ML20211E229
| ML20211E229 | |
| Person / Time | |
|---|---|
| Issue date: | 09/23/1997 |
| From: | Watkinson L, Wiggins E NRC OFFICE OF ADMINISTRATION (ADM), SONALYSTS, INC. |
| To: | |
| References | |
| CON-FIN-J-2514, CON-NRC-03-97-025, CON-NRC-3-97-25 NUDOCS 9709300068 | |
| Download: ML20211E229 (110) | |
Text
.
AWARD / CONTRACT Page 1 of 2 l '. THIS CONTRACT IS A RATED ORDER UNDER DPAS (15 CFR 700)
RATING 2.
CONTRACT NO.
3.
EFFECTIVE DATE 4.
REQUISITION / PROJECT NO.
-NRC-03-97-025 11/20/97 RS-NRR-97-025 dtd 1/15/97 1
5.
ISSUED BY Code:
6.
ADMINISTERED BY Code:
(If other than Item 5)
U.S. Nuclear Regulatory Commission Division of Contracts & Property Contract Management Branch #2 Mtngement, MS T-7-I-2 W2chington,.DC 20555
- 7. NAME AND ADDRESS OF CONTRACTOR 8.
DELIVERY Son 21ysts, Inc.
[]
FOB ORIGIN 215 Parkway North (X)
OTHER (See below)
P.O. Box 280 Witorford, CT 06385 9.
DISCOUNT FOR PROMPT PAYMCNT N/A Pri cipal Investigator / Technical
Contact:
Ms. Laveria Sanders Talcphone No: (860) 442-4355, X483
- 10. SUBMIT INVCICES (4 copies unless otherwise specified) TO THE ADDRESS SHOWN IN ITEM: 6
- 11. SHIP TO/ MARK FOR CODE l12. PAYMENT WILL BE MADE BY CODE U.S. Nuclear Regulatory Commission U.S. Nuclear Regulatory Commission ATTN:
Lawrence Vick, MS O-16G15 Division of Accounting & Finance, Washington, DC 20555 Section; T9E2 Washington, D.C.
20555
- 13. AUTHORITY FOR USING CTHER TRAN FULL AND OPEN COMPETITION
{] 10 U.S.C. 2304 (c) [ ]
[] 41 U.S.C. 253 (c) [ ]
- 14. ACCOUNTING AND APPROPRIATION DATA APPN No.: 31X0200.720 B&R No.: 720-15-11-20-00 Job Code No.: J-2514 OBLIGATE:
$47,000.00
.15A. ITEM 15B. SUPPLIES /
15C QUANTITY 15D. UNIT 15E. UNIT 15F. AMOUNT NO.
SERVICES PRICE
.The NRC hereby accepts Sonalysts, Inc.'s technical proposal dated March 29, 1997, which is incorporated herein by t
g'L-reference, and'made a part of this Cost Plus Fixed Fee J
. contract.
("l \\
15G. TOTAL AMOUNT OF CONTRACT
$577,941.48 EXCEPTION TO STANDARD' FORM SF26 (REV.4-85)
Prescribed by GSA FAR (4 8 CFR) 53. 214 (a) l-3occlo AWARD / CONTRACT Page 2 of 2 Pages 9709300068 970923 PDR CONTR NRC-03-97-025 PDR
16.
TABLE OF CONTENTS X SEC DESCRIPTION PAGE(S)
PART I - THE SCHEDULE A
SOLICITATION / CONTRACT FORM B
SUPPLIES OR SERVICES IWD PRICES / COSTS C
DESCRIPTION / SPECIFICATIONS / WORK STATEMENT D
PACKAGING AND MARKING E
INSPECTION AND ACCEPTANCE F
DELIVERIES OR PERFORMANCE G
CONTRACT ADMINISTRATION DATA H
SPECIAL CONTRACT REQUIREMENTS PART II - CONTRACT CLAUSES I
-CONTRACT CLAUSES PART III - LIST OF DOCUMENTS, ETHIBITS AND OTHER ATTACHMENTS J
LIST OF ATTACHMENTS PART IV - REPRESENTATIONS AND INSTRUCTIONS K
REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS L
INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS M
EVALUATION FACTORS FOR AWARD CONTRACTING OFFICER WILL COMPLETE ITEM 17 OR 18 AS APPLICABLE 17.
[] CONTRACTOR'S NEGOTIATED AGREEMENT (Contractor is required to sign
-this document and return copies to issuing office.) Contractor agrees to furnish and deliver all items or perform all the services set forth or otherwise identified above and on any continuation sheets for the conoideration stated herein.
The rights and obligations of the parties to this contract shall be subject to and governed by the following documents: (a) this award / contract, (b) the solicitation, if any, and (c) such provisions, representations, certifications, and specifications, as are attached or incorporated by reference herein.
(Attachments are listed herein.)
~
18.
[X] AWARD (Contractor is not required to sign this document.) Your offer on Solicitation Number including the additions or changes made by you which cdditions or changes are set forth in full above, is hereby accepted as to the items listed above and on any continuation sheets. This award consummates the contract which consists of the following documents: (a) the Government's colicitation and your offer, and (b) this award / contract. No further contractual-document is necessary.
19A.-LNAME AND TITLE OF SIGNER 20A. NAME OF CONTRA 6.ING OFFICER (Type or print)
Clois J. Wiggins Lyle P.
Watkinson, Controller
^
.(SignfEufe of perpon authorized to sign)
(Signatpre of'Contr "ng Officer) f j
9/1S/ h
'7// 7/ M 19C. DATE SIGNEy
20C. DATE S4GN2D EXCEPTION TO STANDARD FORM 26 (REV.4-85)
._-._...____.__._____m.__._____.m.___
l I
[
l TABLE OF CONTENTS PAGE AWARD / CONTRACT j-PART I - THE SCHEDULE.
3 SECTION B
~ SUPPLIES OR SERVICES AND PRICES / COSTS 3
j B.1 PROJECT TITLE 3
i B. 2' BRIEF DESCRIPTION OF WORK (MAR 1987) 3 j
B.3 CONSIDERATION AND OBLIGATION--COST PLUS FIXED FEE 3
(JUN 1988) ALTERNATE I (JUN 1991)
LSECTION C'-
DESCRIPTION / SPECIFICATIONS / WORK STATEMENT.
4 C.1 BACKGROUND.
A j
C.2 NRCAR 2052.215-83 TRAVEL. APPROVALS (JAN 1993) 10 i
l -Si.CTION D - PACKAGING AND MARKING
-- 12
]
D.1 PACKAGING AND MARKING (MAR 1987) 12 i
SECTION E --INSPECTION AND ACCEPTANCE 13 4
{
E.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988) 13 l
E.2 -
PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987) 13 SECTION F - DELIVERIES OR PERFORMANCE 14 F.1-52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988) 14
- F. 2.
DURATION OF CONTRACT PERIOD (MAR 1987) 14 F.3 RESOIeVING NRC CONTRACTOR DIFFERING PROFESSIONAL 14-i VIEWS (DPVs) i F.4 REPORTING REQUIREMENTS 15 SECTION G - CONTRACT ADMINISTRATION DATA 19 G.1 NRCAR 2052.215-71 PROJECT OFFICER AUTHOhITY 19 i
(JAN 1993) l G.2 NRCAR 2052.215-82 TRAVEL REIMBURSEMENT 21 l1
- ALTERNATE l' (JAN 1993)
G.3 NRCAR 2052.216-71-INDIRECT COST RATES (JAN 1993) 22 G.4-USE OF AUTOMATED CLEARING HOUSE (ACH)
_22 ELECTRONIC PAYMENT i
!.SECTION H - SPECIAL CONTRACT REQUIREMENTS 24 H.1 NRCAR-2052.215-70 KEY PERSONNEL (JAN 1993) 24 H.2 NRCAR 2052.235-72 SAFETY, HEALTH, AND FIRE 25 PRC~ECTION (JAN 1993) t 4-H.3 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY (NOV 1994) 25
'PART II - CONTRACT CLAUSES 26 1
SECTION I - CONTRACT CLAUSES 26
}
I.1' 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988) 26 j.
I.2 52.227-23 RIGHTS TO PROPOSAL DATA (TECHNICAL) (JUN 198 27 i
PART'III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS 29 i
I
!~
1 TABLE OF CONTENTS PAGE SECTION J - LIST OF ATTACHMENTS 29 J.1 ATTACHMENTS' (MAR 1987) 29 4
4 i
11 i
i
l
)
16.
TABLE OF CONTENTS X SEC-DESCRIPTION PAGE (S)
PART-I -'THE SCHEDULE A
SOLICITATION / CONTRACT FORM B
SUPPLIES OR SERVICES AND PRICES / COSTS C
DESCRIPTION / SPECIFICATIONS / WORK STATEMENT D
PACKAGING AND MARKING E
INSPECTION AND ACCEPTANCE j
F DELIVERIES OR PERFORMANCE 4
G CONTRACT ADMINISTRATION DATA
)
H SPECIAL CONTRACT _ REQUIREMENTS PART II - CONTRACT CLAUSES I
CONTRACT CLAUSES PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS J
LIST OF ATTACHMENTS 1
PART IV - REPRESENTATIONS AND INSTRUCTIONS t
K REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS j.
L INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS M
EVALUATION FACTORS FOR AWARD i
CONTRACTING OFFICER WILL COMPLETE ITEM 17 OR 18 AS APPLICABLE 17.-
() CONTRACTOR'S NEGOTIATED' AGREEMENT (Contractor is required to sign s
j this document and return copies to issuing office.) Contractor agrees to furnish and deliver all items or perform all the services set forth or l
otherwise identified above and on any continuation sheets for the consideration stated herein.
The rights and obligations of the parties to this contract-shall be subject to and-governed by the following documents: (a) this award / contract, (b) the solicitation, if any, and (c) such provisions, representations, certifications, and specifications, as are attached or incorporated by reference herein.
(Attachments are listed herein.)
)
18.
[X) AWARD (Contractor is not required to sign this document.) Your offer i
on Solicitation Number including the additions or changes made by you which additions or changes are set forth in full above, is hereby accepted as to the items listed above and on any continuation sheets. This award consummates the contract which consists of the following documents: (a) the Government's l
solicitation and your offer, and (b) this award / contract. No further contractual document is necessary.
19A. NAME AND TITLE OF SIGNER 20A. NAME OF CONTRACTING OFFICER (Type or-print)
Elois J. Wiggins Lyle P. Watkinson, Controller
- C" d*3:3FK
% "" T L" W " L ^*2 3 ^
l (SigsWEufeofpprao authorized to sign)
(Signature of Congg{/ ting Of ficer) 9 1s e,
l 19C. DATE SIGNED-20C. DATE SIGNED of
/
U/7M 7 EXCEPTION TO STANDARD FORM 26 (REV.4-85)
/
/
i i
s
+
ekun 94vihtuN UF L O N i k 64C t h 331 415 5761 89.22.1997 15:40 P.
2 NRC-03-97-025 S:ction B PART I - TEE SCREDULE sEcTroN a - SUPPLIES on SERVICES AND PRICES / COSTS 3.1 PROJECT TITLE The title of this project is as follows!
Generic Fundamentals Examination (End of Clause) 2.2 BRIEF DESCRIPTIO0f OF WORK (NAR 1947)
The Contractor shall provide specialized technical assistance to support the NRC in the development and administration of the General Fundamentale Examination Section (GFES) examinations.
Assistance includes maintenance of a computerized bank of Boiling Water Reactor (BWR) and Pressurized Water Reactors (PWR) questions, development, distribution, and administration of the BWR and PWR GFES examinations, grading and analysis of the examinations, and the development and presentation of recommendations for improving the GFES examination' process.
[End of Clause) 3.3 UONSIDERATI(Al AND OBLIGATION--COST PLUS FIKED FEE (JUN 1988) ALTERNATE I (JUN 1991)
(a) The total estimated cost to the Government for full performance of this contract is $577,941.48, of which the sum of $535,285.84 and of which $42,655.64 represents the estimated reimbursable costs, represents the fixed fee.
(b) There shall be no adjustment in the amount of the contractor's fixed fee by reason of differences between any estimate of cost for performance of the work under this contract and the actual cost for performance of that work.
(c) The amount currently obligated by the Government with respect to this contract is $47,000.00, of which the sum of $43,216.50 represents the estimated reimbursable costs, and of which
$3,783.50 represents the fixed fee.
(d) It is estimated that the amount currently allotted will cover performance through 2/20/98.
[End of Clause)
Paga 3 of 29
l NRC-03-97-025 Section C SECTION C - DESCRIPTION / SPECIFICATIONS / WORK STATEMENT Col BACKGROUND The NRC developed the Generic Fundamentals Examination Section (GFES) of the written Operator Licensing Er. amination to test candidates for NRC Operator Licenses on basic ' building block' knouledge applicable to all candidates across a particular reactor type, either Pressurized Water Reactor (PWR) or Boiling WI.ter Reactor (BWR).
The examination consie*e of 100 questions based on knowledge classified in the Catalc7 - ' knowledge and Abilities:
Pressurized Water.teactors (PWR K/A catalog) (NUREG-1122) and the Catalog of Knowledge and Abilities:
Boiling Water Reactors (BWR K/A catalog) (NUREG-1123).
The NRC administers BWR and PWR GFES examinations two times per year, on the Wednesday following the first Sunday of April and October.
CONTRACT OBJECTIVE The objective of this contract is to obtain specialized technical assistance to support the NRC in the administration of the GFES examinations.
Specific assistance includes maintenance of a computerized bank of BWR and PWR GFES questions (both validated and non-validated), preparation and distribution of the BWR and PWR GFES examination, grading and evaluation (analysis) of the administered GFES examinations, preparation of an examination report detailing the results of the examination, preparation of national and regional performance and cumulative syntheses of examination data, and development and presentation of recommendations for improving the GFES examination process.
TECHNICAL AND OTHER SPECIAL QUALIFICATIONS REQUIRED Participants in this contract shall be subject matter experts in the field of testing and measurement, with emphasis on psychometrics and test item development, review, and validation procedures.
In addition, the contractor shall have knowledge and experience in statistical analysis to include, but not be limited to, content and predictive validity assessment, reliability assessment, item analysis and item discrimination ratios, difficulty indices, and descriptive statistics.
In addition, the contractor shall have demonstrated past experience in the development and maintenance of examination item banks as well as experience in the design, development, administration, scoring of examinations, and in the issuance of grade and statistical reports for regional and national examination projects.
Page 4 of 29
NRC-03-97-025 Section C C;l (Continued)
WORK REQUIREMENTS AND SCHEDULE.
The-contractor-shall perform the tasks listed below.
A.
Task-1 Item Bank Maintenance
.The' contractor shall maintain validated and non-validated test items in BWR and PWR_ computerized question banks. -Validated questions shall include individual item statiatics such as dates administered, mean-scores, and IDRs.
The contractor shall provide the NRC with updated copies, both hard copy and computer diskette, (ASCII format), of the BWR and PWR GFES banks two months following examination administration.
B.
Task 2'- Examination Development GFES examinations are scheduled to be administered twice yearly-to both BWR and PWR candidates for_NRC operator licenses.
The GFES examinations are administered on the Wednesday following the first_ Sunday in the-months of October and April.
The contractor shall be required to develop 12 GFES examinations (6 BWR and 6 PWR)-over.the life of this contract in the months as follows:
April 1998 and October 1998 April 1999 and October 1999 April 2000 and October 2000 The contractor shall generate examination outlines in accordance with the following NRC guidance:
Each examination shall consist of 100 test items.
