:

511.662.000 AMOUNT:

5 508.880

NRC-02 97 009 Modification No.107 Page 3 Waste Solidification Systems Monitored Retrievable Storage -

JC:

L1793 JC:

L2516 AMOUNT:

419.000 AMOUNT:

100.000 Total amount obligated:

$44,589.684 e,

Total amount authorized by Operations / Project Plans was as follows:

High-Level Waste Transportation JC:

D1035 JC:

D1070 AMOUNT:

$31.203.604 AMOUNT:

596.200 Research Licensing Support System JC:

B6666 JC:

L1590 AMOUNT:

$11.662.000 AMOUNT:

508.880 Waste Solidification Systems Monitored Retrievable Storage JC:

L1793 JC:

L2516 AMOUNT:

419.000 AMOUNT:

50.000 Total amount authorized:

$44.439.684 f.

The total award fee available: the award fee. earned thus far and the evaluation period applicable thereto was as follows:

Available Award Fee Evaluation period Award Fee Earned Oct. 15. 1987 - Apr. 14. 1988

$102.009

$102.009 Apr. 15, 1988 - Oct. '4.

1988

$158.444 5138.639 Oct. 15.'1988 - Apr. 14. 1989

$275.870

$275.870 Apr. 15. 1989 - Oct. 14. 1989

$296.996

$278.434 Oct. 15. 1989 - Apr. 14. 1990

$318.735

$290.846 Apr. 15. 1990 - Oct. 14. 1990

$445.789

$417.930 Oct. 15. 1990 - Apr. 14. 1991

$450.777

$394.430 Apr. 15, 1991 - Oct. 14, 1991

$424.240

$413.634 Oct. 15. 1991 - Apr. 14. 1992

$482.533

$473.486 Apr. 15. 1992 - Sept. 26. 1992

$299.452

$290.094 Note that some of the funds which were obligated and authorized during the base contract period are shown as carryover funds in Section B.2.B.

B.

Octobar 15. 1992 - Sectember 26.1997 (First Renewal Period.

Contract No NRC-02-93-005) a.

The total estimated ceiling amount of this Cost-Plus-Award-Fee type contri.ct for the above mentioned period was $89.898.141.

b.

The amount obligated by the Government with respect to this contract for this period was $64.709.671.19.

In addition, carryover funds in the amount _of $2.939.101.64 were available for use in this renewal period as indicated below.

NRC-02-97-009 Modification No.107 Page 4 The award fee pool was as stated in the AFDP.

The plan reflected the actual award fee pool based on cumulative estimated costs for performance of approved Operations / Project Plans.

The i

. applicable base fee percentaga was also described in the AFDP.

Evaluation of the award fee urned was accom with the then current AFDP (Attachment 11). plished in accordance c.

Neither the determination as to the amount of fee available during a given period, the amount of award fee earned, nor the determination of the criteria under which the subject award fee was made, was subject to FAR Subpart 52.233 1. entitled " Disputes."

d.

Total funds currently by Job Code (JC) are as,follows:

High-Level Waste Licensing Support System Job Code:

D1035 Job Code:

L1590 New Funds:

$ 45,675.400.00 New Funds:

$ 50,000.00 Carryover:

1.439.917,55 Carryover:

18.908.35 Deobligation:

81.000.00 Deobligation:

55.259,71 Transferred from B6666:

2,143,333,89 Total:

49.177,651.44 Total:

13,648.64 Transportation Waste Solidification Systems Job Code:

D1070 Job Code:

L1793 New Funds:

$0 New Funds:

$ 517,000.00 Carryover:

31.857.13 Carryover:

175.391.87 Deobligation: 31,857.13 Deobligation:

50.000.00 Total:

0 Total:

642,391.87 Job Code: J5190 New Funds: $39.900 Total:

$39,900 Research Monitored Retrievable Storage Job Code:

B6666 Job Code:

L2516 New Funds:

$ 16.511,000.00 New Funds:

$ 0 Carryover:

1.216.795,36 Carryover:

56.231.38 Transferred to D1035:

2,143.333.89 Deobligation:

35,771.68 Total:

15.584,461.47 Total:

20.459.70 Tank Waste Remediation Safety Review of TMI-2 Job Code:

J5164 Job Code: J5186 New Funds: $2,000.000.00 New Funds:

$165,000 Carryover: 50 Carryover:

50 Total:

$2,000.000.00 Total:

$165,000 Total New Funds Obligated for Renewal Period:

$ 66,958,300.00 New Funds Deobligated During Renewal Period:

248.628.81 Previously Obligated Funds Deobligated During Renewal Period:

5.259.71

NRC-02-97-009 Modification No. 107 Page 5 e.

Total amount authorized by Operations / Project Plans was as follows:

High Level Waste Licensing Support System Job Code:

D1035 Job Code:

L1590 Amount:

$ 44,662,918 Amounu

$35,900 Research Waste Solidification Systems Job Code:

B6666 Job Code:

L1793 Amount:

$ 15.584,461,47 Amount:

$642,391.87 Transportation Monitored Retrievable Storage Job Code:

D1070 Job Code:

L2516 Amount:

$0 Amount:

$20,459.70 Tank Waste Remediation Safety Review of THI 2 Job Code: J5164 Job Code:

J5186 Amount:

5772.035.00 Amount:

$158,290 Total amount authorized:

$ 61.876,456.04 f.

The total award fee availab'e: # award fee earned thus far and the evaluation period applicable thereto were as follows:

Availabic.

Award Fee Evaluation Petj_qd Award Fee Earned 11 9/27/92-4/9/93

$309,465

$259.951 12 4/10/93-9/24/93 347,645 316,673 13 9/25/93-9/30/94 709,894 668,010.43 14 10/1/94;9/29/95-817.617 793,088-15 9/30/95-9/27/96 665,948 645,970 16-9/28/96-9/26/97 506,993 Current Data C.

Seotember 27. 1 0 7 - Seotember 27. 2002 The total estimated ceiling amount of this Cost-Plus-Award-Fee type a.

contract for the above: mentioned period is $87,611.477.00.

~ ~

b.

The. amount-presentlyobligatedbytheGovernme'ht1withrespectto this contract for this period is $ 0 In addition', carryover funds in the amount.of approximately $2,988,027.50 are available for use.in thisirenewal period as indicated below, The award fee pool will.be as stated in the AFDP. The plan will reflect the actual award fee pool based on cumulative estimated costs for performance of approved Operations / Project Plans. The applicable base fee percentage is also described in the AFDP.

,~.%

-.hW

=

t-4 h

NRC-02 97-009 Modification No.107 Page 6 c.

Evaluation of the award fee earned will be accompl'ished in accordance with the then current AFDP (Attachment 11).

Neither the determination as to the amount of fee available during a given period the amount of award fee earned nor the determination of the criteria under which the subject award fee will be made, shall be subject to FAR Subpart 52.233 1. entitled. " Disputes",

d.

Total funds currently obligated by Job Code (JC) are as follows:

High-Level Waste Waste Solidification Systems Job Code:

D1035 Job Code:

L1793 New Funds:

New Funds:

Carryover: $1.764.608.31 (est.)

Carryover:

Total:

$1.764.608.31 Total:

Tank Waste Remediation Waste Solidification Systems Job Code: J5164 Job Code:

J5190 New Funds:

New Funds:

Carryover: $1.200.178.73 (est.)

Carryover: $10.995.01 (est.)

Total: $1.200.178.73 Total:

$10.995.01 THI-2 Job Code: J5186 New Funds:

Carryover: $12.245,45 (est.)

Total:

$12.245.45 Total New Funds Obligated for 2nd Renewal Period:

$0 e

..__~

NRC-02 97-009 Modification No. 107 Page 7 e.

Total amount authorized by Operations / Project Plans is as-follows:

High Level Waste Waste Solidification Systems Job Code:

D1035 Job Code: J5190 Amount:

$1.764.608.31 Amount:

$10.995.01 Tank Waste Remediation THI-2 4

Job Code: J5164 Job Code: J5186 Amount:

$1.200.178.73 Amount:

$12.245.45 Total amount authorized:

$2.988.027.50 4

f.

The total award fee available, the award fee earned thus far and the evaluation period applicable thereto are as follows:

Evaluation Period Available Award Fee Award Fee Earned 17 18 19

'20'

.21

.o Section C - Qgicriotion/Soecifications/ Work Statement C.1 Statement'of W5r.k for Ooeration'of the Center for Nuclear Waste Reaulatory Ant vses i

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C.1.1.

Concent"forCNWRA'Su500rttoNRC_

i C.1.1.1 Nuclear Waste Policy Act of 1982-s The Nuclear Waste Policy Act of 1982 as amended-(NWPA) sets forth the policy of the United: States with regard to the management, storage and disposal of this nation's high-level radioactive waste-from commercial and defense activities. The NWPA charges the Department of Energy (DOE) as the lead Federal Agency to manage the siting, construction.

4 a.

A crA g

NRC-02-97-009 Modification No. 107 Page 8 operation, and permanent closure of high-level waste management facilities, including geologic repositories, monitored retrievable storage facility, transportation of high-level waste, and any neaded interim storage system under the NWPA.

The NRC is charged under the NWPA as the Federal Agency which will regulate DOE's activities under

-Commission rules so as to assure protection of public he21th and safety and that the Environmental Protection Agency's (EPA) applicable environmental standards are met with reasonable assurance, The NWPA also sets forth specific institutior.al processes which involve State and Tribal participation through the program and involve long-term schedules that carry the progrrm into the next century.

C,1.1.2 Need for Federally Funded Research and Develooment Center (FFRDC) Sucoort to NRC Within NRC, the Office of Nuclear Material Safety and Safeguards (NMSS) i has programmatic lead for developing and executing the regulatory program for NWPA activities, NMSS is sup)orted by other offices in fulfillment of these responsibilities suc1 as the Office of General Counsel (OGC) and the Office of Nuclear Regulatory Research (RES) as i

warranted and as the budget permits.

NRC has a strong heritage of technically competent staff in nuclear regulation which it maintains today and has every intention of maintaining in the future.

However, NRC recognizes the critical importance of its technical assistance and research program which is obtained outside of NRC.

Because of special circumstances surrounding NRC's need for NWPA related technical assistance and research NRC has established and will be the sole sponsor for the CNWRA, an FFRDC. in accordance with Office of Management and Budget (0MB) Office of Federal Procurement Policy (0FPP) Letter 84-1 and Part 35 of the Federal Acquisition Regulations. The special circumstances necessitating sponsorship of an FFRDC are:

o The Need to Avoid Conflict of Interest with Regard to NRC's Technical Assistance and Research Program Related to the NWPA

- Many of NRC's prior contractors either had contracts or were competing for contracts under the DOE nuclear waste program, as well as with NRC's licensees or other parties involved in the Commission's licensing hearings.

Because 002 is the applicant in l

NRC licensing hearings, ano States and Tribes are parties, concurrent work by NRC contractors for any of the above could dimir.ish the contractors' capacity to give imprtial, technically sound, objective assistance and advice or might otherwise result in biased work products. This potential for conflict of interest could result in significant delays to or preclude participation in NRC's licensing proceedirig, which is a critical path milestone of the national waste management program.

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NRC 02 97-009 Modification No.107 Page 9 o

The Need for Long Term Continuity in Technical Assistance and Research Because of the need to avoid conflict of interest situations, and because DGE's program budget for the NWPA is significantly larger than NRC's program budget NRC has in the past lost access to some of its contractual support providing essential technical expertise. Action is required to preclude continued erosion in the future.

Since NRC's responsibilities under NWPA span more than twenty years, continuity in technical expertise is essential to the success of NRC's licensing program.

C.1.1.3 Commitments The specific commitments between the NRC and CNWRA are as follows:

C.1.1.3.1 The CNWRA and NRC mutually commit to a long term relationship for technical assistance and research throughout the period for which NRC has responsibilities under the NWPA, C.1.1.3.2 The CNWRA shall assist the NRC staff in providing testimony and the CNWRA shall 3rovide testimony t'y its expert staff, as required, during adjudicatory learings before thc Commission or in court cases dealing with regulatory programs covered in this Statement 01 Work.

C.1.1.3.3 Pursuant to its Charter, the CNWRA will provide independent suggestions and recommendations concerning new work that in the opinion of the CNWRA may benefit the NRC in the execution of its responsibilities.

C.1.1.3.4 NRC will provide the CNWRA access to technical and programmatic materials and provide for access to NRC contractor and DOE facilities in support of systems engineering, technical assistance and research tasks.

C.1.1.3.5 NRC will keep the CNWRA cognizant of all substantive staff and regulatory decisions on NWPA activities.

C.1.1.3.6 The CNWRA shall provide written positions, as requested by HRC. on major regulatory and programmatic issues in support of the NRC decision-making process.

C.1.1.3.7 The CNWRA shall consult and obtain NRC approval arlor to scheduling any interactions between itself, DOE, or otler parties to the licensing proceedings.

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NRC 02-97-009 Modification No.107 Page 10 C.1.1.3.8 The CNWRA shall direct research efforts to reduce uncertainty in NRC's regulatory decision-making and associated performance assessments.

It is anticipated that the research will include laboratory and field testing of phenomena important to repository behavior and validation of performance assessment models, primarily in the areas of the natural setting and engineered systems.

Research in other technical areas may be needed from time to time.

C.2 Scooe of Work for the CNWRA C.2.1 The charter discussing the requirement for the CNWRA and delineating the mission and major functions of the CNWRA is included as Attachment 2.

C.2.2 The CNWRA shall provide the necessary personnel, materials.

4 equipment, facilities, and other services to conduct technical assistance and research for NRC in support of its regulatory program as related to activities under the NWPA for a high-level radioactive waste disposal system (includes high-level waste storage. transportation and disposal; and Section 151 activities concerning low-level waste).

Technical assistance will be provided to the NRC in support of: (1) creation of regulatory requirements and technical guidance. (?) development of technical assessment capabilities and methods (3) quality assurance, audits, reviews and field verifications. (O technical reviews related to NWPA. (6) systematic regulatory analysis, including planning and special studies attendant to the operations and management of the Center (7) other special projects related to high-level waste management as may be assigned on a case-by-case basis, and (8) assistance to NRC staff during a determination of site sufficiency and waste form adequacy, as well as licensing reviews.

A broad program of regulatory research will be conducted consistent with the availability of funding to assist NRC in (1) development of licensing tools and technical bases. (2) development of independent understanding of processes and conditions affecting repository performance, and (3) maintenarn e of an independent confirmatory research capability.

In addition the CW<A shall provide technical assistance to support the NRC in other areas described herein, as required.

In accordance with the provisions of the current OFPP and related regulations aric procedures attendant to the conduct of work by an FFRDC on behalf of its Sponsor, the CNWRA will exercise its independence and initiative by offering professional advice and counsel on technical matters pertaining to develoament. allocation and execution of technical assistance and researc1 work to be accomplished under its Charter.

This will include, but not be limited to, the effective and efficient utilization of CNWRA core staff's technical knowledge and experience in the selection.

application and evaluation of approaches methodologies and rationale for initiation prioritization and conduct of new and existing work, irrespective of organizational (NRC or CNWRA) origin.

NRC-02 97-009 Modification No.107 Page 11 The CNWRA will utilize its contractually funded opportunities to strengthen the professional know; edge and skills of its staff in order to enhance the quality of stch professional advice and counsel during the term of this contract.

C,2.3 The major areas of work for which specific direction may be issed are described below.

C.2.3.1 Waste Systems Enaineerina and Intearatiqn Work under this area may include, but is not limited to:

(1) systems engineering and integration applied to the total high-level waste dis >osal system and subsystems, from NRC's regulatory perspective: (2) tecinical review (cost, schedule and performance): (3) analytical and strategic planning studies: and (4) suggestions and recommendations relative to the integration of all CNWRA work currently approved under Operations / Project Plans, including collaborative efforts with NRC 4

staff.

C.2.3.2 Lona-Term Performance of Geoloaic Settina I

Work under this area may include, but is not limited to: (1) review and evaluation of pre-closure and post-closure issues associated with the role of the geologic setting on repository performance. (2) siting of an i

interim storage (IS) system under the NWPA. (3) review and evaluation of selected DOE plans and re) orts, and (4) technical feasibility assessments involving hig1-level waste activities.

Tasks would involve technical disciplines in earth science areas such as surface water hydrology, saturated and unsaturated groundwater hydrology, geomorphology, seismicity, geophysics, stratigraphy, structural geology, geochemistry, solute transport, natural resource anal meteorology / climatology, tectonics, and volcanology, ysis, C.2.3.3 Lona-Term Performance of Enaineerina Barrier system Work under this area may include, but is not limited to: (1) review and evaluation of pre-closure and post-closure issues and design considerations associated with role or use of the engineered barrier system in the performance of the geologic repository, (2) siting of an IS system. (3) review and evaluation of selected DOE plans and reports, and (4) technical feasibility assessments involving high-level waste activities.

Review and evaluation of thermal and environmental conditions may also be required.

Tasks would involve technical disciplines in areas such as nuclear engineering, mechanical engineering, electrochemistry, waste form behavior, material life prediction, reliability, materials science, corrosion engineering, manufacturing technology for metals, ceramic processing, glass science, and geochemistry.

NRC-02-97-009 Modification No.107 Page 12 C.2.3.4 Waste Solidification Svstems Work under this area may include but is not limited to, the review and evaluation of technical issues related to high-level waste processing activities and associated radiological health and safety as well as 1

environmental affects related to the West Valley Demonstration Project.

4 Tasks would involve technical disciplines in areas such as chemical engineering, environmental sciences, glass science, off-gas treatment, i

i corrosion engineering, nuclear engineering. -structural engineering, and seismic structural analysis.

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I C.2.3.5 Interim Storace and Recository Desion. Construction and 00eration Work under this area may inc'ude, but is not limited to: (1) review and evaluation of technical issues and design considerations associated with-the licensing, construction, and operational performance of an IS system and a high-level waste geologic repository. (2) review and evaluation of selected 00E plans and reports, and (3) technical feasibility assessments involving hig1-level waste activities.

Tasks would involve technical disciplines in areas such as nuclear, facilities civil, structural, and mining engineering, radiation protection. safety analysis, criticality, fire protection engineering, process engineering.

effluent treatment analysis, structural analysis, geological and -

geotechnical engineering, and industrial and mine safety.

C.2.3.6 Research Research consistent with availability of funding will be based on the following:

(1) iterative performance assessment and other calculational methodologies to identify areas of high sensitivity. (2) the results of research conducted by NRC or others, and (3) recommendations of review and oversight groups such as the Advisory Committee on Nuclear Waste.

Such a program will consider the ongoing repository development program of the DOE. the host State and other parties as well as the Regulatory Program of the Nuclear Regulatory Commission.

Research shall be conducted, as necessary, in each of the broad areas of geologic setting, engineered barrier systems. repository design, 4

construction, and operations, and performance assessment.

C.2.3.7 CNWRA Ooerations Work under this a'rea may include, but is not limited to, the development and implemetration of necessary administrative, management and quality assurance procedures and practices needed to successfully operate a FFRDC. Activities will encompass: (1) providing management and technical support, including Information Management Systems (IMS) which is not program element specific. (2) developing and sustaining technical and analytical capabilities. (3) staffing. (4) developing and maintaining Operations Plans. and Management Plan (including Staffing

NRC 02-97 009 Modification No. 107 Page 13 Plan). (5) performing analyses of policy, environmental, socio-economic.

institutional and legal matters applied to NWPA waste management issues.

(6) conducting strategic planning studies, including analyses of alternative approaches, and (7) conducting internal quality assurance.

C.2.3.8 Performance Assessment Work under this area may include, but is not limited to: (1) development of performance assessment capabilities. (2) participation in iterative performance assessment, (3) review and evaluation of the technical issues associated with the performance assessment of the overall repository system. (4) review and evaluation of selected DOE plans and reports, and (5) conduct of technical feasibility assessments involving high-level waste activities. Tasks will include, but not be limited to.

l technical support for the resolution of performance assessment _ licensing l

issues modeling, maintenance and management of a configuration l

controlled code, and participation in national and international studies and workshops; A wide range of technical disciplines will be drawn from the major work areas defined in sections C.2.3.1 through C.2.3.5, and will emphasize skills in flow and transport modeling, risk / hazard a

l assessment, health physics, and computer science.

C.2.3.9 External Ouality Assurance Work under this area may include, but is not limited to:

(1) performing observation (s)/ audit (s) of DOE quality assurance (QA) programs (2) conducting quality assurance on site visits and verifications. (3) providing exaert advice to NRC staff on its annual updates of OA Review Plan and tec1nical positions on quality assurance, and (4) reviewing DOE management control documents and revisions to previously approved quality assurance plans for DOE program participants / contractors.

C.2.3.10 HLW Licensina Succort System (LSS)

Work under this area may include, but is not limited to: (1) project management support for the LSS, e.g., evaluation of issues related to design, development, quality assurance, and operation of the L35, (2) assistance in development of procedures and standards for the submission of documentary materials, including compliance evaluation and protocols for access to technical data. (3) maintenance of LSS guidance documents, and (4) support related to LSS workload processing distribution and volume assessment.

C.2.3.11 Transoortation Activities under this area may include, but are not limited to: (1) review and evaluation of selected DOE plans and reports, (2) technical feasibility assessments, and (3) policy issues. strategic planning studies, as weli as environmental, socio-economic, institutional and legal analyses applied to NWPA waste transportation issues.

i

NRC-02 97-009 Modification No.107 Page 14 C.2.3.12 Tank Waste Remediation System (TWRS)

Work under this area may include, but is not limited to technical and regulatory issues pertaining to the determination of changes to the NRC regulatory framework that will need to be stable and predictable prior to the DOE soliciting bids for Phase II solidification of high-level and transuranic wastes.

Part of this effort will include the review and evaluation of technical issues related to compatibility of Phase I proposed designs and operations with NRC safety and safeguards regulations and guidance.

Technical disciplines and special qualifications include experience in waste solidification systems and technology. risk analysis, regulatory analysis, hazards analysis and process risk management health physics, off-gas treatment chemistry and chemical engineering corrosion engineering, materials engineering nuclear criticality safety. structural engineering, seismic structural analysis, and quality assurance.

i 4

4 e

E

NRC 02 97 009 Modification No. 107 Page 15 C.3 incorooration of ODerations/Proiect Plans The Contractor shall perform the work described under the Program Element Plans as_ revised by annual guidance in accordance with the currently approved Operations / Project Plans which reflect the mutually agreed upon scope and spending plan for the work in each major area of work.

C.4 Meetinas The CNWRA shall participate in NRC meetings as follows:

C.4.1 Technical Meetinas and Other Formal Contractual Meetinas The CNWRA shell participate at meetings in which NRC plans to provide technical direction or discuss technical work done or being proposed by the CNWRA.

Such meetings are scheduled and chaired by the NRC in accordance with an agenda coordinated with the CNWRA.

Only the NRC is authorized to issue technical direction, work directives or otherwise change the requirements of this contract in accordance with specific limitations of authority herein.

C.4.2 Manaaement Meetinas When required by NRC the CNWRA shall participate in management meetings. Often held-in conjunction with, but, where appropriate, separate from. technical direction meetings, these meetings are held for the purpose of discussing the conduct of the contracted effort with CNWRA management officials.

During these meetings the CNWRA shall brief the NRC regarding anyJproblems encountered and/or problems' anticipated and.their effect on'the terms.of the contract. Modifications and/or the addition of new required work to the contract and revised program element plans will also be discussed jointly and the NRC may decide on any necessary changes. The Contracting Officer will issue a written directive to the.CK..'RA based on changes _ agreed to at the meetir.g.

C.4.3.

HLW Manaaement Board The role of the HLW Management Board (the Board) is to improve overall integration of the HLW program. The CNWRA Technical Director shall participate in periodic meetings and shall provide information and advice to the NRC staff in various~ technical areas which fall within the scope of this contract.

Other members of the CNWRA managment and staff may be asked by the _ Board _to attend some Board meetings in order to provide information to support specific agenda topics.

NRC-02-97-009 Modification No.107 Page 16 C.4.4 Technical Exchance Meetinas with NRC Contractors The CNWRA with prior coordination with the NRC. shall establish and conduct meetings for the purpose of exchanging technical information with other NRC contractors and subcontractors.

Unless otherwise notified by the NRC CNWRA Program Manager (PM). NRC CNWRA Deputy Program Manager (DPM) _or NRC Program Element Manager (PEM) the Center shall prov1de minutes and distribute them to the NRC and the contractor (s).

C.4.5 Technical Exchanae Meetinas with Licensees States and Tribes When required by the NRC. the CNWRA shall participate in meetings with licensees, or including their contractors, states. tribes, and/or other governmental agencies and in the participants regulatory proceedings.

Section D - Packaaina and Markina Any shipments to the NRC shall be packaged by the Contractor in such a manner that will ensure acceptance by common carrier and safe delivery at destination. Containers and closures shall comply with the Interstate Commerce Commission Regulations. Uniform Freight Classification Rules. or regulations of other carriers as aaplicable to the mode of transportation. On the front of the package, tie Contractor shall clearly identify the contract number. Operations Plan Project Plan / Key Technical Issue (KTI). if applicable and individual (NRC Contracting Officer /NRC Program Element Manager / Project Officer) for which the product is being provided (See F.2 for Place of Delivery).

Section E - Insnection and Accentance E.1 Place of Insoection and AcceDtance Inspection and acceptance of the deliverable items to be furnished hereunder shall be made at the destination.

E.2 Ouality Assura,1ce All work (i.e.

data collection analyses. computations, methods etc.)

conducted under this contract shall be performed in accordance with an accepted quality assurance program addressing the criteria of 10 CFR Part 50. Appendix B. as appropriate, and the guidance of the NRC Review Plan for High-Level Waste Quality Assurance Program Descriptions applicable to research and technical assistance. The program shall be established, implemented, and maintained as specified in a documented quality assurance manual, plans, and procedures.

In addition. if standard test or calibration procedures are employed (e.g., ASTM

NRC 02 97 009 Modification No. 107 Page 17 l

Standards), these should be cited in the program or associatec' implementing procedures. As appropriate, the work and results should receive exposure in the scientific community through publication of results in referenced journals, or throuah peer reviews, or both. All planned publications shall be submitted to NRC in accordance with Clause H.3 Dissemination of Contract Information.

E.3 FAR Citations The contractor shall refer to Section 1. Clause No. 52.252 2 for citations incorporated by refe ence.

Section F Deliveries and Performance F.1 Renorts Documentation and Other Deliverabie End items F.1.1.

Operations / Pro 1ect Plans in the development of Operations / Project Plans, the CNWRA shall introduce recommended approaches, methodologies and rationale for initiation, prioritization and conduct of new and existing work.

Any recommendations. especially for new work, shall be provided based on the state of the art knowledge and experience specific to the areas of special competency manifest in the CNWRA.

A, Doerations Plans One Operations Plan shall be developed for each Job Code (unless otherwise approved by the C0), other than research which NRC directs the CNWRA to develop using a Project Plan forrtat as addressed below, with a separate technical program description section for each major area of work. Once the Operations Plan is approved by NRC, the Contracting Officer (CO) will issue a directive to initiate,,ork in accordance with the approved Operations Plan, Generally. Operations Plans shall include:

1.

Summary and/or Introduction 2,

Technical Program DescriptLn 2.1 Major areas of work 2.1.1 Tasks and/or Subtasks 2.1.1.1 Objectives 2.1.1.2 Descriptions 2.1.1.3 Milestones / Deliverables 2.1.1 2.1.1.3 is to be repeated for each task and/or subtask for each Operations Plan.

1 NRC 02 97 009 Modif1 cation No.107 i

j Page 18 i

F.1.?

Deliverable Reauirements A deliverable schedule shall be specified in each Operations / Project Plan.

F.1.3 Soendina Plan j

The CNWRA shall submit spending plans for each Operations / Project Plan which shall project the estimated cumulative amount of costs to be incurred relative to percentage of work to be completed for each four week period through completion of Operations / Project Plans.

The CNWRA shall update the spending plans when required by the CO.

F.1.4-Information to be Furnished by NRC The CNWRA shall immediately identify any NRC decisions or in)ut required to accomplish the contract requirements and the date by whic1 the NRC decision / input must be communicated /provided to the CNWRA so as not to incur cost or schedule impacts.

F.1.5 Periodic Prooress Reoort The contractor shall pre)are a periodic progress report for each four Week period addressing tie status for each approved major area of work.

Such report identified as the Program Manager's Progress Report (PMPR).

shall be submitted within two weeks following the reporting period to:

NRC CNWRA Program Manager. NMSS - thirty-five (35) copies Contracting Officer DCPM/ADM one (1) copy The resorts shall include: title of the contract: the contract number.

the Jo) Codes the period of performance: the reporting period and an Executive Summary.

It shall contain the following sections:

Project Status Section (a) Technical Provide current status of each major area of work showing current work and anticipated activity in the. subsequent fiscal period.

Indicate deliverables submitted for approval during the current perid.

Include the submission date, currently ap3 roved due date, and if appropriate..

the original due date of deliveraales submitted during the period covered by the PMPR in the narrative for each major area of work.

Information regarding deliverables may be provided in tabular form.

(b) Management issues (c) Major Problems (d) Summary of Schedule Changes

I NRC 02 97 009 Modification No. 107 Page 19 A chart should be included in the report listing schedule changes for each intermediate milestone (IM) which occurred during the precedir.g period or are anticipated to occur during the subsequent period.

These i

changes should be coordinated and verbally approved by the appropriate i

PEM.

The chart should include the milestone number. type (IM or major milestone (MM)), description, current due date, requested revised date.

and reason for request for Change in Schedule.

The chart may also include major milestone delay requests if the report will be received in sufficient time for the NRC to provide a written response before the j

current due date of the deliverable.

1 (e) Financial Status Summary (i) Provide a summary of the current contract financial status.

(ii) Provide a listing of the CNWRA core staff.

(f) Property Status (1) List equipment / property (as defined in Section H.26 (b) of this contract) with an acquisition cost of $500 or more and less than

$50,000 acquired during the month. Give the item number for the specific piece of equipment.

1 (2) List equipment / property (as defined in Section H.26 (a)) acquired for the project during the month with an acquisition cost of

$50,000 or more.

Provide the following information for each item l

of eouipment/ property: item description or nomenclature, manufacturer, model number, serial number, acquisition cost, and j

receipt date.

If no pro)erty was acquired during the month, i

include a statement to tlat effect.- Note: The same information shall be provided for any component or peripheral equipment which 3

is part of a " system or system unit."

3 1

(3) The Period 13 PMPR report shall provide a cumulative listing of equipment / property (as defined in Section H 26 (a)) with an acquisition cost of $50,000 or more ($5.000 or more if purchased 4

prior to October 1,1995) showing the above information.

(4) The' final PMPR report shall provide a closecut equipment / pro)erty report containing the same elements as described above for tie monthly re) orts for all equipment / property (as defined in Section d,26) purciased with NRC funds regardless of value.