No more than 2 percent of the questions may be from the immediately preceding examination, and at least 50 percent of-the questions will-be validated questions derived from preceding examinations, 40 percent of the questions must be non-validated ouestions which may be modified from previous bank items, and 10 percent of the questions-must be new. -Validated test items will be drawn from the respective Institute of Nuclear Power Operations (INPO) BWR and PWR Generic Fundamentals Examination Catalogs.
In' addition / the same catalogs shall be used as primary source material for generating non-validated-questions; however, 10 (ten) of the non validated test items may be derived from sources outside-of *he catalog to ensure coverage of exam-specific technical areas.
The contractor.shall generate an examination outline in accordance with the NRC guidance and NUREG-1021, Operator Licensing Examiner Standards, ES-205 when developing test items.
Pege 5 of 29
NRC-03-97a025 Section C C.1 (Continued)
The contractor shall draft PWR and BWR GFES exar.inations and pilot test the exams on a sample of NRC contractor examiners.
The contractor shall grade the pilot test answer sheets and perform a final overall psychometric and technical review of the examinations.
The contractor shall complete draft examinations to the NRC l
45 calendar days prior to the planned administration date.
The NRC will conduct a review of the examination and provide comments to the contractor within one week.
The contractor shall supply a final examination to the NRC for approval 20 calendar days prior to the planned administration date.
NRC will review the examination, I solve necessary caanges with the contractor, ar.d approve the final examination at least 15 calendar days prior to the planned administration date.
Following NRC approval, the contractor shall develop two forms "A" and "B" of each examination (PWR and BWR) containing the approved questions in different order.
C.
Task 3 - Copying and Shipping Examinations The contractor shall follow the guidance provided in NUREG-1021, Operator Licensing Examiner Standards, ES-205, in the administration of theexamination.
The contractor shall develop sufficient copies of each form of each examination to support administration to all examination participants.
The NRC will provide the contractor with the number of planned participants along with the shipping addresses.
The centractor shall ship the examination copies, along with blank answer sheets and instructions to the proctors and to their addresses provided, six working days prior to the planned administration date.
NRC will supply the contractor with an initial stock of blank answer sheets along with *be address for ebtaining more when necessary.
D.
Task 4 - Examination Grading The contractor shall grade the examinations.
If necessary, the NRC will supply the contractor with an Optical Mark Reader (OMR) scanner, and PARSCORE software.
As a part of the grading process, the contractor shall review and respond to the NRC regarding proposed resolutions to any post examination facility comments.
Recommendations for grading changes, along with justification, shall be presented to the NRC for approval.
Final grades shall be forwarded to the NRC (Headquarters and Regions) within 18 calendar days following receipt of post examination facility comments.
In case of scanner failure-the contractor shall grade the examinations by hand and forward the final Page 6 of 29
NRC-03-97-025 Section C C.1 (Continued) results to the NRC within 30 calendar days following the receipt of answer sheets from all participants.
E.
Task 5 - Item Statistics / Examination Evaluation Within 48 calendar days of the receipt of the answer sheets from all participants the contractor shall provide the NRC with a comprehensive evaluation report detailing the reliability and the validity of the examination, discussing the technically oriented statistics, and giving recommendations for both overall examination improvement and individual test item improvement.
F.
Task 6 - Test Item Development Process Improvements Within 30 days following the receipt of the initial contract materials from the NRC, the contractor shall make recomme idations for improvements in the overall processes, governed by this contract.
The recommendations shall include but not be limited to recommendations for item development and review forms, procedures, statistics (including item analyses), software improvements, hardware improvements, and others as needed.
The contractor shall submit these recommendations in the form of a draft revision to the Nuclear Regulatory Commission Generic Fundamentals Examination Standardized Analysis Plan.
LEVEL OF EFFORT AND PERIOD OF PERFORMANCE The level of effort is estimated at approximately 5 professional staff years over a three year period.
DELIVERABLES Task 1 - Item Bank Maintenance Updated copies (hard copy and computer diskette) of the BWR and i
PWR GFES item question bank two months following each examination administration.
I Task 2 - Examination Development Proposed PWR GFES 45 days prior to April 1998 administration date Proposed BWR GFES 45 days prior to April 1998 administration date Final PWR GFES 20 calendar days prior to April 1998 administration date Final BWR GFES 20 calendar days prior to April 1998 administration date Page 7 of 29
NRC-03-97-025 Section C C.1 (Continued)
Proposed PWR GFES 45 days prior to October 1998 administration date Proposed BWR GFES 45 days prior to October 1998 administration date Final PWR GFES 20 calendar days prior to October 1998 administration date Final BWR GFES 20 calendar days prior to October 1998 administration date Proposed PWR GFES 45 days prior to April 1999 administration date Proposed BWR GFES 45 days prior to April 1999 administration date t
Final PWR GFES 20 calendar days prior to April 1999 administration date i
L Final BWR GFES 20 calendar days prior to April 1999 administration date Proposed PWR GFES 45 days prior to October 1999 administration date Proposed BWR GFES 45 days prior to October 1999 administration date Final PWR GFES 20 calendar days prior to October 1999 administration date Final BWR GFES 20 calendar days prior to October 1999 administration date Proposed PWR GFES 45 days prior to April 2000 administration date Proposed BWR GFES 45 days prior to April 2000 administration date Final PWR GFES 20 calendar days prior to April 2000 administration date Final BWR GFES 20 calendar days prior to April 2000 administration date Proposed PWR GFES 45 days prior to October 2000 administration date Page 8 of 29
. - - -. -. ~. _. - -, - - - - -
.. ~. -.. - - - -
NRC-03-97-025 Section C i--
C.1 (Continued) 1 Proposed BWR GFES 45 days prior to October *0,0 adminisu ation
.date 3
Final PWR GFES 20 calendar days prior to October 2000 administration date s
[
l Final BWR GFES 20 calendar days prior to October 2000
~
i administration date 4
Task 4 - Examination Grading 2
Final examination within 18 calendar days following receipt of post exam facility comments L
Task 5 - Item Statistics / Examination Evaluation Comprehensive within 48 calendar days of receipt of_the GFES answer evaluation report sheets frem participating facilities a
)
Task 6 -. Test Item Development Process Improvements d
l Recommendations within 30 days of receipt of initial contract j-for improvements materials from NRC Millstone.3 I
MEETINGS AND TRAVEL NRC anticipates the following travel in support of this contract, t
One, one-person, two-day trip to Rockville, Maryland one week
[
a"ter contract award for orientation and exchange of materials.
?
Semi-annual, two-person, half-day trips to Rockville, Maryland for briefing on contract status (12 trips).
7 One, one-person, one-day trip to Rockville, Maryland to brief Division and Branch Management on contract resalts and accomplishments.
NRC FURNISHED MATERIALS NRC shall provide the current computerized bank of validated and non-validated BWR and PWR test items, NUREG-1122 " Catalog of Knowledga and Abilities:
Pressurized Water Reactors (PWR K/A catalog), NUREG-1123 " Catalog of Knowledge and-Abilities:
Boiling Water Reactors (BWR K/A catalog), NUREG-1021, Revision 8,
'" Operator Licensing Examiner Standards," Institute of Nuclear Power Operations-(INPO) BWR and PWR Generic Fundamentals Examination catalogs, and an initial supply of blank examination answer sheets.
Page 9 of 29
.u.
___ _ - _ _.._ _ _ _ _ _ _ - _.~.~
NRC-03-97-025 Section C
- fC.1 (Continued)
TOTHER-APPLICABLE-INFORMATION 4-1.
License Fee Recovery The work under this contract is license fee recoverable.-
j 2.
Requirements-for Use of Microcomputers L
- These requirements cover.the use of microcomputers to produce l
e machine-readable contract deliverables.
The purpose of the-guidelines is to assure that such deliverables (e.g.,
i programs, documents, graphe, data, etc.) will be useable on NRC equipment, All deliverables intended for use on NRC mi:rocomputers a.
should meet the following criteria:
1.
All diskettes should L<
apable of use on an IBM PC-using one of the software packagec supported-by the NRC (see-b. below).
2.
In particular, documents (e. g., reports) should be produced with-Wordperfect word processing software.
This will allow them to be used both_on NRC microcomputers and work processing equipments.
3'.
Failing criteria 1 or 2'above, data.or text should be-produced as ASCII files in standard. IBM PC diskette format.
b.
Microcomputer software supported by-the NRC:
Operating System:
PC DOS Programming Language:
BASIC Data Base:
dBase III Spreadaheet:
7,OTUS 1-2-3
-Grapn cs:
-RARVARD~ GRAPHICS Project' Management:
SUPER PROJECT Word Processing:
WORD PERFECT Communications:
CROSSTALK (asynchronous)
(End of Clause)
C.2 NRCAR 2052.215-83 TRAVEL APPROVALS (JAN 1993)-
Page 10 of 29
NRC-03-97-025 Section C Ca2 (Continued)
(a) All domestic travel requires the prior approval of the project officer.
(b) All foreign travel must be approved in advance by the NRC on NRC Form 445 and must be in compliance with FAR 52.247-63 Preference for U.S.
Flag Air Carriers.
Foreign travel approval must be communicated in writing through the contracting officer.
[End of Clause)
Page 11 of 29
NRC-03-97-025 Section D I
SECTION D - PACKAGING AND MARKING l
De1 PACKACING AND DARKING (MAR 1987)
The contractor shall package material for shipment to the NRC in such a manner that will ensure acceptance by common carrier and safe delivery at destination.
Containers and closures shall comply with the Interstate Commerce Commission Regulations, Uniform Freight Classification Rules, or regulations of other carriers as applicable to the mode of transportation.
On the front of the package, the Contractor shall clearly identify the contract number under which the product is being provided.
(End of Cl&use) l t
Page 12 of 29
'NRC-03-97-025 Section E t.
SECTION E - INSPECTION AND ACCEPT *.NUE l
E.1 52.252-2 CLAUSES INCORPORATEL BY REFERENCE (JUN 1988) l This contract - incorporates one or more clauses by reference, with the seie force and effect as if they were given in full tcxt.
Upon request, the Contracting Officer will make their full text available, f
I.
FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES NUMBER TITLE DATE S2.246-5 INSPECTION OF SERVICES APP 1984
- COST-REIMBURSEMENT
[End of C.',ause)
E.2 PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987)
Inspection and acceptance of the deliverable items to be furnished hereunder shall be made by the Project Officer at the destination.
[End of Clau.e]
Page 13 of-29
NRC-03-97-025 Section F SECTION F - DELIVERIES OR PERFORMANCE F.1 52.252-2 CLAUSES INCORPORATED BY REFERENCE (JUN 1988)
This contract incorporates one or more clauses by reference,
-with the same force and effect as if they were given in full text.
Upon request, the Contracting Officer will make their full text available.
l l
I.
FEDERAL ACQUISITION REGULATION (4 8 CFR CHAPTER 1) CLAUSES NUMBER TITLE DATE 52.242-15 STOP-WORK 3RDER AUG 1989 Alternate I (APR 1984)
[End of Claut.'
F.2 DURATION OF CONTRACT PERIOD (MAR 1987)
The contract shall commence on Novemoer 20, 1997 and will expire November 19, 2000.
[End of Clause]
F.3 RESOLVING NRC CONTRACTOR DIFFERING PROFESSIONAL VIEWS 'DPVs)
The Nuclear Regulation Commission's (NRC) policy is to support the contractor's expression of professional health and safety related concerns associated with the contractor's work for NRC that (1) may differ from a prevailing NRC staff view, (2) disagree with an NRC decision or policy position, or '3) take issue with proposed or established agency practices.
An occasion may arise when an NRC contractor, contractor's personnel, cur subcontractor personnel believes tnat a conscientious expression of-a competent judgement is required to document such concerns on matters directly associated with its performance of the contract.
The procedure that will be used provides for the expression and 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 estters directly associated with its performance of the contract, may be found in Section J of the solicitation.
The contractor shall provide a copy of the NRC DPV procedure to all of its employees performing under this contract and to all subcontractors who shall, in turn, provide a copy of the procedure to its employees.
NOTE:
The. prime contractor or subcontractor shall submit all DPV's received by need not endorse them.
Page 14 of 29
NRC-03-97-025 Section F
=F.3:
(Continued)
(End of Clause)
F.4 REPORTING REQUIREMENTS
-The contractor shall produce and deliver each of.the products discussed below:
1.
Technical Reports Fi s 1998, 1999, and 2000 Unless delayed by the need to process an inordinate number of comments frem the facility on the Generic Fundamentals l
Examination Section (GFE!.), for each site _participati.1g in l
the'GFEF, the contractor shall sub-it the graded examinations, the appropriate examination reports, and the recommended resolutions to facility comments to the (appropriate regional) office within 2 weeks of the last day of the examination. Exceptions will be agreed upon with the (regional) personnel before the 2-week deadline.
The Contractor shall use express U.S. mail or a comparable carrier to send the requisite material to the appropriate regional office contact.
2.
Monthly Letter Status Report (MLSR)
By the twentieth day of each month, the contractor shall
-submit:a monthly letter status report to the NRR. project manager / officer and the Division of' Contracts and Property Management - (LCPMi with copies provided to the Director of the Division of saactor Controls and Human Factors, the NRC Jtechnical monitor and to the Chief, Operator Licensing Branch.
The contractor will list on the report the full name and address of the. performing organization, the title of the project, tne-JCN, the principal investigator full name and full telephone number, the-period of performance, and-the reporting period.
The report will.contain the following ten sections:
(1)
Objective Section A brief statement of the performing organization's understanding of the objective (s) of the program / project.
'(2)
Progress-During Reporting Period Section For each task and/or task order, provide a clear concise discussion of the-work performed during the reporting Page-15--of 29
NRC-03-97 025 Section F F.4 (Continued) period.
A list of the efforts completed during the period, the milestones reached, and an explanation for each milestone not reached.
A summary of progress to date which may be exnressed as the percentage of each project completed.
(3)
Travel Section Travel taken during the reporting period must be ft1ly described and must include, ao a minimum, the purpose of the travel, whether prior NRC authorization was required and obtained, the identity of all traveer(s),
(
beginning and ending dates of the travel, and tha
\\
origin and destination points.
(4)
Anticipated and Encountered Froblem Areac Section A description of any problems or delays encountered l
oranticipated and recommendations for resolution.
l The persons (s) and/or organization (s) with responsibility for action to address the problem must be clearly identified.
In the event that NRC is required to take action, a separate letter to the appropriate NRC individual (s) must be transmitted.
Problems or circumstances that require a change in the level of effort or estimated cost (s), scope of work, or travel requirements should be discussed.
A separate letter identifying the need ror the modification must be sent to the office as soon as the problem is identified.
Such notification must not be delayed until issuance of the MLSR.
(5)
Plans For The Next Reporting Period Section A discussion of the work to be performed and a description of anticipated travel must be provided.
Milestones that will be completed during the period must be described.
(6)
Variance Section Any variance in either schedule or spending rate must be identified and discussed in detail.
Discussion must include the cause(s) for the variance (s), together with Page 16 of 29
NRC-03-97-025 Section F Fe4 (Continued) any proposed solution (s) to bring the dates and cost within planned dates and amounts.
(7)
Acquired Material / Property Section In the final MLSR for the project, provide a closecut property report certifying that property with an acquisition cost greater than $100 as well as sensitive property acquired under the NRC project is included in the offic al property records and that the list is complete.