If no equipment / property was acquired under the contract, provide a statement to that effect.

The report should note any equipment / pro >erty requiring special handling for security, health, safety, or Wcler reasons as part of the re> ort. Also, whenever the report references the accuisition of, or clanges in status of.

p*operty/ equipment valuec at the time of purchase at $50,000 or more, send a copy of the report to the Chief. Property Management

'i Branch, Division of Contracts and Property Management Office of Administration.

NRC-02 97 009 Modification No. 107 Page 20 F.1.6 Technical Reoorts All technical reports required under this contract will be specified in the individual Operations / Project Plans and shall be submitted in accordance with.9RC Handbook 3.8. Attachment 9. unless otherwise specified.

The NRC PEH shall comment within 15 working days after submission of each report: these comments shall be addressed in the final reports or revisions thereto.

When formal final reports that NRC would publish.

i.e.. NUREGs. are requested and approved by NRC. the reports shall be submitted in camera ready copy for NRC publication to tle NRC PEM/ Project Officer (PO).

Concurrently. Jhoto copies shall be sent to the NRC CNWRA PM. NRC CNWRA DPM. NRC PEM/30 and CO.

F.1.7 Annual Reviews The CNWRA shall provide annual reviews of the major program areas as requested by the NRC.

These reviews will serve to: (1) evaluate progress made in the previous fiscal year. (2) indicate any adjustments warranted in the CNWRA's opinion and (3) allow NRC to advise the CNWRA on areas of emphasis and/or modification to the CNWRA's originally submitted Operations / Project Plan.

F.1.8 Technical Comments and Recommendations A.

As a result of its review and evaluation activities relating to existing work, the CNWRA shall provide comments and recommendations in writing to the NRC CNWRA PM/4RC CNWRA DPM and/or NRC PEM along with a copy to the C0 that represent an independent technical assessment for his/her consideration.

The tachnical comments and recommendations shall include the reasons for the recommendation and define the aroposed change in appropriate form to facilitate implementation )y the NRC.

Pursuant to its Charter the CNWRA shall provide inde:endent suggestions and recommendations concerning new work tlat will. in the opinion of the CNWRA. benefit the NRC in the execution of its responsibilities under the NWPA.

When a recommendation introduces new work and/or requires changes to existing work. it shall include:

(a) A description of the new work and/or modification to existing work resulting from a thorough evaluation of current major areas of work.

(b) A rationale for such suggestions and/or recommendations including a delineation of their cost and benefits, and (c) Any schedule impacts. that would occur as a result of adopting these suggestions and/or recommendations.

NRC 02 97 009 Modification No. 107 Page 21 B.

The NRC CNWRA PM/NRC CNWRA PPM and/or NRC PEM will review the potential effects of the C M A's technical comments and recommendations on these specific programs.

After considering all j

other relevant factors, the NRC CNWRA PM/NRC CNWRA DPM or NRC PEM may, when appropriate. determine that a change in a particular program is necessary to assure timely and economical accomplishment of program objectives. consistent with mission requirements.

Any required changes will be issued in a directive by the C0. When a)propriate, prior to issuing direction. the NRC CNWRA PM/NRC CNWRA D)M and NRC PEM together with the C0 will review the proposed change with the appropriate CNWRA staff, C.

If the CNWRA's corresponding Element Manager (EM) believes that the NRC technical decision is not in the best interest of the particular program, he/she shall inform the NRC PEM and the NRC CNWRA PM/NRC CNWRA DPM.

If the issue is not resolved at the Element Level, the CNWRA's EM may request CNWRA senior management to initiate a higher level management review with the NRC.

CNWRA's senior management would then discuss the issue with the NRC Technical Sponsor, if resolution is not attained at that level.

CNWRA senior management should request the NRC CNWRA PM/NRC CNWRA DPM to refer the issue to the NRC's Center Review Group (CRG).

Implementation of the decision may, at the discretion of the NRC CNWRA PM be withheld pending the reviews.

If not otherwise resolved, ultimate referral shall be to the Director. NMSS. and the President of the CNWRA.

In the event that agreement is not reached at this level. the CNWRA will document its recommendations for l

inclusion in the NRC official CNWRA contract file.

Nevertheless.

the decision of the Director. NMSS will be final (see F.5 and 8).

F.1.9 Electronic Fnrmat The CNWRA shall submit documentation to the NRC in electronic format in accordance with Attachment 12 entitled " Contractor Procedures for Submitting Documentation to the NRC in Electronic-(Machine Readable) Format" l

F.2 Place of Delivery Interim and final deliverables shall be furnished with all transportation charges paid by the contractor to:

l A.

NRC CNWRA Program Manager Regular Mail U.S. Nuclear Regulatory Commission i

ATTN: John J. Linehan. Director Program Management, Policy Development and Analysis Staff. NMSS 1

Mail Stop T 8A23

(

Washington, D.C, 20555 1

l l'

NRC 02 97-009 Modification No. 107 Page 22 i

4 Express Mail / Physical Delivery U.S. Nuclear Regulatory Commission ATTN:

Director Program Management. Policy Development and Analysis Staff. NMSS j

Two White Flint North 11545 Rockville Pike. Mail Stop T 8A23 l

North Bethesda, Maryland 20852 B.

NRC Contracting Officer Regular Mail U.S. Nuclear Regulatory Commission 4

ATTN:

NRC Contracting Officer Division of Contracts and Property Management Mail Stop: T 712 Washington. 0.C.

20555 i

Express Mail / Physical Delivery U.S. Nuclear Regulatory Commission ATTN:

NRC Contracting Officer Division of Contracts and Property Management. Mail Stop T712 Two White Flint North 11545 Rockville Pike North Bethes,da, Maryland 20852 C.

Individual NRC PEMs and P0s named in each element when the directive is issued.

y F.3 Period of Performance l

In order to provide program continuity. NRC desires to use the contractor as the operator for the CNWRA throughout the duration of the NRC program under NWPA (estimated over twenty years).

The original 4

contract for this program support commenced on October 15, 1987 and

,~

expired on October 14, 1992.

The first renewal period was October 15.

1992 - September 26. 1997.

The period of performance for this contract shall be September 27. 1997 through September 27, 2002.

The term of the contract may be renewed following conduct of a comprehensive review of the use and need for the CNWRA and will not exceed five year increments.

Each Operations / Project Plan for directed work shall specify its own 3

duration, i

F.4 FAR Citations The contractor shall refer to Section 1. Clause No. 52.252 2 for citations incorporated by reference.

i

NRC 02 97 009 Modification No. 107 Page 23 F.5 Resolvino NRC Contractor Differina Professional Views (DPVs)

The Nuclear Regulatory Commission's (NRC) policy is to support the contractor's expression of professional health and safety related concerns associated with the contractor's work for NRC that (1) may differ from a prevailing NRC staff view. (2) disagree with an NRC decision or policy position, or (3) take issue with proposed or established agency practices.

An occasion may arise when an NRC contractor, contractor's personnel, or subcontractor personnel believes that a conscientious expression of a competent judgement is required to document such concerns on matters directly associated with its performance of the contract.

The procedure that will be ustd provides for the expression and resolution of differing professional views (DPVs) of health and safety related concerns associated with the mission of the agency by NRC contractors, contractor personnel, or subcontractor personnel on matters directly associated with its performance of the contract, may be found in Section J (Attachment 18) of this contract.

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 DPVs received but need not endorse them.

Section G - Contract Administration Data G.1 Overhead / General and Administrative (G&A) Rates A.

Pending the establishment of final overhead rates which shall be negotiated based on audit of actual costs. the contractor shall be reimbursed for allowable indirect costs as follows:

CATEGORY RATE COST BASE APPLICABLE PERIOD Overhead for CNWRA 82%

direct labor and 10/15/87 9/29/89 Empinvees fringe benefit costs for CNWRA employees 83.5%

direct labor and 9/30/89 9/26/91 fringe benefit costs for CNWRA employees 78%

direct labor and 9/27/91 5/8/92 fringe benefit costs for CNWRA employees 67%

direct labor and 5/9/92-9/30/94 fringe benefit costs for CNWRA employees 69%

10/1/94-until revised

NRC 02 97 009 Modification No. 107 Page 24 Overhead for Institute 116%

direct labor and 10/15/87 9/24/93 Employees fringe benefit costs for Institute employees 118% (122%*)

9/25/93 until revised Fringe Benefits-39%

direct labor 10/15/87 9/30/88 41%

direct labor 10/1/88 4/13/90 42%

direct labor 4/14/90 3/3/92 42.7%

direct labor 3/4/92 9/30/92 43.7%

direct labor 10/1/92 1/31/97 44.0%

direct labor 2/1/97 until revised Material Handling Burden 2.6% purchased parts and 9/27/97-until revised materials, subcontracting costs B.

The C0 may adjust the above rates as approoriate during the term of the contract upon acceptance of any revisions proposed by the Contractor.

It is the Contractor's responsibility to notify the C0 in accordance with 52.232 20 - Limitation of Costs or 52.232 22 -

i Limitation of Funds, as applicable, if such change (s) affect (s) performance of work within the established cost or funding

+

limitations.

C.

Notwithstanding A. and B. of this Section, said provisional overhead and G&A rates may be adjusted as appro)riate during the term of the co.; tract upon the acceptance of suc1 revised rates by

.the CO.

D.

Rate marked with an asterisk (*) is a ceiling rate.

in the event that the indirect rate developed by the cognizant audit activity on the basis of actual allowable costs is less than the ceiling rate, l

.the rate established by the cognizant audits must apply.

The.

Government may not be obligated to pay any additional amounts for i

indirect costs above the ceiling rate set forth above for the applicable period. The SwRI provisional overhead rate effective 9/25/93 is 118%.

This rate is subject to change from time to time as approved by DCAA and DCMC.

The ceiling rate shall be equal to the provisional rate, but in no event shall exceed 122%.

Please note that 118% was the ceiling rate for SwRI overhead for the period 10/1/95 9/26/97 and that 122% is the ceiling rate for the period 9/27/97-9/27/02. The provisional billing rate is 118% until revised.

l

i NRC 02 97 009 Modification No.107 Page 25 E.

The following states the final audited indirect rates which apply to this contract:

Overhead for CNWRA Overhead for swr 1 Applicable Period Basic Contract Period (NRC 02 88 005) 10/15/87 10/14/92) 91.57%

126.66%

10/15/87 9/30/83 80.87 125.43 10/1/88 9/30/89 71.75 125.90 10/1/89 9/30/90 71.35 129.60 10/1/90 9/30/91 67.84 129.7C 10/1/91 9/30/92 70.78 134.92 10/1/92 10/14/92 First Renewal Period (NRC 02 93 005) 70.78%

134.92 10/15/92 9/24/93 70.52 139.74 9/25/93 9/30/94 71.57 138.58 10/1/94 9/29/95 G 2 Technical Direction G.2.1. - Definition A.

The term " Technical Direction" is defined to include the following:

4 1.

Technical direction to the CNWRA which shifts work emphasis within the Job Code / major program area / subtask, requires pursuit of certain lines of inquiry. fills in details or otherwise serves to accomplish the scope of work for the directive.

2.

Providing assistance to the CNWRA in the preparation of drawings.- specifications or technical portions of the work description.

3.

Review and where recuired by the contract, approval of technical reports, crawings, specifications and technical information to be delivered by the CNWRA to the Government under the contract.

B.

Technical direction must be within the stated scope of work.

Project Officers. Program Element Managers. Technical Assistance Sponsor, NRC CNWRA Program Manager, and NRC CNWRA Deputy Program Manager do not have the authority to and may not issue any technical direction which:

1.

Shifts work between job codes.

2.

Constitutes an assignment of additional work outside the general sco)e of the individual job code / major program area /subtast.

_ _ -, ~ _

i NRC 02 97 009 Modification No. 107 Page 26 3.

Constitutes a change as defined in FAR Clause 52.243 2.

entitled " Changes."

4.

In any way causes an increase or decrease in the total estimated contract cost, the fee if any, or the time required for completion of the individual job code / key technical issue / subtask.

5.

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

6.

Constitutes a personal services relationship.

C.

ALL TECHNICAL DIRECTION SHALL BE ISSUED IN WRITING BY THE PROJECT OFFICER. PROGRAM ELEMENT MANAGER. TECHNICAL ASSISTANCE SPONSOR. NRC CNWRA PROGRAM MANAGER. AND NRC CNWRA DEPUTY PROGRAM MANAGER OR SHALL BE CONFIRMED BY SUCH PERSON IN WRITING WITHIN TEN (10)

WORKING DAYS AFTER VERBAL ISSUANCE.

A copy of such written technical direction shall be submitted to the respective NRC Program Element Manager. NRC CNWRA Program Manager. NRC CNWRA Deputy Program Manager. NRC Contracting Officer. CNWRA President and CNWRA Technical Director.

The CNWRA shall proceed promptly with the performance of technical directions duly issued in the manner prescribed by this article and within such person's authority under the provisions of this article If in the opinion of the CNWRA. any instruction or direction or revision issued is within one of the categories as defined in B.1 through 6 above, the CNWRA shall not 3roceed but shall notify the N3C C0 in writing within five (5) worcing days after the receipt of any such instruction or direction and shall request the NRC Contracting Officer to modify the contract accordingly. Upon receiving such notification from the CNWRA, the NRC C0 shall, with the assistance of the NRC CNWRA PM and NRC CNWRA DPH. investigate the circumstances.

If it is determined by the NRC C0 that the l

technical direction 1: within the scope of this article (G.2.1.A.1-

3) and does not constitute a change under the Changes Clause, this information will be provided to the CNWRA in writing.

If it is determined that it is outside of the scope (G.2.1.B.16), the NRC l

.C0 may (a) issue an appropriate contract modification; or (b) issue a directive indicating that the technical direction is null and void.

D.

The CNWRA shall proceed with any technical direction, instruction or revision issued that falls within A.1 through 3 above. Any objection or differences of opinion regarding technical direction issued shall be immediately reported in writing by the CNWRA to the NRC C0 with concurrent copies to the P0. respective NRC PEM.

Sponsor. NRC CNWRA PM and NRC CNWRA DPM and shall provide substantiation for the CNWRA's differing position citing the categories B.1 through 6 above as appropriate.

l l;.

NRC 02 97 009 Modification No. 107 Page 27 E.

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

F.

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 thereto shall be subject to FAR Clause 52.233 1.

entitled " Disputes".

G.3.

Resnonsibilities G.3.1.

Procram Element Manaaers and Project Officers A.

The NRC PEM is the NRC C0's authorized representative for the technical aspects of the entire technical area for which he/she is responsible.

The NRC P0 is the C0's authorized representative for the technical aspects of each individual subtask for which he/she is designated.

The PEM and P0 for an individual subtask are respensible for:

(1) monitoring the CNWRA's progress to ensure that work completed is commensurate with resources expended and is on schedule including surveillance and assessment of performance, and recommending to the C0 changes in requirements: (2) interpreting the scope of work: (3) performing technical evaluation as required: (4) perform 1ag technical inspections and acceptances required by this contract:

and (5) assisting the CNWRA in the resolution of technical problems encountered during performance. Within the purview of this authority, the PEM and P0 are authorized to review all costs requested for reimbursement by the CNWRA which are associated with their particular major area of work as specified in the current CNWRA Operations Plans. Recommendations for approval, disapproval, or sus)ension for supplies / services recuired under the contract shall

)e submitted to the NRC CNWRA PEF. The NRC C0 is responsible for directing or negotiating any changes in terms, conditions, or amounts cited in the contract and any Operation / Project Plans incorporated herein.by reference.

For guidance from the PEM or P0 to the CNWRA to be valid it must:

(1) be consistent with the description of work set forth in the contract (2) not constitute new assignment-of work or change to the expressed terms, conditions or specifications' incorporated into the contract: (3) not constitute a basis for an extension to the period of performance or schedule for final deliverable: and, as stated above. (4) not constitute a basis for any increase in the contract cost.

B.

The PEM or PD is not authorized to approve or request any action which results or could result in an increase in contract cost; or terminate the contract. settle any claim or dispute arising under this contract, or issue any unilateral directive whatsoever.

_.. ~. _ _ _..

NRC 02 97 009 Modification No.107 Page 28 C.

The NRC PEMs. P0s, and areas of work for which they are designated are as follows:

COPS /KTI Subtasks Procram Element Manaaer Proiect Officer Management. Planning.

Shirley Fortuna None and Computer Support (Subtasc 158)

Quality Assurance Shirley Fortuna John Thoma (Subtask 159)

Igneous Activity John Trapp None (Subtasks 461. 462)

Structural Deformation &

Philip Justus None Seismicity (Subtasks 471.472)

Evolution of Near Field Bret Leslie None Environment (Subtasks 561. S62)

Container Life & Source Kien Chang None Term (Subtasks 571. 572)

Thermal Effects on Flow Jeffrey Pohle None (Subtask 661)

Repository Design & Thermal-mechanical Effects Banad Jagannath None (Subtask 671)

TSPA & Technical Integration Keith McConnell Christiana Consolidated Document System Lui (Subtasks 761. 762. 763. 764)

Revision to EPA and NRC Tim McCartin None Regulations (Subtask 771)

Isothermal Flow Neil Coleman None (Subtasks 861. 862. 864)

Radionuclide Transport John Bradbury None (Subtask 871)

NRC 02 97 009 Madification No. 107 Page 29 Waste Solidifcation Systems Jack Parrott None (Operations Plan)

Hanford Tank Waste System Michael Tokar 2

(O'erations Plan)

Su) task 3.1.1 and 3.1.6 Amy Bryce Subtask 3.1.2 and 3.1.8 Robert Shewmaker Subtasks 3.1.3. 3.1.4. and 3.1.5 Rex Wescott i

j Subtask 3.1.7 John Spraul 4

Spent Fuels Project Office Mark Delligatti None TMI 2 Fuel Debris (Operations Plan) i G.3.2 Technical Assistance HLW and TWRS Snonsors A.

The individuals listed in "C" below are hereby designated as Technical Assistance HLW and TWRS Sponsors The individual Technical Assistance HLW and TWRS Sponsors have overall technical responsibility for the work placed at the CNWRA, i

within their res)ective areas as detailed in paragraph C. below and are responsi 1e for:

(1) identifying, prioritizing and j

recommending work to be placed at the CNWRA: (2) monitoring the CNWRA's progress to ensure that work completed is commensurate with resources expended and is on schedule including surveillance and J

assessment of performance, and recommending to the NRC C0 changes in requirements: (3) interpreting the scope of work as required:

)

(4) performing technical evaluations as necessary: (5) performing i

technical reviews and acceptances as required: and-(6) assisting the CNWRA in the resolution of technical problems encountered during performance. Within the purview of this authority the Technical Assistance Sponsors are authorized to review all costs J

requested for reimbursement by the CNWRA which are associated to their particular program area and submit recommendations for approval, disapproval, or suspension for supplies / services required under the contract to the NRC CNWRA PM. The NRC CD is responsible for directing or negotiating any changes in terms. conditions. or amounts cited in the contract and elements.

B.

The Technical' Assistance Sponsors are not authorized to approve or request any action which results in or could result in an increase in contract cost; or terminate the contract, settle any claim or dispute arising under the contract or issue any unilateral directive whatsoever, i

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NRC 02 97 009 i

Modif1 cation No.107 Page 30 C.

The Technical Assistance Sponsors are:

High Level Waste S)onsor John T. Greeves. Director Division of Waste Aanagement Division of Waste Management.

NMSS TWRS Sponsor Elizabeth 0. Ten E ck. Director Division of Fuel Cycle Safety Division of fuel C cle Safety and Safeguards and Safeguards. NM S G.4 CNWRA Prooram Manaaement G.4.1

((RC CNWRA Proaram Manaaer i

A.

The individual listed in "C" below is hereby designated as the NRC CNWRA Program Manager.

4 The NRC CNWRA PM is respons1ble for:

(1) monitoring the overall i

program performance of the CNWRA's operations: (2) assuring appropriate integration of work assigned to the CNWRA: (3) assessing the overall performance of the CNWRA: and (4) j recommending approval, disapproval.'or suspension of costs I

requested fe reimbursement by the CNWRA based on review of the CNWRA's progress and input received from the individual Technical Assistance Sponsors. NRC PEMs and P0s.

B.

The NRC CNWRA PM is not authorized to approve or request any action which results in or could result in an increase in contract cost:

or terminate the contract. settle any claim or dispute arising under the contract, or issue any unilateral directive whatsoever.

C.

Name:

John J. Linehan. Director Office Address:

Program Management. Policy Development 3nd Analysis Staff. NMSS Mail Stop TWFN 8A23 Washington. D.C. 20555 Telephone Number:

(301) 415-7358 G.4.2 NRC CNWRA Decuty Proaram Manaaer A.

The individual listed in "C" below is hereby designated as the NRC CNWRA Deputy Program Manager.

The NRC CNWRA DPM assists / acts for the NRC CNWRA_ PM in his responsibilities for:

(1) monitoring the overall program performance of the CNWRA's operations: (2) assuring appropriate integration of work assigned to the CNWRA: (3) assessing the overall performance of the CNWRA: and (4) recommending approval, disapproval, or suspension of costs requested for reimbursement by the CNPRA based on review of the CNWRA's progress and input received from the individual Sponsors. NRC PEMs and Pos.

NRC 02 97 009 Modification No.107 Page 31 B.

The NRC CNWRA DPH is not authorized to approve nr request any action which results in or could result in an increase in contract cost: or terminate the contract, settle any claim or dispute arising under the contract, or issue any unilateral directive whatsoever.

C.

Name:

Shirley L. Fortuna Office Address:

Program Management. Policy 1

Development and Analysis Staff. NMSS Mail Stop TWFN/8A23 Washington. 0.C. 20555 j

Telephone Number:

(301) 415 7804 G.5 Travel Reimbursement i

A.

Tr9 vel need not be approved by the cognizant NRC PEM in advance.

provided that it was included in the currently ap) roved Operations / Project Plans and will not result in c1arges to NRC in excess of those negotiated.

The CNWRA shall coordinate all other travel plans in advance with the appropriate NRC PEM/PO.

It is i

recognized that there will be certain trips which will involve more than one 0)erations or Project Plan. The cost of these trips will 3

be shared )y the affected plans.

B.

The CNWRA is encouraged to use Government contract airlines. AMTRAK rail service, and discount hotel / motel properties in order to l

4 reduce the cost of travel under this contract.

The Contracting Officer will, upon request provide each traveler with a letter of

]

identification which is required in order to participate in this program. The Federal Travel Directory (FTD) identifies carriers.

contract fares, schedules, payment conditions, and hotel / motel properties which offer their serviu.: and rates to Government contractor personnel traveling on official business under this contract, The'FTD. which is issued monthly, may be purchased from the U.S. Gover ment Printing Office. Washington, DC 20402.

4 C.

The Contractor will be reimbursed for reasonable travel costs incurred directly and specifically in the performance of this contract.

The cost limitations for travel costs are determined in accordance'with the specific travel regulations cited in FAR 31.205-46, as are in effect on the date of the trip.

Travel costs for research and related act1vities performed at State:and nonprofit institutions, in accordance with Section 12 of Pub. L, 100-679. shall be charged in accordance with the contractor's Institutional policy to the degree that the limitations of Office of Management and Budget (OMB) guidance are not exceeded.

Applicable guidance documents include OMB Circular A 87. Cost Principles for State and Local Governments: OMB Circular A-122, Cost Principles for Nonprofit Organizations: and OMB Circular A 21.

4 Cost Frinciples for Educational Institutions.

~

NRC 02 97 009 Modification No.107 i

Page 32 D.

When the Government changes the Federal Travel Regulations, it is the responsibility of the Contractor to notify the C0 in accordance with the Limitation of Cost clause of this contract if the contractor will be unable to make all of the ap] roved trips and remain within the cost and fee limitations of t11s contract.

E.

Foreign travel must be approved in advance by the Commission on NRC Form 445 and com)1y with the requirements of FAR clause 52.247 63.

" Preference for U.S. Flag Air Carriers." Normally, t.his approval requires a minimum of 30 days, in order to receive reduced rates, a 30 days advanced booking is expected. Along with NRC Form 445s.

the CNWRA shall provide copies of papers or abstracts of papers to be presented. if applicable.

The rates for foreign travel are established by the U.S. Department of State and are listed in a publication entitled. " Maximum Travel Per Diem Allowances for Foreign Areas." Copies of this )ublication may be obtained from U.S. Government Printing Office Was11ngton D.C. 20402.

G.6 Electronic Payment The Debt Collection Improvement Act of 1996 requires that all payments except IRS tax refunds be made by Electronic Funds Transfer.

The Nuclear Regulatory Commission's policy is to pay vendors by the Automated Clearinghouse (ACH) electronic funds transfer payment system.

The electronic system is knowr 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 i

Information" portion of the Standard Form 3881, entitled "ACH Vendor / Miscellaneous Payment Enrollment Form" 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 )ayment identification (addendum record) will be passed to them once t1e payment is received by the financial institution.

To ensure that adequate payment information will be available to the contractor the contractor should inform the financial institution that the addendum record must not be stripped from the payment.

Forther information concerning the addendum is provided in the attachments.

The ACH Coordinator should fill out the " Financial Institution Information" portion of the form and return it to the Office of the Controller at the following address:

Nuclear Regulatory Commission. Division of Accounting and Finance. Financial Operations Section. Mail Sto) T 9 H-4 Washington, DC 20555. ATTN: ACH/ Vendor Exprest.

It is tie 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 Controller has processed the contractor's sign up form will the contractor be eligible to receive payments.

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NRC 02 97 009 Modification No.107 Page 33 Section H. Snecial Contract Reauirements H.1 Kev Personnel A.

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

W. Patrick L. McKague H. Garcia A. Chowdhury B. Hill P. Mackin J. Russell P. Lichtner B. Sagar G. Cragnolino W. Murphy V. Tain N. Sridhar C. Connor E. Pearcy R. Baca D. Ferrill G. Wittmeyer R. Green B. Mabrito S. Stothoff J. Stamatakos S. Mohanty The Contractor agrees that such personnel shall not be removed from the contract work or replaced without compliance with paragraphs (B) and (C) hereof.

B.

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 expected to exceed 30 work days, or is expected to devote substantially less effort to the work than indicated in approved Operations / Project Plans, the Contractor shall immediately notify the CO and shall subject to the concurrence of the C0 or his/her authorized representative, promptly replace such personnel with personnel of at least substantially equal ability and qualifications.

C.

All requests for approval of substitutions hereunder must be in writing and provide a detailed explanation of the circumstances necessitating the pro)osed substitutions. They must contain a complete resume for tie proposed substitute, and other information requested by the C0 or needed by him/her to approve or disapprove the proposed substitution.

The C0 or his/her authorized l

representative will evaluate such requests and )romptly notify the contractor of his/her approval or disapproval taereof in writing.

l D.

If the C0 determines that suitable and timely replacement of key 3ersonnel who have been reassigned. terminated or have otherwise 3ecome unavailable for the contract work is not reasonably fcrthcoming or that-the resultant reduction of productive effort would be so substantial as-to impair the successful completion of l

the contract or the service order, the contract may be terminated by the C0 for default or for the convenience of the Governrent, as appropriate, or, at the discretion of the Contracting Officer if he/she 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.

NRC.02 97 009 Modification No. 107 Page 34 H 2 Safety. Health. and Fire Protection The Contractor shall take all reasonable precautions in the performance of the work under this contract to protect the health and safety of 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 (including reporting requirements) of the Commission and the Department of Labor, in the event that the Contractor fails to comply with these regulations or requirements, the C0 may, without prejudice to any other legal or contractual rights of the Commission,1ssue 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 CO.

The Contractor shall make n') claim for an i

extension of time or for compensation or damages by reason of, or in connection with, this type of work stoppage, H.3 Dissemination of Contract information It 1s the NRC's policy to encourage publication of scientific and technological advances and information developed under its contracts in refereed journals and/or through peer reviews. However, the Contractor shall not publish, permit to the published, or disseminate to the public any information, oral or written, concerning the work performed under this contract without the prior written consent of the NRC CNWRA DPM or in the case of research projects, managed by the Office of Nuclear Regulatory Research (RES).

The CNWRA shall submit all information planned for release to the public to the NRC CNWRA DPM or in the case of RES projects, the RES P0, for review and approval with a copy to the C0 at least 30 calendar days prior to external release, if the information is being sub;nitted directly to the RES P0, copies shall elso be submitted directly to the NRC CNWRA DPH and RES PEM, The CNWRA may release information, other than that sertaining to affected parties (e.g. DOE, host state, etc.)

which has seen already bee" forwarded to NRC and placed in the Public Document Room by NRC, Information to affected parties can only be released by NRC or at NRC's direction, Reasons for NRC denial of release of information shall include but not be limited to:

(1) pre decisional content of the material (i.e,

material contains analyses and/or recommendations pertinent to a matter pending Commission decision), (2) material containing confidential or classified information, and (3) information that would not be released under the Freedom of Information Act. Within 10 working days after receipt NRC shall permit release of the information or identify the portion (s) of the material which shall not be released cnd the reasoning for such decision, At the option of the contractor, portions of the material may be released that do not contain material disapproved for release.

)

NRC 02 97 009 i

Modification No. 107 Page 35 i

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

this contract.

l H,4 Private Use of Contract Information and Data Except as otherwise specifically authorized by Section H., publication of contract work of tais contract, or as otherwise approved by the CO.

information and other data developed or acquired by or furnished the contractor in the performance of t'11s contract, shall be used only in l

connection with the work under this contract.

A i

H,5 Drawinas. Desions. and Snecifications (JAN 1993)

All drawings, sketches, designs design data, specifications, notebooks, technical and scientific data sof tware, and all photographs, negatives.

t reports, findings. recommendations, other data and memoranda of every 8

description relating thereto, as well as all copies of the foregoing i

relating to the work or any part thereto, are subject to inspection by the Commission at all reasonable times.

Inspection of the proper facilities must be affcrded the Commission by the Contractor and its i *

]

subcontractors.

These data are the property of the Government and may j

be used by the Government for any purpose whatsoever without any claim on the part of the Contractor and its subcontractors and vendors for i

additional compensation and must, subject to the right of the Contractor to retain a copy of material for its own use, must be delivered to the Government, or otherwise disposed of by the Contractor as the C0 may direct during the progress of the work or upon completion or termination of this contract.

The Contractor's right of retention and use is subject to the security, patent, and use of information provisions, if any, of this contract.

H.6 Security (JAN 1993)

(a) Security / Classification Requirements Form.

NRC Form 187 furnishes the basis for providing security and classification recuirements to 3 rime contractors, subcontractors, or others (e.g. bidcers) who lave or may have an NRC contractual relationship that requires access to classified information or matter, access on a continuing basis (in excess of 90 or more days) to NRC Headquarters controlled buildings, or otherwise requires h'RC photo identification or card-key badges.

(b)

It is the Contra: tor's duty to safeguard National Security Information, Restricted Data, and Formerly Restricted Data. The contractor shall, in accordance with the Commissions' security regulations and requirements, be responsible for safeguarding National Security Information, Restricted Data, and Formerly Restricted Data, and for protecting against sabotage. espionage, loss and theft the classified documents and material in the contractor's possession in connection with the performance of work under this contract. Except as otherwise expressly provided in this contract, the Contractor shall upon completion or termination of this contract, transmit to the Commission any classified matter in the possession of the Contractor or any person under the

NRC 02 97 009 Hodification No.107 Page 36 Contractor's control in connection with performance of this contract, if retention by the Contractor of any classified matter is required after the completion or termination of the contract and the retention is approved by the CO the Contractor w111 complete a certificate of possession to be furnished to the Commission specifying the classified matter to be retained.

The certification must identify the items and types or categories of matter retained. the conditions governing the retention of the matter and their seriod of retention. If known, if the retention is approved by the CO. t1e security,orovisions of the contract will continue to be applicable to the matter retained.

(c)

In connection with the perrormance of the work under this contract, the Contractor may be furnished, or may develop or acquire, pro)rietary data (trade ':ecrets) or confidential or privileged tecinical, business. or Tinancial information. including Commission slans solicies, reports, financial plans, internal data protected

)y the privacy Act of 1974 (Pub. L. 93 579), or other information which has not been released to the public or has been determined by the Commission to be otherwise exempt from disclosure to the public.

The Contractor bgrees to hold the information in confidence and not to directly or indirectly duplicate, disseminate, or disclnse the information in whole or in part to any other person or organization except as may be necessary to perform the work under this contract and approved by the CO.

The Contractor agrees to return the information to the Commission or otherwise dispose of it at the direction of the CO.

Failure to comply with t11s clause is grounds for termination of this contract.

(d) Regulations. The Contractor agrees to conform to all security regulations and requirements of the Commission which are subject to change as directed by the NRC Division of Security and the Contracting Officer.

These changes will be under the authority oi the changes clause.

(e) Definition of National Security Information.

The term National Security information, as used in this clause, means informat1on that has been determined pursuant to Executive Order 12356 or any predecessor order to require protection against unauthorized disclosure and that is so designated.

(f) Definition of Restricted Data.

The term Restricted Data. as used in this clause means all data concerning (1) design. manufacture, or utilization of atomic weapons: (2) the production of special nuclear material; or (3) the use of special nuclear material in the production of energy, but shall not include data declassified or removed from the Restricted Data category pursuant to section 142 of the Atomic Energy Act of 1954 as amended.

(g) Definition of Formerly Restricted Data. The term Formerly kestricted Data, as used in this clause means all data removed from the Restric ed Data category under Section 142 d. of the Atomic Energy Act of 1954. as amended.

NRC 02 97 009 Modif1 cation No.107 Page 37 l

(h) Security Clearance Personnel.

The Contractor shall not permit any l

individual to have access to Restricted Data. Formerly Restricted l

Data, or other classified information, except in accordance with l

the Atomic Energy Act of 1954, as amended, and the Commission's regulations or recuirements applicable to the particular type or cateaory of classified information to which access is required.

TheContractorshallalsoexecuteaStandardform312. Classified Information Nondisclosure Agreement, when access to classified information is required.

(i) Criminal Liabilities.

It is understood that disclosure of National Security Information. Restricted Data, and Formerly Restricted Data, relating to the work or services ordered hereunder to any

>erson not entitled to receive it or failure to safeguard any Restricted Data. Formerly Restricted Data. or any other classified matter that may come to the Contractor or any person under the Contractor's control in connection with work under this contract.

may subject the Contractor, its agents, employees, or subcontractors to criminal liability under the laws of the United States.

(See the Atomic Energy Act of 1954, as amended. 42 U.S.C.

2011 et seq.: 18 U.S.C. 793 and 794: and Executive Order 12356.)

(j) Subcontracts and Purchase Orders.

Except as otnerwise authorized in writing by the CO. the Contractor shall insert provisions similar to the foregoing in all subcontracts and purchase orders under this contract.

(k)

In performing the contract work, the Contracter shall assign classifications to all documents, material, and equipment originated or generated by the contractor in accordance with classification guidance by the Comission.

Every subcontra and purchase order 1ssued hereunder involving the origination or generation of classified documents, material, or equipment shall provide that the subcontractor or supplier shall assign classifications to all such documents, material, and equipment in accordance with classification guidance furnished by the contractor.

H.7 Site Access Badae Procedures (FEB 1995)

The Contractor shall ensure that all its employees, including any subcontractor employees and any subsequent new employees who are assigned tn perfv m work herein and require site access, are approved by the government fo' building access.

Within ten working days after award of a contract, execution of a modifica:1on of a :ontract or proposal of new personnel for contract tasks recuiring site access, the firm so notified must furnish properly i

completec security applications for employees. Timely receipt of properly completed security applications is a contract requirement.

NRC 02 97009 Modif1 cation No.107 Page 38 The Government shall have and exercise full and complete control over granting denying, withholding, or terminating building access approvals for individuals performing work under this contract.

Individuals l

performing work under this contract shall be required to complete and submit to the Contractor representative an acceptable form 176 (Statement of Personal History), and two FD 258 (Fingerprint Charts) at least 48 hours5.555556e-4 days <br />0.0133 hours <br />7.936508e-5 weeks <br />1.8264e-5 months <br /> prior to performing services at the NRC. The Contractor representative will submit the documents to the Project Officer who will give them to the Division of Security. Since the NRC/ Government approval process takes 45 to 60 days or longer from receipt of acceptable security applications the NRC may, among other things. grant or deny temporary building access approval to an individual based upon its review of the information contained in the GSA Form 176.

Also. in the exerci3e of its authority. GSA may, among other things, grant or deny permanent building access approval based on the results of its l

investigation and adjudication guidelines. This submittal requirement also applies to the officers of the firm who, for any reason. may visit the work sites for an extended period of time during the term of the contr6ct.

IntheeventthatNRCandGSAareunabletograntatemporary or permanent building access approval, to any individual performing wor.

under this contract. the Contractor is responsible for assigning another individual to perform the necessary function without any delay in the contract's performance schedule or without adverse impact to any other-terms or conditions of the contract. The Contractor is responsible for informing those affected by this procedure of the required building access approval process (i.e. temporary and permanent determinations),

and the possibility that individuals may be recuired to wait until aermanent building access approvals are grantec before beginning work in 1RC's buildings.

The contractor will advise the NRC CNWRA PM or DPM. whn, in turn. Will advise the Division of Security of the termination or dismissal of any employee who has applied for or has been granted. NRC building access approval.

It is the responsibility of the Contractor to obtain and return to the Division of Security, any photo-identification or temporary badge of an individual who no longer requires access to NRC space.

H.7 NRCAR 2052.204-71 Site Access Badae Reauirements (JAN 1991).

During the life of this contract, the rights of ingress and egress for contractor personnel must be made available as required, in this regard, all Contractor personnel whose duties under this contract require their presence on site shall be clearly identifiable by a distinctive badge furnished by the Government.

The Project Officer i

shall assist the Contractor in obtaining the badges for the Contractor personnel, it is the sole responsibility of the Contractor to ensure that each employee has proper identification at all times.

All prescribed identification must be immediately delivered to the Security Office for cancellation or disposition upon the termination of l

=

employment of any Contractor personnel. Contractor personnel must have this identification in their possession during on site performance under this contract, it is the Contractor's duty to assure that Contractor personnel enter only those work areas necessary for performance of contract work, and to assure the safeguarding of any Government records

NRC 02 97 009 Modification No 107 Page 39 or data that Contrac;or personnel may come into contact with, H.8 Lmolovee Conflict of interest The Contractor shall assure that all CNWRA employees are free from conflicts of interest which arise from their prior activities, such as being assigned to a position which may involve reviewing any employee's own prior work.

H.9 NRCAR 2052.209 73 Contractor Oraanizational Conflicts of Interest (JAN l

(a) Purpose.

The primary purpose of this clause is to aid in ensuring that the contractor:

(1) is not placed in a conflicting role because of current or planned interests (financial, contractual, organizational, or otherwise) which relate to the work under this contract; and (2)

Does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract.

(b) Scope.

The restrictions described apply to performance or participation by the contractor as defined in 48 CFR 2009.570 2.

(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 )erformed under this this contract abide by the provision of this clause. yees under contract. The contractor shcli ensure tlat all emplo 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 potential conflict of interest, the contractor shall obtain the written approval of the-contracting officer prior to execution of such contractual arrangemenc.

(2) The contractor may not represent, assist, or otherwise support an NRC licensee nr applicant undergoing an NRC audit, inspecticn.

i l

or review where the activities t h t 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 a)propriate), except where the NRC licensee or applicant requires tie contractor's support to explain or defend the contractor's prior work for the utility or other entity which NRC questions.

i j

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4 NRC 02 97 009 Modification No. 107 Page 40 (3) When the contractor performs work for the NRC under this contract at any NRC licensee or applicant site, the contractor l

shall neither solicit nor perform work at the site or work in the same or similar technical area for that licensee or applicant organization for a period commencing with the award of the task l

order or beginning of work on the site (1f not a task order contract) and ending one year after completion of all work under the associated task order, or last time at the site (if not a task order contract).

(4) When the contractor performs work for the NRC under this contract at any NRC licensee or applicant site.

(i) The contractor may nt solicit work at that site for that licensee or applicant during the period 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 authe 'ize the contractor to solicit or perform this type of work ctxcept work in the same or similar technical area) if the contracting officer determines that the situation will not pose a potential for technical bias or unfair competitive advantage.

(d) Disclosure after award.

(1) The ccntractor warrants that to the best of its knowledge and belief, and except as otherwise set forth in this contract. it does not have any organizational conflicts of interest as defined in 48 CFR 2009.570-2.

(2) The contractor agrees that if after award, it discovers organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to ?he con'.racting officer. This statement must include a descriptwn of the action which the contractor has taken or pro)oses to take to avoid or mitigate such conflicts.

The NRC may 10 wever, 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 spectrum of activities.

Consequently, if this is a task order type contract, the contractor agrees that it will disclose all proposed new work involving NRC licensees or applicants that 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 submissico

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NRC 02 97 009 Modification No.107 Page 41 l

of a bid or proposal to the utility or other regulated entity whenever possible, 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 i

contracting officer.

The disclosure must include the statement of work, the dollar value of the proposed contract, and any other documents that are needed to fully describe the pro)osed work for the regulated utility or other regulated entity.

NRC may deny approval of the disclosed work only when the NRC has issued a task l

order which includes the technical area and if site specific, the site or has plans to issue a task order which includes the l

technical area and. if site specific, the site. or when such work violates paragraphs (c) (2). (c) (3). or (c) (4) of this section.

l (e) Access to and use of information.

l (1)

If in the performance of this contract the contractor obtains i

access to information, such as NRC plans policies, reports.

l studies, financial plans. Internal data protected by toe 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:

l (1) Use this information for any private purpose.until the information has been released to the public:

(ii) Compete for work for the Commission based on the j

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 l

the information until one year after the release of the information j

to the public; or l

(iv) Release the information without prior written approval by l

the contracting officer unless the information has previously been l

released to the public by the NRC.

t

(

(2)

In addition, the contractor agrees that, to the extent it l

receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (5 U.S.C. Section 552a (1988)) or the Freedom of Information Act (5 U.S.C. Section 552 (1986)). or other confidential or privileged technical business, or financial information under this contract, the contractor shall treat the information in accordance with restrictions placed on use of the

-information.

(3)

Subject to patent and security provisions of this contract.

I the contractor shall have.the right to use technical data it produces under this contract for private purposes provided that all requirements of this contract have been met.

l

NRC 02 97 009 Modification No.107 Page 42 (f) Subcontracts.

Except as provided in 48 CFR 2009.570 2. the contractor shall include this clause, including this paragraph. In subcontracts of any tier.

The terms contract, contractor, and contracting officer, must be appropriately modified to preserve the Government s rights.

i (g) Remedies.

For breach of any of the above restrictions, or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract, or for such erroneous representations that necessarily imply bad faith, the Government may terminate the contract for default, disqualify the contractor from subsequent contractual efforts, end pursue other remedies permitted by law or this contract.

(h) Waiver.

A request for waiver under this clause must be directed in writirg to the contracting officer in accordance with the procedures outlined in 48 CFR 2009.570 0.

(1) Follow on effort.

The contractor shall be ineligible to participate in NRC contracts. subcontracts, or proposals therefore (solicited or unsolicited) which stem directly from the contractor's i

performance of work under this contract.

Furthermore, unless so J

directed in writing by the contracting officer, the contractor may not perform any technical consulting, management support services work, or i

evaluation activities under this contract on any of its products or services or the products or services of another fir.n if the contractor i

has been substantially involved in the development or marketing of the products or services.

l (1)

If the contractor. under this contract, prepares a com)lete or essentially complete statement of work or specifications. t1e contractor is not eligible to perform or participate in the initial contractual effort which is based on the statement of work or specifications.

The contractor may not incorporate its products or services in the statement of work or specifications unless so directed in writing by the 'ontracting officer in which case the restrictions in this paragraph do not apply.

(2) Nothing in this paragraph precludes the contractor from offering or selling its standard commercial items to the Government.

H.10 Facilities The laboratory, office, and necessary field facilities of the CNWRA shall be provided by the Contractor.

If laboratory, field facilities or large mainframe computers are not available within the CNWRA. the CNWRA must be able to gain access to such facilit'es when needed. The NRC may however, if it so desires, furnish property for the Contractor's use under this contract.

H.11 Div-to Day Interface The Contractor shall interface on a day-to day basis with NRC as necessary to facilitate ef ficient coordination and management.

i NRC 02 97 009 Modif1 cation No. 107

)

Page 43 i

H.12 Other Cont racts Prior Notifiration Notwithstanding the provisions of Clause H.9. the Contractor shall afford NRC 30 days to review any contemplated new non NRC contracts 1

i related to nuclea fuel cycle in order to assure that (a) no conflict of intere:t exists with NRC's activities under the Nuclear Waste Policy Act j

and (b) or sper balance and adequate resources will continue to be availabie for the NRC waste management paogram. Should NRC object to an l

anticipateJ contract, the Contractor is prohibited from entering into

]

the contract.

The Contractor shall make all its contracts available for inspection if requested by NRC for conflict of interest purposes.

3 I

H.13 Advocacy The CNWRA shall remain neutral on issues, positions or decisions i

pertaining to the resolution of high level waste disposal, except in its relations with NRC.

Furthermore, no funds under this contract shall be j

used to pay the-salary or expenses of any contractor, or agent acting for the Contractor, to engage in any act1vity designed to influence any pending legislation or appropriations.

H.14 CNWRA Responsibility Recuirements All formal analyses and recommendations produced by the CNWRA must be supported by documented reviews by senior CNWRA staff and management.

The CNWRA must also assure that adequate peer review rnd quality assurance are applied to its products.

in appropriate circumstances i

the CNWRA shall defend such positions in an aajudicatory proceeding.

H.15 Disnosal of Assets i

In the event of dissolution of the CNWRA or termir.ation of the FFRDC, i

all property and assets wholly funded either directly or indirectly by I

this contract shall be dispused of as the NRC shall direct.

H.16 Oraanizational Constraints i

H.16.1 The CNWRA is prohibited from competing with any non FFRDC concern in response to a Federal Agency's formal Request for Proposals for other than the operation of an FFRDC.

This prohibition does not 1

apply to any parent organization or other subsidiary of the parent organization in its non FFRDC operations, H.16.2 The Contractor agrees to operate the CNWRA as a not-for profit n

organization outside the control of any organization that could i

give rise to a conflict of interest.

H.16.3 Limitation of Contractina The Contractor agrees that due to the CNWRA's special relationship with the NRC. the Contractor will not accept any commercial contract for work at the CNWRA. nor will the contractor contract with any other governmental agency for work at the CNWRA without the prior written approval of the CO.

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NRC-)2-97 009 Modi 'ication No.107 Page 44 The Contractor is permitted to utilize CN V

.aff whel such staff are not being fully utilized by NRC's waste management program and no conflict or potential conflict of interest exists.

Any such use of 4

personnel for more than 30 days within a six month period will require the prior written approval of the CO.

H.17 Maintenance of the CNWRA f

The Contractor shall maintain the CNWRA which includes as a minimum:

J A.

Business Entity The CNWRA shall remain as an autonomous entity that meets the FFROC requirements of 0FPP Policy Letter 841. Attachment 3. ana Part 35 of the Federal Acquisition Regulations.

The CNWRA shall be operated as a not for profit organization free 1

of control by any organization whose affiliations could give rise to e conflict of interest.

4 B.

Organizing and Staffing The CNWRA shall be organized and staffed to effectively and erficiently perform the mission stated in the CNWRA Charter (Attachment 2).

C.

Planning and Coordinating The Contractor shall plan all activities necessary to effectively perform the missimi of the CNWRA and annual NRC review and approval of the CNWRA proy,am of work and operations. Such planning and coordination shall cover projection of resources required tr execute CNWRA Operations (technical and managerial) each yeir for the succeeding five fiscal years.

H.18 Reauirements for Use of MicrocomDuters by NRC Contractors 1

The Contractor shall use only microcomputers and software approved for use by NRC staff and those in the then currently approved CNWRA Report on ADP Requirements. Any exceptions to this requirement shall be justified by the Contractor and approved by the NRC C0.

The CNWRA shall submit any questions regarding the microcomputers and microcomputer software currently supported by the NRC to the NRC CO.

H.19 Communicati_gm The NRC is solely responsible for communications with other parts of the NRC with other Governmental 69encies and licensees and. except for purely technical matters, with its contractors.

The CNWRA may, in the exercise of its technical responsibility, communicate and discuss 4

technical matters with the NRC contractors and other authorized technical organizations and will review with the NRC all correspondence relating to or mentioning work pertaining to a major program area prior to transmittal of such correspondence.

Technical direction to NRC contractors will be given' solely by the NRC.

In order to assure proper

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4 NRC 02 97 009 Modification No. 107 Page 45 4

technical coordination, the NRC will inform the CNWRA when appropriate.

of all technical correspondence to its (NRC's) coWactors prior to issuance.

i H.20 Access to NRC Technical Data NRC will provide the CNWRA with )ertinent repc-ts, data /information received from other sources whic1 the CNWRA 1oentifies as beneficial to its understanding of the study and schedules for key NRC and DOE actions.

l H.21 Access to NRC or other Government Facilities 1

i NRC will be responsible for assuring that the CNWRA has access to technical inforntion, facilities. (including computer facilities). and activities and obtains the cooperation of program participants.

This information exchange may involve NRC contractors, government agencies, government laboratories, or other organizations (specifically included is the antici)ated timesharing computer services of INEL. and other Government la) oratories such as LLNL. LANL. ORNL, SNLA. etc.. as appropriate).

i H.22 NRC Access to CNWRA Facilities The CNWRA shall assure that NRC personnel have access to all CNWRA facilities ano-activities and obtains the cooperation of all CNWRA personnd H.23 Reciorocal ' xchanae of Staff e

All personnel exchanges between the CNWRA and the NRC shall be performed in a" ' % te'with Attachment No. 13 entitled " Exchanges of Personnel Betwm t '.. rNWRA and the' U.S. NRC". Any change to this procedure shall be rem.oed via a modification to the contract.

H,24 incorocration of Subcontractino Plan The Southwest Research Institute's approved subcontracting plan, dated August 8. 1997. in su) port of the CNWRA and submitted in accordance with FAR 52.219-9 1s 1ereby incorporated by reference.

H.25 Subcontract Anorovals Award of this contract does not constitute acceptance of the proposed subcontracts as required by FAR 52.244 2.

H.26 Contractor Acauired Governmant Eauipment/ Property (a) Ca) ital Equipment. The purchase of capital equipment (as defined below) )y the CNWRA with funds provided under this contract (other than overhead, general and cdministrative expenses, and fee) requires the prior written approval of the NRC CO.

Capital equipment is defined as

- any unit having an estimated useful life of more than two years and valued in excess of $50,000 per unit (capital equipment for NRC accounting purposes).

For the purpose of this clause, computer software

NRC-02-97 009 Modification No.107 Page 46 is considered ca)1tal equipment. Any requeat to purciase ca) ital equipment shall 3e identified in the Operat'ons Plan when suamitted for approval or in a separate letter to the NRC Contracting Officer. After approval, any capital equipment purchased will be listed in this clause.

(b) Sensitive' Equipment. The purchase of sensitive equipment (any of the property items listed in Attachment Number 17) by the CNWRA wnh funds provided under this contract'(other than overhead, general and administrative expenses, and fee), regardless of dollar value, requires the prior written approval of the NRC C0. Any request to purchase sensitive equipment shall be identified in the Operations Plan when submitted for approval or in a separate letter to the NRC Contracting

Officer, After approval, any sensitive equipment purchased will be listed in this clause.

(c) In the event that, during contract performance, the Contractor determines that the acquisition cost for the above item (s) is (are) expected to exceed the amount (s) contained in the CNWRA's Operations Plan or letter requesting aaproval to purchase the equipment, the contractor shall refer to tie Limitation of Cost or Funds Clause when either is included in the contract.

(d) Only the equipment / property listed in this clause in the quantities shown, will be acquired by the contractor. Additional equipment / property as defined in (a) and (b) above may be acquired only after CO approval is authorized by an amendment to this clause. The equipment / property listed in this clause is subject to the. provisions of the " Government Property" clause.

H.27 Government Furnished Eauipment/Prooerty (a) The NRC will provide the Contractor with the following items for use under this contract:

Item Tag No.

Quantity Location Router 039994 1

San Antonio, TX Router 057892 1

Rockville. MD Multiplexer 052407 1

San Antonio, TX Power Supply 052408 1

San Antonio, TX Power Supply 052409 1

San Antonio. TX Power Supply 058725 1

Rockville. MD (b) Only the equi) ment / property listed above in the quantities shown will be provided )y the Government.

This property is subject to the provisions of the Government Property clause under this contract. All other equipment / property required in performance of the contract shall be furnished by the Contractor.

NRC 02-97 009 Modification No 107 PART 11 - CONTRACT CLAUSES Section I Contract Clauses I1 52.252 CLAUSES INCORPORATED BY REFERENCE.

(APR 1984)

This contract incorporates the following clauses by reference, with the same force and effect as if they were given in full text.

U the Contracting Officer will make their full text available.pon request.

I.

FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES Section E 52.246 5 INSPECTION OF SERVICES--COST REIMBURSEMENT.

(APR 1984)

Section F 52.242-15 STOP-WORK ORDER -Alternate 1. (AUG 1989)

Section I 52-202-1 DEFINITIONS.

(OCT 1995) 52.203-3 GRATUITIES.

(APR 1984) 52.203-5 COVENANT AGAINST CONTINGENT FEES.. (APR 1984) t 52.203 6 RESTRICTIONS ON SUBCONTRACTOR SALES TO j

THE GOVERNMENT.

(JUL 1985)

J 52.203-7 ANTI-KICKBACK PROCEDURES, (OCT 1988) 52.203-10 PRICE OR FEE ADJUSTMENT FOR ILLEGAL OR IMPROPER

ACTIVITY, (JAN 1996) 52.203-12 LIMITATION ON PAYMENTS TO INFLUENCE CERTAIN FEDERAL TRANSACTIONS, (JAN 1990) 52.204-4 PRINTING / COPYING DOUBLE-SIDED ON RECYCLED PAPER (JUN 1996) -

52.209-6 PROTECTING THE~ GOVERNMENT'S INTEREST WHEN

~

i SUBCONTRACTING WITH CONTRACTORS DEBARRED..

SUSPENDED OR' PROPOSED FOR DEBARMENT.

(JUL 1995) 52.215-2 AUDIT AND RECORDS - NEGOTIATION ALTERNATE II.

(JAN 1997) 52.215-22 PRICC REDUCTION FOR DEFECTIVE COST OR PRICING DATA.

l (OCT 1995) 52.215-24 SUBCONTRACT 0R' COST OR PRICING DATA.

(OCT 1995) 52.215-27 TERMINATION OF DEFINED BENEFIT PENSION PLANS.

(MAR 1996) 52.215-30 FACILITIES CAPITAL COST OF MONEY.

(SEP 1987) 52.215-33 ORDER OF PRECEDENCE.

(JAN 1986) 4 52.215 39 REVERSION OR ADJUSTMENT OF PLANS FOR POSTRETIREMENT BENEFITS OTHER THAN PENSIONS (PRB).

(MAR 1996) i 52.215-40 NOTIFICATION OF OWNERSHIP CHANGES (FEB 1995) 52.216-7 ALLOWABLE COST AND PAYMENT.

(MAR 1997) 52,217-2 CANCELLATION UNDER MULTIYEAR CONTRACTS (JUL 1996) 52.219-8 UTILIZATION OF SMALL SMALL DISADVANTAGED, AND WOMEN-0WNED BUSINESS CONCERNS.

(OCT 1995) 52.219-9 SMALL. SMALL DISADVANTAGED AND WOMEN-0WNED SMALL BUSINESS SUBCONTRACTING PLAN.

ALTERNATE II (MAR 1996) 52.219-16 LIQUIDATED DAMAGES - SUBCONTRACTING PLAN (OCT 1995) 52.222-1 NOTICE TO THE GOVERNMENT OF LABOR DISPUTES.

(APR 1984) 52.222-2 PAYMENT FOR OVERTIME PREMIUMS.

(JUL 1990) n 9

NRC-02 97-009 Modification No.107 52.222 3 CONVICT LABOR.

(AUG 1996) 52.222-26 EQUAL OPPORTUNITY.

(APR 1984) 52.222-28 EQUAL OPPORTUNITY PREAWARD CLEARANCE OF SUBCONTRACTS.

(APR 1984) 52.222-35 AFFIRMATIVE ACTION FOR SPECIAL DISABLED AND VIETNAM ERA VETERANS. (APR 1984) 52.222-36 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS.

(APR 1984) 52.222-37 EMPLOYMENT REPORTS ON SPECIAL DISABLED VETERANS AND VETERANS OF THE VIETNAM AREA.

(JAN 1988) 52.223-2 CLEAN AIR AND WATER.

(APR 1984) 52.223-5 POLLUTION PREVENTION AND RIGHT-TO-KNOW INFORMATION (MAR 1997) 52.223-6 DRUG FREE WORKPLACE.

(JUL 1990) 52.225-11 RESTRICTIONS ON CERTAIN FOREIGN PURCHASES.

(OCT 1996) 52.227-1 AUTHORIZATION AND CONSENT.

(OCT 1996) 52.227-2 NOTICE AND ASSISTANCE. REGARDIN3 PATENT AND COPYRIGHT INFRINGEMENT.

(AUG 1996) 52.227-11 PATENT RIGHTS--RETENTION BY THE CONTRACTOR (SHORT FORM).

(JUN 19E.')

52.228-7 INSURANCE LIABILITY TO THIRD PERSONS.

(MAR 1996) 52.230-2 COST ACCOUNTING STANDARDS.

(APR 1996) 52.230-6 ADMINISTRATION OF COST ACCOUNTING PRACTICES. (APR 1996) 52.232-17 INTEREST.

(JUN 1996) 52.232-18 AVAILABILITY 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 ELECTRONIC FUNDS TRANSFER PAYMENT (AUG 1996) 52.233-1 DISPUTES.

(OCT 1995) 52.233-3 PROTEST AFTER AWARD. (AUG 1996) ALTERNATE 1.

(JUN 1985) 52.242-1 NOTICE OF INTENT TO DISALLOW COSTS.

(APR 1984) 52.242-3 PENALTIES FOR UNALLOWABLE COSTS (OCT 1995) 52.242-13 BANKRUPTCY.

(JUL 1995) 52.243-2 CHANGES--COST-REIMBURSEMENT.

(AUG 1987)

ALTERNATE I (APR 1984) 52.244-2 SUBCONTRACTS (C0ST-REIMBURSEMENT AND LETTER CONTRACTS)

(FEB 1997) 52.244-5 COMPfTITION IN SUBCONTRACTING.

(DEC 1996) 52.245-5 GOVERNMENT PROPERTY (C0ST-REIMBURSEMENT.

TIME-AND MATERIAL OR LABOR-HOUR CONTRACTS) (JAN 1986)--Alternate I. (JUL 1965) 52.246-5 INSPECTION GF SERVICES--COST REIMBURSEMENT. (APR 1984) 52.246-25 LIMITATION OF LIABILITY--SERVICES.

(FEB 1997) 52.247-63 PREFERENCE FOR U.S.-FLAG AIR CARRIERS.

(JAN 1997) 52.249-6 TERMINATION (C0ST-REIMBURSEMENT).

(SEP 1996) 52.249-14 EXCUSABLE DELNG.

(APR 1984) 52.251-1 GOVERNMENT SU#i.Y SOURCES.

(APR 1984) 52.253-1 COMPUTER GENERATED FORMS (JAN 1991)

NRC 02 97 009 Modification No. 107 Page 49 I.3 52.216-18 ORDERING (OCT 1995)

(a) Any su) plies and services to be furnished under this contract shall be ordered )y issuance of delivery orders by the individuals or

. activities designated in the Schedule.

Such orders may be issued from the effective date of the contract through the end of the period of performance.

(b) All delivery orders or task orders are subject to the terms and conditions of this contract.

In the event of conflict between a delivery order or task order and this contract, the contract shall control.

(c)

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

Schedule, I.4 52.216 19 ORDER LIMITATIONS (0CT 1995)

(d (a) MINIMUM ORDER. When the Government requires supplies or services covered by this contract in an amount of less than N/A. the Government is not obligated to purchase, nor is the Contractor obligated to furnish, those supplies or services under the contract.

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

(1) Any order for a single item in excess of N/A:

(2) Any order for a combination of items in excess of N/A:

(3) A series of orders from the same ordering office within N/A

- days that together. call for quantities exceeding the limitation in subparagraph (1) or (2) above, (c)

If this is a requirements contract (i.e.. include the Requirements clause at subsection 52.216-21: of the-Federal Acquisition Regulation (FAR)), the Government is not required to order a part of any one recuirement from the Cor. tractor if that requirement exceeds the maximum-orcer limitations in paragraph (b) above.

-(d) Notwithstanding paragraphs (b) and (c) above, the Contractor shall honor any order exceeding the maximum order liinitations in parag aph (b) unless that order (or orders) is returned to the ordering office within N/A days after issuance.- with written notice stating the Contractor'3 intent not to ship the item (or items) called for and the reasons. Upon receiving this notice, the Government may acquire the supplies or services from another source.

I.5 52.216-21 REQUIREMENTS (OCT 1995) ALTERNATE I (APR 1984)

(a) This is a requirements contract for the supplies or services specified, and effective for the period stated, in the Schedule.

The quantities of supplies or services specified in the Schedule are estimates only and are not purchased by this contract.

Except as this

_J

NRC 02 97 009 Modification No. 107 Page 50 contract may otherwise provide, if the Government's requirements do not result in orders in the quantities described as " estimated" or " maximum" in the Schedule. that fact shall not constitute the basis for an equitable price adjustment.