4 For each item listed, the report shall contain item description or nomenclature, manufacture, model number, serial number, acquisition cost, receipt date, and property identification number when appropriate.
The closecut property report shall also identify any ongoing or contemplated NRC projects on which the property could be utilized.
If no prorarty was acquired under a project, provide a l
negative report.
(8)
Spending Plan (SP) Update Section The SP agreed to by the parties for projects and task orders shall be included in the initial MLSR.
Thereafter, the SP shall be updated in the MLSR when incurred cost (cumulative to date) vary by 20 percent or more from planned spending (cumulative to date) in the format listed in Section J as Attachment No.
7.
(9)
Financial Status Section A narrative description of the financial atatus of the project must be provided, Statements such as "Sae attached financial status" are not acceptable.
Management Directive 11.1, "NRC Acquisition of Supplies and Services," includes provisions for electronic reporting of selected cost data reported in the monthly letter status report (MLSR).
Electronically transmitted data must match the comparable information reported in the MLSR and comport to the database structure.
The contractor shall supply a diskette of the report using the type-of software specified in the contract.
Submit the total direct staff use and amount of funds spent (cost) during the period and the cumulative funds spent in the year to date in the following categories Page 17 of 29
NRC-03-97-025 Section F Fo4 (Continued) and in the format listed in Section J as Attachment No.
8.
N RELATIONSHIP TO OTHER PROJECTS JCN: J2072, " Generic ".ndamentals Examination Section (GFES),"
NRC Contract No. NRC.3-95-035, preceded this program, JCN:
(to be dete1 mined)
JCN: L1920, " Generic Fundamentals Examination Section (GFES), "
NRC Contract No. NRC-03-92-030, preceded JCN: J2072 EXPECTED CLASSIFICATION OR SENSITIVITY The contractor shall consider written reports to be informal draft reports, that contain sensitive unclassified information.
l While preparing report, the contractor shall handle the reports as " Official Use only" documents.
If the contractor obtains proprietary or company confidential.Tta for this contract, the contractor shall agree not to release such information in accordance with 10 CFR 2.790 and not to release such information to any person not directly involved in performing work under this contract unless such release is authorized in writing by the NRC contracting officer.
On completing or terminating this contract, the contractor shall return to the NRC all copies of any such I
proprietary confidential data.
OTHER CATEGORIES OF COST Common costs are those costs incurred for efforts such as preparatory or startup efforts to interpret and reach agreement on methodology, approach, or regulatory position; meetings and discussions involving the above efforts to provide orientation, background knowledge, or guidance at the beginning or during performance of work; and any technical effort applied to a category of facilities.
The contractor shall distribute common costs equally to each facility for which the effort applies, except for those multi-unit facilities that have more than one nuclear steam supply system (NSS5) vendor.
For common-cost distribution, the following units are considered separate facilities:
Arkansas Nuclear 1 Indian Point 2 Nine Mile Point 1 Arkansas Nuclear 2 Indian Point 3 Nine Mile Point 2 Beaver Valley 1 Millstone 1 Beaver Valley 2 Millstone 2 Page 18 of 29
NRC-03-97-025 Section G SECCION G - CONTRACT ADMINISTRATION DATA G.1 NRCAR 2052.215-71 PROJECT OFFICER AUTHORITY l
(JAN 1993)
(a) The contracting officer's authorized representative hereinafter referred to as the project officer for this contract is:
Name:
Lawrence Vick Address:
U.S.
Nucler Regulatory Commission One White Flint North Building (OWFN) 11555 Rockville Pike Mail Stop O-16G15 Rockville, Maryland 20852 Telephone Number: (301) 415-3181 (b) Performance of the work under this contract is subject to the technical direction of the NRC project officer.
The term technical direction is defined to include the following:
1 (1) Technical direction to the contractor which shifts work emphasis between areas of work or tasks, fills in details, or otherwise serves to accomplish the contractual statement of work.
(2) Provide advice and guidance to the contractor in the preparation of drawings, specifications, or technical portions of the work description.
(3) Review and, where required by the contract, approval of technical drawings, specifications, and technical informa ion to be delivered by the contractor to the Government unoer the contract.
(c) Technical direction must be within the general statement of work stated in the contract.
The project officer does not have the authority to and may not issue any technical direction which:
(1) Constitutes an assignment of work outside the general scope of the contract.
(2) Constitutes a change as defined in the " Changes" clause of this contract.
(3) In any way causes an increase or decrease in the total Page 19 of 29-
NRC-03 97-025 Section G G.1 (Continued) estimated _ contract cost, the fixed fee, if any, or the tin a required for contract performance.
(4) Changes any of the expressed terma, conditions, or specifications of the contract.
(5). Terminates the contract, settles any claim or dispute arising under the contract, or issues any unilateral directive whatever.
(d) All technical directions must be issued in writing by the project officer or must be confirmed by the project officer in writing within ten (10) working days after verbal issuance.
A copy of the written direction must be furnished to the contracting officer.
(e) The contractor shall proceed promptly with the performance of technical directions duly issued by the project officer in the manner prescribed by this clause and within the project officer's authority under the provisions of this clause.
(f) If, in the opinion of the contractor, any instruction or direction issued by the project officer is within one of the categories as defined in paragraph (c) of this section, the contractor may not proceed but shall notify the contracting officer in writing within five (5) working days after the receipt of any instruction or direction and shall request the contracting officer to modify the contract accordingly.
Upon receiving the notification from the contractor, the contracting officer shall issue an appropriate contract modification or advise the contractor in writing that, in the contracting officer's opinion, the technical direction is within the scope of this article and does not constitute a change under the " Changes" clause.
(g) Any unauthorized commitment or direction issued by the proiect officer may result in an unnecessary delay in the contractor's performance and may even result in the contractor expending funds for unallowable costs under the contract.
(h) A failure of the parties to agree upon the nature of the instruction or direction or upon the contract action to be taken with respect there to is subject to FAR 52.233 Disputes.
(i) In addition to providing technical direction as defined in paragraph (b) of the section, the project officer shall:
(1) Monitor the contractor's technical progress, including surveillance and assessment of performance, and recommend to the contracting officer changes in requirements.
Page 20 of 29
NRC-03-97-025 Section G G.1 (Continued)
(2) Assist the contractor in the resolutica of technical problems encountered during performance.
(3) Review all costs requested for reimbursement by the contractor and submit to the contracting officer recommendations for approval, disapproval, or suspension of payment for supplies and services required under this contract.
[End of Clause]
l G.2 NRCAR 2052.215-82 TRAVEL REIMBURSEMENT
- ALTERNATE 1 (JAN 1993)
(a) The contractor is encouraged to use Government centract airlines, AMTRAK rail services, and discount hotel / motel l
properties in order to reduce the cost of travel under this I
contract.
The contracting officer shall, 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 services 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. Government Printing Office, Washington, DC 20402.
(b) The contractor will be reimbursed for reasonable travel costs incurred directly and specifically in the performance of this contract.
The cost limitations for travel costs are determined in accordance with the specific travel regulations cited in FAR 31.205-46, as are in effect on the date of the trip.
Travel costs for research and related activities performed at State and nonprofit institutions, in accordance with Section 12 of 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, Cost Principles for Educational Institutions.
(c) When the Government changes the Federal Travel Regulations, or other applicable regulations, it is the responsibility of the contractor to notify the contracting officer in accordance with the Limitations of Cost clause of this contract if the contractor will be unable to make all of the approved trips and remain within the cost and fee limitations of this contract due to the changes.
Page 21 of 29
NRC-03-97-035 Section G 13.:2 (Continued)1 (End of Clause)
G.3-NRCAR 2052.216-71 INDIRECT COST RATES (JAN 1993)
(a) Pending the establishment of final indirect rates which must-Ebe negotiated based on audit of actual costs, the contractor shall be reimbursed for allowable indirect costs as follows:
Overhead - 88%
GLA - 8.8%
I f
I
'(b) The contracting officer may adjust the above rates as appropriate during tae term of the contract upon acceptance of any revisions proposed by the contractor.
It.is the contractor's responsibility to notify the contracting officer in accordance with FAR 52.232-20, Limitation of Cost, or FAR 52.232-22, Limitation of Funds, as applicable, if these changes affect performance of work within the established cost or funding limitations.
[End of Clause]
G4 USE OF AUTOMATED CLEARING HOUSE (ACH)
ELECTRONIC PAYMENT
.It-is the policy of the U.S. Nuclear Regulatory Commission to pay. Government vendors by the Automated Clearing House (ACH) electronic funds transfer payment system in lieu of a U.S.
Treasury check.
The electronic system is known as Vendor Express.
Payment shall-be made in accordance with FAR 52.232-33, entitled
" Mandatory Information for Electronic Funds Trcnsfer Payment."
To-receive payment by Vendor Express, the contractor shall complete the "Comparv Information" portion of Form SF 3881, entitled " Payment Information Form - ACH Vendor Payment System" found in Section J.
The contractor shall take the= form to the ACH Coordinator at the financial institution that maintains its company's. bank account.
The contractor shall discuss with the ACH Coordinator how the payment. identification information (addendum record) will be passed to them once the payment-is received by the financial institution.
The contractor must ensure that the addendum record will not be stripped from the payment.
The ACH Coordinator will 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, ATTN:
ACH/ Vendor Express, Division of Accounting and Finance, Mailstop T-9-E-2, Washington, DC 20555.
Once the Office of the Controller has processed the contractor's sign-up form, the contractor will Page 22 of 29
NRC-03-97-025 Section G G.4 (Continued) begin to receive payments electronically via Vendor Express /ACH.
If the offerors / bidders have questions concerning ACH/ Vendor Express, they may call the Comtnercial Paymer.ts staf f on (301) 415-7520.
[End of Clause) l l
t l
a l
i Page 23 of 29
NRC-03-97-025 Section h SECTION H - SPECIAL CONTRACT REQUIREMENTS H.1 NRCAR 2052.215-70 KEY PERSONNEL (JAN 1993)
{
(a) The following individuals are considered to be essential to the successful performance of the work hereunder:
l Mr. Ivan Kingsley Mr. Richard Miller Mr. Gary Weale Dr. Barbara Anderson Lounsbury The contractor agrees that personnel may nct be removed from the contract work or replaced without compliance with paragraphs (b) and (c) of this section.
(b) If one or more of the key personnel, for whatever reason, becomes, or is expected to become, unavailable for work under this contract for a continuous period exceeding 30 work days, or is expected to devote substantial]y less effort to the work than indicated in the proposal or initially anticipated, the contractor shall immediately notify the contracting officer and shall, subject to the concurrence of the contracting officer, promptly replace the personnel with persennel of at least substantially equal ability and qualifications.
(c) Each request for approval of substitutions must be in writing and contain a detailed explanation of the circumstances necessitating the proposed substitutions.
The request must also contain a complete resume for the proposed substitute and other information requested or needed by the contracting officer to evaluate the proposed substitution.
The contracting officer or his/her authorized representative snall evaluate the request and promptly notify the contractor of his or her approval or disapproval in writing.
(d) If the contracting officer determines that suitable and timely replacement of key personnel who have been reassigned, terminated, or have otherwise become unavailable for the contract work is not reasonably forthcoming, or that the resultant reduction of productive effort would be so substantial as to impair the successful completion of the contract or the service order, the contract may be terminated by the contracting officer for default or for the convenience of the Government, as appropriate.
If the contracting officer finds the contractor at fault for the condition, the contract Page 24 of 29
FMON DIVISION OF CONTRAC15 303 418 $761 39.22.1997 16: 40 P.
3 NRC-03-97-025 Scction H 5.1~
(Continued) price or fixed fee may be equitably adjusted downward to damage. compensate the Government for any xesultant delay, loss, or
[End of Clause)
U.2 3DtCAR 2052.235-72 8AFETY, - EEALTB, AND FIRE PROTECT 100t (JAN 1993)
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 hasards to life and property and shall comply with all applicable health, safety, and fire protection regulations and requirements (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 contracting officer may, without prejudice to any other legal or contractual rights of the Commission, issue an order stopping all or any part of the works thereafter, a start order for resumption of work may be issued at the discretion of the contracting officer.
The contractor shall make no claim for an extension of time or for compensation or damages.by reason of, or in connection with, this type of work stoppage.
(and of Clause) 0.2 GOVER3REENT FUENISMED SQUIPMENT/ PROPERTY (IIOV 1994)
(a) The 4tRC will provide the contractor with the following items for use under this contract:
Optical Mark Reader (OMR) scanner PARASCORE software (b) The above listed equipment / property is hereby transferred from contract / agreement NRC-03-95-035.
(c) only the equipment / property listed above in the quantities shown w!.11 be provided by the Government'.
This property is subject to the provisions of the Government Propenty clause under this contract.
All other equipment / property required in performance of the contract shall be furnished by the Contractor.
(End of Clause)
Page 25 of 29 eeoEuheee
NRC-03-97-025 Section I PART TI - CONTRACT CLAUSES SMCTION I - CONTRACT CLAUSES I.1 52.252-2 CLAUJES INCORPORATED BY REFERENCE (JUN 1988)
This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text.
Upon request, the Contracting Officer will make their full text available.
t I.
FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES l
NUMBER TITLE DATE 52.202-1 DEF;NITIONS OCT 1995
}
-52.203-GPATUITIES APR 1984 32.203 L COVENANT AGAINST CCNTI., 'ENT FEES APR 1984 52.203-6 1STRICTIONS ON SUBCONTRACTOR JUL 1995 l
SALES TO-THE GOVERNMENT 52.203-10 PRICE OR FEE ADJUSTMENT FOR JAN 1996 ILLEGAL OR IMPROPER ACTIVITY 52.203-12 LIMITATION ON PAYMENTS TO JAN 1990 INFLUENCE CERTAIN FEDERAL TRANSACTIONS 52.204-4 PRINTING / COPYING DOUBLE-SIDED JUN 1996 ON RECYCLED PAPER 52.209-6 PROTEC*ING THE GOVERNMENT'S JUL 1995 INTEREST WHEN SUBCONTRACTING WITH CONTRACTORS DEBARRED, SUSPENDED, OR PROPOSED FOR DEBARMENT s
52.215-2 AUDIT AND RECORDS--NEGOTIATION AUG-1996 52.2A5-22 PRICE REDUCTION FOR DEFECTIVE OCT 1995 COST OR PRICING DATA 52.215-27 TERMINATION OF DEFINED BENEFIT MAR 1996 i'
PENSTON PLANS 52.215-33 ORDER OF PRECEDENCE JAN 3986 52.215-40 NOTIFICATION OF OWNERSHIP CHANGES FEB 1995 52.216-7 ALLOWABLE COST AND PAYMENT MAR 1997 52.216-P FIXED FEE MAR 1997 52.217~.,
CANCELLATION UNDER MULTIYEAR JUL 1996 CONTRACTS 52;219-8 UTILIZATION OF SMALL, SMALL OCT 1995 DISADVANTAGED AND WOMEN-OWNED SMALL BUSINESS CONCERNS 52.222-3 CONVICT LABOR AUG 1996 52.222-26 EQUAL OPPORTUNITY APR 1984 52.222-35 AFFIRMATIVE ACTION FOR SPECIAL APR 1984 T.ISABLED AND VIETNAM ERA' VETERANS Page 26 of 29
.._.,_____u_,,,..._,..__.___.-_._.--.