(b) Delivery or performance shall be made only as authorized by orders issued in accordance with the Ordering clause.

Subject to any limitations in the Order Limitations clause or elsewhere in this contract, the Contractor shall furnish to the Government all supplies or services specified in the Schedule and called for by orders issued in accordance with the Ordering clause.

The Government may issue orders requiring delivery to multiple destinations or performance at multiple locations.

(c) The estimated quantities are not the total requirements of the Government activity specified in the Schedule, but are estimates of requirements in excess of the quantities that the activity may itself furnish within its own capabilities.

Except as this contract otherwise provides, the Government shall order from the Contractor all of that activity's requirements for supplies or services specified in the Schedule that exceed the quantities that the activity may itself furnish within its own capabilities.

(d) The Government is not required to purchase from the Contractor requirements in excess of any limit on total orders under this centract.

(e)

If the Government urgently requires delivery of any quantity of an item before the earliest date that delivery may be specified under this contract and if the Contractor will not accept an order providing for the accelerated delivery, the Government may acquire the urgently required goods or services from another source.

(f) Any order issued during the effective period of this contract and not completed within that period shall be completed by the Contractor within the time specified in the order.

The contract shall govern the Contractor's and Government's rights and obligations with respect to

' that order to the same extent as if the order were completed during the contract's effective period: p'ovided, that the Contractor shall not be required to make any deliveries unce.. this contract after the expiration date of the contract.

(End of Clause)

I.6 52.227-14 RIGHTS IN DATA--GENERAL (JUN 198/)

ALTERNATE I (JUN 1987) ALTERNATE II (JUN 1987)

ALTERNATE III (JUN 1987) ALTERNATE V (JUN 1987)

(a) Definitions.

" Computer software." as used in this clause, means computer programs, computer data bases, and documentation thereof.

" Data." es used in this clause, means recorded information regardless of form or the media on which it may be recorded. The term includes technical data and computer software.

The term does not include information

NRC 02-97 009 Modification No. 107 Page 51 incidental to contract administration, such as financial, administrative, cost or pricing, or management information.

" Form, fit, and function data." as used in this clause. means data relating to items, components or processes that are sufficient to enable physical and functional interchangeability, as well an data identifying source, size, configuration, mating and attachment characteristics.

functional characteristics, and performance requirements; except that for 4

computer software it means data identifying source, functional characteristics, and-performance requirements but specifically excludes the source code, algorithm process formulae, and flow charts of the software.

" Limited rights." as used in this clause, means the rights of the Government in-limited rights data as set forth in the Limited Rights Notice of subparagraph (g)(2) if included in this clause.

' Limited rights data." as used in this clause. means data (other than computer software) developed at private expense that embody trade secrets or are commercial or financial and confideatial or privileged.

" Restricted computer software." as used in this clause, means computer software developed at private expense and that is a trade secret: is commercial or financial and is confidential or privileged: or is published copyrighted computer software: including minor modifications of such computer software.

" Restricted rights." as used in this clause, means the rights of the Government in restricted computer software, as set forth in a Restricted Rights Notice of subparagraph (g)(3) if included in this clause. or as otherwise may be provided in a collateral agreement incorporated in and made part of this contract, including minor modifications of such computer software.

" Technical data." as used in this clause. means data (other than computer software) which are of a scientific or technical nature.

" Unlimited rights." as used in this clause, means the right of the Government to use, disclose, reproduce, prepare derivative works, distribute copies to the public, and perform publicly and display publicly in any manner and for any purpose. and to have or to permit others to do so.

I (b) Allocation of rights.

(1) Except as provided in paragraph (c) of this clause regarding copyright, the Government shall have unlimited rights in--

(i) Data first produced in the performance of this contract;

^

(ii) Form, fit and function data delivered under this contract:

(iii) Data delivered under this contract (except for restricted computer software) that constitute manuals or instructional and training material for installation, operation, or routine maintenance and repair of items, components, or processes delivered or furnished for use under this contract; and

p NRC-02 97-009-Modification No.107 j

Page 02 L

(iv) All other data delivered under this contract unless provided otherwise for' limited rights data or restricted computer software in accordance with paragraph (g) of this clause.

i (2)'The Contractor shall have the right to--

(1) Use, release to others, reproduce, distribute, or publish any data first produced or specifically used by the Contractor in the 4

l performance of this contract, unless provided otherwise in paragraph (d) of this clause.

s (ii) Protect from unauthorized disclosure and use those data--

which are limited rights data or restricted computer software to the ertent j

provided in paragraph (g) of this clause:

)

(iii) Substantiate use of, add or correct limited rights, restricted rights, or copyright notices and to take other appropriate-action.

i, in accordance with paragraphs (e) and (f)=of this cituse: and i

l (iv) Establish claim to copyright subsisting-in data first i

produced in the performance of this contract to the extent provided in

[

subparagraph'(c)(1) of this clause.

}

(c) Copyright.

(1) Data-first produced in the 3erformance of this contract. -Unless provided otherwise in paragrap1 (d) of this clause, the Contractor mcy establish, without prior approval of the Contracting Officer.

claim to copyright subsisting in scientific and technical articles based on or

{

containing data first produced in the performance of this contract and published in academic, technical or professional journals, symposia proceedings or similar works, The prior. express written permission of the Contracting Officer is required to establish claim to copyright subsisting in r

all other data first produced in the performance of this contract. When claim -

i to copyright is made the Contractor shall affix the applicable copyright notice of 17 U.S.C. 401 or 402 and acknowledgment of Government ' sponsorship c

(including contract number) to the data when such data are delivered to the 4

l Government, as well as when the data are published or deposited for i

registration as a published work in the U.S. Copyright Office.

For data other l

than computer software the Contractor grants to the Government, and others i

acting on its behalf, a paid-up, nonexclusive, irrevocable, worldwide license

-in such copyrighted data to reproduce, prepare derivative works. distribute co)ies to the public, and perform publicly and display publicly, by or on belalf of the Government.

For computer software, the Contractor grants to the f:

Government and others acting in its behalf a 3 aid-up, nonexclusive, i

irrevocable, worldwide license in such copyrigated computer software to reproduce arepare derivative works, and perform publicly and display publicly 4

by or on belalf of the Government.

(2) Data not first produced in the performance of this contract.

The i

Contractor shall not, without prior written permission of the Contracting Officer, incorporate in data-delivered under this contract any data not first

NRC 02 97 009 Modification No. 107 Page 53 produced in the performance of this contract and which contains the copyright notice of 17 U.S.C. 401 or 402, unless the Contractor identifies such data and

- grants to the Government, or acquires on its behalf, a license of the same scope as set forth in subparagraph (c)(1) of this clause: provided. however, that if such data are computer software the Government shall acquire a copyright license as set-forth in subparagraph (g)(3) of this clause if included in this contract or as otherwise may be provided in a collateral agreement incorporated in or made part of this contract.

(3) Removal of copyright notices.

The Government agrees not to remove any copyright notices placed on data pursuant to this paragraph (c) and to include such notices on all reproductions of the data.

(d) Release, publication and use of data.

(1) The Contractor shall have the right to use, release to others reproduce, distribute, or publish any data first produced or specifically used by the Contractor in the performance of this contract, except to the extent such data may be subject to the Federal export control or national security laws or regulations, or unless otherwise provided in this paragraph of this clause or expressly set forth in this contract.

(2) The Contractor agrees that to the extent it receives or is given access to data necessary for the performance of this contract which contain l

restrictive markings, the Contractor shall treat the data in accordance with l

such markings unless otherwise specifically authorized in writing by the Contracting Officer.

(e) Unauthorized marking of data.

(1) Notwithstanding any other provisions of l

this contract concerning ins 3ection or acceptance, if any data delivered under this contract are marked wit 1 the notices specified in subparagraph (g)(2) or (g)(3) of this clause and use of such is not authorized by this clause or if such data bears any other restrictive or limiting markings not authorized by this contract the Contracting Officer may at any time either return the data to the Contractor, or cancel or ignore the markings.

However, the following procedures shall apply prior to canceling or ignoring the markings.

(i) The Contracting Officer shall make written inquiry to the Contractor affording the Contractor 30 days from receipt of the inquiry to provide written justification to substantiate the propriety of the markings (ii) If the Cor. tractor fails to respond or fails to Povide written justification to substantiate the propriety of the markings within the 30-day period (or a longer time not exceeding 90 days approved in writing by the Contracting Officer for good cause shown), the Government shall have the right to cancel or ignore the markings at any time after said period and the data will no longer be made subjer.t to any disclosure prohibition.

4 i

NRC-02 97-009 Modification No.107 Page 54 (iii) If the Contractor provides written justification to substantiate the-propriety of the markings within the period set in subdivision (e)(1)(1) of this clause, the Contracting Officer shall consider such written justification and determine whether or not the markings are to be canceled or ignored.

If the Contracting Officer determines that the markings are authorized, the Contractor shall be so notified in writing.

If the Contracting Officer determines. with concurrence of the head of the contracting activity, that the markings are not authorized, the Contracting' Officer shall furnish the Contractor.a written determination, which determination shall-become the final agency decision regarding-the appropriateness of the markings unless the-Contractor files suit in a court of competent jurisdiction within 90 days of receipt:of the Contracting-Officer's decision.

The Government shall continue to abide by the markings under this subdivision (e)(1)(111) until-final resolution of the matter either by the Contracting Officer's determination becoming final-(in which instance the Government shall thereafter have the right to cancel or ignore the markings at any time and the data'will no longer be made subject to any disclosure prohibitions), or by final disposition of the matter by court-decision if suit is filed.

(2) The time limits in the procedures-set forth in subparagraph (e)(1) of

--this clause may-be modified in accordance with agency regulations-implementing the Freedom of Information Act (5 U.S.C. 552) if necessary to respond to a request thereunder.

(3) This paragraph (e) does not apply if this contract is for a major system or for support of a major system by a civilian agency other than NASA and the U.S, Coast Guard agency subject to the provisions of Title III of the Federal Property and Administrative Services Act of 1949.

(4) Except to the extent the Government's action occurs as the result of final disposition of the matter by a court of competent jurisdiction, the Contractor is not precluded by this paragraph (e) from bringing a claim under the Contract Disputes Act, including pursuant to the Disputes clause of this contract, as applicable. that may arise as the result of the Government removing or ignoring authorized markings on data delivered under this contract.

(f) Omitted or incorrect markings.

(1) Data delivered to the Government without either the limited rights or restricted rights notice as authorized by paragraph (g) of this clause, or the copyright notice required by paragraph (c) of this clause. shall be deemed to have been furnished with unlimited rights, and the Government assumes no liability for the disclosure, use. or reproduction of such data. However, to the extent the data has not been disclosed without restriction outside the Government, the Contractor may request, within 6 months (or a longer time approved by the Contracting.0fficer for good cause shown) after delivery of such data. permission to have notices placed on qualifying data at the Contractor} expense and the Contracting Officer may agree to do so if the Contractor

NRC 02 97 009 l

Modification No. 107 Page 55 (i) Identifies the data to which the omitted notice is to be (ii) Demonstrates that the omission of the notice was inadvertent:

(iii) Establishes that the use of the proposed notice is authorized: and 3

(iv) Acknowledges that the Government has no liability 1

with respect to the disclosure, use, or reproduction of any such data made prior to the addition of the notice or resulting from the omission of the notice.

(2) The Contracting Officer may also (i) permit correction at the Contractor's expense of incorrect notices if the Contractor identifies the data on which correction of the notice is to be made, and demonstrates that the correct notice is authorized, or (ii) correct any incorrect notices.

(9) Protection of limited rights data and restricted computer software.

(1) When data other than that listed in subdivisions (b)(1)(i), (ii), and (iii) of this clause are specified to be delivered under this contract and qualify as either limited rights or restricted computer software, if the Contractor desires to continue protection of such data, the Contractor shall withhold such data and not. furnish then to the Government under this contract, As a. condition to this withholding, the Contractor shall identify the data i

being withheld and furnish form, fit and function data in lieu thereof.

Limited rights data that are formatted as a com3 uter data base.for delivery to

- -- - the Government are to be treated-as limited rig1ts data and not restricted computer software.

(2) Notwithstanding subparagraph (g)(1) of this clause, the contractor may identify and specify the delivery of limited rights data, or the Contracting Officer may require by written request the delivery of -limited rights data that has been withheld or would othenvise be withholdable.

If delivery of such data-is so required, the contractor may affix the following " Limited Rights Notice" to the data and the Government will thereafter treat the data, subject to the paragraphs (e) and (f) of this clause, in accordance with such Notice:

+

5

NRC-02 97-009 :

. :~

Modification No.107 Page 56 LIMITED RIGHTS NOTICE (JUN 1987)

(a)ThesedataaresubmittedwithlimitedrightsunderContractNo.

(and subcontract

, if appropriate). These data may be reproduced and used by the Government with the express limitation that they will not, without written permission of the Contractor, be used for Jurposes of manu'acture nor disclosed outside the Government: except t1at the Governmirc may disclose these data outside the Government for the following purposes.-if any: provided that the Government'makes such disclosure ~ subject to prohibition against further use and disclosure: [ Agencies may list additional purposes as set in 27.404(d)(1) or if'_none, so state]'

(b) This Notice shall be marked on any reproduction of'these whole or in part.

(End'of notice)

(3)(1) Notwithstanding subparagraph'(g)(1) of this clause, the contract may identify and specify delivery of restricted computer software, or 4

the Contracting Officer may require by written request'the delivery of withholdable. puter software that has.been4 withheld:or would otherwise be.

restricted >com If delivery of such computer softwaresis so required, the ~

Contractor may affix the following ~" Restricted Rights Notice" to the computer software and the Government will treat the computer software, subject to paragraphs (e) and (f) of clause, in accordance with the Notice:

U RESTRICTED RIGHTS NOTICE (JUN 1987)

N (a) This computer software is submitted with restricted rights under Government Contract No.

(and subcontract

. if appropriate).

It may not be used, reproduced, or disclosed by the Government except as e

provided in paragraph (b) of this Notice or otherwise expressly rtated in the k

contract.

(b) This computer software may be--

(1) Used or copied for use in or with the computer or computers for which it was acquired, including use at any Government installation to which st.ch computer or computers may be transferred:

(2) Used or copied for use in a backup computer if any computer for which it was acquired is inoperative:

(3) Reproduced for safekeeping (archives) or backup purposes:

(4) Modified, adapted, or combined with other computer software, provided that the modified, combined, or adapted portions of the derivative software are made subject to the same restricted rights:

(5) Disclosed to and reproduced for use by supoort service Contractors in accordance with subparagraphs (b)(1) through (4) of the clause provided the Government makes such disclosure or reproduction subject to these restricted a

rights; and

NRC 02-97 009 Modification No. 107 Page 57 4

(6) Used or copied for use in or transferred to a replacement computer.

(c) Notwithstanding the foregoing, if this computer software is published copyrighted computer software, it is licensed to the Government, without disclosure prohibitions, with the minimum rights set forth in paragraph (b) of this clause.

(d) Any other rights or limitations regarding the use, duplication, or disclosure of this computer software are to be expressly stated in, or incorporated in, the contract.

(e) This Notice shall be marked on any reproduction of this software, in whole or in part.

4 (End of notice)

(ii) Where it is impractical to include the Restricted Rights Notice on restricted computer software, the following short-form Notice may be used in lieu thereof:

~

RESTRICTED RIGHTS NOTICE SHORT FORM (JUN 1987)

Use, reproduction, or disclosure is subject to restrictions set in Contract No.

(and subcontract

. if with (name of Contractor and subcontractor).

(End of notice)

(iii) If restricted computer software is delivered with the copyright notice of 17 U.S.C. 401, it will be presumed to be published copyrighted com) uter software licensed to the Government without disclosure prohibitions, witrthe minimum rights set forth in paragraph (b) of this clause, unless the Contractor includes the following statement with such copyright notice:

" Unpublished--rights reserved under the Copyright Laws of the United States."

(h) Subcontracting.

The Contractor has the respons1bility to obtain from its subcontractors all data and rights therein necessary to fulfill the Contractor's obligations to the Government under this contract.

If a subcontractor refuses to accept terms affording the Government such rights, the Contractor shall promptly bring such refusal to tha attention of the Contracting Officer and not proceed with subcontract awaid without further authorization.

(i) Relationship to patents.

Nothing contained in this clause shall imply a license to the Government under any patent or be construed as affecting the scope of any license or other right otherwise cranted to the Government.

g

.)

[

-NRC-02-97 009 -

4 t

Modification-No.107 T

Page 58 4

-(j) The Contractor-agrees. except as may be otherwise specified in this j

contracc for specific data items listed as not subject to this paragraph, that t

- the Contracting Officer or an authorized representative may, up to three years after. acceptance of all items to be delivered under this contract, inspect-at 2

the Contractor's facility any data withheld pursuant to paragraph (g)(1) of this clause..for purposes of verifying the Contractor's assertion pertaining

- to the. limited rights or restricted rights status of the data or for evaluating work' performance. Where the Contractor whose data are to be-i inspected demonstrates to the Contracting Officer that+there would be_a i

possible conflict of interest -if-the inspection.' ere made by a particular w

l representative, the Contractor shall designate an alternate inspector.

I I.7 -52'.232-20 LIMITATION OF COST (APR 1984) i l

NOTE: - The offeror is-hereby advised that the Limitation of Cost Clause will i

be applied at the operations plan level, i

o (a).The parties estimate that per_formance of this contract, exclusive of any fee, will not cost the Government ~more than-(l) the' estimated cost s)ecified in the Operations Plan (i.e/tFINelevel).= ore (2) if this:is a_ cost-s1aring contract, the Government's share of the estimated cost specified in F

the operations alan. The contractor. agrees to use its best efforts to perform the woro specified in the operations )lan and all obligations under 4

this. contract within the estimated cost, whic1 if this is a cost-sharing l

contract, includes both the Government's and the contractor's share of-the cost.

(b) The contractor shall notify the Contracting Officer in writing l

whenever it has reason to believe that--

I (1)-The costs the contractor expects to incur under this contract in the next 60 days, when added to all costs previously incurred. will exceed e

75 percent of the estimated cost specified in each of the'0perations Plans; j

or I

(2) The total cost of the performance of this contract, exclusive i

of any fee, will be either greater or substantially less than had been previously estimated, j

(c) As part of the notification, the contractor shall provide the i

Contracting Officer a revised estimate of the total cost of performing this i

contract.

(d).Except as required by other provisions of this contract.

l specifically citing and stated to be an exception to this clause--

(1) The Government is not obligated to reimburse the contractor for costs incurred in excess of (i) the estimated cost specified in each Operations Plan, or (ii) if this is a cost-sharing contract, the estimated cost to the Government specified in each Operations Plan: and I

i

- -~

,,--1

NRC 02-97 009 Modification No.107 Page 59 (2) The contractor is not obligated to continue performance under this contract (including actions under the Termination clause of this contract) or otherwise incur costs in excess of the estimated cost specified in each Operations Plan, until the Contracting Officer (1) notifies the contractor in writing that the estimated cost has been increased and (ii) proviues e revised estimated total cost of performing this contract, if this is a cost sharing contract, the increase shall be allocated in accordance with the formula specified in each Operations Plan.

4 (e) No notice, communication, or representation in any form other than 4

that specified in subparagraph (d)(2) above, or from any person other than-the Contracting Officer, shall affect this contract's estimated cost te the Government.

In the absence of the specified notice, the Government is not obligated to reimburse the contractor for any costs in excess of the estimated cost, or if this is a cost-sharing contract, fcr any costs in excess of the estimated cost to the Government specified in each Operations Plan, whether those excess costs were incurred during the course of the contract or as a result of termination.

(f) If the estimated cost specified in each Operations Plan is increased, any costs the contractor incurs before the increase that are in excess of the previously estimated cost shall be allowable to the same extent as if incurred afterward, unless the Contracting Officer issues a termination or other notice directing that the increase is solely to cover termination or

(

other specified expenses.

(g) Change orders shall not be considered an authorization to exceed the estimated cost to the Government specified in each Operations Plan, unless j

they contain a statement increasing the estimated cost.

.(h),If this contract is. terminated or the estimated cost is not

~

increased, the Government and the contractor shall negotiate an equitable distribution of all property produced or purchased under.the contract, based upon the share of costs incurred by each.

(End of Clause) f 11.8 52.232-22 LIMITATION OF FUNDS.

(APR 1984)

NOTE:

The offeror is hereby. advised that the Limitation of Funds Clause will be applied at each Operations Plan level.

(a) The parties estimate that performance of this contract will not cost the Government more than-(1) the estimated cost specified in each Operations Plan, or (2) if this is a cost-sharing contract, the Government's share of the estimated cost specified in the operations plan. The contractor agrees to use its best efforts to perform the work specified in each Operations Plan and ali obligations under this contract within the estimated cost, which, if this is a cost-sharing contract, includes both the Government's and the contractor's share of the cost.

p

.b NRC-02-97-009 Modification No.107 Page 60 (b)- Each 0perations Plan specifies the amount-presently available for payment by the Government and allotted to this contract, the items covered.

the Government's sharc of the cost. if this is a cost-sharing contract, and the-period of performance it is estimated the allotted amount will cover.

The parties contem) late that the Government will allot additional funds incrementallylto tie contract up.to theLfull. estimated cost to:the Government specified in each Operations Plan ~ exclusive of any-fee. -The~ contractor agrees to' perform,-or have, performed, work on the contract up to the point at which the total / amount: paid and payable by the Government under the contract

- approximates but'does not exceed the total _ amount actually allotted by the Government to the contract-(c) The contractor shall notify the Contracting Officer in writing whenever it has. reason to believe that.the costs it expects to incur under this contract in the next 60 days, when added to all costs previously incurred, will exceed 75 percent of (1) the total amount so far allotted to the contract by the Government,. or (2) if this:is a cost-sharing contract, the. amount thencallotted to the contract-by.the Government 31us the contractor /s. corresponding share ~The: notice shall~ state tle= estimated amount of ' additional funds required to' continue performance' for the period specified in each Operations Plan.

(d) Sixty days before the end of the period saecified in each Operations

~

Plan, the contractor shall notify the Contracting Officer in writing of the estimated amount of additional funds, if any, required to continue timely performance under the contract or for any further period specified in each Operations Plan or otherwise agreed upon and when the funds will be required.

(e) If after notification, additiorial funds are not allotted by the end of the period specified in the Operations Plan or another agreed-upon date.

u)on the contractor's written request the Contracting Officer will-terminate t11s contract on that date in accordance with the provisions of the Termination clause of this contract.

If the contractor estimates that the funds available will allow it to continue to discharge its obligations beyond that date, it may specify a later date in its request, and the Contracting Officer may terminate chis contract on that later date.

(f) Except as required by other provisions of this contract, spcifically citing and stated to be an exception to this clause--

(1) The Government is not obligated to reimburse the contractor for c9sts incurred in excess of the total amount allotted by the Government to this contract: and (2) The ccatractor is not o'bligated to continue performance under this contract (including actions under the Termination clause of this contract) or otherwise incur. costs in excess of"(1) the amount then allotted to the contract by the Government, or (ii) if this is a cost-sharing contract. the amount then allotted by the Government to the contract plus the contractor's corresponding share until the Contracting Officer notifies the contractor in writing that the amount allotted by the Government has been increased and ~ specifies an increased amount. which shall then constitute the

NRC-02 97 009 Modification No 107 Page 61 total amount allotted by the Government to this contract, (g) The estimated costs shall be increased to the extent that (1) the n

amount allotted by the Government, or (2) if this is a cost sharing contract.

the amount then allotted by the Government to the contract plus the i

contractor's corresoc, ding share, exceeds the estimated cost specified in the Operations Plan.

If this is a cost sharing contract, the increase shall be 4

allocated P. accordance with the formula specified in the Operations Plan.

(h) No notice, communication, or representation in any form other than that specified in subparagraph (f)(2) above, or from any person other than the Contracting Officer, shall affect the amount allotted by the Government to this contract.

In the absence of the specified notice, the Government is i

not obligated to reimburse the contractor for any costs in excess of the i

total amount allotted by the government to this contract, whether incurred during the course of the contract or as a result of termination, i

1 (i) When and to the extent that the amount allotted by the Government to the contract is increased, any costs the contractor incurs before the j

increase that are in excess of (1) the amount previously allotted by the Government, or (2) if this is a cost-sharing contract, the amount previously allotted by the Government to the contract plus the contractor's corresponding share, shall be allowable to the same extent as if incurred afterward, unless the Contracting Officer issues a termination or other notice and directs that the increase is solely to cover termination or other specified expenses, (j) Change orden shall not be considered an authorization to exceed the amount allotted by the Government specified in the Operations Plan, unless they contain a statement increasing the amount allotted.

(k) Nothing in this clause shall affect the right of the Government to i

terminate this contract, if this contract is terminated, the Government and the contractor shall negotiate an equitable distribution of all property produced or purchased under the contract, based upon the share of costs incurred by each.

(1) If the Government does not allot sufficient funds to allow completion of the work, the contractor is entitled to a percentage of the fee specified in the Operations Plan equalling the percentage of ccmpletion of the work contemplated by this contract.

(End of Clause) 4 1.9 52.242-4 CERTIFICATION OF INDIRECT COSTS (OCT 1995)

?

(a) The Contractor shall--

(1) Certify any proposal to establish or modify billing rates or to establish final indirect costs 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

I NRC-02-97 009 Modif1 cation No.107 Page 62 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, as described in this clause, shall result in payment of indirect costs at rates unilaterally established by the Government.

(c) The certificate of indirect costs shall read as follows:

Certificate 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 estaolish billing or final indirect cost 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 Regulation (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 FAR or its supplements. including, but not limited to: advertising and public relations costs.

contributions and donations, entertainment costs.

i l

fines and penalties lobbying costs, defense of fraud proceedings, and goodwill; and 4.

All costs included in this proposal are properly 4

allocable to Government contracts on the basis of a beneficial or casual relationship between the expenses incurred and the contracts to which thy are allocated in accordance with applicable acquisition regulations.

I declare under penalty of perjury that the foregoing 1s true and correct.

Firm:

Signature:

Name of Certifying Official:

Title:

Date of Execution:

(End of Clause)

_ _. _ ~

NRC-02 97 009 Modification No.107 Page 63 1

.PART 111 - LIST OF DOCUMENTS. EXHIBITS. AND OTHER ATTACHMENTS I

Section J - List of Attachments l

Attachment Number Title 1

Procedures for-Placing and Changing Work i

2 CNWRA Charter 2a Criteria for Placement of Work at the FFRDC 3

0FPP Policy Letter 84 1 4

Microform Specification for DWM Contracts 5

Nuclear Waste Policy Act of 1982 6

NRTs Role Under the Nuclear Waste Policy Act of 1982 7

NRC's Role Under the Nuclear Waste Policy Act--(8/11/89) 8 NRC Contractor Organizational Conflict of Interest 9

NRC Handbook 3.8 10 Billing Instructions 11 CNWRA Award Fee Determination Plan 12 Contractor Procedures for Submitting Documentation to the NRC in Electronic (Machine Readable) Format 13 Exchanges of Personnel Between the CNWRA and the U.S. NRC 14 Subcontracting Plan Dated August 8. 1997 15 NRC Appendix 2101 Part IV. " Security of Sensitive Unclassified Information 16 Procedures for Using the CNWRA for Work for NRC and Others Within its Areas of Special Competency 17 Listing of Sensitive Equipment 18 Procedures for Resolving NRC Contractor Differing Professional Vie >:

19 ACH Vendor Payment Enrollment Form

ATTACHMENT 1 PROCEDURES FOR PLACING AND CHANGING WORK Contents

.i A.

Introduction B.

Definitions C.

Procedures for Placing New Work with the CNWRA D.

Procedures for Revising Work Placed with the CNWRA 3

1 4

5 4

4-4 e

4 5

i 3

OPERATION PROCEDURES FOR USE OF THE CENTER FOR NUCLEAR WASTE REGULATORY ANALYSES This document establishes policies, procedures, and responsibilities for utilizing the Center for Nuclear Waste Regulatory Analyses (CNWRA) to support the U.S. Nuclear Regulatory Commission (NRC) for its High-Level Waste (HLW) regulatory program under the Nuclear Waste Policy Act of 1982, as amended (NWPA) and the Energy Policy Act of 1992.

It applies to all CNWRA activities assigned to the CNWRA through Southwest Research Institute's (SwRI) contract with the NRC.

SECTION A - INTRODUCTION 1.

Backcround i

The CNWRA is an independent not-for-profit corporation formed in 1987 to perform research and technical assistance related to 4

NRC's HLW management regulatory program under the NWPA and the NWPAA.

The NRC is currently the sole sponsor.of the CNWRA.

The CNWRA's work in support of the NRC places that organization in the rategory of a Federally Funded Research and Development Center (FFRDC) and is subject to NRC budgetary limitations, as set forth by Congress.

An FFRDC is a category of government contractor that provides objective, independent expertise to satisfy special research and development needs of its sponsor.

The scope of this document is limited to procedures for determining work to be placed-at the CNWRA; placing work at the

- b CNWRA; and monitoring and evaluating the work performed by the CNWRA.

Programmatic responsibilities assigned to the Director of the Office of Nuclear Material Safety and Safeguards (NMSS),

the Director, Office of Nuclear Regulatory _Research (RES), and other offices who might use the CNWRA are not affected by these procedures.

2.

CNWRA Role The CNWRA will perform, under NRC direction, research and technical assistance to support the NRC in fulfilling its program responsibilities under the Nuclear Waste Policy Act of 1982, as amended, which is within the purpose, mission and general scope of the FFRDC Charter (see Attachment 2A).

The primary areas or elements of work under the NRC/CNWRA contract are discussed in Section C.2.3 of the contract.

Based on the work performed in each major area, the CNWRA will support the NRC staff as required by assisting in the development of review plans, technical positions, rulemakings and other documents to provide timely guidance to DOE; provide reviews of licensing and program documents; assist NRC staff during a determination of site sufficiency and waste form adequacy; conduct research to support the NRC-HLW mission; and contribute, if appropriate, to oral and written testimony for adjudicatory hearings.

4 SECTION B - DEFINITIONS 1.

Statement of Work The.NRC contract with the CNWRA contains an " umbrella" statement I

of work in general terms, which directs that the CNWRA provide j

technical assistance and research in-each of the major areas of work:(See Section A.2 above).

This statement of work is a contractual document providing authority and direction for the 1

CNWRA to perform work during the contract period.

Detailed work

{

descriptions are incorporated into the contract via Program j

Element Plans, developed by NRC, and Operations / Project Plans, developed by the CNWRA and approved by NRC, t

2.

Procram Element P]ans Program Element Plans (PEPS) are prepared by NRC as required for each program or research project element and provide the basis

+

for development of detailed Operations Plans (described below) by the CNWRA.

PEPS contain the following information for each element of work:

Introduction, Background, NRC's Five-Year Objectives, the CNWRA's Role, the Estimated Level of Effort, f-Products / Schedule During Period covered by the Operations Plan, j

and the Task Description.

Updates do not require inclusion of thC Introduction, Background, NRC's-Five-Year Objectives, and/or i

the CNWRA's Role unless a change has been-made to the section, i

3.

Ooerations Plans Operations Plans are detailed implementation plans prepared'by j

the CNWRA,-upon a written directive from the NRC Contracting Officer (CO), to conduct the work directed.by NRC in PEPS.

One 4

Operations Plan will be-prepared for each NRC Sponsor, e.g.,

'NMSS or RES.-

The Operations Plans are broken down into sections for each element of work within the respective Sponsor's area.

l The. Operations Plans contain scope, schedules, and costs for i

each element of work aud, once approved by the CO,-are incorporated.into the contract by reference and-become the j.

contractual basis for measuring work performance.

As changes are identified and approved by the CO, the Operations Plans are modified by the CNWRA.

Note that for RES work, the Overall i

Research Project Plan plus specific Project Plans constitute the

-Operations Plan.

l 4.

NRC-Directives NRCjdirectives are written contractual documents provided by the CO requesting new work or making changes to existing work and may include direction to prepare an Operations Plan, authorization-to initiate-work based on an approved Operations 1

Plan, or direction to amend milestones, schedules or cost i

-ceilings contained in an existing Operations Plan.

Only the CO

.can authorize changes in major milestone schedules, scope of work and/or costs.

i

O 4

4 i

C.

Technical Direction 4

}

Technical direction is defined in Section G,2 of the contract between NRC and SwRI, The term technical direction includes direction to the CNWRA which:

(1) shifts work emphasis (within the technical area of responsibility), provides additional detail or otherwise serves to clarify the scope of work in the directive; (2) provides assistance to the contractor in the preparation of drawings, specifications or technical portions of the work description; and (3). reviews and, where required by the i

centract, approves technical reports, drawings,_ specifications l

-and technical information to be delivered by the contractor to the Government-under the contract, Technical direction must not affect the stated scope, costs, expressed terms, conditions or i

specifications of the contract, or the schedule of major milestones, SECTION C - PROCEDURES FOR PLACING NEW WORK WITH THE CNWRA J

1 a.

The NRC CNWRA Deputy Program Manager (DPM) submits NMSS' j

proposed PEPS to the CO, including independent government cost i

estimates for the_ work.

RES' proposed PEPS, including i

indapendent government cost estimates for the work, are L

forwarded to the CO by the RES Sponsor, b.

The CO reviews the PEPS to ensure that the work is clearly defined, enforceable and within the stated purpose, y

scope and-mission of the contract with SWRI.

The CO issues a i

written directive, with the concurrence of the-NRC CNWRA Program Manager (PM) or NRC CNWRA DPM, to the CNWRA requesting a j

detailed new or revised Operations Plan, as appropriate, for performance of the new work, Depending on the urgency-of the

]

required new work, the CO may verbally-direct the CNWRA to I

. commence work on the new elements, In such an event, the CO j

establishes a-limit on the Government's liability and requests the CNWRA to submit a new or revised Operations Plan, as appropriate, c.

The*CNWRA submits an Operations Plan, including an assessment of the impact on existing Operations Plans to the CO with copies to the NRC CNWRA PM, NRC CNWRA DPM and appropriate NRC. Program Element Manager (s) (PEM), who review the Operations Plan.

All-discussions regarding necessary changes to existing Operations Plans shall include the CO, NRC CNWRA PM and/or NRC CNWRA DPM, and the RES Sponsor for RES work.

If no changes are required, the CO, after making a determination that all costs proposed are fair and reasonable, will issue a directive authorizing the CNWRA to perform work in accordance with the Operations Plan.

.d.

If_ changes to the proposed Operations Plan are required, the PEMs notify their Sponsors and these issues are discussed and resolved.

The final decision on program changes will be made by the NRC CNWRA PM for NMSS work or the RES Sponsor for RES work.

To the extent practicable, preliminary notification

_ of issues for discussion will be provided to the CNWRA by the CO.

Based on agreements reached, the CO will direct the CNWRA to commence performance of new elements, establish a limit on 1

the Government's liability, and request the CNWRA to submit a revised Operations Plan or change pages that reflect the terms discussed and agreed upon.

The CNWRA submits a revised Operations Plan or change pages to the CO with copies to the NRC CNWRA PM, NRC CNWRA DPM and NRC PEM(s), recognizing the date that the CO authorized initiation of work.

The CO, NRC CNWRA PM for NMSS work, the RES Sponsor for RES work, and, when necessary, PEM(s) review the revised Operations Plan or change pages to ensure terms are acceptable, and costs, if any are fair and reasonable.

If acceptable, the NRC CNWRA PM or NRC CNWRA DPM for NMSS or the RES Sponsor for RES notifies the CO.

The C0 reviews changed pages to ensure that comments have been resolved in accordance with the terms and conditions of the contract, and if so, authorizes performance in accordance with the revised Operations Plan and incorporates it into the contract by reference.

e.

CNWRA Operations / Project Plans contain details of what the CNWRA plans to do to complete the requirements in the PEPS and are subject to CO approval.

The CNWRA may also at times find it useful to submit for NRC comment documents such as Technical Operating Procedures which describe h2w the work will be performed.

These documents are CNWRA management documents and are not subject to NRC approval.

SECTION D - PROCEDURES FOR REVISING WORK PLACED WITH THE CNWRA a.

NRC Project Officers (PO), NRC PEMs, NRC CNWRA DPM, NRC CNWRA PM, or.RES Sponsor may identify a need for a change to an element of work, e.g.,

acceleration or deceleration of a schedule,. work stoppage, or addition / deletion of work stated in the Operations Plan.

If the initial identification of revised work requirements is made by the PO or PEM, the PEM shall submit a written request to the NRC CNWRA DPM for NMSS work, or the RES Sponsor for RES work.

Upon approval by the NRC CNWRA'PM of changes for NMSS' work, the request is forwarded from the PEM through the NRC CNWRA DPM, who will, if appropriate, sign Ll.e request and submit it to the CO.

For changes in RES work, the request is forwarded to the CO by the RES PEM through the RES Sponsor.

The written request shall contain the following information:

(1)

Introduction (nature of requirement),

background, priority; (2)

Description of work to be performed, including milestones; and (3) Estimated level of effort, b.

To ensure NRC program priorities are properly reflected, all proposed changes, irrespective of significance, must be approved by the NRC CNWRA PM or NRC CNWRA DPM for NMSS work or the RES Sponsor for RES work before they are provided to the CO.

When appropriate, the CRG will be requested to review the proposed requirement and provide comments and recommendations.

The NRC CNWRA PM and/or NRC CNWRA DPM, or the RES Sponsor for RES, and the CO may informally discuss the requirement with the

appropriate CNWRA management (See Section C.3.).

c.

The NRC CNWRA DPM and the appropriate Sponsor assess / estimate what additional resources are required to perform the new work or what reduction in resources is necessary based on a program deletion.

Also, the NRC CNWRA DPM assesses the impact of the proposed changes on existing CNWRA Operations

Plans, d.

If the proposed change is within the scope, the element (s) cost ceilings, and does not affect major milestones and deliverables of the then current Operations Plan, the individual PEM or Technical Sponsor may (within the technical area of responsibility) adjust intermediate milestones with counterparts at the CNWRA through technical direction.

All technical direction shall be issued in writing by the PEM or Technical Sponsor or shall be confirmed by the PEM or Technical Sponsor in writing within ten (10) working days after verbal issuance with copies to the CO, NRC CNWRA PM and NRC CNWRA DPM.

Certain milestones and deliverables are designated as major for each element at the outset.

e, A summary of required changes, including resources, and cost and schedule implications other than those within the purview of individual PEMs or Technical Sponsor's authority is provided to the CO by the NRC CNWRA DPM for NMSS work or the RES Sponsor for RES work, including the impact of the proposed changes on existing CNWRA Operations Plans, if appropriate.

The CO reviews the requirement to insure that the required change is clearly defined, enforceable and within the stated purpose, mission and scope of the contract and notifies the CNWRA of the proposed change.

Depending on the urgency of the required changes, the CO may verbally direct the CNWRA to commence work on a revised element immediately upon receipt from the NRC Deputy CNWRA PM for NMSS work or the RES Sponsor for RES work.

In such event, the CO establishes a limit on the Government's liability and requests the CNWRA to submit a revised Operations Plan or change pages.

All discussions regarding necessary changes and impacts on existing Operations Plans shall include the CO and either the PEM for NMSS work or the RES Sponsor for RES work. 'The PEMs are responsible for coordinating such changes with the Sponsor, who coordinates with the NRC CNWRA PM or NRC CNWRA DPM. and the CO, f.

Changes to existing elements will be directed by the CO based on direction received from the NRC CNWRA DPM or the RES Sponsor.

The CO also directs the CNWRA to submit a revised Operations Plan or change pages that incorporate the required changes and an analysis of the impact on existing Operations Plans.

g.

The CNWRA submits a revised Operations Plan or change pages and its analysis of the impact on existing Operations Plans to the CO with copies to the NRC CNWRA PM, NRC CNWRA DPM, and PEM, who review the revised Operations Plan / change pages.

The CO, NRC CNWRA PM and/or NRC CNWRA DPM, and PEM (or in the case of RES, the RES Sponsor) agree on terms of revised

-7 Operations Plans and discuss any required changes with the CNWRA management.

h. When changes are required to the revised Operations Plan nr change pages submitted by the CNWRA, the CO issues a directive to the CNWRA which incorporates the terms agreed to by Center management and NRC, including any additional changes required.

i. When no changes are required to the revised Operations Plan and/or change pages are submitted by the CNWRA, the CO issues a directive authorizing the CNWRA to perf:.cm work in accordance with the revised Operations Plan.

4 L

..._ _ _ _ _ _ _ _.. _ _ __._. ~ _ _ _.... _ _ _.. _ _ a J

d

-CRTTERlA FOR PLACEMENT-OF WORK AT THE FFRDC The FFRDC contractor has-a singular and exclusive right to the work defined in its Charter. Therefore. all high level waste work that requires technical assistance and/or research to fulfill NRC program responsibilities under the Nuclear Waste Policy Act of 1982, as amended, and is within the pur

.aission and general scope of the FFRDC Charter will by definition, pose,be placed i

eIth the FFRDC contractor, absent compelling reasons for pl?" 'ent elsewhere, i-such as the following:

i 1.

High level waste work requiring highly specialized facilities or expertise which the FFRDC does not possess and does not have access to through other available means,

~

i 2.

All non technical management, administrative and other support type work.

j 3.

High level waste work to be placed with a commercial contractor as a result of acceptance of a bonafide unsolicited proposal where conflict of interest and long term continuity considerations do not override, 1

i 4.

Non mission oriented high level waste work funded under financial l'

assistance arrangement.

4-I l

i l

O

Attachment No S NUCLEAR REGULATORY COMMISSION ACQUISITION REGutA110N 2009.570 NRC organizational conflicts of interest.

I2009.570-1 Scope of 901 icy.

(a)

It is the policy of NRC to avoid, eliminate, or neutralize contractor organizational conflicts of interest.

The NRC achieves this objective by requiring all prospective contractors to submit information describing relationships, if any, with organizations or persons (including those regulated by the NRC) which may give rise to actual or potential conflicts of interest in the event of contract award.

(b)

Contractor conflict of interest determinatioris cannot be made automatically or routinely.

The application of sound judgment on virtually a case-by-case basis is necessary if the policy is to be applied to satisfy the overall public interest, it is not possible to prescribe in advance a specific method or set of criteria which would serve to identify an3 resolve all of the. contractor conflict of interest situations which might arise.

However, examples are provided in these regulations to guide application of this police guidance.

The ultimate test is as follows: Hight the contractor.

if awarded the contract, be placed in a position where its judgment may be biased, or where it may have an unfair competitive advantage?

(c)

The conflict of interest rule contained in thi.s subpart applies to contractors and offerors only.

Individuals or firms who have other relationships with the NRC (e.g., parties to a licensing proceeding) are not covered by this regulation.

This rule does not apply to the acquisition of consulting services through 'the'p'ersonnel'1ppointment process, NRC agreements' with other Government agencies, international org'anizations, or state, local, or foreign Governments.

Separate procedures for avoiding conflicts of interest will be employed in these agreements, as appropriate.

62009.570-2 Definitions.

As used in 52009.570:

Affiliates means business concerns which are affiliates of each othat 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.

L.gatract means any contractual agreement or other arrangement with 'the NRC except as provided in 52009.570-1(c).

Contractor means any person, firm, 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 consultants or subcontractors, 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.

s Offeror or crospective contractor means any person, firm, unincorporated association, joint venture,-co-sponsor, partnership,.orporation, or their affiliates 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.

Oroanizational conflicts of interest means that a relationship exists whereby a contractor or prospective contractor has present or planned interests related to the work to be performed under an NRC contract which:

(1)

May diminish its capacity to give impartial, technically sound, objective assistance and advice, or may otherwise result in a biased work product; or (2)

May result in its being given an unfair conpetitive advantage.

Potential conflict of interest means that a factual situation exists that suggests that an actual conflict nf interest may arise from hard of a proposed contraqt.

The term notential conflict of interest is used to signify those situations that-(1)

Merit investigation before. contract award to ascertain whether

, nard would give rise to an actual conflict; or-(2)

Must be reported to the contracting officer for investigation if they arise-during contract performance.

Research means any scientific ~or technical work involving theoretical, analysis, exploration..or experimentation.

Subcontr uign means any subcontractor of any tier who performs work under a contract with the NRC except subcontracts for supplies and subcontracts in amounts not exceeding the small purchase threshold.

11chnical consultina and manacement suongrt services means internal assistance to a component of the NRC in the formulation or administration of its programs, projects, er policies which normally require that the contractor be given access to aroprietary information or to information that has not been made available to tie public. These services typically include assistance in the preparation of program plans, preliminary designs, specifications, or statements of work.

52009.570-3 Criteria for recognizing contractor organizational conflicts of interest.

(a)

General.

(1)

Two questions will be asked in determining whether actual or potenti11 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 NRC7 m

l (ii) Hay the offeror or contractor be given an unfair competitive advantage based on the performance of the contract?

(2)

NRC's ultimate determination that organizational conflicts of interest exist will be made in light of common sense and good business judgment based upon the relevant facts. While it is difficult to identify and to prescribe in advance a specific method for avoiding all of the various situations or relationships that might 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 groundwork for the NRC's decisions on regulatory activities, future procerements, and research programs. Any work performed at an applicant or licensee site will also be closely scrutinized by the Nhc stiff.

(b)

Situations or relationships.

The following situations or relationships rn4y give rise to organizational conflicts of interest:

i (1), The offeror or contractor shall disclose information, that i

may give rise to organizational conflicts of interest under the following circumstances.

The information may include the scope of work or specification for the rcquirement, being performed, the period of performance, and the name and telephone number for a mint of contact at the organization knowledgeable about the commercial contract.

(i)

Where the offeror or contractor provides advice and recommendations to the NRC in the same technical area where it is also providing cortsulting assistance to any organization. regulated by the NRC.

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

(iii) Where the offe,*or 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.

iv) Where the award of a contract would result in placing the of(,eror or contractor in a confilcting role in which its judgment may be biased *in relation to its work fnr 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 licensee site while performing work in the same technical area for the NRC at the same site.

(2)

The contracting officer may request specific information from an offeror or contractor or may require special contract clauses such as provided in 52009.570-5(b) in the following circumstances:

4 (1)

Where the offeror or contractor prepares specifications that are to be used in competitive procurements of products or services covered by the specifications.

(ii) Where the offeror or contractor prepares plans for specific approaches or methodologies that are to be inc6rporated

~

-into competitive procurements using the approaches or methodologies.

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

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

(v)

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

(c)

Policy anolication cuidgngg.= The following examples are illustrative only and are not intended to identify and resolve all contractor e

organizational conflict of interest situations.

(1)

(i)

Exam 61e':

Th* %BC Corp., in response to a Request For Proposal (RFP), proposes to undertake certain analyses of a reactor component as called for in 'the RFP. The ABC Corp. is one of several companies considered to be technically well qualified.

In response to the inquiry in the RFP, the ABC Corp advises that it is currently performing similar analyses far the reactor manufacturer.

(ii) Guidance. An NRC contract for that particular work normally would not be awarded to the ABC 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.

Because there are other well-qualified companies available, there would be no reason for considering a waiver of the policy.

(2)

(i)

Examole. The ABC Corp., in response to an RFP, proposes to perform certain analyses of a reactor component that is unique to one type of advanced reacter. As is the case-with other technically qualified companies responding to the RFP, the ABC Corp. is performing various projects for several different utility clients. None.of tha ABC Corp. projects have any relationship to the work called for in the RFP.

Based on the NRC evaluation, the ABC Corp is considered to be the best qualified company to perform the work outlined in the RFP.

(ii) Guidance. An NRC contract normally could be awarded to the ABC Corp, because no conflict of interest exists which

i of the Appalachian fold belt.

In accordance with the representation in the RfP and $2009.570-3(b)(1)(l), ABC Corp.

informs the NRC that it is presently doing seismological studies for several utilities in the eastern United States, but none of the sites are within the geographic area contemplated by.the NRC study.

(ii) fedqmcf. The contr. acting officer would normally conclude that award of a contract would not place ABC Corp. in a conflicting role where its -judgment might be biased.

Section 2052.209-73(c) Work for Others, would preclude ABC Corp. from tccepting work which could create a conflict of interest during the term of the NRC contract.

(6)

(i)

Examole. AD Division of ABC Corp., in response to a RFP, submits a proposal to assist the NRC in the safety and environmental review of applications for licenses for.1pe construction, operation, and decommissioning of fuel cycle facilities. ABC Corp. is divided into two separate and distinct divisions AD and BC. The BC Division performs the same or similar services for industry. The BC Division is currently pro-viding the same or similar services required under the NRC's contract for ar applic1nt or licensee.

(ii) Guidance. An NRC contract for that particular work would not be aarded to the ABC Corp.

The AD Division could be g'

placed in a position,to pastjudgment on work performed by, the BC Division, which could bias its work for NRC.

further, the Conflict of Interest prosIsions 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 sought in accordance with $2009.570-9.

7(i)

EXAMPLE The ABC Corp completes an analysis for NRC of steam generator tube leaks at one of a utility's six sites. Three months later, ABC Corp. is asked by this utility to perform the same analysis at another of its sites.

(ii) GUIDANCE $2052.290-73(c)(3) would prohibit the

' contractor from beginning this work for the utility until one year after completion of the NRC work at the first site, 8(i)

EXAMPLE ABC Corp. is assisting NRC in a major on-site 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 $5 million. Near the completion of the NRC work, ABC Corp. requests authority to solicit for a $100K 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 oy the contractor because of financial ties to

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 performance of the NRC

contract, for exampic, ABC Corp, would be precluded from the performance of similar work for the company developing the advanced reactor mentioned in the example.

(3)

(i)

Example.

The ABC Corp., in response to a competitive RFP, 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 firm determined to be technically acceptable.

ABC Corp. has performed 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 administration of compliance respiratory protection programs for nuclear power plants, i

t (ii) Guidance.

This situation would place the firm 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 important in terms of the NRC's responsibilities and no reasonable alternative exists, a waiver of the policy, in accordance 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 mechant,sms to g,uard against bias.

(4)

(1)

[ngle.

The ABC Corp, submits a proposal for a new system to evaluate a specific reactor component's performance for the purpose of developing standards that are important to the NRC program.

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

(ii) 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 unless this information has been reported to the NRC.

Data on how the reactor component performs, which is reported to the NRC by contractors, will normally be disseminated by the NRC to others to preclude an unfair competitive advantage. When the NRC furnishes information 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 which the information, developed about the performance of the reactor component under the contract, is proposed to be used.

(5)

(i)

Example.

The ABC Corp., in rt.. ;,unse to a RFP, proposes to assemble a map showing certain seismological features

h the utility is slight due to the relative value of the two contracts.

9(i)

EXAMPLE 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 million.

ABC 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.

S Q,MQaEl An NRC contract would not normally be awarded to ABC W,i, mee these factors create thc. potential for financid bre.y to the utility that may bias the technical judgment of the contractor.

(d)

Other considerations.

(1)- The fact that the NRC can identify and later avoid, eliminate, or neutralize any potential organizational conflicts arising from the performance of a contract is not relevant to a determination of the existence of 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 compet4tive 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 52052.209-72 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)

Technicalconiultingandmanagementsupportservices; (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 under the ' Changes" clause. Where, however, a statement of the type required by the organizational conflicts of interest representation provisions has previously been submitted with regard to the contract being modified, only an updating of the statement is required.

}

l i

(c)

The offeror may, because of actual or potential organizational 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 proposals.

If the NRC considers the proposed excluded work to be an essential or integral part of the required work and its exclusion would be to the detriment of the competitive posture of the other offerors, the NRC shall reject the proposal-as unacceptable.

(d)

The offeror's failure to execute the representation required by paragraph (b) of this section with respect to an invitation for bids is considered to be a minor informality. The offeror will be permitted to correct the omission.

62009.570-5_ Contract clauses.

General contract c1Lun. All contracts and small purchases of the (a) u types set forth in $2009.570-4(b) must include the clause entitle &,1

" Contractor Orgaoizational Conflicts of Interest," set forth in-92052.209-73.

(b)

Other special contract clauses.

If it is determined from the nature of the proposed contract that an organizational conflict of interest exists, the contracting officer may determine that the conflict can be avoided, or, after obtaining a waiver in accordance with $2009.570-9, neutralized through the use of an appropriate special contract clause, if appropriate, the offeror may negotiate the terms and conditions of these clauses, including the extent and time period of any restriction.

These i

clauses include but are not limited to:"

(1) tiardware 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 organizational conflicts of interest; and (4)

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

(2009.570-6 Evaluation, findings, and contract award, The contracting officer shall evaluate all relevant facts submitted by an offeror and other relevant information.

After evaluating this information against the criteria of 52009.570-3, the contracting officer shall make a 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 conflicts by appropriate measures; or

1 (c)

Award the contract under the waiver provision of $2009.570-9.

l 62009.570-7 Conflicts identified after award, if potential organizational conflicts of interest are identified after award with respect to a particular contractor, and the contracting bfficer l

determines that conflicts do exist and that it would not be in the best interest of the Government to terminate the contract, as provided in the clauses required by $2009.570-5, the contracting officer shall take every reasonable action to avoid, eliminate, or, af ter obtaining a waiver in accordance with $2009.570-9, neutralize the effects of the identified 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 $19,000 in accordance with,92009.570-4(b). The contracting officer shall require the contractor to include contract clauses in accordance with 52009.570-5 in consultant agreements or subcontracts involving performance of work under a prime contract.

62009.570-9 Waiver.

(a)

The contracting officer determines the need to seek a waiver for specific contract awards, with the advice and concurrence of the program office director and legal'couns'el U$bn the recommendation of the Procurement Executive, and after consultation wita le p 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.

(b)

Waiver action is strictly limited to those situations in which:

(1)

The work to be performed under contract is vital to the NRC program.

(2)

The work cannot be satisfactorily performed except by a contractor whose interests give rise to a question of conflict of interest.

(3)

Contractual and/or technical review and surveillance methods can be employed by the NRC to neutralize the conflict.

(c)

For any waivers, the justification and approval documents must be placed in the NRC~ Public Document Room, 2120 L Street, NW. (Lower level).

Washington, DC.

62009.570-10 Remedies, in addition to other remedies permitted by law or contract for a breach oi 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,

Atte;tc.cht !.;. y Unclassified Contractor and Grantee Publications in the NUREG Series I

l l

Directive E

I 3.8 l

O

-y i,.

.y a g,

Notuule 0, l' art 1 - l'ublicatiotts, Mail, und intortnatiott Disclosute Unclassilled Contractor and Grcntee l'ublications in the NUREG Series Directive 3.8 Contents Policy.................................................................

1 O bj ec t i ve s............................................................

1 Organizational Responsibilities and Delegations of Authority............

2 Executive Director for Operations (EDO)................................

2 Deputy

• xecutive Director for Nuclear Reactor Regulation, Re d

Operations and Research (DEDR).......................gional 2

Deputy Executive Director for Nuclear hiaterials Safety, Safeguards, and Operations Suppon (DEDS)........................................

3 O ffi c e Di r e ct ors......................................................

3 Director, Office of Administration (ADhi)................................

4 Director, Division of Freedom of Information and Publications Se rvice s, (DFIPS), ADhi..............................................

4 Director, Division of Contracts (DC), ADhi..............................

4 A pp li ca b ili ty..........................................................

5 E m pl oy e e s..........................................................

5 O th e r Pu blications..................................................

5 H a n d b oo k.............................................................

5 Refe r e n ce s............................................................

5 Approved: June 17,1991 (Revised: July 9,1995) lu

i j

Volume: 3 Informauon Nangemern

\\'..... '/

Part:

J Pubhcations.. Man.wJ lwmation Disdosate ADM 1

l 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 documentauon and production requirements, standards, and practices specified in this directive and handbook: (1) unclassified NRC l

contractor, consultant, or grantee formal.eports, books, and intemational agreement reports in the NUREG/CR (contractor I

reports), NU REG /GR (grant reports), and NUREG /IA (international agreement reports) 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 ensure 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 revien of formal reports and books before publication. (b)

To entire that national security, patent rights, copyrights, proprietary rights, and rights in other sensitive unclassified information, including those specified in interagency and international agreements and memoranda of understanding, are not compromised by the release or publication of information by NRC. (c)

Approved: June 17,1991 (Revised: July 9,1995) 1 i

V:lume 3, Pcrt 1 - Publicati:ns, Mail, and Inf:rmatisn Discl:sure Unclassifit.d Contrcet:r tnd Grcntee Publications in the NUREG Series Directive 3.8 Objectives (3.8-02) (continued)

To ensure that all unclassified NRC contractor or grantee publications in the NUREG series carry the registered Government identification NUREG/CR-0000, NUREG/

GR-0000, or NUREG/lA-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 Snal 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 document because of irreconcilable differences between hintself or herself and the author about the contents of the document. (a)

Approved: June 17,1991 (Revised: July 9,1995)

Yolurne 3, Part 1 - Publications Mail, and information Disclosure a

Unclassified Contrector and Grantee Publications in the NUREG Series Directive 3.8 Deputy Executive Director for Nuclear Reactor Regulation, Regional Operations and Research (DEDR)

(032)(continued)

When an office director refuses to pennit a contractor's principal 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)

Deputy Executive Director for Nuclear Materials Safety, Safeguards, and Operations Support (DEDS)

(033)

As delegated from the EDO, makes final decisions in the following 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 permit a contractor's principal 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) 1

• • Contract

• in this contess encompemes the " standard Order ior doe Work"(NRC Form 173),intera gency and interna tional agreements.

4 Approved: June 17,1991 (Revised: July 9,1995) 3

V:lume 3, Pcrt 1 - Publicati:ns, h1 ll, and Information Disclosure Unclassified Ccntrcct:r cnd Grantee Publications in the NUREG Series Directive 3.8 Office Directors (034)(continued)

Sign, or delegate signature atuhanty lor, the NRC Form 426A.

" Release to Publish Unclassthed SRC Contractor, Consultant, or Conference Proceedings Repont (Echibit 1 of Handbook 3.8),

and for memoranda requesting reprints of contractor publications. (c)

Director, OITice of Administration (ADht)

(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, formatting, 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)

Develops and administers the central agency publication numbering system for identifying, producing, and retriesing unclassified NRC-sponsored publications in the NUREG series. (c)

Director, Dhision of Contracts (DC), ADh1 (037)

Ensures that those requests for proposals, invitations for bids, and grant proposals, and the ensuing contracts and grants that require A Proved: June 17,1991 P

4 (Revised: July 9,1995)

Yolutne 3, Part 1 - l'ublications, h1all, and Information Disclosure Uncitssified Contractor and Grantee Publications in the NUREG Series Directive 3.8 Director, Division of Contracts (DC), ADM (037)(continued) publications as deliverables include provisions recuiring that contractors comply with this directive and handboos and with Government Printing and Binding Regulations.

Applicability (3.8-04)

Employees (041) s All NRC employees shall follow the policy and guidance specified in i

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 and 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 Govemments," OhG Circular A-87, Office of Management and Budget, January 1981.

Energy Reorganization Act of 1974, as amended (42 U.S.C. 5801 ct seq.).

Approved: June 17.1991 (Revised: July 9,1995).

5

(

V:1ume 3, Pcrt 1 - Publicati:ns, h1all, tnd information Disclosure Uncl ssified Contrccior cnd Grantee Publications in the NUREG Series Directive 3.8 References (3.8-06) (continued)

" Federal Grant and 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 hianagement and Budget. July 1976.

hiemorandum of Understanding Benveen the Department of Energy and the U.S. Nuclear Regulatory Commission, February 24,1978.

hiemorandum of Agreement Benveen the Institute of Nuclear Power Operations and the U.S. Nuclear Regulatory Commission, dated September 17,1993.

NRC hianagement Directive 3.9, "NRC Staff and Contractor Speeches, Papers, and Journal Articles on Regulatory and Technical Subjects."

3.11 " Conferences and Conference Proceedings."

12.2, "NRC Classified Information Security Program."

12.6, "NRC Sensitive Unclassified Infonnation Security Program."

NUREG-0650, Revision 1, " Publishing Documents in the NUREG Series," November 1990.

NUREG/BR-0075, Revision 2, "NRC Field Policy hianual," Field Policy hianual No. 9, dated March 22,1993.

"Public Printing and Documents," Title 44, Chapter 3, Government Printing Office. United States Code.

U.S. Govemment Pn'nting Office Style hianual,1984.

Approved: June 17,1991 6

(Revised: July 9,1995)

1 l

\\

Unclassified Contractor and 4

i Grantee Publications in the 1

NUREG Series A

o o

+

Handbook 3.8 l.

i l

I 4

l l

l, i

l P

i l

l l

,.,,. _,,,_ en'=_,,,_2 7...,_=7.7,73mn,y;_,

r._.

3,7 2,=_,

,m.,

Nolutne 3, Part 1 - Publications, Mail, and intornmtion unsclosure Uncl:ssified Contrccior and Grantee Publications in the NUIGG Serier linndbook 3.8 Parts 1 - V1 i

Contents Part I I n t rod u ct i on..........................................................

I Part II l

Preparing Publication Requirements for Statements of Work for Co n t ra c t s..........................................................

2 Specifying Publication Requirements (A)..................................

2 Publishing Formal Reports (B)..........................................

2 Publishing Unclassi6ed Information in the Open Literature and Presenting Pa p e rs (C)......................................................

4 Reports Containing Sensitive Unclassificd and ClassiSed Information (D).......

6 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 Numb e r (1)..............................................