NRC-03-97-025 Section I I.1 (Continued)
NUMBER TITLE DATE 52.222-36 AFFIRMATIVE ACTION FOR APR 1984 i
HANDICAPPED WORKERS l
52.222-37 EMPLOYMENT REPORTS ON SPECIAL JAN 1988 l
DISABLED VETERANS AND VETERANS OF THE VIETNAM ERA 52.223-2 CLEAN AIR AND WATER APR 1984 52.223-6 DRUG-FREE WORKPLACE JAN 1997 52.223-14 TOXIC CHEMICAL RELEASING REPORTING OCT 1996 52.225-11 RESTRICTIONS ON CERTAIN OCT 1996 FOREIGN PURCHASES 52.227-1 AUTHORIZATION AND CONSENT JUL 1995 52.227-2 NOTICE AND ASSISTANCE REGARDING AUG 1996 PATENT AND COPYRIGHT INFRINGEMENT 52.228-7 INSURANCE - LIABILITY TO THIRD MAR 199*
PERSONS 52.232-17 INTEREST JUN 1996 32.232-22 LIMITATION OF FUNDS APR 1984 52.232-23 ASSICNMENT OF CLAIMS JAN 1986 52.232-25 PROMPT PAYMENT MAY 1997 52.233-1 DISPUTES OCT 1995 52.233-3 PROTEST AFTER AWARD AUG 1996 Alternate I (JUN 1985) 52.242-1 NOTICE OF INTENT 1N) DISALLOW COSTS APR 1984 52.242-3.
PENALTIES FOR UNALLOWABLE COSTS OCT 1995 52.242-13 BANKRUPTCY JUL 1995 52.243 CHANGES - COST-REIMBURSEMENT AUG 1987 Alternate I (APR 1984) 52.244-2 SUBCONTRACTS (COST-REIMBURSEMENT FEB 1997 AND LETTER CONTPACTS) 52.244-5 COMPETITION IN SUBCONTRACTING DEC 1996 52.245-5 GOVERNMENT PROPERTY JAN 1986 (COST-REIMBURSEMENT, TIME-AND-MATERIAL, OR LABOR-HOUR CONTRACTS) 52.248-1
/A.UE ENGINEERING MAR 1989 52.249-6 TERMINATION (COST-REIMBURSEMENT)
SEP 1996 52.249-14 EXCUSABLE ~ DELAYS APR 1984 52.253-1 COMPUTER GENERATED FORMS JAN 1991
[End of Clause)
I.2 52.227-23 RIGHTS.TO PROPOSAL DATA (TECHNICAL) (JUN 1987)
It is agreed that as a condition of award of this contract, and notwithstanding the conditions of'any notice appearing thereon, the Government shall have unlimited rights (as defined in the Rights in Data--General" clause contained in this contract) in and to the technical data contained in the proposal dated March 29, 1997, upon which this contract is based.
Page 27 of 29
NRC-03-97-025 Section I 202 (Continued)
(End of Clause) 1 i
Page 28 of 29
NRC 03-97-025 Section J PART III - LIST OF D00UMENTS, EXHIBITS AND OTHER ATTACHMENTS SECTION J - LIST OF ATTACHMENTS J.1 ATTACHMENTS (MAR 1987)
Attachment Number Title l
01 Billing Instructions 02 NRC Handbook 3.8 03 Standard Form 1411 with Instructions 04 Contractor Spending Plan (CSP)
Instructions 05 Subcontra cting Plan 06 Payment Information Form SF 3381 - ACH j
Vendor Payment System 07 Procedures for Resolving NRC Contractor Differing Professional Views 08 Sample Monthly Spending Plan Update 09 Sample MLSR Financial Status Report Page 29 of 29
ATTACHMEN1 NO.1 e
(MARCH 1996)
Page 1 of 10 BILLING INSTRUCTIONS FOR COST REIMBURSEMENT TYPE CONTRACTS Gsnarall The contractor shall prepare vouchers / invoices for reimbursement of costs in the manner and format described herein.
FAILtTRE TO SUBNIT YOUCEERS/ INVOICES IN ACCORDANCE WITE THESE INSTRUCTIONS WILL RESULT IN REJECTION OF THE YOUCEER/ INVOICE AS IMPROPER.
Number of CoDiest An original and three copies, including supporting documentation.shall be submitted.
A copy of all i
supporting documents must be attached to each copy of your voucher / invoice.
Failure to submit all the required copies will result in rejection of the voucher / invoice as improper.
Desianated Acency Billina Office:
Vouchers / invoices shall be submittod to the following address:
U.S. Nuclear Regulatory Commission Division of Contracts T 7 I+2 Washington, DC 20555 HAND DELIVERY OF VOUCHERS / INVOICES IS DISCOURAGED AND WILL NCT EXPEDITE PROCESSING BY NRC.
However, should you choose to' deliver vouchers / invoices by hand, including delivery by any express mail services or special delivery services which use a courier or other person to deliver the voucher / invoice in person to the NRC, such vouchers / invoices must be addressed to the above l
Designated Agency Billing Office and will only be accepted at the following location:
U.S. Nuclear Regulatory-Commission One White Flint North l
31555 Rockville Pike Mail Room Rockville, MD 20852 l
l RAND CARRAED SUBMISSIONS WILL NOT BE ACCEPTED AT OTHER THAN THE ABOVE ADDRESS.
l Note that the official receipt date for hand delivered vouchers / invoices will be.the date it is received by the official agency billing office in the Division of Contracts.
Agency Payment Officei Payment will continue to_be made by the office designated in the contract in Block 12 of SF 26 or Block i
25 of SF 33, whichever is applicable.
=
ffhIbWt?!MMEphD c t.
u fi BILLING INSTRUCTIONS FOR COST REIMBURSEMENT TYPE CONTRACTS (Page 2 of 10)
Frequency:
The contractor shall submit claims for reimbursement once each month, unless otherwise authorized by the Contracting
- Officer, l
Format:
Claims should be submitted in the format depieced on the attached sample form entitled " Voucher / Invoice for Purchases and Services Other than Personal" (see Attachment 1).
The sample format is provided for guidance only.
The format is not required f r.r submission of a voucher /invoict Alternate fornats are permissible provided all requiremencs of the billi.1g instructions are addressed.
The instructions for preparation and itemization of the voucher / invoice are included with the sample form.
Task Orderina Contracta:
If the contractor bills for more than one task order under a voucher / invoice, detailed cost information for each individual task order chall be submitted, together with a cumulative summary of all charges billed on the voucher / invoice.
This includes all applicable cost elements
=
discussed in paragraphs ia) through in) of the attached instructicas.
Fee Recovery Billansm:
Pursuant to the provisions of 10 CFR Fart 170 and 171 on license fees, the NRC must recover the cost of work performed.
Accordingly. the contractor must provide the total amount of funds billed during the period, fiscal year to date and the, cumulative total for each task or task assignment by facility or report.
The fee recovery billing reports shall be on a separate page, and shall be in the format provided in.
The billing period for fee recovery costs should be from the first day of each calendar month to the last day of the same month.
Each separate fee billing report must ba attached to the monthly invoice and ccver the same period as the invoice.
Each report will contain a docket number or other unique identifier.
The NRC will provide a unique identifier for all work performed.
Costs should be reported as whole number to the nearest cent.
For work that involves more than one facility at the same site, each facility should be listed separately and the costs should be split appropriately between the facilities.
Common costs, as defined below, shall be identified as a separate line item in the f ee recovery billi-eport each month.
Common costs are those costs that are not licensee unique and associated with the performance of an overall program that benefit all similar licensees covered under that program or that are required to satisfactorily carry out the program.
Common costs include costs associated with the following:
preparatory or start-up efforts to interpret and reach agreement on methodology, approach, acceptance criteria, regulatory position,
i e
BILLING INSTRUCTIONS FOR COST REIMBURSEMENT TYPE CONTRACTS (Page 3 of 10)
I or technical reporting requirements; efforts associated with the
" lead plant" concept that might be involved during the first one or two plant reviews; meetings and discussions involving the above efforts to provide orientation, background knowledge or guidance during the course of a program; any technical effort applied to a docket or other unique identifier; and project management.
Common costs must be reporting monthly for each docket or unique identifier.
Common costs must be computed based on the proportion of direct costs incurred against each docket or unique identifier for the billing period.
Billina of Cost After Expiration of Contract:
If costs a ?
incurred during the contract period and claimed after the contract has expired, the period during which these costs were incurred must be cited.
To be considered a proper expiration voucher / invoice, the contractor shall clearly mark it " EXPIRATION VOUCHER" or " EXPIRATION INVOICE".
Final vouchers / invoices shall be marked " FINAL VOUCHER" or " FINAL INVOICE".
Currency:
Billings may be expressed in the currency normally used by the contractor in maintainina his accounting records; payments will be made in that currency.
However, the U.S. dollar equivalent for all vouchers /invoicea paid under the contract may not exceed the total U.S. dollars authorized in the contract.
Supersession:
These instructions supersede any previous billing instructions.
1 i
I a
4
.. -,,,.. _ -. ~.. _.,.
4 BiltlNG INSTRUCTIONS FOR COST RilM00RSEMENT TYPE CONTRACTS (Page 4 el 10)
ATTACHMENT 1 INV0lCEIV00CHfR FOR PURCHASES AND SERVICES OTHER THAN PERSONAL (S AMPLE FORM Ail Official AAentdilline Offics (e)
Centract Number U.S. Nuclear Regulatory Commission Division of Centracts MS: T112 Task Order No. (11 Applicable)
Washington, DC 205550001 Erret' demo end Addrpts (b)
Vouchailnvoies #
(c)
Dato ef Voucherlinvoles individual to Contact (d)
Fixed Fee Regerding this Voucher Name:
Tel. No.:
(e) This voucher represents reimbursable costs for the Amount Billed Current Perios Cumuleiks (f)
Dittf.LCalt.!
(1)
Direet laber'..........
(2)
Fringe benefits
( %,il computed as percentage)....
- 01) Capitalized nonexpendable equipment (450.000 or more.
ese instructionel'....
(4)Non capitalized equipment, meteriale, and supplies (5) Premium pay (NRC appreved evertime)
(6)
Censuiteata'...
(7)
Trevol' (Il Subeentreete*........
(t) ethw ees to '...............
Totel Direct Coets (g)
Indireet Catin (A)
Ova head._ % el i
6 (Indicate Base).......
(O)
General & Administrative Espense
_ % of Cost Elements Wee.
Total Direct a ladireet ceste (h)
Fined Fee (Cite Formule):
(i) Totel Ameeat Bil:ed-Q) Adjustmento..
4)
Grand Totale
- (Requitse Supporting informetlen - See Atteched)
s 4
SILLING INSTRUCTIONS FOR COST REIMBURSEMENT TYPE CONTRACTS (Pege 5 of 10 (Cont.). ATTACHMENT 1
$ AMfjE SUPP0RTING INf 0AM AT10lf fl Rirect leber: $2400 taber Hours Curuulative litt.
Gotegory ti! Led Reig Total f
I!!!gd.
Senior Engineer i 100
$14.00 $1400 975 Engineer 50
$10.00 $500 465 Computer Analyst 100
$ 5.00 $500 320
$2400 d
3)
Caeltelizedjtn_hgLib!!1guipmtnj Prototype Spectrometer item number 1000 01 $60,000 4)
Non essitalizad_Lguipment Meterials, and Suppfigs 10 Reden tubes 9 $110.00
= $1100.00 8 Peirs Electrostatic gloves 9 $150.00
= 19. 00.00
$2000.00 5)
Premiunthy Weite' Murphy 10 hours1.157407e-4 days <br />0.00278 hours <br />1.653439e-5 weeks <br />3.805e-6 months <br /> 9 $10.00 Per Hour = $100 (This was apptowed by NRC in letter dated 3I6fS5),
8)
Cenaultants' Fee Dr.Corney I hour 9 4100
= $100 7) lig.]Lgl Start Date Destination 1sts 3lIltt Weeh. DC
$200
SILLING INSTRUCTIONS FOR CCST REIMBUR9EMENT TYPE CONTRACTS (Page 6 of 10)-
ATTACHMENT 1 (Cont.)
INSTRUCTIONS FOR PREPARING COST INFORMATION FOR NRC CONTRACT VOUCHERSilNVOICES Preparation and itemintion of the Voucherlinvoice: In ordw to constitute a proper invoice, the centracter shall furnish all the infwmetion set forth below. These noin are keyed to the entries on the semple voucherlinvoice.
Official Agency Billing Office: Address the original and 3 copies of the vouchwlinvoice, togethw with l
supporting documentation attached to each copy to: U.S. Nucleet Regulatory Comenission, Division of Centracts, MS: T 712, Washington, DC 20555 9001.
Vouchwslinvoices delivered by hand, including delivwy by express mail or special delivery services which use a courier or other pwson to delivw the voucher! invoice in person to the NRC, should be addressed in accordoce with the foregoing and delivered to: U. S. Nuclur Regulatory Commission.
One White Flint North,11555 Rockville Pike. Mail Room, Rockville. Maryland 20852. Hand delivered voucherslinvoien will not be accepted at other than the above andress Note, however, that the official receipt date f or hand delivwed voucherslinvoices will be the date it is received by the official agency billing office in the Division of Contracts.
Payee's Name and Address. Show the name of the cor. tractor as it appears in the contract and its correct address. When an approved assignment has bun made by the contractor, or a diffwent payee er addresus has been designated. insert the name and address of the payee. Indicate the nome end telephone numbw of the individual responsible for answwing any questions that the NRC may have regwding the invoice. The following guidance corresponds to the entries required on the sample f orm.
(a) Contreet Numbw. Insert the NRC contreet number Task Ordw Number,if applicable. Inswt the task order number.
(b) Voucherlinvoice numbw. The oppropriate sequential number of the vouchulinvoice. beginning with 001 should be designated. Centracters may also include en individualinternal accounting numbw,if desired,in addition to the 3 digit seauential number.
6 s
BltilNG INSTRUCTIONS FOR COST REIMBURSEMENT TYPE CONTRACTS (Page 7 of 10b ATTACHMENT 1 (Cont.)
(c) Date of Voucherlinvoice. insert the date the voucharlinvoice is prepared.
(d) Fixed Fee. Insert total fixed fee. Include this information as it applies to individual task orders as well.
(e) Billing Period. Insert the beginning and ending dates (day, month, yearl of the period during which costs were incurred and for which reimbursement is claimed.
(f) Direct Costs lasert the amount billed f or the following cost elements, edjustments, suspensions, and total amounts, for both the current billing period and for the cumulative period (from contract inception to end date of this billing period).
l (1)
Direct Labor. This consists of salaries and wages paid (or accrued)for direct I
performance of the contract itemised es follows:
tabor Hrs.
Cumulative GatejoE Silled Rats letal Hrs. Billed (2)
Fringe Benefits. This represents fringe benefits applicable to direct labor and billed as a direct cost. Where a rate is used indicate the rate. Fringe benefits included in direct labor or in other indirect cost pools should not be identified here.
(3) Capitalized Non Expendable Equipment. List each item costing $50,000 or more and having a life expectancy of more than one year List only thoseitems of equipment for which reimbursement is requested. For sech such item list the following (as applicableh (a) the item number ior the specific piece of equipment listed in the property schedule of the contract;or (b) the Contracting Officer's approvalletter if the equipment is not covered by the property schedule.
i s
BilllNG INSTRUCil0NS FOR COST REIM8URSEMENT TYPE CONTRACTS lPage 8 of 10)-
ATTACHMENT 1 (cont.1 (4) Non capitalised Equipment Materials, and Supplies. These are equipment other than that described in (3) abeve, plus consumable meterials. supplies, tist by category, list itwns valued at 8500 or more separately. Provide the item number for uch piece of equipment valued at $500 or more.