8 Au thers' N am e s (2)...............................................

8 Organizational Identi5 cation (3).....................................

9 Previous Reports in Series (4).......................................

9 Re p o rt D a t e s (5).................................................

9 Report Organization and Components (B)................................

9 Pre-Publication Reviews (C)............................................

9 Pat e nt Revi ew (1).................................................

9 S e curity Review (2)...............................................

10 Copyrignt Review (3)..............................................

10 Col o r Prin ting (D)....................................................

10 Mi cro 5 ch e (E).......................................................

12 Discl aim e rs (F)....................................................... 13 Approved: June 17.1991

-(Revised: July 9,1995) _

m

sunutue o, vari 1 - runneauons, mau, anu inturtuuuun utdemsuie Unclassified Centract:r cnd Grcn'.ee Publicaticus in the NUREG Series H"ndbook 3.8 Parts 1 - VI Contents (continued)

Part III (continued)

Availability Information (G)............................................

13 Referen ce hiaterial (1).............................................

13

)

Rep o rts (2)......................................................

14 Fo rms (H }...........................................................

14 i

Bibliographic Data Sheet (NRC Form 335) (1).........................

14 Release To Publish Unclasdfied NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A) (2)..............

14 Printing and Reprinting (1).............................................

15 Dis tri b u ti o n (J ).......................................................

15 Part IV International Agreernent Reports......................................

16 Background and Rationale (A)..........................................

16 Identification Information (B)...........................................

16 i

Cove r and Title Page (1)...........................................

16 NRC Report Number (2)...........................................

16 Previous Reports in Series (3).......................................

17 Report Organization and Components (C)................................

17 Availability Infonnation (D)............................................

17 References and Bibliographies (1)...................................

17 Re p orts (2)......................................................

18 D iscl aim e r (E).......................................................

18 Fo rms ( F)...........................................................

19 Bibliographic Data Sheet (NRC Form 335) (1).........................

19 Release to Publish UnclassiSed NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A) (2)..............

19 Classified or Sensitive Unclassified Infonnation (G).........................

19 Approved: June 17.1991 iv (Revised: July 9,1995)

_ _ _ _ _ _ _ _ _ _. _ -. _ _ _\\olutne 4, l' art 1 - l'ubhcations, Mail, and intorniation AJasclosure Unclassified Contractor and Grantee Publications in the NUREG Series llandbook 3.8 Parts I - VI Contents (continued)

Part V i

B oo ks................................................................2 0 G e n e ra l ( A)......................................................... 20 D e fi ni ti o n (B)........................................................ 20 1

Fonn a t (C)..............................

20 NRC Docurnent Number (D)........................................... 21 Availability of Reference Materials (E)................................... 21 Re vi e ws ( F).......................................................... 22 Pe e r ( 1 )........................................................ 22 Copyrig h t (2 ).................................................... 23 S e cu ri ty (3 )...................................................... 23 l

Pa t e n t (4 )....................................................... 23 Publishing Authorization Form (G)...................................... 23 l

Di scl aim e rs ( H)...................................................... 23 Prin tin g (1).......................................................... 24 Distribution and Sales (J)........................,..................... 24 l

Part VI i

G ran t P u b li ca t ion s.................................................... 25 Background and Rationale (A).......................................... 25 Publication of Results (B).............................................. 25 Publication by NRC (1)............................................ 25 l

Publication by a G rantec (2)........................................ 25 Publication by a Grantee in the Open Literature (3).................... 25 l

Reprints of Open Uterature Publications (4)........................... 27 Identification Infonnation (C)........................................... 27 Pr e-Publication Reviews (D)............................................ 27 G l o s s a ry.....................................................

28 4

Approved: June 17,1991

~ (Revised:f July 9,1995)

V l

Uncitssified Contractor and Grantee l'ublications in the NUIEG Series llendbook 3.8 Parts 1 - \\1 i

4 Contents (continued)

Exhibits

~

1. NRC Form 426A. Release to Publish Unclassified NRC Contractor, j

Consultant, or Conference Proceedings Reports"........................

32 NRC Form 335, " Bibliographic Data Sheet"............................

33 t.

3. M i crofi ch e Sh e e t S ampl e...........................................

3 5 n

4 I

I.

Approved: June 17,1991 vi -

(Revised: July 9,1995)

i Volume 3, Part 1 - Publications, Mall, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series 3

Handbook 3.8 Part I i

i Part I Introduction This handbook specifies the procedures that the Nuclear Regulatory Commission (NRC) contractors and grantets need to follow when preparing the following publications for the NRC: (A)

Final NUREG repons (1) i International agreement reports (2)

Books (3)

Grant publications (4) e The handbook is dhided into six major pans and includes a glossary and exhibits. Pan II provides general information for staff consideration in preparing statements of work. Parts III. IV, V, and VI proside publislung guidelines speci5c to,. respectively, contractor reports,. international agreement reports, books, and grantee publications. (B)

Contractor means a private contractor, consultant, expen, another State or Federal agency working under an interagency agreement, or a Department of Enerhy (DOE) facility or subcontractor, such as a national laboratory, working under the DOE /NRC M;me andum of Understanding of February 24,1978, and any mocontrwors of these organizations. (C)

This directive and handbook, as well as a copy of " Publishing Docmnents in the NUREG Series"(NUREG-0650, Resision 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 4 applicable guidelines outlined in Part II. (D)

Approved: June 17,1991 1

(Revised: July 9,1995) 1

Yolume 3, Part 1 - Publications. Stall, ami informatmn Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series llandbook 3.S Part II

==========--

i Part II Preliaring Publication Requirements for Statements of Work for Contracts Specifying Publication Requirements (A)

I 1.ist and describe the type of technical repons required from each project, task, or subtask, as applicable. State when, how many and to whom the reports should be submitted and the scope ofinformation they should contain. These reports may be unclassified. sensitive unclassi5ed, or classi5ed. For guidelines and requirements covering sensitive unclassi5ed and classified publications. refer to htanagement Directive (hiD) 12.2, "NRC Classified Information Security Program " and htD 12.6, "NRC Sensitive Unclassified Information Security Program." (1) nis directive and handbook penain to publications that will be issued in the NUREG/CR, NUREG/lA. and NUREG/GR series. (2)

Publishing Formal Reports (B)

NUREG series repons will be printed and distributed by hTC from camera-ready copy submitted by the contractor to the Publications Branch, hiailst_op 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 fonnal reports are specified in " Publishing Documents in the STREG Series" (NUREG-0650, Revision 1). (1)

When the report contains sensitive unclassi5ed or classi5ed information, the contractor must comply with hfD 12.2. (2)

Approved: June 17,1991 (Revised: July 9,1995) 3

~

Volume 3, Part 1 - Publications, hinil, and luformation Disclosure Unclassified Contractor and Grantec I ublicationCm the NUREG Series l

,,,,,,,,,,,,jlandbook 3.8 Part Il Publishing Formal Reports (n)(continued; i

If a draft is desired before completing a final report, specify in the statement of work (SOW) the duc date for delivering the final l

camera-ready copy aftet receiving comments from NRC staff or participants (if applicable) on the draft State that all draft material be 4

]

submitted to the cognizant NRC contact. (3)

When the contractor is to submit draft material for comment before 4

preparing the final report, state that the contractor will be asked to make changes if there are comments from NRC staff or participants. lf agreement on the changes is reached, the NRC contact will authorize the contractor to prepare the final copy and submit it to the NRC contact ifit is a letter report or input to a Safety Evaluation Report or an Emironmental Statement, or to the Director, Division of Freedom of Information and Publications Senices (DFIPS) if it is a 4

camera-ready copy for printing and distribution. This procedure will ensure proper publication, handling, distribution and, among other things, preclude further changes that might nullify the agreement. (4) t If special caveats were agreed to between the contractor and the NRC contact, the caveats should accompany the NRC Form 426A (Exhibit 1) for approval when it is cent 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 emnera-ready copy with, in addition to the standard disclaimer required on all contractor formal reports (see Section (F), Part IU of this handbook), any caveats deemed necessary to cover NRC objecticns. These caveats may range from 'The siews expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" to the addition of a preface setting forth the NRC opinion or footnotes at appropriate locations within the text. (6)

If NRC objections cannot be covered in this manner, NRC can refuse to publish the report. In the case of DOE / national laboratory reports, the DOE Operations Office Manager responsible for 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, la the case of another Federal agency, a State, or a private contractor, the person who entered into the contract should similarly be informed by the Approved: June 17,1991

- (Revised: July 9,1995)'

3

Volume 3, Part 1 - Putiliuations, Mail, ano'intornstiutilisciusuie ~~ ~'~

'~'

Unclassified Contrcctor end Grantee Publications in the SUREG Series linndbook 3.8 Part 11

=

. - : : =.~..=:.=.. 2:

Publishing Formal Reports ilmmeme NRC contracung othcer. The comraaos f:, dien free to publish the repon without identifying NRC b the fmhing sponsor of the report and without the NRC disclaimer. Decisions ey 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 pennitted to i

publish in the open literature instead of submitting a final report and/or to prescrit 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)

!Theprincipalinvestigat rmaypublish theresuItsdf thisworkin o

!the open literature instead of sulimitilng a nnal report or may present'p' perstatlpublic or! association meetingsjutilnterim a

}tagof thefwsrkE, E: _hfQg If the NRC contact wants to review the paper or journal article before presentation or submission for publication, so state in the SOW, as follows:(2)

- c.y. m., y. m m e

.... w m,., _.- -

iThe principalinvesligatormayisablish (lie n:sults of this workin :

!!heVpen literitsre:instead"ofisubmitting ifinalNirfor'may Iresestipapers} st[publid brias5kialloni meitlhgs f atiinterim !

stagis of the miEkifils siticle or' pay his tiech' renewed b'y tite LNRC bontaniEdrift'inidisdiagreciilestidsnicached 'on -

lthe contenUPhysnsfidbndisMbJEA;f 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 Ccmmission," 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 preser.tation of papers. (3)

In the latter case, NRC will inform the contractor of the decision, as previously 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 (Revised: July 9,1995) 4

Volume 3, Part 1 - Publications, Mail, und in ormation Disclosure r

Unclassined Contrcctor and Grantee Publicatiorn in the NUREG Series llandbook 3.8 Pnrt 11 Publisliing Unclassified Jnformation in the Open Literature and Presenting Papers (C)(continued)

If the contractor proposes to publish in the open literature or present l

the information at meetings in addition to submitting the required technical reports, approval of the proposed article or presentation l

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 l

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)

Whcu the contractrr submits journal articles for publication, each must be accomp:utied by the following statement: (7)

~

m a nny ~ nn

-~~mn - w e The submitted manusenpt has been= authored by a contractor of itiieU. sic 3 Gent'anderCo66dettNob WAicoelingly,the

~

[U.S.}G0&fime6BhiEGtY Edlisne,Troyalty-fitElicenst to

pinbGhnripindusiM56bitsbed fdm of tiiks'centribution, or ialldeth. ira '.donikU.SfG_Whrm_n.entis.urvoiesbM W.

std.-- L

-.. ~..

aw-..

All published papers and articles must include the following disclaimer. (8)

This repor.

w

. m nm wwammenw-me n -

4 t was prepared as'an account ofwrk sponsored by b?an'sjitsif6f tlic UditMSinfGMErEnkdikNeither; the~Unikd CStates_!Ge,E_inM_iildi6,irJ, iyE""thiNof5fici6.kinyiefitheir

.amakestany; m,

v-m Nem x.expm.ssedp ors..,mph..dfor re y

e m.

ms aassumes'.:an 3

3ertre nsibiliti:forman.y h,ird nt h{pggingg

$ $%g$6ffanM& tin, empparatus,yprodoet@,gr,;p%cliUnii rocess;disclosedlimithisert

$$'ely edned rightEDie41srs~cipaissedin thilyipe ithjthstiitliEnse by

nfringe Uprivat Fnedessdrilj theie~ef the;U.S)Niiclesi; Riiih1At6if Commission.

Gum @kauwuG.uaaza:i %ku:m=OMa::a;&:SMx =

'For DOE wrk orders, the appropnate job code number is appbeable.

Approved: June 17,1991 (Revised: July 9,1995) 5.

summe o, ran > - ruuneauons, Mau, uno intonaation l>isclosure Uncl:ssified Contractor and Grantee Publications in the NUREG Series llendbook 3.8 Part H 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 wTiting in accord with the sample letter showTi as follows: (9)

-m

[

Dear (Copyright'Holger's Na,

me): y"-m

- as n

nu

.s. z /.

MVe r,ecently receivediaCdocument*for: signature assigning :

s hopMtiandiephblihation(riglitkidithe submitted'ardele-l

~ ~

(title) to (bame of publicstibn). This lettei is offered in lieu of gthe doc'uniente ast aDmeansfofJcompleting

th'e> transfer of-p[own'ership.[Accofdingly,!dhereby;erpressly aansfer and assignjourjrightsTof; ownership!instheiabovejeited work-to if(name of publishir)b ~

9i

~

kho rdNhvihd b, that tlEbbovelassihe~nt and any

? publication oriephiscadou of thildidve2 cited w6rliis subject Ito thifoll4winiGoierninent W;Wwag$p;&;C%2%[ rights:@M[%:Q [l r..

1 6The.submitt d manuscripthas bee %gaQbe g

p n authomiby a contractor

$st:thiltl.S7GbWrdineit)under:C4MractiNo?'M INE6rdidglMM$n.Sipds.D i

D Imyalty-freeihcense:tojpub,enEE.iEhE[ liga AAn.onexclusiv mn w

a vnnnn n

bsh:ercreproduce:thetpublished Ifinn:ordhiicuitiitiuitiod,%EsNEEotMiiEto'M's'o

!GWenisentjsrp6ssiEEM,wg $,f!ME VHi h. 6foEU.Sc Fy e - m.

m.y e m.xm s

[ir$ e i k h*

1 E

• • 4

.y! t '

h [ C'

$j'-

.m Sy & d M h$2M8$$$ $ $k~O M $in N d 2 1 '

e. __ _E _d % #Ne d W h m:u m4'

. W 1

.u -

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 (o)

Examples of the proper marking of reports designated Official Use Only, l.imited 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)

J

Volutne 3, Part 1 - Publications. Muil. [mti inf ormatiIm insetosure _.

Unclassified Contractor and Grantee Publicitions in the NUREG Series linndbook 3.8 Part 11 Conference and Workshop Proceedings a.a If NRC approves publication of compilations of papers presented at NRC sponsored or cosponsored meetings, conferences. and symposia.

see MD 3.11. " Conferences and Conference Proceedings."

Distribution of Reports to Contractors (F)

Up to 50 copies of printed unclassified NUREG/CR, NUREO/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 quantity on NRC Form 426A (Exhibit 1). Contractors requesting single copies for specific

/

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, voith 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, Washington, DC 20555-0001, and that distribution will be made along with the standard distribution.

Coordinating Contractor Press or Other Media Releases ofInformation (c)

A contractor rc.ay 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 cf Public Affairs. The contractor must not issue a press release on nonroutine information without this prior approval. This approval may be obtained bp telephone call to the office director or designee to expedite the request. The contractor may appeal decisions not to authorize the release ofinformation or delays in handling the request to the appropriate Deputy Executive Director for Operations.

Approved: June 17,1991 7

(Revised: July 9,1995)

Volume 3, Part 1 - Publications, Mail, and information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part III Part III Draft and Final NUREG Reports Identification Information (A) l NUREG Number (1) l Each contractor report published by NRC must be identified by a unique alphanumeric designation controlled and maintained by the l

Division of Freedom of Information and Publications Senices (DFIPS). To obtain an NPC report number, call the Publications Branch, DFIPS, a' (301) 413-7008. (a) l The NRC adentification numbers will have one of the following j

forms: (b)

NUREG/CR-0000 e

NUREG/GR-0000 NUREG/lA-0000

=

CR indicates contractor report, GR indicates grant report, and LA indicates interuation:tl agreement report. The contractor report

. umber,if any, will be placed below the NUREG number on the title page and cover. (c)

When a report consists of more than one volume or binding, or is issued in more than one edition, an appropriate volume, number, supplement, part, addendum, or revision designation must appear immediately below the NRC report number and the contractor's report number, if any. (d)

Authors' Names (2)

Authors' names must appear on the report cover and title page, unless placing them there is impractical, as for an annual report having many contributors. Editors or compilers with subject-area expertise may also be identiGed as such on the cover and title page. The authors' Approved: June 17,1991 8

(Revised: July 9,1995) l

Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part III Identification Information (A)(continued)

Authors' Names (2) (continued) affiliation need not be hsted unless it differs from the organization 3

creating the report.

Organizational Identification (3)

The Publications Branch, DFIPS, prepares the covers and title pages for all reports and will list information about the organization that created the report as it is provided.

Previous Reports in Series (4)

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.

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. Recommend:d format and organizational guidelines appear in " Publishing Documents in the NUREG Series" (NUREG-0650, Revision 1). (1)

Each draft and Snal 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 Form 335 (Exhibn 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)

Patentimplications must be considered before approval of reports for public release so that disclosure will not adversely affect the patent Approved: June 1.7,1991 e

(RMsed: ~ July 9l1995) 9

Volume 3,- Part 1 - Publications, blail, and information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part III Pre-Publication Reviews (C)(continued)

Patent Resiew (1)(continued) rights of NRC or the contractor if the work being reponed is contractually managed through another Government agency (e.g.,

DOE national laboratories), the contractor should request that Government agency to perform the patent review. The result of the review must be reported on NRC Form 426A under item 8 (see Exhibit 1). (a) l If NRC directly administers the contract, or the contractor is unable to obtain a patent clearance from the Government agency administering the contract, the responsible NRC contracting officer must be i

consulted, and the responsible NRC technical contact shall consider the paten'. implications. If the report does not require a patent resiew because the report does not contain any description of novel technical developments *. hat may be of an inventive nature, mark "N/A" on the NRC Form 426A in the space for the Patent Counsel's signature. If a pouibility exists that developments of an inventive nature are d:sclosed, 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 tbrough the contracting officer. The standards for marking and handling these repons 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 coppight holder.

See Section 3.4 of NUREG-0650, Revision 1, for information about obtaining copyright permission.

Color Printing (D)

Regulations issued by the Joint Committee on Printing (JCP) restrict the use of color in printed materials to those uses that are of demonstrable value. JCP regulations specify that " demonstrably valuable multicolor printing" includes the following categories: (1)

Approved: June 17,1991 10 (Revised: July 9,1995)

Yolume 3, Part 1 - Publications, Mall, and int'ormation Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series flandbook 3.8 Part Ill Color Printing (o)(continued)

Maps and technical diagrams for which additional color is necessary for clarity. (a)

Object identification (medical spec' mens, diseases, plants, flags, 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 failure is in direct ratio to the degree of public response, and for which that response can be logicallyattributable to the number of colors planned and the manner in which they are proposed to be used. (e)

Color for promotional or motivational purposes, such as programs conceming 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 effective layout and design. (b)

Printed items for which additional color is used excessively, that is, four colors when two or three will fulfill the need, three colors when two are adequate, two colors when one is adequate. (c)

Printed items wherein the inclusion of multicolor does not reflect careful, competent advance planning that recognizes the contribution that the use of color is expected to make to the ultimate end-purpose. (d)

Approved: June 17,1991 (Revised: July 9,1995) 11

Volume 3, Part 1 - Publications, Mail, and Information Disclosure Uncitssified Centrcctor and Grantee Publications in the NUREG Series Handbook 3.8 Part III Color Printing (D)(continued)

If color printingis anticipated when the statement of work or standard order for DOE work is being prepared, contact the Publications Branch, DFIPS. Prior approval must be granted by the Director of DFIPS. If a requirement for color printing arises as the report is being prepared, submit a written 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 microSim with 18 columns and 15 rows (reduction ratio of 1 to 48). (1)

The micro 5che 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 microfiche 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 identi5 cation number, and the classi5 cation (e.g.,

unclassi5ed, 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 microfilmed in sections if the page is too large to be microfilmed in a double frame. No less than 25-mm overlap of original material is acceptable. (6)

'With the eception of items (3), (4), and (8). these speci5 cations are consistent with the Amencan National standards insutute " standard for hiicrographics-hiicrofiche. ANSI /AIIM Ms5-1985."_Copx:s of thzs standard are available from the American National standards Institute. ATm: sales Depanment.11 West 42nd street.13th floor, New York. NY 10036 (212) 642-4900, or from the Association for Information and Image Management.

ATTN: Publications secuon.1100 Wayne Aw:nue. silver spnng. MD 20910 (301) 587-6202.

Approved: June 17,1991 12 (Revised:: July 9,1995)

Volume 3, Part 1 - Publications, Ma'ildnd lutarmation Disclosure Unclassided Contractor and Grantee Piiblications in1he NUREG Series

_,11andbook 3.8 Part H1 Microfiche (E)(continued).

The first frame must be blank (on de f2rst sheet only), and the second frame must contain the National Institute of Standards and Technology's (NIST's) Reference Material resolution target in hiicrocopy Test Charts (NBS SRM 1010A).'(7)

Jacketed microfiche is unacceptable. (8) l Disclaimers (F)

The following notice will be added by the Publications Branch, DFIPS, before the. printing process on the inside front cover: (1)

~.,,,,

..,,,-- n. m n, ~

GThis report was prepared las ansecount of work sponsorsd by

, :an agency of the United Staies Government,' Neitherlthe United C StaiesiGoyernmihiIndr/Any'agencydh' ire 6f,4 nohanyioritheir deiispl6yees,7 hifaksijiiny%aiiFanii,j& pissed for (im plied,?i or b asstimesi aInBlesali liabiljfbE respbssilillitFfoEany hhiid

[ Mart /mma EEeihltst5fiubbl6s sNssfoEth Wegfekenikihdilsbl1ergprocessid. loM n ~~ u ~

-uw ow dapparittusrproduct isc sed ohm. griW@ygtiliilp@gmitiussreport'ior eb idsidninfridge

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The branch will print the additional statement, "The siews expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission," below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed. (2)

Availability Information (c)

Reference Material (1)

Reports or other documents referenced in text, reference sections,

. bibliographies,;and appendixes-of uncimified 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 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

Volume 3, Part 1 - Publications, Mail, and luformation Disclosure

-Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part HI Availability Information (c)(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 reference section titled " Proprietary Sources of Information."(b)

In addit on, reference to Institute of Nuclear Power Operations i

(INPO) documents may not be made without prior approval from l

j INPO. Approval to reference INPO documents must be stated on the NRC Form 426A. (c)

Guidelines for developing and presenting reference material are i

provided in NUREG-0650, Revision 1. (d)

Reports (2) j Most final reports are sold by GPO and NTIS. A statement indicating this availability is added to each report, as appropriate, by the l

Publications Branch staff before the report is printed. (a)

Draft reports for which comments are requested are typically announced in the Federal Register as being available from the NRC.

These reports are not sold at GPO or at NTIS. (b)

Forms (a)

Bibliographic Data Sheet (NRC Form 335) (1) l All published NRC reports must include an NRC Form 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 mpy 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 (Revised: July 9,1995) 14

Yolume 3, Part 1 - Publications Mail and itdormation Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series ilnndbook 3.S Part Ill Printing and Reprinting (I)

The Publications Branch. DFIPS. will review the :.amera ready repon submitted for printing for its adherence to the standards and requirements set forth in this directive and handbook, as well as any relevant guidelines from NUREG-0650, Revision 1. Unsatisfactory l

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 b7C standard distribution lists. (2)

Distribution (J)

The Publications Branch, DFIPS, will arrange distribution for all copies of unclassified formal contractor reports in accordance with instructions on NRC Form 426A(Exhibit 1).The Publications Branch will also arrange automatic distribudon of these reports to hTC NUDOCS, the NRC PDR, NTIS, GPO, and the GPO Federal Depository Library Program. (1)

Sensitive unclassified and classi5ed reports will be distributed by the NRC sponsoring ofsce on a case by-case basis. (2)

Approved: June 17,1991:

(Revised: July 9,1995) 15

Volume 3, Part 1 - Publications. Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part IV Part IV I.nternational Agreement Reports Background and Rationale (A)

NRC has cooperative nuclear safety research programs that involve s

either or both foreign governments and organizations and U.S.

induscy. These programs include monetary contributions.

l information exchange, and comments on program plans and results as t

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 l

participants ara served best by formal dissemination ofinformation on these programs or codes developed for or in cooperation with NRC. (2)

Identification Information (B)

Cover and Title Page (1)

The cover and t"le 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 identi6 cation is maintained by DFIPS. Numbers may be obtained by calling the Publications Branch at (301) 415-7008. (a)

Approved: June 17,1991 16 (Revised: July 9,1995)

Volume 3, Part 1 - Publications, hiail, and lutormation Disclosure Unclassified Contractor and Grantee Publications lo.the NUP.EG Series

_Jiandbook 3.8 Part IV Identification Information (B)(contmued)

NRC Report Number (2)(continued)

The NRC identification number will have the form "NUREG/IA-000," where 1A indicates " international agreement."

The foreign participant's repon munber, if any, may be insened below the NUREG number on the cover,if desired. (b)

I When a report consists of more than one volume or binding or is issued i

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 repon 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.

Report Organization and Components (C)

The organization and components of cooperative agreement reports vary 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-0630, 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 Senice (NTIS), or at other reference or sales outlets) or in the h3C 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). If the unretrievable information is important and Approved: June 17,1991 (Revised: July 9,1995) 17

votune 5, ivrFF-YurJeanous,.uuu, anu unos um.vu un>uusure Unclassified Contractor and Granf Publications in the NUREG Sc. ries Handbook 3.8 Part IV Availability Information (o3 (connnued)

References and Bibliographies (J)(contmued) unrestricted, it can be quoted in the text, in footnotes, or in appendixes. If the title of a document containing proprietary information is unclassified, it can also be quoted in the text or in a footnote. If credit is due to individuah, 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 repons 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 l

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 N'3S.

Disclaimer (E)

The following notice will be added by the Publications Branch, DFIPS.

on the inside front cover before printing.

w-fwww ew.

m m mnw m e@m?RiMAIM.a4tMNOTICES$g#gb4g.g - s%.

1 WW~W Ma:: y 3.m.w e % q.m.. y m. 3 n u 1 J. WOgAv.

77 #

y ' l'u;;wsssma%4Nistew.N :f'%rf a b3rf;.v;

• ec. wundercan unternatmaal;s,cooperativet w

JT ssreportswast I@edfdEIN aWodehNii$liMideiati4$5peitiiEEtiiEh yy gw-enun g

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temployeesten w

or.as,sumes t er m rn nn w-use;c.r,th.~n a.o n

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n.. n. y ormpesa ta.ny mn r..

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wmmawnnmweweman.wwm. '8m > e Approved: June 17,1991 18 (Revised: July 9,1995)

Vclume 3, Part 1 - Publications, Mau, and Information-Disclosure Unclassified Contractor 1.nd Grantee Publications in the NUREG Series Handbook 3.8 Part IV Forms (F)

I 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 of5ce director or designee and submitted with the camera-ready copy of the report to the Technical Publications Section, DFIPS.

('

~

Classified or Sensitive Unclassified Information (c)

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 NUREG/lA reports.

Approved: June 17,1991 (Revised: July 9,1995) 19

Volume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part V Part V Books General (A)

These guidelines apply to books written by contractors and grantees that are printed by NRC. See Part VI of this handbook for guidance on publications, including books. by grantees.

Definition (s)

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 ease of use and legibility for graphics, foldouts.

and the like. The binding (casebound or paperback) will be chosen according to the need for durability. Additional guidance on manuscript preparations can be found in the U.S. Govemment Printing Office Style Manual and the Chicago University's A Manual of Style.

Refer also to NRC's " Publishing Documents in the NUREG Series" (NUREG-0650. Revision 1). (1)

The contractor shall submit to the NRC project manager the typeset (photocomposed) manuscript suitable for printing. The NRC contact shall submit the manuscript to the Chief, Publications Branch, Division of Freedom of Information and Publications Senices, (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 Senices Branch. DFIPS. Unsatisfactory manuscripts will be reported to the NRC contact for appropriate contractual action by the hTC contracting of5cer or, in the case of Government agency or interagency agreement work, the publications manager of the perfomung orgaruzauon. (2)

Approved: June 17,1991 20 (Revised: July 9,1995)

Volume 3, Part 1 - Publications, Mail, and Informution Disclosure Unclassined Contractor and Grantee Publications in the NUREG Series

_ 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)

Organizational identi5 cation (b)

Public availability and sales (c)

All books must include a comprehensive subject index of the book's contents, unless the book is made up almost exclusively of graphical or tabular matter. See NUREG-0650, or The Chicago Manual Style (13th ed.) for guidelines on creating an index. (4)

NRC Document Number (D)

Each book must be identified by an NRC-controlled alphanumeric -

l 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 subnutted to DFIPS for priating 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 booki(3)

Availability of Reference NIaterialS (E)

The guidelines for availability of reference material given in Section G ot Pan E 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

\\olutue 3, Part 1 - Publications, hlail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series H ndbook 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. Theymay come from academia, the national laboratories, other Federal agencies, or from other research institutes or consulting Brms. They may be identified from the membership rolls of professional societies, American l

National Standards Institute (ANSI) subcommittees, and the like. Do l

not choose more than one reviewer from the same organization. (b) t When assessing potential peer reviewers, screen for demonstrated competence and achievement in a specific discipline or research j

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 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 resiewers from independent organizations, such as the American Physics Approved: June 17,1991 22 (Revised: July 9,1995)

Unclassified Contractor and Grcntee Publications 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 organization. (d)

Copyright (2)

Copyrighted mater.'al must 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 infonnation about obtaining copyright permission.

I Security (3)

On the basis of the knowledge of the information sources used, the author is responsible for ensuring that the manuscript does not contain classified or other access-controlled information. If uncertainty exists with respect to the security classiEcation of a reference document or manuscript, an authorized classi5er or the NRC Division of Security 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.

Publishing Authorization Form (c)

A completed NRC Form 426A~(Exhibit 1), signed by the office director.or designee orqby a DOE national laboratory authorized official if the publication is prepared.for theJOffice of Nuclear Regulatory Research,' must ce submitted to DFIPS with the book manuscript.

Disclaimers (u)

The following standard U.S. Government notice will be added before printing:(1) j Appro;ved: June 17,1991

(Revised:: July 9,1995).

~

23

Tolume 3,hrt 1 - Pubiications, Mail, andTntormation Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part V Disclairners (n)(continued)

[Thisd6Eument%ss prepdied as siisc 60un t ofwork' sponsored

!.bian agendylor the UniicdLStat6s Gisernment)Neither the f

[. Unit'ed Sta(es'Govirhineni nor any.'jiricy tliercof, nor any of

! tlicifesipl6yeEspnalissaiiffaFranty,isp ssed or implied,~or fasu nids[Anyllesal ;11sbility, ori rdsp%'e,4 an[y} info 41ility foriany.thirtl party's uss,idhths Itsults of such us

[apparatu$ product,Ior process disclossd in this' document l or i hepresents thht its 'use by sliclilhiid party would hot infringe'

!prihtelj@Krighthyh; ;;a The following additional statement may be printed below the standard disclaimer,if authorized by the NRC office director or designee: (2)

[ThiidiscifieniWs t r'ep'aridEndsiU. sin 6cliEERigulaiory i

i lCdamissi6n?(NRC) Contrabt;No'"

iTheT6pinisns,--

I findiEis[cdnilEsibiisland'r'econsinendations expressed herein

!firfthosidfLiliesauth6r(s iviewi'dftlie^NR'Cid_ l[and do not necessarilyIsflect the.