(5) Premium Pey. This enumcretion in excess of the basic hourly rate. (Requires written approvalof the Contracting Offi w.)
(6) Cenaultants. The supporting information must include the name, hourly or delly rete of the consultant, and refwence the NRC approval (if not specifically approved in the original contract).
(7) Travel. Total costs associated with each trip raust be shown in the following format:
5181LDate Restination Costs from To From To 8
(8) Subcontreets. Include separate detailed breakdown of all costs paid to approved subcontractors during the billing period.
(D) Other Costs. List all other direct costs by cost element and deller amount separately.
Ig) Indirect Costs (Overhud and General and Administrative Expenu). Cite the formula (rete and baselin effect in accordance with the terms of the contract, during the time the costs were incurred and for which reimbursement is claimed.
(h) Fixed Fu. If the contract provides Ior a fixed fee,it must he claimed as provided le by the contract. Cite the formula er method of campstation. The contractor may bill for fixed fu only up to IS% of total fee.
(i) Total Amount tilled. Inswt the total amounts claimed f or the current and cumulative pwinds.
o BILLING INSTRUCTIONS FOR COST REIMBURSEMENT TYPE CONTRACTS (Pap 9 of 10)-
ATTACHMENT 1 (Cont.)
(j) Adjustments. For cumulative amount, include outstanding suspensions.
(k) Grand Totals.
Further itemintion of woucherslinvoices shsil only be required for items having specific limitations set forth in the contract.
l i s
l BilllNG INSTRUCTIONS FOR COST REIMBURSEMENT TVPE CONTRACTS (Page 10 of 10).
ATTACHMENT 2 (Cont.)
fliIlCEERY.j!(([MGJiE011 FIN:
Facility Name er Report
Title:
TAC or inspection Repert Number:
(or other unique identifier)
Docket Number (il applicable):
Period Fiscal Year Total Cost Categories Period Amt.
Cost Incurred To Date Costs Cumulative Costs labor Metwiels Subcontracteel Censultant Trav:t Othw (specify)
Commen Cests Total Romerks:
R:\\ BILLING.396 o
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ATTACHMENT ti0. 2 Unciassified Contractor and Grantee Publications in the NUREG Series 1
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V:lume 3, Pcrt 1 - Publications, Mail, cnd Infortnati:n Discl:sure Unclassilled Ccntrccter cud Grcntee Publicati:ns in the NUREG S: ries Directive 3.8 Contents Policy.................................................................
1 Objec t i ve s............................................................
1
(
Organizational Responsibilities and Delegations of Authority............
2 Executive Director for Operations (EDO)................................
2 Deputy Executive Director for Nuclear Reactor Regulation, Regional Opera tions and Research (DEDR)......................................
2 i
Deputy Executive Director for Nuclear hiaterials Safet and Operations Support (DEDS)..................y, Safeguards, 3
O ffi c e Di r e ct ors...................................................... -
3 Director, Office of Administration (ADhi)................................
4 Director, Division of Freedom of Infonnation and Publications Se rvi ces, (DFIPS), ADhi..............................................
4 Director, Division of Contracts (DC). ADhi..............................
4 A pp lica b ili ty..........................................................
5 E m pl oye e s..........................................................
5 O th e r Publications...................................................
5 H a n d b oo k.............................................................
5 Refe ren ce s............................................................
5 1
Approved: June 17,1991 (Revised: July 9,1995) m t
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U. S. Nuclear Regulaton Commission S
S Volume: 3 Information hianagement
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Part:
1 Publications, hiail, and Information Disclosure ADhi Unclassified Contractor and Grantee Publications in the NUREG Series Directive 3.8 Policy (3.8-01)
U.S. Nuclear Regulatory Commission policy requires that the following publications published by NRC adhere to the documentation and production requirements, standards, and practices specified in this directive and handbook: (1) unclassified NRC contractor, consultant, or grantee formal reports, books, and international agreement reports in the NUREG/CR (contractor reports), NUREG/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 reviews of formal reports and books before publication. (b)
To ensure that national security,. atent rights, copyrights, e
proprietary rights, and rights in other sensitive unclassified information, including those specified in interagency and international agreements and memoranda of understanding, are i
not compromised by the release or publication ofinfonnation by NRC.(c)
Approved: June 17,1991 (Revised: July 9,1995) 1
V:lume 3, Part 1 - Publicati:ns, M:ll, tnd Inf:rm:ti:n Discl;sure Uncl:ssified Contrcefor cnd Grantee Publzti:ns in tha NUREG Series Directive 3.8 Objectives (3.8-02) (continued)
To ensure that all unclassified NRC contractor or grantee e
publications in the NUREG series carry the registered Government identification NUREG/CR-0000, NUREG/
GR-0000, or NUREG/IA-0000, with the exception of some publications prepared by grantees, and indicate the availability of source material used in these publications. (d)
To ensure that NRC-sponsored book manuscripts receive proper e
peer review from experts within and outside NRC. (e)
To providc uniform procedures for publishing fonnal reports and e
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:
3 When an office director refuses to publish an NRC-sponsored document because of irreconcilable differences be: ween himself or herself and the author about the contents of the document. (a)
Approved: June 17,1991 2
(Revised: July 9,1995)
l Unclassified 0:ntrcct:r cnd Crcntee Publicati:ns in the NUREG Series Directive 3.8 l
Deputy Excutive Director for Nuclear Reactor Rega;ation, Regional Operations l'
und Researci (DEDR)
(032)(continued) l*
When an office director refuses to permit a contractor's principal investigator to publish NRC-sponsored information in the open literature. (b) i When an office director refuc to permit a contractor to issue a e
j pras or other media release about an NRC-sponsored I
publication. (c)
Deputy Executive Director for Nuclear Materials Safety, Safeguards, and Operations Support (DEDS)
(03)
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 e
investigator to publish NRC-sponsored information in the open literature. (b)
When an office director refuses to permit a contractor to issue a e
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 Snal printing and distribution by detennining that they are consistent with agency policy, management decisions, and that they raise no significant legal issues. (a) e 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) gontre inacontem.eompamestbe standardorderfornoawak-(Nacrorm173),inieragencyandinternationai greements, Approved: June 17,1991 (Revised: July 9,1995) 3
V:lume 3, Part 1 - Publicati:ns, M:ll, cnd Inf:rmati:n Discl:sure Unclassified Contract:r cnd Grantee Publicati:ns in the NUREG Series Directive 3.8 Office Directors (034)(continued)
Sign, or delegate signature authority for, the NRC Form 426A,
" Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports" (Exhibit 1 of Handbook 3.8),
and for memoranda requesting reprints of contractor publications. (c)
Director, Office of Administration (ADhl)
(035)
As delegated from the DEDS, administers NRC's programs and policies for publishing unclassified contractor and grantee reports and books in the NUIEG series.
Director, Dhision of Freedom of Information and Publications Services,(DFIPS), ADM (036)
Develops and administers, as delegated from the Director, ADM, e
NRC's program and policies for publishing unclassified contractor, consultant, and geantee formal reports, books, and international agreement reports in the NUREG/CR, NUREG/GR, and NUREG/IA 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 reouirements 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 retriesint, unclassified NRC-sponsored publications in the NUREG series. (c)
Director, Division of Contracts (DC), ADM (037)
Ensures that those requests for proposals, imitations for bids, and grant proposals, and the ensuing contracts and grants that require Approved: June 17,1991 4
(Revised: July 9,1995)
V: lune 3, Part 1 - Publicati:ns, MclI, cnd Int:rmati:n Discl:sure Unclassified Ccntrcct:r cnd Grcntee Publicati:ns in the NUREG S:ri:s Directive 3.8 l
Director, Division of Contracts (DC), ADM (037)(continued) publications as deliverables include provisions requiring that contractors comply with this directive and handbook and with l
Government Printing and Binding Regulations.
Applicability (3.8-04)
Employees (041)
All NRC employees shall follow the policy and guidance specified in this directive and handbook.
Other Publications (042)
The provisions of this directive and handbook do not apply to NRC staff publications in the NUREG series, NRC docket material, or documents created by NRC boards, panels, advisory committees, or offices that report to the Commission.
Handbook (3.8-05)
Handbook 3.8 gives detailed guidelines for preparing unclassified contractor and grantee publications in the NUREG series.
References (3.8-06)
A ManualofStyle, University of Chicago Press.
Atomic Energy Act of 1954, as amended (42 U.S.C. 2011 et seq.).
" Copyrights," Title 17, United States Code,
" Cost Principles for State and Local Governments," OMB Circular A-87. Office of Management and Budget, January 1981.
Energy Reorganization Act of 1974, as amended (42 U.S.C. 5801 et seq.).
Approved: June 17,1991 (Revised: July 9,1995) 5
V:lume 3, Part 1 - Publications, Mal.1, and Int:rm: tion Discl:sure Unclassified Ccntract:r cnd Grantee Publicati:ns in the NUREG S: ries Directive 3.8 References (3.8-06) (continued) l
" 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).
l' Government Printing and Binding Regulations. Pub. L 101-9, February 1990.
" Grants and Agreements With Institutions of Higher Education, Hospitals, and Other Nonprofit Organizations," OhiB Circular A-110, Office of hianagement and Budget, July 1976.
Memorandum of Understanding Between the Department of Energy and the U.S. Nuclear Regulatoly Commission, February 24,1978.
hiemorandum of Agreement Between 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 Information Security Program."
NUREG-0650, Revision 1, " Publishing Documents in the NUREG Series," November 1990.
NUREG/BR-0075, Revision 2, "NRC Field Policy Manual," Field Policy Manual No. 9, dated March 22,1993.
"Public Printing and Documents," Title 44, Chapter 3, Government Printing Office, United States Code.
U.S. Govemment Printing Office Style Manual,1984.
Approved: June 17,1991 6
(Revised: July 9,1995)
Unclassified Contractor and Grantee Publications in the l
NUREG Series
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V:lume 3, Part 1 - Publicati:ns, Mill, cnd Inf:rntti:n Discl: sura Unclassified Centrcet:r cnd Grcntee Publicati:ns in the NUREG S: ries llandbook 3.8 Parts I - VI Contents Part I I n t rod u ct io n..........................................................
1 i
Part II 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 Unclassified Information in the Open Literature and Presenting Pa p e rs (C)......................................................
4 Reports Containing Sensitive Unclassified and Classified Information (D).......
6 Conference and Workshop Proceedings (E)................................
7 Distribution of Reports to Contractors (F)................................
7 Coordinating Contractor Press or Other hiedia Releases of Information (G)....
7 Part III Draft and Final NUREG Reports......................................
8 Identification Information (A)...........................................
8 NU RE G N u mb e r ( 1 )..............................................
8 Au th ors' N a m e s (2)...............................................
8 Organizational Identification (3).....................................
9 Previous Reports in Series (4).......................................
9 Report D a t es (5 )..................................................
9 Report Organization and Components (B)................................
9 Pre-Publication Reviews (C)............................................
9 Pa t e nt Resi ew ( 1 ).................................................
9 Seemity Review (2)...............................................
10 Copyright Review (3)..............................................
10 Color Prir ting (D).................................................... 10 hii crofi ch e (E).......................................................
12 Discl ai m e rs (F).......................................................
13 Approved: June 17,1991 (Revised: July 9,1995) ni
V:lume 3, Part 1 - Publications, Mail, cnd Inf rntti:n Disclosure Unclassified Ccntract:r and Grantee Publicati:ns in the NUREG Series Handbook 3.8 Parts I - VI Contents (continued)
Part Ill (continued)
Availability Information (G)............................................
13 Re ference M aterial (1)............................................
13 Rep o rts (2).....................................................
14 Fo rms (H }..........................................................
14 Bibliographic Data Sheet (NRC Form 335) (1).........................
14 Release To Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A) (2)..............
14 Printing and Reprinting (I).............................................
15 Distri b u ti on (J ).......................................................
15 Part IV International Agreement Reports......................................
16 Background and Rationale (A).........................................
16 Identification Information (B)...........................................
16 Cover and Title Page (1)...........................................
16 NRC Report Number (2)...........................................
16 Previous Reports in Series (3).......................................
17 Report Organization and Components (C)................................
17 Availability Information (D)............................................
17
. References and Bibliographies (1)...................................
17 Repo rts (2)......................................................
18 Discl aim e r (E).......................................................
18 Fo rms (F)...........................................................
19 Bibliographic Data Sheet (NRC Form 335) (1).........................
19 Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A) (2)..............
19 Classified or Sensitive Unclassified Information (G).........................
19 Approved: June 17,1991 iv (Revised: July 9,1995)
V:lume 3, Part 1 - Publicati:ns, M:ll, and Inf:rmation Discl:sure Unclassified Ccntract:r cnd Grrntee Publicati:ns in the NUREG Series llandbook 3.8 Parts I -il Contents (continued)
Part V Books.................................................................
20 G e n e ral (A)......................................................... 20 D e fi ni ti on (B)........................................................ 20 Fo rm a t (C)..........................................................
20 NRC Document Numbe r (D)........................................... 21 Availability of Reference Materials (E)................................... 21 Re vi e ws (F).......................................................... 22 Pe e r ( 1 )......................................................... 22 Copyri gh t (2).................................................... 23 S e curi ty (3 )...................................................... 23 Pa t e n t (4)....................................................... 23 Publishing Authorization Form (G)..................................... 23 Di scl aim e rs (H)...................................................... 23 Prin ti ng (I).......................................................... 24 Distribution and Sales (J).............................................. 24 Part VI G rant P ublications...................................................
25 Background and Rationale (A).......................................... 25 Publiation of Results (B).............................................. 25 Publication by NRC (1)........................................... 25 Publication by a Grantee (2)....................................... 25 Publication by a Grantee in the Open Li trature (3).................... 25 Reprints of Open Literature Publications (4)........................... 27 Identification Information (C)........................................... 27 Pre-Publication Reviews (D)............................................
2-G l o s s a ry.....................................................
28 Approved: June 17,1991 (Revised: July 9,1995) v
V;lume 3, Part 1 - Publicati:ns, M ll, cnd Inf:rmati:n Disclosure Unclassified Centract:r and Grantco Publicati:ns in the NUREG S:ri:s Il ndbook 3,8 Parts I - VI Contents (continued)
Exhibits
- 1. NRC Form 426A," Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports"........................
32
- 2. NRC Form 335, " Bibliographic Data sheet"............................
33
- 3. werofiche sheet sample...........................................