5M "

a='u.i

- - w.. w s m u w w w.

s u.at Other qualifying stateinents may be added, if needed. (3)

Printing (1)

DFIPS will submit book manuscripts to GPO for printing. The printing cycle requires from 6 to 8 weeks.

Distribution and Sales (J)

The DFIPS staff will arrange distribution in accordance with distribution guidance provided by the NRC project manager on NRC Form 426A (Exhibit 1). (1)

Free distribution should be limited to those who con:ributed 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 anange 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) l l

Volume 3, Part 1 - Publications, hlail, and Inlormation Disclosure Unclassified Contractor und GratWe PubUtathncin the NUREG Series Tiandbook 3.8 Part V1 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 l

/

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 (B)

The grant will specify the publication requirements of the award.

Grant results may be published by NRC, by the grantee, or in the open literature.

Publication by NRC (1)

This publication option must be governed by the guidelines specified in Pan HI of this handbook for reports orin Part V of this handbook for books, as appropriate. See " Identification InformationJ' 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 Srst produced or composed in the grantee's performance under the grant.

Publication by a Grantee in the 'Open Literature (3)

When the grantee submitsjournal articles for publication, each article must be accompanied by the following statement: (a)

Approved: June 17,1991 (Revised: July 9,1995) 23

- _ _ _ _ - - _\\olutne 3, l' art 1 - l'ublications, Mail, and inf ortnation Disclosure Unclassined Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part VI Publication of Results.(a)(continued)

Publication by a Grantee in the Open Literature (3) (continued)

- n.w -~ _,,_

-. n

.-n

Tbc submitted manuscript lhas been ~ authored by a grantee of

.!the U.S.LG itheU.S.Go,overnme6t'ainder Grant'Noi -

~ > Jneco...

e, royalty-free h.fdingly,-

- cense to:

- vernment ha~sanonexclusiv.

. - ~

ipubHsh or re~ n>dscEthe published fo'rm of this# contribution,'

p m ~.- _th _er[or alldis i s i_dois_of fo_EU.S/GMernaient p_urposes/ "

_ m. m,.,_.

m.

,- m.

All open literature publications prepared under this grant must contain the following statement: (b) wm p w - men n

.m.

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(This paperwas piepared wiGi~the support'of the U.S. Nuclear.

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au has, haud..who, If the grantee is requested by the journal or other publisher to transfer the copyright, the grantee author will respond to the journal or other publisher in writing in accord with the sample letter shown as follows:(c)

!Dearf(wg@er'siNaWe)i?'#"W"'P"m$Qy& M9 Publish Fe"W b9p.:

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Approved: June 17,1991 26

- (Revised: July 9,1995)

V

Volume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part VI Publication of Results (B)(continued)

Reprints of Open Literature Publications (4)

When any article resulting from work under the grant is published in a scienti5c, technical, or professional journal, two reprints of the publication must be sent to the cognizant NRC program officer.

clearly labeled with the grant number and other appropriate identifying information.

Identification Information (C)

Each report or book published by NRC that results from a grant must be identi5ed by an alphanumeric number, "NUREG/GR-000."

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 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 run the project without agency collaboration, participation, or intervention as long as it is run in accordance with the terms of the instrument."

l Approved: June 17,1991 (Revised: July 9,1995) 27 l

l

Wlume 3e Part 1 - Publications, Maile and Inforrnation Disclosure Undassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Glossan-4 4

1 Glossary

• Book. A publication intended as a permanent reference or textbook or i

as a major critical review of a technical or regulatory topic. It may a

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).

4 Casebound. Term denoting a book with a hard cover.

Compose. To arrange letters, in type or film, for printing. Usually synonymous with typesetting.

Composition. The-process of setting type by hot-metal casting.

phototypesetting, or electronic character generating devices (e.g.,

computers) for the purpose of producing camera-rcady copy.

negatives, a plate, or an image to be used in the production of printing or microfarm.

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 Generally, copyrighted material may not be reproduced without the permission of the author or the publisher.

Disseminate. To announce the publication of reports and make them available for free distribution, sale, or copying.

'Words in ir.lics in de5nitons are also dcEned in the glo:sary.

Approved: June 17,1991 28 (Revised: July 9,1995) r -

-e'

<<,m,e

Volume 3, Part 1 - Publications, Mail, and information Disclosure Unclassified Contractor and Grantee Publications.in the NUREG Series 11andbook 3.8 Glossarv Glossary (continued)

-Distribution. Reports 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 Disision of Freedom ofInformation and Publications Senices at the request of the originating office or region.

Documentation. Classification and associated markings required for classi5ed 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 aspaperback, casebound, or to the text, as revised, expanded, and so on. If extensive revisions have been made to the text and the book is reprinted, the revised version is the new edition.

Grant. A legalinstrument which defines the relationship between the Government and a recipient for the transfer of money, property, senices, or _ anything of value to the recipient - for the accomplishment of a public purpose.of support or stimulation 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 thegrant.

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 monetary contributions, information 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

tuSBLhe,W86 6 - &Munications,.Tlait, anu inlurmation Litselusure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3c8 Glossarv Glossary (munnuedi Manuscript. A handwnnen, typewritten, or composed version of a document, as distinguished from a printed copy.

NRC Project Manager. The NRC staff member responsible for the work performed by consultants or contractors and their subcontractors, or for work performed under or pursuant to an interagency agreement. -

Paperback. A book with a flexible paper cover, Peer Review. A critical evaluation of the technical contents of a publication. These reviews are conducted by reviewers from the author's own or a related field who are totallyindependent of the l-work leading to the manuscript. Reviewers should be chosen from i

the potential audience for the publication and should proside an independent judgment about 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 applies to the process of composition, platemaking, presswork, collating, and microform; the equipment used in such processes: or the end product produced by such processes and equipment.

Proprietary Information. Trade secrets; privileged or confidential research, development, commercial, or financial information exempt from mandatory disclosure under 10 CTR Part 2 (Seetions 2.740 and 2.790) and under 10 CFR Part 9 (Section 9.17);

and other information submitted in confidence to the NRC by a foreign source and determined to be unclassified by the NRC.

Public Domain. Materials for which a copyright never existed, such as U.S. Government publications, or for which a copyright has expired.

Publicly Available Documents. Information (reports and references) that is available in the NRC Public Document Room (PDR) for public inspection and copying or available in the public domain.

Approved: June 17,1991 30 (Revised: July 9,1995)

Volume 3a Part 1 - Publications, Mail, and.information Disclosure Unclassified Contractor and Grantee Publications in the hTREG Series llandbook 3.8 Glossarv Glossary (continued)

Reproducible Masters. Camera-ready copy that includes (1) originals l

ofline drawings (or prints that can be copied); (2) glossy prints of black and white photographs; (3) original typeset or printed text, tables, cover, title page, contents, and abstract; or (4) other forms l

of the materials that a printer can reproduce.

Trim Size. The final size of the whole page, margins included.

i l

Typesetting. The placement of type on a page (letters, numbers, and other characters) in conformance with specific style and layout InstroCnons.

Unique Identification. NRC identification (NUREG number) used on a report and its attachments, revisions, and supplements that is not used on any other publication.

n Approved: June 17,1991 (Revised: July 9/1995) -

31

Volume 3 Part 1 - Publications, Mail, and Information Disclosure 0

Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Exhibits Exhibit 1 NRC Form 426A, " Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports"

,-e....n._

... ~..

RELEASE TO PUBLJSH UrWCL.ASSIFIED NRC CONTRACTOR.

[G 1

S 57 CONSULTANT, OR CONFERENCE PROCEEDINGS REPORTS

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p a'2 Approved: June 17,1991 (Revised: July 9,1995) l l

l

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Volume 3, Part 1 - Publications, Mail, and Information Disclosure Unclassilsed Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Exhibits Exhibit 2 NRC Form 335, " Bibliographic Data Sheet" a.-- -

.-.............-_,,.=,w..

DIBLIOGRAPHIC OATA SHEET

~

• ~ ~ ~ 'a*- " "

.i u.

i.,.i.v.i NUREG/CR-5603 EGG-2607 Pressure-Dependent Fragilities for Piping Components :

Pilot Study on Davis-Besse Nuclear Power Station 2

..t r. i.o. i.

5-i o

( 1990 October "g;;; p x -

D. A. Wesley, T.R. Kipp, D.K. Nakaki, H. Hadidi-TarrJed chnicp A e,

. con ed -

c WMII~torporation Under contract to:

_. y._

27401 Los Altos. Suite 480 Idaho National Engi eri Laboratory Mission Viejo CA 92691 EC&G Idaho, Inc.

Idano Falls. ID S341 b

, =.-.... w - -. _....

s

-- y-. -

Division of Safety Issue Resolution l

Office of Nuclear Regulatory Research U.S. Regulatory Conrnission i

Washinoten. D.C. 20555 j

A

/

io. sms

.t.ar.o.u The capacities of four, low-pres re uid s st to wi stand pressures and tempera-tures above the design lev were es ishe for e Da s-Besse Nuclear Power Stat-ion. ~ The results will b use n e alu ** g'th to ity of plant damage from Inter-facing System Loss of olant Ac e ts CCA)-

part of the grobabilistic risk as-sessment of the Davis-sse lear r t ion.u ertaken by EC4G Idaho, Inc. In-cluded in this evaluatio are tanks, h t c

ngers, filters, pumps, valves, and flanged connections for ea

-sys The p bab ities of failure, as a function of in-ternal pressu e evalua d as i

s the variabilities associated with them. Leak rates or lea reas e esti ed fo the trolling modes of failure. The pressure capacities f th pi and ve als a evaluated using liinit-state analyses for the various fallu mo co

'ered. The pacities are dependent on several factors, in-ciuding the ma via pert

. mo 1 assumptions, and the postulated failure cri-teria. The fail re o

for g ete -flange connections, valves, and pumps do not lend th.

to eva at y convenpional structural mechanics techniques and evaluation t rely. rimaril on e r.1 i from ongoing gasket research test prograrcs and avail-le v d r inferina on a test data.

..s.s E.s c.1 i,. a a.

pres ependen ra es Unlimited

.*-.~.....ia-..i iping comppn s

I erfacing Sy em Loss of Coolant Accidents (ISLOCA) pro st - ist a'sessment Davis-Bes huclea-Power Station Unclassified Ti. -

Unclassified a v.. oseacts

.... a

. Approved: June 17,1991 (Revised: July 9,1995) 33

Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3e8 Exhibits Exhibit 2 (continued)

DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT INSTRUCTIONS NRC FORM 333,818LlOGRAPHic OATA SHEET.13 SASED ON Cul0CLINES FOR FORMAT AND PRODUCTION OF SCIENTIFIC AND TECHN1 CAL REPORTS, ANSI Z39.18-1987 AVAILASLE FROM AMERICAN NATIONAL STANDARDS INSTITUTE.1430 BROADWAY NEW YORK. NY 10018. EACH SEPARATELY BOUND REPORT-FOR EXAMPLE C.ACH VOLUME IN A MULTIVOLUME SET-53ALL HAVE ITS UNIQUE 818LIOGRAPHIC OATA SHEET.

1. REPORT NthtSCR. Each individually boumf report ammt

8. PERFORMING ORGANIZATION N AA4C AND MAILING carry a un6qLe en-_- _- cesspahan (NUREC) amgewd ADORESS Gews name, street, oty stan. and ZIP code.

Of the Repussiery Pubucathins Bronch. OMuon of Freedom Llst no mon than two levels of an orpnastsonal herreechy, of informeten and Publicebens Servues in acroreares with Daoley the turne of the ryaatson exactly as tolkms:

Amencen Netsonal Sueuarti ANSI 23SJ3-1983. Stande d Owsom. Offer. OmL < < or Gowemment esency, and Technmal Report Numtwe (STRN). Lhe wooerseer lettert, adores.

Arable nurnersas, slasha, and hyphms only, a in the faJwn ene enampiss: NUREG4100. NUREC/CP4010. NUREGI

5. SPONSORINC ^.,.ANIZATION. If NRC, evoe "Same at CR4100, and NUREG/5R4010. For reports in a wrees acu atme". if contractor, prov.de NRC Dmason.Offre or pteg.on, Voi, Supo Rev and Adoendum, wnen necenary. Ac4 U.S. Nucteer Regulatory Cortwnismen end mad ng sodress.

contrwier creusererence sormifcaten number (if sey) talow NUftEG serne number. e.g. PNL XXXX, SAND)X.

10. StMLEMENTARY NOTES. Enwr 6niormetion not incluord X XXX. sal.XX XX, etsrvehere but untut. och as: Pvvpared in cooperapon mt%...

Presented et conterence of... To be pubished.. OccAet No.

n a w h nM nnecew wnetnw the new nwt 1 TITLE AND SUBTITLE. Title should ind.can clearty and briefly the asbject temorese) of the repart; includse3 eny I

subtitle to tre masn thle, when a noort is prepared 69 more trun one volurne, npest the primary true, and wiume :sumcer

11. ABSTRACT, incluoe a brief (200 words or less) factual serr*

and include subtlite for the secjfie volume. Our utper and mary of tP= most sapiracant informaten contained an the report. If tm report contadna e ggnifcant bibleograony or lower came netwrs, but capitales compuwt code n.vnes. Oo tensee oc mM vo frenuon H % Atavact not use acronyms and iratiahame in tsttss: may be maded ei parenthesh.

h to be pressed Wher et m erus' aver.

12. KEY VeORDS/DESCRlPTDRS. Select fdern the Energy Deta

2. DATE REPORT PU5USHED. Each report must carry a aam Sam Sutdect Theseurus. DOE / TIC.700R R S. the proper indicsung month end year pub &shed, autherned arvm that identify the maror concept et the resserth and are maffeaently apocUs arws presses to be used

4. FIN OR CRANT NUMBER. Insert the FIN se great nutnber undw wnkh apon wee empend 11 AVAILASILITY STATEMENT Denose sneblic reisosanirrty, for one$e "untenewd", et lanttanon for reasons other

5. ALffMOR!$1. Give namets) in mw.c4 oren (e.g. John than sacerity.

R. Oce, J. Robert Doel Lkrt matnor's affilmsson il 6e ls differ.

errt troen the performing organissoon.

14. SECURITY CLASSIFICAT10N. Enter U.S. Secunty Clasufi-escon in

_ _. with U.S. Security Regulauons tie..

""}'

E. TYPE OF REPORT. Stato erstt. Ibnal, palaninary, losucal.

""'8"I' "8' M '

• 8""#"Y' ' #*

15. NUhlktR OF PACES. Leewe blank.(Aesed by P(TIS)

7. PERICO COVEFtED, And inclusme oseet it. PRICE. Leeve bnent. 4Adoest by NTis)

=-s-Approved: June 17 1991 34 (Revised: July >,1995)

Volume 3, Part 1 - Publications, hiail, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Exhibits Exhibit 3 Microfiche Sheet Sample I

C-DESCRIPTION OF MICROR'CHE B

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Approved: June 17,1991 (Revised: July 9,1995) 35

ATTACHMENT 11 l

AWARD TEE DETERMINATION - PIJJJ FOR CONTRACT NO. NRC 02-97 009 WITl! SOUTl! WEST RESEARCl!

INSTITUTE FOR T}lE PERIOD SEPTEMBER 27, 1991 THROUGH SEPTEMBER 27, 2002 1

l

+

9

r

-2 CPAF CONTRACT PERFORKANCE REPORTING REVIEV AND EVALUATION PROCEDURE I

Award Fee Determination b port CONTRACT FEE DETERMINATION OFFICIAL (FDO) l l

J Award Fes Recomendation Performsnce Evaluation Report CENTER REVIEW GROUP (CRG)

CONTRACTING OFFICER '

EVALUATION COORDINATOR.

CONTRACTOR i

i Self-Assessmant'Repoft 4

9 4

' PERFORMANCE MONITORS r

i 3

AWARD FEE DETERMIllATION P!JJJ FOR CONTRACT NO. NRC-02 97 009 WITH SOUTHWEST RESEARCH INSTITUTE FOR THE PERIOD SEPTEMBER 27, 1997 THROUGH SEPTEMBER 27, 2002 contents Ef!I.%

A.

Introduction B.

Organization Structure for Award Fee Administration l

C.-

Evaluation Requirements D.

Methods for Determining Awa?,d Fee E.

Change in Plan Coverage V

0 G

nm.

i 4

4 A.

Purpose 1.

The purpose of the Award Fee is to stimulate management actions which will motivate the Center for Nuclear Waste Regulatory Analyses (CNWRA) staff as employees of Southwest Research Institute (Contractor) to strive for excellence in the overall performance of the CNWRA, under the contractually non competitive environment of a Federally Funded Research and Development Center (FFRDC).

ITRC interests are best served when the CNWRA's performance is such that NRC can award the maximum fee.

.herefore, any award of less than maximum fee shall be accompanied by a list of specific problems that require successful corrective action by CNWRA Management in order to attain award of the maximum fee.

B.

Introduction 1.

This plan covers the administration of the awaad fee provisions of Contract No. URC 02 97-009 with SWRI for the evaluation period September 27, 1997 through September 27, 2002.

2.

The following matters, among others, are covered in the contract.

a.

The enntractor is required to maintain an FFRDC for the operation of the CNWRA.

b.

The award f ee pool is $ (see Attachment C 1 to this plan),

The estimated cost and award fee pool are subject to equitable c.

adjustments on account of changes or other contract modifications.

d.

The award fee earned and payable will be determined as specified elsewhers in this plan by the Fee Determination official (FDol in accordance with this plan.

The FD0 is the Director, Oftice of Nuclear Materials safety and Safeguards (NMSS), or his designee, e.

Award fee determinations are not subject to the Disputes clause of the contract.

3.

This award fee is provided for the establishment and maintenance of a high level of technical expertise for effective performance of functions for the NRC related to the NWFA waste management program.

This award fee plan affords the Contractor an opportunity to earn increased fee commensurate with the achievement of optimum performance in pursuit of contract objectives and goals.

Optimum performance is not necessarily equated with the highest

-level of performance achievable in all incentive areas.

Rather. it represents the most favorable degree of performance obtainable considering the achievement of contract objectives in light of the complexities of the tasks, the difficulties of the schedules agreed upon, and the contractor's most ef fective utilization of available resources.- The constraints beyond the CNWRA's control shall be considered.

5 C.

Organization Structure for Award Fee Administration The following organizational structure is established for administering the award fee provisions of the contract.

1.

Fee Determination Official ( FDO).

a.

The FD0 in the Director, NMSS, or his designee.

b.

Primary FD0 rer.ponsibilities ares (1)

Determining the award fee earned and payable for each i

evaluation period as addressed in Part D.

(2) Changing the matters covered in this plan as addressed in Part E, as appropriate.

2.

Center Review Groue (CRG) a.

The Chairman of the CRG is John J. Linehan, or his designee.

The CRG consists of the following members:

Margaret V. Federline Charles J. Haughney (at large member)

Mary H. Mace William F. Kane William E. Drach Advisoral Shirley L. Fortuna Donald F. dassell Darbara D. Meehan Evaluation Coordinator Barbara stiltenpole b.

The Chairman may recommend the appointment of non-voting members to assist the Group in performing its functions, c.

The CRG wills (1)

Conduct ongoing evaluations and assessments of the CNERA's overall performance and submit a Performance Evaluation Report (PER) to the FDO covering the Group's findings and recommendations for each evaluation period, as addressed in Part D.

(2)

Considering proposed changes in this plan and recommending those it determines appropriate for adoption by the FDO, as addressed in Part E.

3.

Performance Monitors (PM) a.

PMs are all Program Element Managers and the Senior Contract Specialist, b.

Each PM will be responsible for complying with the General Instructions for Performance Monitors. Attachment D-1, and any specific instructions of the CRG Chairman as addressed in Part D.

Primary PM responsibilities ares (1) Monitoring, evaluating and assessing the CNWRA's perforwance in assigned areas.

f l

6 (2)

Periodically preparing a Performance Monitor Report (PMR) for the CRG, as appropriate.

(3)

Rec 3mmending appropriate changes in this plan for co.,Jideration, as addressed in Part E.

C.

Evaluation Requirements The applicable evaluation requirements are attached as indicated below:

Recuirement Attachment 1.

Evaluation Periods and Maximum C1 Available Award Fee for Each 2.

Evaluation Criteria for each C2 Performance Period 3.

Grading Table C3 The weights indicated in Attachment C-2 and the grading table under Attachment C 3 are quantifying devices whose sole purpose is to provide guidance to NRC in the form of a general indication of the amount of award fee earned.

In no way will they be used to impute an arithmetical precision to any judgmental determination of the contractor's overall performance and the amount of award fee earned.

4.

Award Fee Schedule C-4 D.

Method for Determining Award Fee A determination of the award fee earned for each evaluation period will be made promptly by the FDO after the end of the period.

The method to be followed in monitoring, evaluating and assessing contractor performance during the period as well as for determining the award fee earned, is described below.

1.

Duties and responsibilities of PMs will be in addition to, or an extension of, regular responsibilities.

2.

The CRG Chairman will require that each PM receives the followings o

Pertinent sections of the contract / modifications from the Contracting Officer (CO).

o Appropriate orientation and guidance from the Co.

o A copy of this plan along with any changes made in accordance with Part E.

o Specific instructions applicable to FM assigned performance areas.

3.

PMs will monitor, evaluate and assess the-CNWRA's performance in aciordance with the General Instructions for Performance Monitors, Attachment D 1, and the specific instructions and guidance furnished by the CRG Chairman.

l 1.

7 4.

PMs will submit periodic Performance Monitor Reports (PMRs) to the Evaluation Coordinator and, if required, make verbal presentations to the CRG.

The written reports are required quarterly for periods 1 12 and semiannually for periods 13 21.

For periods 13 21, the reporte should cover only the appropriate evaluation periodi no summary reports are required.

5.

The CRG will meet every six months to discuss the reports and I

identify any significant issues.

However, the CR0 will only score

{

the CNWRA on an annual basis and PM presentations will only be i

required as a part of the CRO's annual evaluation, unless a significant issue is identified at another time and a presentation is requested.

Information regarding any concerns the CRG may have during the first six months of performance will be relayed to the office or Deputy Director, Office of Nuclear Material safety and safeguards for discussion with CNWRA management.

6.

As appropriate, the CR0 Chairman will request and obtain performance information f rom other units or personnel normally e

involved in observing the CNWRA's performance.

7.

After the end of each evaluation period, the CNWRA shall submit to the CO and the Evaluation Coordinator a written self-assessment identifying areas the CNWRA has found needing corrective measures and the actions taken on.those measures.

In addition, the assessment shall enumerate major accomplishmen*s versus established milestones during the period. After receipt of the CNWRA's self-assessment report, the CNWRA may be required to meet with the CRG to discuss overall perfornance during the. period. As requested by the CRG Chairman, PMs and< other personnel involved in perf ormance evaluations,will attend'the; meetings and participate in discussions.

8.

After'any such meeting with the CNWRA, the CRG will consider matters presented by the CNWRA and establish its findings and recommendations to be included in.the PER.

Any major > issues raised by-the.PMs but;not agreed.with by the CRG will.be documented in the PER.

The CRG Chairran submits dhe PER to the FDO for use-in determining 9.

the award fee earned. The report will include a recommended award fee with supporting documentation.

The Chairman will discuss the CRG recommendation with'the CNWRA by appronriate means of communication and shall afford the CNWRA the opportunity to discuss the findings.with the FDO.. When submitting the report, the Chairman will inform the FDO whether or not the CNWRA desires to present any nattera -to the Fto before the award fee determination is made.

10.

The FDO will consider the-PER and discuss it-with the CRG Chairman or other personnel,-as appropriate.

If requested by the CNWRA, or if the FDO considers it appropriate, the FDO will meet with the CNWRA for discussions.

If requested by the FDO, the CRG Chairman and any other personnel involved in performance evaluation may be-required to attend the meeting with the CNWRA.

<.5 K

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8 11.

The FD0 will determine the amount of award fee earned during the perici.

The amount determined will not result solely f rom mathematical summing, averaging or the application of a formula.

The FDo's determination of the amount of award fee earned and the basis for this determination will be stated in the Award Fee Determination Report (AFDR).

The report will be signed by the FDO and given to the Contractor for attachment to its voucher requesting payment of the award fee.

E.

Changes In plan Coverage 1.

Right to Make Changes Any matters covered in this plan may be changed by mutual agreement of the parties 30 days prior to the beginning of an evaluation period by timely notification to the Contractor in writing (unless otherwise agreed to by the parties). !!owever, when the Contractor and the URC cannot agree on any proposed change the matter will be referred to the FDo for a final decision. All final changes will be made by formal modification to the contract.

2.

Method of Changing Plan Coverage The method to be followed for changing plan coverage is described below.

4 a.

Personnel involved in the administration of the award fee provisions of the contract are encouraged to recommend changes in plan coverage with a view toward changing management emphasis, motivating higher performance levels, or improving the award fee determination process.

Recommended changes should be sent to the CRG for consideration and drafting.

b.

The CRG (or.the,CO at the direction of the CRG) will coordinate proposed changes with the CNWRA.

c.

Prior to the end of each evaluation period, the CRG will submit changes applicable to the next evaluation period for approval by the FDO with appropriate comments and justification.

9

9 ATTACHMENT C-1 TO AFDP

]

4 1

EVALUATION PERIODS AND MAXIMUM

)

AVAILABLE AWARD FEE FOR EACH (Historical Information from Previous Contract Periods Included)

Evaluation Period Maximum Available H2A DuratiED Endina Award Fee 1.

6 months April 14, 1988 2.

6 months October 14, 1988 _

$102,009

$158,444 3.

6 months April 14, 1989-

$275,870 4

6 months October 14, 1989

$296,996 5.

6 months April 14, 1990

$318,735 6,

6 months

- October-14, 1990__

$445,789 7.

6 months April 14, 1991

$450,777 e

8..

6 months October 14, 1991

$424,240 9.

6 months April 14, 1992

$482,533 10.

6 months September 26. 1992

$405,673 11.

6 months April 9,-199*,

$309,465 12. -

6 months September 2t.,

1993

$347,645

?,

13.

1 year

-April 15, 7994

$709,894 September 30, 1994 14.-

1 year-April 14. 1395

$817.617 September 29, 1995 L15.

1 year April 12, 1996

$665,948

September 27, 1996 16.

1 year April 11, 1997 September 26, 1997 17 1 year-18.

'l year 19.

1 year

~

~

20.

1 year 21.

1 year

• For periods 13 and later there may be two award-fee pools since the pool-could ir. crease or decrease.5% for each of the-two periods _within the total one_ year evaluation period.

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10 ATTACHMENT C 2 TO AFDP EVALUATION CRITERIA This Attachment provides the criteria for evaluating the performance of the CNWRA on a periodic basis, for determination of an award fee.

The criteria are divided into three Sections:

1.

Technical; 2.

Management and Staffing; and 3.

Cost Control and Contract Administration.

All Performance Monitors (PM) except the CO will evaluate Section 1. Technical.

The CNWRA Deputy Program Manager will also evaluate Section 2, Management and Staffing.

The CO will evaluate Section 3, Cost Control and Contract Administration.

The CNWRA's written self-evaluation will address all Sections, 1 3.

Evaluations should be prepared in written, narrative form and should provide sufficient detail, with reference to current status compared to planned status of actual products and their quality, to justify assigned grade

points, orade points should be assigned on the basis of 100% for each section.

The CRG Evaluation Coordinator will apply the designated weighting factors shown below to the grades assigned to each section as well as funding weighted averaging to the technical criteria to arrive at a composite grade for an overall CNWRA performance rating by each PM and an average for the ratings of all PMs.

1.

Technical (weichtino factor 0.7)

This criterion addresses the extent to which the Contractor provides sustained high quality technical assistance and research in support of the NRC High Level Waste Program.

The f uncti' ing of the CNWRA shall be consistent with the direction provided by che CO, the approved Operations and Project Plans, the guidance provided by the NRC CNWRA PM and DPM, and the technical direction provided by the NRC PEMs and Pos.

The narrative for this Section, Technical, should be in three parts, as follows:

o Timeliness:

Provide a discussion of deliverables (intermediate and major milestones) scheduled for submission during the performance period, with indication of which were met, which were early, and which were late and why (e.g., was schedule slippage due to a change in scope or priority, or to circumstances outside the program, such as a change in a DOE plan or scuedule).

o Quality

. Provide a collective rating of all deliverables produced during the performance period, considering completeness, accuracy and clarity of documents reviewed, the complexity of the work requested, the technical quality of work performed, and the degree to which '.te deliverables met the specifications contained in the Operations or Project Plans.

The narrative should state the reasoning behind the collective rating, and discuss the quality of the most significant deliverables.

If no deliverables were received during the performance period, this part should discuss the status of work being performed to generate deliverables due at some later period, o

independence and Initiatives Provide a summary rating of the extent to which the CNWRA exhibited independence in executing approved Operations or Project Plans during the performance period, or in suggesting novel or different approaches to providing technical assistance or conducting research'.

Again, the evaluator should state the reasoning behind the rating, providing examples in support of the reasoning.

l l

11 The evaluation factors to be considered in assigning a grade and for preparing the supporting narrative for CNWRA performance under this criterien include the extent to which the CNWRA:

Submits deliverables / work products which are thorough, accurate and meet contractual specificationes Demonstrates original thinking, imagination and innovation, i.e.,

independence and initiative, in developing Operations / Project Plans, in implementing approved operations / project Plans and in recommending activities that may be appropriate to be undertaken by the NRC to meet its responsibilities; Submits werk products that are clear, well written, and provide an adequate technical basis for conclusions and recommendations; submits work products on time, taking into consideration the degree to a

which delays, if any, are caused by circumstances beyond the CNWRA's e

control; and Encounters technical difficulties that, combined with schedule constraints, lead to an abnormal level of complexity associated with the Work.

2.

Manaaement and Staffina - (weichtina factor-0.2)

This criterion addresses the extent to which the contractor develops, equips, staffs and operates a CNWRA capable of meeting NRC's long-term and short-term needs, establishes appropriate priorities based on the direction provided by the CO and on approved Operations / Pro 3ect Plans, and utilizes available resources efficiently and effectively.

This criterion should be evaluated taking into account CNWRA Management's ability to successfully plan and control staff activities to ensure successful operation as an FFRDC and effective fulfillment of contract commitments to NRC, including:

the establishment and implementation of administrative and management policies and procedures; the development and implementation of short-term and long-term plans; the monitoring of staff performance; and the maintenance of staff currency in its fields of expertise.

Evaluation factors to be considered in preparing a grade and supporting narrative for the CNWRA Management Section include the extent to which the

.CNWRA:

Develops, implements and maintains administrative and management t-policies, procedures and practices needed to successfully operate an FFRDC.

An effective Quality Assurance program is of particular importance in this regards Demonstrates independence and initiative in developing, proposing and implementing plans and procedures for conducting work and for eliminating existing and potential impediments to the work-flow process.

Consideration of this evaluation factor should include the extent to which the CNWRA acts independently to expedite the flow of work which is under its control and the extent to which the CNWRA identifies and analyzes problems and proposes measures to correct them; Establishes and maintains facilities, equipment, and computer capabilities to meet NRC needs in a timely ar.d cost effective manner; I

l

12 Provides liaison with the NRC, and with other involved entities to effectively carry out the assigned program and to facilitate the development of technical products; Exhibits the ability to adjust to the changing needs of the NRC, taking into accounts assignment of priorities of works management of available time, personnel and fiscal resourcess integration of changes with established long term goalas and management of changing priorities, program direction, program focus, and effect of program and budgetary changes; and Recruits, maintains and appropriately assigns qualified staff to perform assigned work in a timely manner, including provisions for key personnel, enabling the CNWRA to successfully fulfill its mission.

Specific factors to be addressed include effectiveness in attracting and retaining high quality personnel in accordance with the Center's staffing plan, taking into account difficulties in acquiring personnel because of unique personnel to accomplish work in approved operations / Project Plans, and to accomplish long term program objectives which are the basis of the staffing plan.

3.

Cost control and Contract Administration - (welchting factor -0.1)

This criterion addresses the extent to which the Center conducts its work in a cost effective manner and has controls necessary to ensure that technical work products are completed within established cost limitations. Evaluation factors to be considered in rating the contractor's performance and in preparing the supporting narrative in the area of contract administration, especially cost estimation and control, incluse the extent to which the Centers tevelops detailed and reasonable cost estimates for performance of works Substantiates all cost estimates and/or proposed revisions; Performs within original cost estimates (if revisions to work requirements are required, the evaluation will be based on agreed-upon revisions):

Provides accurate and timely information from its integrated budgeting and cost reporting-system, in compliance with contract requirements; Provides> documentation that substantiates subcontracts are negotiated, documented and administered in accordance with the Federal Acquisition Regulations:

submits in a timely manner subcontractor approval requests, including copies of all task directives issued and modifications to subcontracts; Has established effective liaison with the Co in all aspects of contract administration; Provides complete, accurate and timely information on conflict of interest issuest and Provides required administrative responses, such as limitation of funds notifications, periodic progress and subcontracting plan reports, and execution of contract modifications.

.-. ~..... -.

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13 ATTACHMEliT C 3 GRADING TABLE PROPOSED EVALUATIO!i GRADES Purpose The purpose of the Award Fee is to recognize Contractor performance and stimulate management actions which will motivate CINRA staf f to strive for excellence in the overall performance of the CINRA, under the contractually non competitive environment of an FFRDC. -NRC interests are best served when the CINRA's performance is such that ime can award the maximum fee.

Therefore, any award of less than maximum fee shall be accompanied by a list of specific problems that require successful corrective action by CINRA Management in order to attain award of the maximum fee.

4 s

1 4

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l 14 PROPOSED EVALUATION GRADES Adiective Grade Numerical Grade Definition Excellent 90 to 100 Overall performance of contract requirement is consistently outstanding and represents the very best which can be expected irom the CINRA giving due consideration to complexity of the task and constraints (cost /

schedule) imposed by NRC.

This grade represents a practical goal, to be awarded for a degree of performance which is real and attainable, not theoretical.

Above Average _

80 to 89 The C1NRA's performance has met or exceeded most expectations set forth in the contract. Areas of deficiencies are few and overall are considered relative 3y l

insignificant.

The CNWRA shows initiative in executing the Job and 17 making improvements.

The degree to which the CNWRA meets or exceeds schedules, achieves objectives, eliminates areas of deficiency identified in the evaluation period, etc., will be considered.

Satisfactory 70 to 79 The CINRA's performance has met most needs, schedules, and expectations set forth an the contract.

Areas of deficiencies are more f requent than in the criteria above, but are offset by areas of excellent or superior performance such that net affect on overall program was negligible.

Fair 60 to 69 The CNWRA's performance has not met contract requirements on numerous occasions. Areas of deficiency have had some adverse impact on the program (cost, schedule and/or performance). This rating constitutes a warning to the contractor that its performance borders on an unsatisfactory rating.

Unsatisfactory Below 60 11 umber and significance of deficiencies are such that the contractor's overall performance is unsatisfactory.

15 Attachment C 4 THIS SCHEDULE IS APPLICABLE TO EVALUATION PERIODS 1-12 ONLY.

SEE NEXT TWO PAGES (19a and 19b) FOR SCHEDULE APPLICABLE TO PERIODS 13 21.

AWARD FEE SCHEDULE SOtTTHWEST RESEARCH INSTITUTE (Historical Information) hward Fee Schedule The base fee for this contract shall be 3%.

Based on the evaluation scale, the fee awarded above the base fee of 3% shall be as follows:

Performance Ratina Fee Awarded Excellent 4% to 5% 7%*

Above Average 3% to less than 4%

Satisfactory 2% to less than 3%

Fair 1% to less than 2%

Unsatisfactory 0%

Should the CRG determine that the CNWRA han performed work in an excellent manner, above and beyond that required under the contract, an additional.5%

may be added to the available award fee pool for the subsequent six-month evaluation period (f rom 8% to 8.5% of which 3% represents the base feel.

If the CNWRA continues to perform in an. excellent manner..the available award fee pool would continue to be increased by.5% for each successive six month evaluation period (with the total fee not to exceed lot, including the base fee'of 3%, at any time during the life of the contract). However, should the CNWRA not perform in an excellent manner, above and beyond that required under the contract.,during the subsequent six month evaluation period, the total available award fee. pool would be decreased by.5% to the highest previous level- (in any case, not to be less than 8% of which-3% represents the base fee). The increase of 5% is-not an automatic increase, but is dependent upon an attainment of at least an excellent rating.- It is contingent upon the.CRG's evaluation of the CNWRA's performance during the current six month evaluation period.

• Should the CNWRA be-awarded.5%' increases, the increases will be reflected in.the Fee Awarded for the Excellent Rating only, not to exceed 7%.

G D

.h

j 16 THIS SCHEDULE IS APPLICABLE TO EVALUATION PERIODS 13 21 hyard Fee Schedule

)

The base fee for this contract shall be 4%.

The contractor will be awarded a fee above this base fee only if the CR0 determines that the performance of l

the CNWRA was in the above average or excellent range (see attachment C 3 i

which indicates numerical grades for each category) for a specific evaluation i

period (i.e. a numerical score of 80 or above).

The maximum fee that the contractor can earn is a total of 10% (4% base fee and 6% award fee).

Should the CRG determine that the CNWRA has performed work in an excellent manner, above and beyond that required under the contrmet, the award fee pool will be increased by.5% for each of the two six month periods within the subsequent one year evaluation period.

If the CNWRA continues to perform in an excellent manner, the award fee pool will continue to be increased by.5%

for each successive six month period with the maximum award fee not to exceed 6% at any time during the life of the contract.

However, should the CNWRA not perform in an excellent manner, above and beyond that required under the contract, the award fee pool will be decreased by.5% for each of the two six month periods within the next one year evaluation period.

The award fee pool will not be reduced below 3% (exclusive of the base fee of 4%).

The incremental increases of.5% aresnot automatic increases, but are dependent upon an attainment of at least an excellent rating of the CNWRA's performance

(,

during the last one-year evaluation period.

Note: The CNWRA performed in an excellent manner in period 12 and, thus, earned an additional.5% for the+ first award fee pool period of evaluation period =13'as well as an additional.5% for the second award fee pool. period of-evaluation periodr13. -Since the base fee is increased _to 4%, the_. award fee poo13for the'firstssix months 4oftperiod 13 is now,5%.and for the second six< month period'is 5.5%.

u.:

4 m

Billina and Payment of Fgg The base fee-of 4% represents 4% of the estimated costs for that evaluation period lesr : cost of f acilities capital. (CFC).

It.may be billed as 4% of

-invoice costs ~on the monthly invoices with.the difference billed as a separate. invoice at the end of-the evaluation period.

If a credit is due, it may either be' submitted to the NRC in the form of a check or credited against costs billed on the next invoice.

_~

.n -. _...

The award fee may be' invoiced semiannually at the end of each six month award fee pool period. The first payment of an evaluation period will be based on

'the' award fee percentage' awarded for the last evaluation period.

The second payment will be based'on-the actual. award fee percentage earned by the Center

~

for the current period applied.to_both award fee pools within the one year evaluation period.

Any amountealready paid in the first payment will be deducted from the amount invoiced in the second payment.

Example: Total pool for the one year period is $200,000; $90,000 for the first six month award fee pool period and $110,000 for the second six month period within the one year evaluation period.

Contractor invoices at 90% for the first period (based on the award fee percentage earned during the last evaluation period) or $81,000.

At the end of the one year evaluation period, the Center earns an award fee of 95% of the total pool for that one year period or $190,000.

Since the Center has already been paid $81,000 of that year's award fee, it will invoice now for $109,000.

F.

1 *7 i

Une of Fee for center Independent Pescarch and Develcoment (TR&D)

Use of the fee is at the sole discretion of the contractor, except where the Contractor commits, ao proposed, to set aside a minimum portion of the fee for IR&D by Contractor personnel on projects selected by the Contractor to have a direct relevance to the mission of the CINPA as established by its Charter, as follows:

Total Fee Awarded Maximum % of Fee Set Aside for CINFA IR&D 0% or more 3sg 7%

3ng 6%

25%

5%

20%

4%

1$%

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18 ATTACID4ENT D 1 TO AFDP FOR GENERAL INSTRUCTIONS FOR PERFORMANCE MONITORS a.

PMs will conduct all assessments in an open, objective and cooperative spirit so that a fair and accurate evaluation is obtained.

This will enhance the CINRA's receipt of information from which to plan improvements in performance. - Positive performance accomplishments should be emphasized just as rear'.41y as negative ones.

b, After an assessment, the PM (or the PM's supervisor or branch chief) may discuss the results with appropriate CR0 personnel, noting any observed deficiencies and/or accompanying recommendations.

This is not to be confused with the duties and responsibilities of the ITRC C!NRA Program Manager, !TRC CINRA DPM, and PEMs whose responsibility it is to bring problems to the immediate attention of the CO.

After reviewing the PM reports, the CRG will afford the CINRA an opportunity to clarify possible misunderstandings to correct or resolve deficiencies.

When evaluating the CINRA's performance for purposes of award fee determination, the PMs shall not discuss their findings with the CINRA.

c.

PMs must remember that contacts and visits with*CNWRA personnel are to be accomplished within the context of official contractual relationships.

PMs will avoid any activity or association which might cause, or give the appearance of causing, a conflict of interest.

d.

PM discussions with CINRA personnel are not to be used to instruct, to direct, to supervise, or as an attempt to control these personnel in the performance of the contract.

The role of the PM is to provide technieni direction, monitor, assess and evaluate the CINRA's performance against the contract requirements, not to manage the C!NRA's effort.

t 1.

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At,%achment No. 14 97 SUBCONTRACTING PLAN FOR SMALL AND SMALL DISADVANTAGED BUSINESS CONCERNS For i

UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 20555 0001 BY SOUTHWEST RESEARCH INSTITUTE 6220 Culebro Road Son Antonio Texas 78238 5166 L

398 4

TABLE OF CONTENTS i

IIUd E!NEGI fAGE Contractors Name & Address Cover Page i

(1)

Subcontracting Plan Goals (2)

Dollar Volues Corresponding to Goals (3)

Products ond/or Services to be Subcontracted (4)

Methodology Used to Develop Goals (5)

Potential Sources for Supplier Solicitation (6)

Indirect and Overhead Costs

( 7)

IndMdual Administering Subcontract Program

( 8)

Efforts Token to Assure Maximum Opportunity to Compete (9)

Clause Entitied Utlllzation of SBCs/HBCUs/Mls/SDBCs Concerns (10)

Reports (11)

Records Molntained (12)

Make-or Buy Decision ATTACHMENT A.

Buyefs Checklist for Subcontract Award

~

399 SMALL BUSINESS AND SMALL DISADVANTAGED BUSINESS SUBCONTRACTING PLAN DATE:

August 8,1997 CONTRACTOR:

SOUTHWEST RESEARCH INSTITUTE P.O. Box 28510 Son Antonio, TX 78228 0510 SOLICITATION OR CONTRACT NUMBER: NRC 02 97 l

l SWRI PROPOSAL NO, 2} 21511 ITEM / SERVICE:

COST PROPOSAL FOR THE CNWRA FY 1998 FY 2002 The following, together with any ottochments.15 hereby submitted as a Subcontracting Plan to sottsfy the opplicable requirements of Public Laws 95 507 and 99.661, 1.

The following percentage goals (expressed in terms of a percentage of total planned subcontracting dollars) are opplicoble to the contract cited I

above or to the contract awarded under the solicitation cited.

a.

SMALL BUSINESS CONCERNS (SBCs):

65.1%

of total planned subcontracting dollars (paro. 20) under this contract will go to subcontractors who are small business concerns.

b.

SMALL DISADVANTAGED BUSINESS CONCERNS (SDBCs): 8.5% of the total planned subcontracting dollars (paro. 20) under this contract will go to subcontractors who are socially and economically disadvantaged indMduals.

This percentoga is ;ncluded in the percentage shown

u. ider 1.(o) above os a subset, c.

WOMEN-OWNED SMALL BUSINESS CONCERNS (WOSBs): 0.9% of the total planned subcontracting dollars (paro. 20) under ihls contract will go to subcontractors who are owned and operated by women.

This percentoge is included in the percentage shown under 1.(o) obove os a subset, d.

HISTORICALLY BLACK COLLEGES AND UNIVERSITIES (HBCU): 0.0% of the total planned subcontracting dollars under this contract will go to historically block colleges and universities.

1

l

.d40b

'~

~

i 2.

The following dollar values correspond to the percentage goals.shown in (1)

above, c.

The totalestimated dollar value' of all planned subcontracting (fo all types of business concerns) under this contract is $12,242,222, b.

Total dollars planned to be subcontracted to Small Business Concerns

.(SBC)P.;$,7,969,907 _

t

.T6tbidoiIdiplanned to be subcontracted to SDBCs:'S ~1,044,807. This c,

'dolloFornobnt Is included in'the'om6unt shown'under:2.(b) above and

- it is a composite goal which includes anticipated use of HBCUs and Mls., -

d.

Totol; dollars planned to be ' subcontracted to WOSBs: $.04,707. This

' dollar amount is included in the amount shown under 2.(b) oboves,

3.

The followindN produc0 ond/or servlees will be-subcontracted-u%3r this proposol-to SmolliBusiness Concerns-(SBCs),,Smoll Disadvantaged Businessf Concerns.(SDBCs),' Historicolly Black' Colleges and Universities (HBCU) and 1 'l Women Owned Business (WO). ' -

SBC' SQgG V/ OBC -

OVERHEAD

$ 6,099,388 93,837

$ 93.837 I

MATERIALS AND SUPPUES 706,519 10,870 10,870-SUBCONTRACTING '

'1,164,000 940,100 0

TOTALS

$ 7.969,907

$1,044,807

$104,707 4.

The following method was used in developing subconiioct goc' In (1) above:

Purchased ports, subcontracting, freight, and material handling were reviewed to determine if ony amounts may ba ovollable under this proposal, Only Overhead costs are included as set forth in paragraph (6).

S.

The following are potentici sources used by the Institute for solicitation purposes:

o, The institute's Computer data base which reflects the business category of all vendors used by this corporation.

2

401 b.

. Historicolly Black Colleges and Universities (H5CUs) and Minority Institutions (Mis).

c.

Regional D! rectory of Minority and Women Owned Business Firms 4

d.

The Houston Business Council's directory.

6.

Indirect and overhead costs have been included in the goals specified in 1 and 2 obove. They are determined as follows:

a.

35.0% of Ihe overhead charged to the contract is materials and 5Jpplies, o'id, in addition to direct material costs. is included in the total

- estimated value of all planned subcontracting (to oli types of business i

concerrW n 2(a)above, b.

The goal for the placement of overhead purchases to small business concerns is 65%; actual performance for the current fiscal year is 65.2% (l.e., $20,428,738 to small business dMded by a

$31,315.917 total overhead purchases of materlots and su,uJies).

This percentoge, when opplied to contract overhood purchoses of materials and supplies, resuns in on omount included in the total of 2(b) l

obove, c.

The goal for the placement of overhead pu choses to small disadvantaged business concerns is 1%: actual performance for the current fiscal year is 0.5% (i.e., $143.090 to small disadvantaged business dMded by $31,315.917 total overhead purchases of materials and supplies).

Tliis percentore, when opp!!ed to :,,cniroct overhead purchases of materials and supplies, results in on omount included in the total of 2(c) above.

7.

The following IndMdual or Uoison Officer (LO) will administer the subcont'octing program:

t NAME Paul Eosley, C.P.M.

TITLE Director of Purchosing ADDRESS 6220 Culebro Rd.

CITY, STATE, ZIP Son Antonio, TX 78238-0510 TELEPHONE NO.

(210) 522-3077 3

402 This indMdual's specific duties, os they relate to the firm's subcontracting program, are os follows:

o.

The development, preparation and execution of individual subcontracting plans and for~ monitoring performance relative to contractual subcontracting requirements contoined in this plan.

b.

Developing and maintolning bidders lists of small and small disadvontoged business concerns from all possible sources.

Ensuring'that procurement packages are structured io permit small and c.

small disadvantaged business concerns to participate to the maximum extent possible, d.

Ensuring inclusion of small' and SDB concerns in all sdlicitations for products or services which they are capable of providing.

Reviewing sollettotions to remove state ments, clouses, etc., Which rrioy e.

tend to' restrict or prohibit SB and SDB borticipationT f.

Ensuring periodic rotation of potentici subcontractors on bidders lists, g.

Ensuring that the bid proposal octivity documents its recsons for not selecting low bids submit e i by small and small disadvantaged business

Concerns, h.

Ensuring the establishment and molntenance of records of solicitations and subcontract award activity.

i.

Attending or arranging for attendance of compony counsellors at Business Ocoortunity Workshops. Minority Business Enterprise Seminors.

Trade Folts, etc.

J.

Conducting or arranging moilvational trolning for purchasing personnel pursuant to the Intent of PL 95-507.

k.

Monttoring attainment of proposed ' goals.

I.

Preporing and submitting periodic subcontracting reports os required.

Coordinating contractors actMties during the conduct of compliance m.

reviews by Federal ogencies.

4

l 403 Coordinating the conduct of contractor's activities involving its small n.

and small disadvantaged business subcor' Jcting program.

In the administration of the subcontracting program, the LO will meet o.

with the project monoger and his stoff to explain the nature of the subcontracting plan, the methodology used to determine percentage goals for both small and small disodvantaged businesses, and the need for their porticipation to achieve these goals. The LO will provide the project manager with a list of small and disadvantaged sources and review the entire subcontracting program to ensure staff awareness of the small and disadvantaged supply sources.

8.

The following efforts will be token to assure that SBCs. HBCUs. Mis and SDBCs will have maximum opportunity to compete for subcontracts:

a.

Outreach efforts will be os follows:

l l.

Contacts with minority and small business trade associations 11. Contacts with business and development organizations lii.

Attendance et small and minority business procurement conferences and trade fairs 0

b.

The following internal efforts will be mode to guide and encourage buyers:

1.

Workshops, seminors, and training progroms will be conducted for SBC and SDBCs.

11.

Activifles will be monitored to evoluote compliance with this subcontractino plon Small and small disadvantaged business concern source lists, guides c.

and other dato identifying small and small disadvantaged business concerns will be molntoined and utilized by buyers in soliciting subcontracts.

d.

If on applicable requisition is placed with other than SBCs.SDBCs. HBCUs.

or Mls, the form. " Buyer's Checklist for Subcontract Awards" (See Attachment A). provides in detail the rational supporting the procurement.

5

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in order to meet and attempt to exceed the subcontracting goals related to small and small disadvantaged businesses. SwRI is doing and l

will do the following:

l l.

' The[LO^of.SERi'ssmall/small disoSvant'ogebl(SDB) progrom has' oppointed a centrol contact in the purchasirig department as on i

advocate and coordinator for the. promotion and: Utilization of l

. ~ small and small/ disadvantaged business concerns on this and othern

--programs.y y.,~,y j p.7,gg.

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Along with;..the - project:monager,y w c.a. :ra. coordinator. wilI4ldentify '

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~ ';the s qualified SDB's to bid on) project requirements.

Some of:SwRI's; outreach methods and activities utilized to identify capable SDB,

concerns are, included I,n Section 7. of this plan..

g lil.

As.on extension of this outreach effort,. SDBs that hove 1been.

identified will be offorded opportunttles to bid on and porticipate in :

! subcontracts for this and other progroms.: Speclo! c6nsidsiation'will?C ;

be given to SDBs by SwRI in the evoluotion of proposols.1 ' ^

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m._

iv ' As desmed ndeessary or~o's'ieciddithd by ~SDBs SwRI will' provide technicol. assistance,SDB's to increase-their obility to successfullyJ

. compete L and participatefinethis..and other; progroms.. This

~ossistance will include facility visits os required, meetings'between SwRI's and SDB's technical people, and other efforts os applicable, v.

SwRI. will provide post-quotation advisement to SDB's where ottempts to compete have been unsuccessful, vi.

The LO will meet with SwRI's program manager to discuss perfonnance with regard to meeting and exceeding goals under this plan.

9.

The institute a:sures that the clouse entitled Utilization of Smoll Business Concerns and Small Business Concerns Owned and Controlled by Socially and Ecionomically Disadvantaged Individuals will be included in all subcontracts, except small business concerns who receive subcontracts in excess of $500.000 will be required to adopt and comply with a subcontracting p!an simllor to this one, t

Each plan will be reviewed by comparing it with the provisions of Public l.ow 95-507, and.ossuring that all minimum requirements.of on acceptoble.

subcontracting plan have been sottsfied. This acceptobilliy of percentoge goals shall be determined on a cose-by-case bosis: depending on the ~

6

405 supplies / services involved, the ovallobility of potential small and small disadvantaged subcontractors, and prior experience. Once opproved and i

implemented, each plan will be monitored through the submission of l

periodic reports, ond/or, os time and ovollability of funds permit, periodic visits to subcontractors' facilities to revies applicoble records and subcontracting program progress.

10.

Pursuant to the mechanics of form submission, the Institute agrees to:

Send such periodic reports and cooperate in any studies or surveys os o.

may be required by the contracting agency or the Smoll Business Administration in order to determine the extent of compliance by the Institute with the subcontracting plan and with the clause entitled

" Utilization of Small Business Concerns and Smoll Business Concerns Owned and Controlled by Socially and Economically Disadvantaged

- Individuals", contained in the contract.

b.

Submit periodic reports in order to allow the Government to determine the extent of compliance with the subcontractlng plan.

c.

Utilize Standard Form SF294,

" Subcontracting Report for Individuol Contracts", and/or SF 295,

" Summary Subcontract Report", in accordance with the instructions on these forms.

d.

Ensure that its subcontractors agree to submit SF 294 and 295.

11.

The Institute ogrees _to molntain at least the-following types of records to document comptionce with subcontracting plan:

Small and small disodvantaged business concern source lists, guides a.

and other C ato identifying SB/SDBC vendors.

b.

Organizations contacted for small and disadvantaged ousiness sources, c.

Ori o contract-by-contract basis, records on oli submitted solicitations over $100.000, indicating on each solicitation (1) whether small business concerns were _ solicited, and if not, why not: (2) whether small disadvantaged business concerns were solicited, and if not, why not; and (3) reasons for the failure of solicited small or small disadvantaged business concerns to receive the subcontract award, d.

Records to support other outreach efforts: Contacts with Minority and Smoll Business Trade Assoclotions, etc.

Attendance at small and 7

,-......,.,.A-_i,.

.406r minority business procurement conierencer and trade fairs. -

e.

Records to support internal activities to guide and encourage buyers:

workshops,iseminors, trotning' programs, etc:~ Monitoring actMtles' to evoluote compliance.

f.

' On a c.-,.ontract by-contract basis. ;., records to sucoort subcontract award

' data to include nome and address of subcor... ctor.'.

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,a.

12, in order,to' effectively, implement 3his.plon to the; extent, consistent with:

l efficiant$contracti performanceVtheJlnstitute' shall/ perform) the : follo, wing 1 - - /

l

'"b functions:- _'

~

_,,s c.

Assist SBCs, HBCUs, Mis, and SDBCi by arranging sollettaticns, time.for-the preparation of, bids,7 quantitles,, specifications, oi,J delivery 1

.__m schedules solos to facilitate.the parbeipation by such concerns.e Where ' '

the Institute's lists of potenilol small business and small disadvantaged -

subcontractors are excessively long;. reasonable effort shall be made toD (glVsfall'sUcti"small bu,siness ~ con'es,tnib.c. ph.o.~rtunity to c.om.. pet.e o.g.;er'o M$-

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Prodde' adequate consideration to SBCs,'HBCUs, mis, hnd SDBCs in oil "make-or buy" decisions.

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c.

Counsel and discuss subcontracting opportunides with representatives of SBCs, HBCUs, Mls, and SDBCs.

d.

Provide ' notice to subcontractors concerning penalties for misrepresentations of business status os small bushess or small disadvantaged business for the purpose of obtaining a subcontract is to be. included as part or all of a goal contained in the Contractor's subcontracting plan.

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(& O' SIGNED:

l TYPED NAME: Poul Eosley, C.P.M.

TITLE:

Director of Purchasing DATE:

August 8,1997 Plan Accepted by:

Date:

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407 NOTE TO CONTRACTING OFFICER: Upon incorporation of plan into the contract indicate herein the estimated dollar value of Contract $

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_=,_408.2 BUYERS CHECKUST FOR SUBCONTRACT AWARDS This checklist. Is to be used to substantiatel awards -placed with Smoli s

Business /Historicolly Block Colleges &1 Universities / Minority-Institutions /Small-Disadvantaged Business /Lorge Business (SBCs, HBCUs, Mls, SDBCs, LBCs) firms.,

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- Nome.ond Address of Subcontractor / Supplier:-

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Purchase Order No:

Amount:

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=.u Subcontractor / Supplier Classificotton:

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SDBC -

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If awarded to o Large Business firm,- Indicate 1 extent:and result o' SB/SDB competition by checking "A" only or "B" and "C"_ only: 1 L

1.

SB/HBCU/MI/SDB Firms Not Solicited For Reasons As Follows:

(-) Large Business sources mandated by customer direction, 1

( ) Only Lorge Business qualifiea parts or sources admissible.

() Large Business potented or proprletary item requh. t

() Speciallzed Large Business sources required,

() Follow-on procurement to pre-existing large Business Subcontract,

() Nd known SB/HBCU/MI/SDB source.

() Known SB/HBCU/MI/SDB sources ruled out for price! technical quality, delivery or other justifiable reason, 2.

SB/HBCU/MI/SDB Firms Solicited:..

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409

() 1 or 2

( ) 3 or more 3.

SB/HBCU/MI/SDB Firms Folled To Receive Award Because:

() Did not bid

( ) Did not bid low

() Bid low but disqualified for other reasons ROMARKS:

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11

Attachment No. 19 ACH VENDORIMISCELLANEOUS PAYMENT OMD No= 1510-005S ENROLLMENT FORM This form is used for Automated Clearing House (ACH) payments with an addendum record that contains related information processed through the Vendor Express Program. Recipients of these payments should b information to the attention of their financialinstitution when presenbng this form for completion PRNACY ACT STATEMENT l

The following information is provided to comply with the Privacy Act of 1974 (P L. 93 579), All information collected on this form is required under the provisions of 31 U.S.C. 3322 and 31 CFR 210.'.

This information will be used by the Treasury Department to transmit payment data, by electronic '

means, to vendor's financialinstitution. Failure to provide the requested information may delay or prevent the receipt of payments through the Automated Clearing House Payment System.

AGENCY INFORMATION

{

7EDERAL PROGRAM AGENCY U.S. NUCLEAR REGULATORY COMMISSION AGENOV OENTIFi[R AGENCY tOCATION CODE TALC)

ACH FORW AT NRC 31000001 O cco-O cTx 0 CTP AcoREss

+

DMSION OF ACCOUNTING AND FINANCE, MAIL STOP T 9 H4 WASHINGTON, DC 20555-000\\

j CONTACT PERSON NAME TELEPHONE NUMBER FINANCIAL OPERATIONS SECTION

( 301 ) 415-7520 t

l i-PAYEE / COMPANY INFORMATION 4

wue SSN NO. OR TAKPAYER to NO.

ADORESS CONTACT PERSON NAME:

(

)

FINANCIAL INSTITUTION INFORMATION NAme ADORE 55 1

ACH COORDINATOR NAME.

(

(

)

N!NE DIGIT ROUTING TRAN5fT NUMBER:

l DEPOSITOR ACCOUNT TrTLE:

l DEPCstTOR ACCOUNT NUMBER:

't ACH FORMAT:

O c"ecio~o O sAvi~cs SIGNATURE AND TITLE OF AUTHOREED OFFICIAL:

l TELEPHONE NUWER:

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$ 2:

Instructions for Completing SF 3881 Form l

1. Agency Information Section - Federal agency prints or types the name and address of the Federal Program agency originating the vendor / miscellaneous payment, agency identifier, agency location code, contact person name and telephone number of the agency. Also, the appropriate box for ACH format is checked,

2. Payee / Company Informatio1 Section Payee prints or types the name of the payee / company and address that will receive ACH vendor / miscellaneous payments, social security or taxpayer ID number, and contact person name and telephone number of the.

I payee / company, Payee also verifies depositor account number, account title, and type of account entered by your financial institution in the Financial Institution Information Section.

3. Financial Institution Information Section - Financial institution prints or types the name and address of the payee / company's financialinstitution who will receive the ACH payment, ACH coordinator name and telephone number, nine digit routing transit number, depositor l

(payee / company) account title and account number Also, the box for type of account is checked, and the signature, title, and telephone number of the appropriate financial institution official are included.

Burden Estimate Statement SThe estimated average burden associated with this collection of Information is 15 minutes per.

- respondent or record keeper, depending on individual circumstances. Comments concoming-c the accuracy of this burden estimate and suggestions for reducing this burden should be directed to the Financial Management Service, Facilities Management Division, Property and Supply Branch, Room B-101,3700 East West Highway, Hyattsville, MD 20782, and the offica

of Management and Budget, Paperwork Reduction Project (1510-0056), Washington, DC

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