35
)
I Approved: June 17,1991 vi (Revised: July 9,1995)
Volume 3, Part 1 - Publicati::ns, Meil, cnd Informttion Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part I i
Part I Introduction This handbook specifies the procedures that the Nuclear Regulatory Commission (NRC) contractors and grantees need to follow when preparing the following publications for the NRC: (A)
Final NUREG reports (1) e International agreement reports (2) e Books (3) e Grant publications (4) e The handbook is divided into six major parts and includes a glossary and exhibits. Part II provides general information for staff consideration in preparing statements ofwork. Parts III,IV, V, and VI provide publishing guidelines specific to, respectively, contractor reports, international agreement reports, books, and grantee publications. (B)
Contractor means a private contractor, consultant, expert, another State or Federal agency working under an interagency agreement, or a Department of Energy (DOE) facility or subcontractor, such as a national laboratory, working under the DOE /NRC Memorandum of Understanding of February 24,1978, and any subcontractors of these organizations. (C)
This directive and handbook, as well as a copy of " Publishing Documents in the NUREG Series" (NUREG-0650, Revision 1), must be included or referenced in all contracts, interagency and international agreements, and grants for which the publications previously listed are contract deliverables or grant obligations. In addition to the guidelines specific to each type of publication that appear in subsequent parts of this handbook, all statements of work must contain the applicable guidelines outlined in Part II. (D)
Approved: June 17,1991 (Revised: July 9,1?95) 1
V;lume 3, Part 1 - Publicati::ns, Mill, cnd Infcrmiti:n Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part II Part II Prep'aring Publication Requirements for Statements of Work for Contracts Specifying Publication Requirements (A)
List and describe +.he type of technical reports required from each project, task, or subu.sk, as applicable. State when, how many, and to whom the reports should be submitted and the scope of.information they should contain. These reports may be unclassified, sensitive unclassified, or classified. For guidelines and requirements covering sensitive unclassi6ed and classified publications, refer to Management Directive (MD) 12.2, "NRC Classified Information Security Program," and MD 12.6, "NRC Sensitive Unclassified Information Security Program." (1) 9 This directive and handbook pertain to publications that will be issued in the NUREG/CR, NUREG/IA, and NUREG/GR series. (2)
Publishing Formal Reports (n)
NUREG series reports will be printed and distributed by NRC from camera-ready copy submitted by the contractor to the Publications Branch, Mailstop T-6 E7, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The camera-ready copy is to be prepared in accordance with the provisions of this handbook.
Recommended guidelines for the organization and format of formal reports are speci5ed in " Publishing Documents in the NUREG Series" (NUREG-0650, Revision 1). (1)
When the report contains sensitive undassi6ed or classified information, the contractor must comply with MD 12.2. (2)
~
Approved: June 17,1991 (Revised: July 9,1995)
Wlume 3, Part 1 - Publications, M il, cnd Infcrmati::n Disclosure Unclassified Contrccior cnd Gr ntee Publications in the NUREG Series Handbook 3.8 Part H Publishing Formal Reports (B)(continued)
If a draft is desired before completing a final report, specify in the statement of work (SOW) the due date for delivering the final camera-reac'y copy after receiving comments from NRC staff or participants (if applicable) on the draft. State that all draft material be submitted to the cognizant NRC contact. (3)
When the contractor is to submit draft material for comment before preparing the final report, state that the ra, tractor will be asked to make changes if there are comments from v.C staff or participants. If agreement on the changes is reached, the.,dC contact will authorize the contractor to prepare the final copy and submit it to the NRC contact ifit is a letter report or input to a Safety Evaluation Report or an Emironmental Statement, or to the Director, Division of Freedom of Information and Publications Services (DFIPS) if it is a camera-ready copy for printing and distribution. This procedure will ensure proper publication, handling, distribution and, among other things, preclude further changes that might nullify the agreement. (4)
If special caveats were agreed to between the contractor and the NRC contact, the caveats should accompany the NRC Form 426A (Exhibit 1) for approval when it is sent to the NRC contact. A copy of special caveats should also accompany the camera-ready copy sent to DFIPS. (5)
If agreement on changes to a formal technical report to be issued in the NUREG/CR series is not reached, the NRC contact may request the contractor to prepare the camera-ready copy with, in addition to the standard disclaimer required on all contractor formal reports (see Section (F), Part III of this handbook), any caveats deemed necessary to cover NRC objections. These caveats may range from 'The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" to the addition of a preface setting forth the NRC opinion or footnotes at appropriate locations within the text. (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. In the case of another Federal agency, a State, or a private contractor, the person who entered into the contract should similarly be informed by the' Approved: June 17,1991 (Revised: July 9,1995) 3
Wlum2 3, Part 1 - Publicati:ns, Mtil, end Inform: tion Disclosure Unclassified Centract:r cnd Grcntee Publications in the NUREG Series Handbook 3.8 Part H Publishing Formal Reports (B)(continued)
NRC contracting officer. The contractor is then free to publish the report without identifying NRC as the funding sponsor of the report and without the NRC disclaimer. Decisions by the office director or designee may be appealed to the appropriate Deputy Executive Director for Operations. (7)
Publishing Unclassified Information in the Open Literature and Presenting Papers (C)
Specify whether the contractor's principal investigator is permitted to publish in the open literature instead of submitting a final report and/or to present papers at public or association meetings during the course of the work. If this arrangement is authorized, add the following statement to the SOW:(1) nm ipalinvestigator may publish the results 4f this kwk in n nym-mmennewmnewn iTheprinc
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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) mmsyy mwemm mmmmmvampmm~n TDie princspalinvestigate reay pu_blish the results of Gus workin:
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} stages 6ftheWork'ift articlefr)mphF his biddiitsiewed. by th(
(NRCicsniisiikdsAfifiruEsod agresmsnihas bien'risclied'oni
[t@ M tent {jjd g gedd d 2ign[& dij a aj$yjighd[d If agreement is not reached, NRC may also require that the paper include in addition to the standard statement " Work supported by the U.S. Nuclear Regulatory Commission," any caveats deemed necessary to cover NRC objections. If NRC objections cannot be covered in this manner, NRC may refuse to authorize publication in the open literature and/or presentation of papers. (3)
In the latter case, NRC will inform the contractor of the decision, as 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 4
(Revised: July 9,1995)
V:lume 3, Fcrt 1 - Publications, Msil, and Inform tion Disclosure Unclissified Contrcctor end Grcntee Publications in the NUREG Series Handbook 3.8 Part II l
Publishing Unclassified Information in the Open Literature and Presenting Papers (C)(continued)
If the contractor proposes to publish in the open literature or present the information at meetings in addition to submitting the required technical reports, approval of the proposed article or presentation should be obtained from NRC. NRC shall approve the material as submitted, approve it subject to NRC-suggested revisions, or disapprove it. In any event, NRC may disapprove or delay presentation of papers on infonnation 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 pre 'de for this type of publication, the contract can be modified w provide for such presentations. (6)
When the contractor submits journal articles for publication, each must be accompanied by the following statement: (7) t y - w e v ensvnyey g g n g wy m 7 v7 w gr w ~ e rg y y y y _
iThe submitted manuscript h'as been authored by a contractorof
!thiliS.' Govern' ment undehCentra'et? Noi
. Accordingly, the
[U.S?lGokernment!hisfaianonexclusive,froyalty.-freellicensej to
[publistiWrependsch the publish $d form of this contributi6n;or
[N!yM{rsgdjtschfgryyyerninen,tpu@sgs{
All published papers and articles must include the following disclaimer:(8) n~ w-w mm~rm-em w,ymmmm.m
[EThis report was purpared as:an; account of work sponsore an AfsnEy)ftheUnitedStakisLGoysrnment;Neither[tlifUnited StatessGovernmentinorganyjagencylthereof nor anyfor'their
{thloyhmAkdsanybarranhyxpresse,dfor@imNied,f
[hssumessanyslesallliabilityp orjgespo_nsibilitj t s
{FpiiS'siiisi?sEthe resklief/shchluse,'offanysinformitioh, V
Majjiardin6$ddssr!processidishlosedduf thisfreporthoR hrepreseritslthiijts'use by such ; third party w6uldist. infringe g privately owned rights /Ths viess expressed ini ' his paper are'not t
f escessarili th'ose?of the;U.S&NucleaiF Regulatory) Commission.'
Gazawm2naus;&amaa&Msuissaa:&waus
'For DOE work orders, the appropriate job code number is applicable.
Approved: June 17,1991 (Revised: July 9,1995) 5
V:lume 3, Part 1 - Publications, M ll, and Inform: tion Discl:sure Uncl:ssified Contr ctcr end Grantee Public:tions in the NUREG Series Handbook 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 writing in accord with the sample letter shown as follows: (9)
Dear,
(Copyright Holder's Name):yymmmym~mmy q,
w
- - m JL,w w -;4;.'*v
% y; b ; ~
y rentlykrece;iveilla y document i for; signature 2 assignmg g u
26pyirightTadd litpstdisidonl rig 6tsfih$the dubmitted ~ article $
,(title)Lto'(name of psblication)?This Isitef is' offered in 'lifu ~ofs Ithsidscuinent cas? a smeansMconipliting[the trsnsfen6d Ieddsh_ipykdohdi$ gly,Mherebylexpressig6Ansfk a$dl
[!(sa'me of pOblishMNNii? p^assiiniour?tigbsoflownershi i f
i r+m O
Y i;N v sy 7pt ;lN.?%9m%gt,he:axQ3gs R;d;an_3, h ou areadvised owever, that t
. assignment ~an y4 r pub _ticailen er ithu_blichtisisttheMscitedjorkis sSbjseNl
[%, biside, GREuWW.;.. au.,;
to'thifolloEingOmviram"enEsights!@%,
T
'M@
4 M'D su d m am m eript been authored by a. contractor $
ith41U.S3GovernEsshunderiC46usst Noi ^P %
i
!$disordiid$thEIO.S8 'Govermnedt $liaMMnonexclusiveh;l dysity-freelricesse%)publist@re$r6diceitinipublishidj w -,ofith,is?sontr,itistionlosiallisothersitof[d6:soffo60.Sa fenn
.a p
y y m, M w.3mp me5 f
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p 0So5.-
.... dg mme d N N e M " ' *w"l' T'..@5m-tG
~~ m m-
?!.N. # +N P w
$y$ ksJi iG$ '"aWs%C; %~ Q;E
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$9 % g gj % W y L,ly,3 Q M 6 r
7 sits m eere ym em iss
% MV Eid h e d m M $ d d $$ $ d $ b iaIlb $ b S e ifi$$ 5 2 2 h d 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)
Exarnples of the proper marking of reports designated Official Use Only, Limited Official Use, Proprietary Information, Safeguards Information, and classified (CONFIDENTIAL, SECRET, and TOP SECRET) are specified in MD 12.2.
Approved: June 17,1991 6
(Revised: July 9,1995)
V:lume 3, Pcrt 1 - Publicati:ns, Mril, cnd Inferrniti:n Discl:sure Unclassified Centractor cnd Grcntee Publications in the NUREG Seri:s Handbook 3.8 Part II Conference and Workshop Proceedings (E)
If NRC approves publication of compilations of papers presented at NRC-sponsored or cosponsored mee tings, 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, NUREG/GR, and NUREG/IA reports will be bulk shipped to the contractor by NRC, (The Joint Committee on Printing's Govemment Printing and Binding Regulations permit contractors to receive free of charge up to 50 copies of reports they have produced for NRC.)If fewer than 50 copies are needed, indicate the desired 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, with written justification, to the NRC contact. If the additional distribution is approved by the NRC contact, the contractor shall send address labels with the camera-ready copy to the Publications Branch, DFIPS, USNRC, Washington, DC 20555-0001, and that distribution will be made along with the standard distribution.
Coordinating Contractor Press or Other Media Releases ofInformation (G)
A contractor may request permission to issue a press or other media release on the work being done. That request must be made to the NRC office director or designee, who will consult with the staff of the Office of Public Affairs. The contractor must not issue a press release on nonroutine iiuormation without this prior approval. This approval may be obtained by a telephone call to the office director or designee to expedite the request. The contractor may appeal decisions not to authorize the release ofinformation or delays in handling the request to the appropriate Deputy Executive Director for Operations.
Approved: June 17,1991 (Revised: July 9,1995) 7
V:lume 3, Part 1 - Publicatirns, htil, cnd Inftrmr. tion Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part IU Part III Draft and Final NUREG Reports Identification Information (A)
NUREG Number (1)
Each contractor repon published by NRC must be identified by a unique alphanumeric designation controlled and maintained by the Division of Freedom of Information and Publications Senices (DFIPS). To obtain an NRC report number, call the Publications Branch, DFIPS, at (301) 415-7008. (a)
The NRC identification numbers will have one of the following forms:(b)
NUREG/GR-0000 e
NUREG/1A-0000 e
CR indicates contractor report, GR indicates grant report, and IA indicates international agreement report. The contractor repon number,if any, will be placed below the NUREG number on the title page and cover. (c)
When a repon consists of more than one volume or binding, or is issued in more than one edition, an appropriate volume, number, supplement, part, addendum, or revision designation must appear immediately below the NRC repon number and the contractor's repon number,if any. (d)
Authors' Names (2)
Authors' names must appear on the repon cover and title page, unless placing them there is impractical, as for an annual repon hasing many contributors. Editors or compilers with subject-area expertise may also be identified as such on the cover and title page. The authors' 8
Approved: June 17,1991 (Revised: July 9,1995)
V;lume 3, Part 1 - Publications, Mdl, and Informati::n Disclesure Unclassified Centractcr cnd Gr:ntee Publications in the NUREG Series Handbook 3.8 Part IH Identification Information (A)(continued)
Authors' Names (2)(continued) affiliation need not be listed unless it differs from the organization creating the repon.
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 presious 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 (B)
The organization and components of contractor reports vary, depending on their purpose and scope. Recommended format and organizational guidelines appear in " Publishing Documents in the NUREG Series"(NUREG--0650, Revision 1). (1)
Each draft and final report prepared for NRC must include an abstract of 200 words or less that appears on a separate page preceding the table of contents. The abstract also must appear on the " Bibliographic Data Sheet," NRC Form 335 (Exhibit 2). Instructions for completing NRC Form 335 appear on the back of the form. Guidelines on the special writing requirements for preparing abstracts appear in Section 5.5 of NUREG-0650, Revision 1. (2)
Pre-Publication Reviews (C)
Patent Review (1)
Patent implications must be considered before approval of reports for public release so that disclosure will not adversely affect the patent Approved: June 17,1991 (Revised: July 9,1995) 9
V:lume 3, Part 1 - Publicati:ns, M II, cnd Inferm;ti:n Disclosure Unclusified Ccntract:r end Grcntee Publications in the NUREG Series Handbook 3.8 Part III Pre-Publication Reviews (C)(continued)
Patent Review (1)(continued) rights of NRC or the contractor. If the work being reported is contractually managed through another Government agency (e.g.,
DOE national laboratories), the contractor should request that Government agency to perform the patent review. The result of the review must be reported on NRC Form 426A under item 8 (see Exhibit 1). (a)
If NRC directly administers the contract, or the contractor is unable to obtain a patent clearance from the Government agency administering the contract, the responsible NRC contracting officer must be consulted, and the responsible NRC technical contact shall consider the patent implications. If the report does not require a patent resiew because the report does not contain any description of novel technical developments that may be of an inventive nature, mark "N/A" on the NRC Form 426A in the space for the Patent Counsel's signature. If a possibility exists that developments of an inventive nature are disclosed, the contracting officer shall request assistance from the NRC Assistant General Counsel for Administration, Office of the General Counsel, on (301) 415-1553. (b)
Security Review (2)
If a report of sensitive unclassified or classified work is required, the NRC contact must work with the NRC Division of Security to establish the appropriate procedures and infonn the contractor of these procedures through the contracting officer. The standards for marking and handling these reports are given in Management Directive (MD) 12.2, "NRC Classified Information Security Program."
Copyright Review (3)
Copyrighted material must not appear in NRC-sponsored publications without written permission from the copyright holder.
See Section 3.4 of NUREG-0650, Revision 1, for information about obtaining copyright permission.
Color Printing (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)
V:lume 3, Pcrt 1 - Publicati:ns, Mcil, cnd Informition Discl:sure Unclrssified Contracter cnd Grcntee Publications in the NUREG Series Handbook 3.8 Part III Color Printing (n)(continued)
Maps and technical diagrams for which additional color is e
necessary for clarity. (a)
Object identification (medical specimens, 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 logically attributable 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 concerning public health, safety, and consumer benefits, or to encourage utilization of Government facilities, such as programs for Social Security, Medicare, and certain areas of need for veterans. (f)
The regulations indicate that the following categories do not meet the
" demonstrable value" criteria: (2)
Printed items wherein additional color is used primarily for decorative effect. (a)
Printed items for which additional color is used primarily in lieu of 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, co!apetent advance planning that recognizes the contribution that the use of color is expected to make to the ultimate end-purpose. (d) i Approved: June 17,1991 (Revised: July 9,1995) 11 i
V lurne 3, Pcrt 1 - Publicati:ns, M ll, cnd Inferneti:n Discl:sure Unclassified Ccntract:r cnd Grantee Publicati:ns in th2 NUREG S:ri:s Handbook 3.8 Part III Color Printing (D)(continued)
If color printing is anticipated when the statement of work or standard order for DOE work is being prepared, contact the Publications Branch, DFIPS. Prior approval must be granted by the Director of DFIPS. lf a requirement for color 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 microfiche as shown in Exhibit 3, and conform to the following NRC specifications.*
Microfiche must conform to either the 24/95 format for source documents with 14 columns and 7 rows (reduction ratio of 1 to 24) or the 48/270 format for computer output microfilm with 18 columns and 15 rows (reduction ratio of 1 to 48). (1)
The microfiche sheet must be standard 105 mm by 148 mm. (2)
The microfiche must be either a silver-halide master or a black or blue-black diazo placed in acid-free envelopes. (3)
The microfiche must contain headers as shown in the sample in Exhibit 3. Speci5cally, the first block of the header must contain the NUREG number (include volume or revision, if applicable),
the contractor identification number, and the classification (e.g.,
4 unclassified, proprietary). The second block must contain the description of the microfiche and may include the contractor's name. The third block must contain the publication date and the sheet identification. (4)
The header information must be eye readable on a clear e
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 exception of items (3), (4), and (S), these specifications are consistent with the American National standards institute " standard for Micrographics-Micro 5che, ANSI /AHM Ms5-1985." Cop:ics of this standard are available from the American National standards Institute. ATIh sales Department 11 West 42nd street.13th floor. New York, NY 10036 (212) 642-4900, or from the Association for Infomation and Image Management, ATTN: Publications section 1100 Wayne Avenue, silver Spring. MD 20910 (301) 587-8202.
Approved: June 17,1991 12 (Revised: July 9,1995)
V:lume 3, Pcrt 1 - Publicati:ns, M il, cnd Infcrmrti:n Disclosura Uncl ssified Contrcct:r cnd Gr ntee Publicati:ns in th2 NUREG Seri s Handbook 3.8 Part IU l
Microfiche (E)(continued).
The first frame must be blank (on the first sheet only), and the e
second frame must contain the National Institute of Standards and Technology's (NIST's) Reference Material resolution target in Microcopy Test Charts (NBS SRM 1010A). (7)
]
Jacketed microfiche is unacceptable. (8) e Disclaimers (F)
The following notice will be added by the Publications Branch, DFIPS, before the printing process on the inside front cover: (1)
Y @ 4 W 1? NTM;R K?.ff? A*Q ^y:Q f (M :f' Wy*?.Kyj
.W^
-yTQ* '*-
W'4%'*^*.
3 hThis repprt was prepaicd:as};fCWy?Wan account of work [sponso}*ied bi R sa agency'of the.Unitsd States Governmenti Neither theUnited
$ States \\G6ernmenUnorJanyingency'thered,inor anyiof.their Temployees, k makssianpWarfantslipressed Lenimpliedd or
!Tassumes fanvilegaliliabilityyoEfresponsibilityiferif anjJthiid p;piirty'sjussfor2thesesulsfor subliiss@dfianp%isformNilon) papparatusbF61sciKs6 piscess idishlosedtis?thisireporth or P repissents'that iffEs!by sdsli:tilirdlphty would'not infrinM i
@p'riisiety owned rishts!F ' mamawsm.
J7 T.
MM ~ $
namemaemwmaugem ha The branch will print the additional statement, "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Conunission," below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed. (2)
Availability Information (o)
Reference Material (1)
Reports or other documents referenced in text, reference sectiens, bibliographies, and appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office (GPO), at the National Technical Information Service (NTIS), or at other reference or sales outlets) or in the NRC Public Document Room (PDR). This means that references should not be made to personal communications and interviews, unpublished in'ormation and information with restricted distribution (e.g.,
proprietary, National Security, and Official Use Only). If the unretrievable informatiyn is important and unrestricted, quote it in Approved: June 17,1991 (Revised: July 9,1995) 13 J
V:lume 3, Part 1 - Publicati:ns, Mril, cnd Infctmati:n Discl:sure Uncl:ssified C:ntrccior cnd Grcntee Publications in the NUREG S:ri:s Handbook 3.8 Part HI l
Availability Information (G)(continued)
Reference Material (1)(continued) the text or in footnotes. Provide any credit due to individuals in the text or in an acknowledgment section. Availability may be stated collectively for all entries. (a)
Although proprietary reports may not be included in a list of references, listing or identification of proprietary reports may be included in an appendix or in a separate listing following the reference section titled " Proprietary Sources of Information." (b)
In addition, reference to Institute of Nuclear Power Operations (INPO) documents may not be made without prior approval from INPO. Approval to reference INPO documents must be stated on the NRC Form 426A. (c)
Guidelines for develooing and presenting reference material are provided in NUREG-0650, Revision 1. (d)
Reports (2)
Most final reports are sold by GPO and NTIS. A statement indicating this availability is added to each report, as appropriate, by the Publications Branch staff before the report is printed. (a)
Draft reports for which comments are requested are typically announced in the Federal Register as being available from the NRC.
These reports are not sold at GPO or at NTIS. (b)
Forms (a)
Bibliographic Data Sheet (NRC Form 335) (1)
All published NRC reports must include an NRC 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 copy of the report. Exhibit 2 shows a completed NRC Form 335.
Release To Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A) (2)
The NRC contact must submit a completed NRC Form 426A (see Exhibit 1) with the camera-ready copy of the report to the Technical Publications Section, DFIPS. NRC Form 426A must be signed by the staff member designar.d by the appropriate office director.
Approved: June 17,1991 14 (Revised: July 9,1995)
Volume 3, Pcrt 1 - Publicati:ns, Mill, tnd Infcrm: tion Discl:sure Unclassified C:ntrcct:r cnd Grcntee Publicati:ns in the NUREG Series Handbook 3.8 Part III l
Printing and Reprinting (I)
The Publications Branch, DFIPS, will resiew the camera ready report l
submitted for printing for its adherence to the standards and l
requirements set forth in this directive and handbook, as well as any relevant guidelines from NUREG-0650, Revision 1. Unsatisfactory manuscripts will be returned to the NRC contractor for appropriate action. (1)
Submit a memorandum requesting a reprint to the Director, DFIPS, or designee, for approval. Include with the request a written justification and the approval of the office director or designee for reprinting. Also provide address labels for recipients not on hTC i
standard distribution lists. (2) l 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 distribution of these reports to hTC NUDOCS, the NRC PDR, NTIS, GPO, and the GPO Federal Depository Library Program. (1)
Sensitive unclassified and classified reports will be distributed by the NRC sponsoring office on a case-by-case basis. (2)
Approved: June 1~/,1991 (Rnised: July 9,1995) 15
V:lume 3, Pcrt 1 - Publicati:ns, M:il, cnd Informati:n Disclosura Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part IV Part IV I.nternational Agreement Reports Background and Rationale (A)
NRC has cooperative nuclear safety research programs that involve either or both foreign governments and organizations and U.S.
industry. These programs include monetary contributions, information exchange, and comments on program plans and results as authorized in the Energy Reorganization Act of 1974. To this end, international and U.S. industry agreements have been signed that provide for transmitting unclassified technical information from foreign participants to NRC. These procedures apply only to NRC-managed work (1)
The interests of all NRC international nuclear safety research program participants are served best by formal dissemination ofinformation on these programs or codes developed for or in cooperation with hTC. (2)
Identification Information (B)
Cover and Title Page (1)
The cover and title page will contain a title, a subtitle (if appropriate),
the names of the authors, the performing organization, and the NRC office sponsoring the project. The cover and title page will be prepared by the Publications Branch, Division of Freedom of Information and Publications Services (DFIPS).
NRC Report Number (2)
Each report must be identified by an NRC-controlled alphanumeric number as the prime number unique to that report. The centralized document control system for unique identification 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)
Volum2 3, P rt 1 - Publicati:ns, htil, cnd Inf:rmatirn Disclasure Unclassified C:ntrccior cnd Grantee Publicati:ns in the NUREG Seri s Handbook 3.8 Part IV Identification Information (B)(continued)
NRC Repo~rt Number (2)(continued) l The NRC identification number will have the form l
"NUREG/IA-000," where IA indicates " international agreement."
The foreign panicipant's repon number, if any, may be inserted below the NUREG number on the cover,if desired. (b)
When a report consists of more than one volume or binding or is issued in more than one edition, include an appropriate volume, number, supplement, pan, addendum, or revision designation below the report number and the foreign panicipant's report number, if any. (c)
Previous Reports in Series (3)
If the repon being prepared is one in an ongoing series, list all previcus reports in the series. Include repon numbers and issuance dates. Place this list on the back of the title page. If this list cannot be placed on a single page, place the pages at the end of the front matter rather than on the back of the title page.
Report Organization and Components (C)
The organization and components of cooperative agreement repons vary somewhat, depending on their purpose and scope. Each of these reports must include an abstract of 200 wcrds or less that appears on a separate page before the table of contents. The abstract must also appear on the " Bibliographic Data Sheet," NRC Form 335 (Exhibit 2).
Instructions for completing NRC Form 335 appear on the back of the form (Exhibit 2). Guidance on the special writing requirements for preparing abstracts appears in Section 5.5 of NUREG-0650, Revision 1.
Availability Information (o)
References and Bibliographies (1)
Repons or other documents referenced i1 text, reference sections, bibliographies, and appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office (GPO), at the National Technical Information Service (NTIS), or at other reference or sales outlets) or in the NRC Public Document Room. This means that references should not be made to personal communications, interviews, and unpublished information with restricted distribution (e.g., proprietary, National Security, Official Use Only). If the unretrievable information is important and Approved: June 17,1991 (Revised: July 9,1995) 17
i Vclums 3, Part 1 - Publicati:ns, Mall, end Inforrn:ti:n Disclosura Unclissified Centractar cnd Grcntee Publicatians in the NUREG S: ries Handbook 3.8 Part IV Availability Information (o)(continued)
References and Bibliographies (1) (continued) unrestricted, it can be quoted in the text, in footnotes, appendixes. If the title of a document containing propriet._
information is unclassified,it can also be quoted in the text or in a footnote. If credit is due to individuals, they can be mentioned in the text or in an acknowledgment section. Availability may be stated collectively for all entries. (a)
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 addition, reference to Institute of Nuclear Power Operations (INPO) documents may not be made without prior approval from INPO. Approval to reference INPO documents must be stated on the NRC Form 426A. (c)
Guidelines for developing and presenting reference material are provided in NUREG-0650, Revision 1. (d)
Reports (2)
These reports will be made available for sale by GPO and NTIS.
Disclaimer (E)
The following notice will be added by the Publications Branch, DFIPS, on the inside front cover before printing.
. J a y
- t ]} Q' ' ' 'yM" ' ' > ',l"O
~
(.
. w aa-
~n,>se.ra~ :
a
'This~nport':was prepared under an internation;il', cooperative; ww; for the *=' ref technical infonnation; Neither the >
'UnitedStatesGovernaientnoranyage' cythereof,noranyoftheir:
a MP eytes, um%any warrantiexpnssed or implied; or assumes l
yanylegalliabilityarresponsibBity foimi(third party's use,or the '
results of"such'suse,'of auf informadianc pparatus, product, or a
r= =jidisdM in this irisrt,& Spresents thatits uie by such;
- third party aduld 'not infkinge'pri' ately owned' rights.
v
,e Approved: June 17,1991 18 (Revised: July 9,1995)
V: lum 2 3, Pcri 1 - Publicati:ns, M ll, cnd Inform:ti:n Diseltsure Unclissified Ccntrccitr cud Grantee Publications in the NUREG S: ries Handbook 3.8 Part IV Forms (F)
Bibliographic Data Sheet (NRC Form 335) (1)
Submit a typed NRC Form 335 (Exhibit 2) with the camera-ready copy to the Technical Publications Section, DFIPS, as the final right-hand page.
Release to Publish Unclassified NRC Contractor, Consultant, or Conference Proceedings Reports (NRC Form 426A) (2)
An NRC Form 426A (Exhibit 1) must be completed and signed by the office director or designee and submitted with the camera-ready copy of the report V 'he 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/IA reports.
Approved: June 17,1991 (Revised: July 9,1995) 19
Y:lume 3, Part 1 - Publicati:ns, Mill, cnd Infortnation Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part V Part V Books l
General (A)
These guidelines apply to books written by contractors and grantees that are printed by NRC. See Pan VI of this handbook for guidance on i
l publications, including books, by grantees.
Definition (B)
A book refers to a publication intended as a oermanent reference or as a textbook or rnajor critical review of a technical or regulatory topic.
Format (C)
Books are usually 6 by 9 inches in trim size, but size will be based on requirements such as ease of use and legibility for graphics, foldouts, and the like. The binding (casebound or paperback) will be chosen according to the need for durability. Additional guidance on manuscript preparations can be found in the U.S. Government Printing Office Style Manual and the Chicago University's A Manual of Style.
Refer also to NRC's " Publishing Documents in the NUREG Series" (NUREG-0650, Revision 1). (1)
The contractor shall submit to the NRC project manager the typeset (photocomposed) manuscript suitable for printing. The NRC contact shall submit the manuscript to the Chief, Publications Branch, Division of Freedom of Information and Publications Senices, (DFIPS), where it will be reviewed for adherence to the standsrds set forth and referenced in this directive and handbook. The manuscript will also be reviewed forprinting acceptability by the Printing and Mail Services Branch, DFIPS. Unsatisfactory manuscripts will be reported to the NRC contact for appropriate contractual action by the NRC contraedng officer or, in the case of Government agency or interagency agreement work, the publications manager of the performing organization. (2)
Approved: June 17,1991 20 (Revised: July 9,1995)
V:lume 3, Part 1 - Publicati:ns, M:il, cnd Inf::rmati:n Disclosure Unclissified Centr:ct:r cnd Grcntee Publicaticns in the NUREG Seri::s 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) e Organizationalidentification (b) e Public availability and sales (c) e 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 i
code unique to that book. The alphanumeric code v.ill have the form NUREG/CR for books prepared by contractors and NUREG/GR for books prepared by grantees. (1)
When a book consists of more than one volume or binding, or is issued in more than one edition, include an appropriate volume, number, supplement, part, addendum, or revision designation directly below the document number. (2)
Numbers are assigned by the Publications Branch, DFIPS. The number may be obtained before the manuscript is submitted to DFIPS for printing by calling the Publications Branch at (301) 415-7166. The DFIPS staff will arrange to meet with the NRC contact for the project and, when appropriate, the author (s), to discuss the publication production requirements and the schedule for the book. (3)
Availability of Reference Materials (E)
The guidelines for availability of reference material given in Section G of Part III 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 l
V:lume 3, Part 1 - Publicati:ns, M il, end Inf:rmiti:n Discl:sure Unclassified C:ntract:r cnd Grantee Publicati:ns in the NUREG S: ries Handbook 3.8 Part V Reviews. (F)
Peer (1)
Books published by NRC must undergo peer review by experts within and outside PRC 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 owa or a related field who are totally independent of the work leading to the manuscript. (a)
Reviewers should be chosen by the NRC office sponsoring the book from the potential audience for the publication and should provide an independent judgment about whether the publication successfully accomplishes the author's aims. Peer reviewers should be chosen for their expertise in the subject matter of the book. They may come from academia, the national laboratories, other Federal agencies, or from other research institutes or consulting firms. They may be identified from the membership rolls of professional societies, American National Standards Institute (ANSI) subcommittees, and the like. Do not choose more than one reviewer from the same organization. (b)
When assessing potential peeI reviewers, screen for demonstrated competence and achiawment in a specific discipline or research specialty. Assess competence based on the quality of research accomplished, publications in refereed journals, and other significant technical activities, achievements, and honors. Consider the judgment, perspective, and objectivity of reviewers. Consider also the personal integrity of those selected to ensure the confidentiality of information reviewed. Finally, avoid real or perceived conflicts of interest. Do not choose reviewers who are licensees or consultar_ts to licensees, nor reviewers from inter.enor groups. Likewise, do not choose reviewers who may profit financially from influencing the information reviewed. (c)
The services of reviewers from outside the agency may be acquired through consultant services contracts. The decision as to whether to reimburse peer reviewers should be made on a case-by-case basis, however. Recognize that reimbursing peer reviewers may give the appearance of a conflict of interest, suggesting to some that because NRC is paying for this service, the agency will seek only resiewers thought to be favorably disposed to the material reviewed. One way to offset this impression is to seek recommendations for peer reviewers from independent organizations, such as the American Physics Approved: June 17,1991 22 (Revised: July 9,1995)
Vclum 3, P:rt 1 - Publications, Mtil, cnd Infcrmiti:n Discl:sure Uncl ssified Centrcct:r cnd Grcntee Publicati:ns in the NUREG Series Handbook 3.8 Part V Reviews (F)(continued)
Peer (1)(continued)
Society, the American Nuclear Society, the American Society of
{
Mechanical Engineers, or appropriate universities. Reimbursement l
could then be made to the organization. (d) i Copyright (2)
Copyrighted material must not be reproduced in NRC books without appropriate authority, usually written permission of the cop > Tight holder. See Section 3.4 of NUREG-0650, Revision 1, for information about obtaining copyright permission.
Security (3)
On the basis of the knowledge of the infonnation sources used, the author is responsible for ensuring that the menuscript does not contain classified or other accers-controlled information. If uncenainty exists with respect to the security classification of a reference document or manuscript, an authorized classifier 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 draf+ 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 (G)
A completed NRC Form 426A (Exhibit 1), signed by the office director or designee or by a DOE national laboratory authorized official if the publication is prepared for the ' Office of Nuclear Regulatory Research, must be submitted to DFIPS with the book manuscript.
Disclaimers (a)
The following standard U.S. Government notice will be added before pnntmg: (1)
Approved: June 17,1991 (Revised: July 9,1995) 23
Valume 3, Part 1 - Publicati:ns, Mail, cnd Infcrm ti:n Disclssure Unclassified Centractsr end Grtntee Publicaticns in the NUREG Szrics Handbook 3.8 Part V Disclairners (n)(continued)
[ThiF'Josihnest siiispiipared usiuiist6655t'sfW6rk'sp6nsored iby7$sigenciVthe!Uniisd Stut6 Government?Neither{ths IUditeil StaiciGsverninest'nsrlan[aien'cyIthereof/nor:any bf IVieifeniployeesisiiales ~aniwa'rranty, isprissed sr iniplisdisp Iissemelhanpileistilistiility?or9 r6ponsibility; for[inylthihi
[pagsidshioRtliEnsults offsuchissefefjanfinformAli6ni appasaluspinddiMy process"diel6sedIn"this dofiinwnt[op
[prepresents itist itiuse bi.su"chithiid y$rti$culd?nst infrin
[ygsh!{Mrigh$ihg3$siajgh;gh$ff The following additional statement may be printed below the standard disclaimer,if authorized by the NRC office director or designee: (2) iTidiidAFuEeYtWGI'p7igifridliiidifds?Niid1EAE RiiIidiffrly (Comisiki8dT(NRC)lConthidt1NA.P ^ 7bdTtiEspini Ed (EddIEjs$ hhidiidaddhd nE55aiendatioE dyredsedhereini brEihosi*ofilisisdihnV-(sfindlds!nsiihecessarilyirefledt tin}
?
pe_~ws.
g.-3gy ;
- , a ry
~anumuw a s a h e lata i m m e Other qualifying statements 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 ::taff will arrange distribution in accordance with distribution guidance provided by the NRC project manager on NRC Form 426A (Exhibit 1). (1)
Free distribution should be limited to those who contributed materially to the book or to those for whom the book's subject matter bears directly on their work at or for NRC. (2)
DFIPS will arrange to make the book available for sale through GPO.
DFIPS also will arrange to have it made available at the NRC PDR and for the GPO Federal Depository 1.ibrary Program. (3)
Approved: June 17,1991 24 (Revised: July 9,1995)
V:lume 3, Part 1 - Publicati:ns, M il, cnd Inform tion Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Part VI I
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
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 Part III of this handbook for reports or in Part V of this handbook for books, as appropriate. See " Identification Information,"
Section (C) of this part.
Publication by a Grantee (2)
When the grant speci5es that the grantee is to publish the results of his orher work, the grantee must grant to the Government a royalty-free, nonexclusive, irrevocable license to reproduce, translate, publish, use, and dispose of all copyrightable material first produced or composed in the grantee's performance under the grant.
Publication by a Grantee in the Open Literature (3) 4 When th e grantee submitsjournal articles for publication, each article must be secompanied by the following statement: (a)
Approved: June 17,1991 (Revised: July 9,1995)
,5
Wlum2 3, Pcrt 1 - Publications, Mail, and Inform: tion Disclosure Unclnssified Contrccior end Grantee Publications in the NUREG Series Handbook 3.8 Part VI Publication of Results.(s)(continued)
Publication by a Grantee in the Open Literature (3) (continued) mm-mm-w - m m m etmmmm-
!'The submitted manuscr,ipt has been' authored by
^
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,the U..SLG.overnaien_t's_adef Grant'No.0 %
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!!he U.S;zGov.ernment hasa._ mnonexclu<s..ive, royalty-free,h. _eense to!
m m
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!ch._stl6,Wothersl6"ds3o foAU.SfG0se_rnmeni purposes ~.a' a_ 9 3
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.w All open literature publications prepared under this grant must contain the following statement:(b) mwwwnxpngammwwwmmm ww mm-
- This papeswas prepared with tlis supp6irtlof tiie U.S. NiicleAbi
[Rsgula. tory Commission l(NRC) under GrailiiNsf 2 Mhe@
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~
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maau If the grantee is requested by the jounial 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) k ~ ?... _? Y b 5 b ' h $. b ' $_ ?
...?
gl.recentlytreceived_a: document for_; signature: ass..ignmg _
and> republication Aghtssin}the.?ssbmittsd article id nane of I iubli2ati6n%T. hyle,tts&,ffedd in lisu of thEd. edu(title)i el mdn nann
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m-subject to the; apa ifolldni6sGssrn5elitiffflusidTr'M ^ NTP%NT m s a w w w w ;; a g gip e W L M gcu]subianittsdmannscripthasbAenauthoredbyigr%yk s&A-iThs antecoftheU.S3
>G4WnunenfundeGis (Ga,v_ernment has a'n.__ni!NoMWeAccordinglyfthi.U.,.S3 2 man onexclu%sive, royalty-free hme -eense toipublistrer e
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Approved: June 17,1991 26 (Revised: July 9,1995)
V lume 3, Pcrt 1 - Publicati:ns, Mcil, cud Inform: tion Disclosure Unclassified C ntrcct:r cnd Grcntee Publicati:ns in the NUREG Seri:s Handbook 3.8 Part VI Publication of Results (n)(continued) l Reprints of Open Literature Publications (4)
When any article resulting from work under the grant is published in a scientific, technical, or professional journal, two reprints of the publication must be sent to the cognizant NRC program officer, clearly labeled with the grant number and other appropriate identifying information.
Identification Information (c)
Each report or book published by NRC that results from a grant must be identified by an alphanumeric number, "NUREG/GR-000,"
t where "GR" indicates " grant r0 port." (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)
I Numbers may be obtained from the Publications Branch at (301) 415-7008.(3)
Pre-Publication Reviews (D)
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."
Approved: June.17,1991 (Revised: July 9,1995) 27
- _ = - -
V: lum 3 3, Pcrt 1_- Publicati:ns, Mril, cnd Inf rm:ti:n Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series Handbook 3.8 Glossary Glossary
- Book. Apublication intended as a permanent reference or textbook or as a major critical review of a technical or regulatory topic. It may be casebound (hardback) or paperbound.
Camera-Ready Copy. Pages ready for printing by the offset printing process. This is a colloquial term used even though the printing process may not involve the so-called copy camera (see also reproducible master.:).
Casebound. Term denoting a book with a hard cover.
Compose. To arrange letters, in type or film, for printing. Usually 2
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-trady copy, negatives, a plate, or an image to be used in the production of printing or microform.
Contractor Report. Record of work done (a report) prepared in accordance with the provisions of a contract or under or pursuant to an interagency agreement.
Copyright. A form of protection provided by the laws of the United States (Title 17, U.S. Code), to the authors of " original works of authorship," including literary, dramatic, musical, artistic, and certain other intellectual works. This protection is available to both published and unpublished works. Generally, copyrighted material may not be reproduced without the permission of the author or the publisher.
4 Disseminate. To announce the publication of reports and make them available for free distribution, sale, or copying.
'Words in italics in dcEnitions are aho de5ned in the glossary.
~
Approved: June 17,1991 28 (Resised: July 9,1995)
V:lume 3, Itri 1 - Publicati:ns, hinil, cnd Inf:rmati:n Disclosure Unclassified C:ntrcet:r cnd Grantee Publicati:ns in the NUREG S: ries Handbook 3.8 Glossary 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 Division of Freedom ofInformation and Publications Senices at the request of the originating office or region.
Documentation. Classification and associated markings required for classified or sensitive unclassified documents. the NRC 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.
I 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 re!ationship between the Government and a reciple et foi 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 lbdted amount of involvement by the agency in the perfonnance by the recipient.
Grant Report. A record of work done prepared in accordance with the provisions of the grant.
Inder. An alphabeticalIkt of all major topics discussed in a book. It cites the page numbers e Nre 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 intemrional agreement.
Approved: June 17,1991 (Revised: July 9,1995) 29
V:lume 3, Part 1 - Publicati:ns, M:ll, cnd Inf:rmati:n Discl: sura Unclassified Contractor cnd Grantee Publicati:ns in the NUREG Series Handbook 3.8 Glossary Glossary (continued)
Manuscript. A handwritten, typewritten, or composed version of a document, as distinguished from a printed copy.
NRC Project Manager. The NRC staff member responsible for the work performed by consultants or contractors and their subcontractors, or for work performed under or pursuant to an interagency agreement. -
Paperback. 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 totally independent of the work leading to the manuscript. Reviewers should be chosen from the potential audience for the publication and should provide an independent ludgment 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 typesTiter 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 Infonnation. Trade secrets; privileged or confidential research, development, commercial, or financial information exempt from mandatory disclosure under 10 CFR Part 2 (Sections 2.740 and 2.790) and under 10 CFR Part 9 (Section 9.17);
and other information submitted in confidence to the NRC by a foreign source and determined to be unclassified by the NRC.
Public Domain. Materials for which a copy 7ight 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)
V:lume 3, Part 1 - Publications, Mril, cnd Infortnati:n Discl:sure Uncl:ssified Centrceter cnd Grcntee Publications in the NUREG Seri:s IIandbook 3.8 Glossary Glossary (continued)
Reproducible Masters. Camera-ready copy that includes (1) originals ofline drawings (or prints that can be copied); (2) glossy prints of i
black and white photographs; (3) original typeset or pnnted text, tables, cover, title page, contents, and abstract; or (4) other forms of the materials that a printer can reproduce.
Trim Size The final size of the whole page, margins included.
Typesetting. The placement of type on a page (letters, numbers, and l
other characters) in confonnance with speci5c style and layout i
instmetions.
Unique Ident!fication. NRC identi6 cation (NUREG number) used on a report and its attachments, revisions, and supplements that is not used on any other publication.
4 Approved: June 17,1991 (Revised: July 9,1995) 31
V:lume 3, Part 1 - Publicati:ns, M:ll, cnd Inf:rm:ti:n Discl:suro 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"
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p Approved: June 17,1991 32 (Revised: July 9,1995)
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V:lutne 3, Itri 1 - Publicati:ns, M ll, cnd Inf:rm: tion Discl:sure Unclassified Contrcet:r cnd Grantee Publicati:ns in the NUREG Series llandbook 3.8 Exhibits i
Exhibit 2
-NRC Form 335, " Bibliographic Data Sheet" I
. 4.
am vs w.s a.. ma sv6. ion, se r o. I s.s o i w-.t.
falBLIOGRAPHIC DATA SHETT
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NUREG/CR-5603 i.i 6:.~o sav.i6e tcs.2607 Pressure-Dependent Fragilities for piping Components :
a o va.i.o.v m 6-i o Pilot Study on Davis-Besse huclear Power Station g
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Idaho Falls. ID 8341 l
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Div. ion of Safety Issue Resolution Of fice of Nuclear Regulatory Research U.S. Regulatory Comission
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The capacities of four. Iow-pres re uld t.
to wi stand pressures and tempera-tures above the design lev were est ishe for e Da s-Besse Nuclear Power Stat.
ion. The results will b use n e alu g th
- rot, ity of plant damage from Inter.-
facing System Loss of olant Ac e ts CA) part of the probabilistic risk as-sessment of the Davis-sse clear r t ton u ertaken by EC4G Idaho. Inc. In-e.luded in this evaluatio are tanks.
t e ngers, filters, pumps, valves, and flanged connections for es sys The p bab ittes of failure, as a function of in-ternal pressu e evalua d as 1
s the variabilities associated with them. Leak rates or lea reas e esti ed fo th trolling imodes of failure. The pressure capacities f th pi and vek els a evaluated using liasit-state analyses for the various fallu mo con ered. The pacities are dependent on severd factors. in-cluding the mat ria pert
. mo 1
assumptions and teria. Th3 fail re o
for p ete -f ange connections, the postulated failure cri-valves and pumps do not lend th to eva ati y conven onal structural mechanics techniques and evaluation rely risari) on er 1 ( from ongoing gasket research test programs and avail.
le ven r informa on a test data.
i L.6, aca 'n:ici.
_m pre ptnden rag es Unlimited iping com.y is I erfacipg Sy em L< ss of Coolant Accidents (!$LOCA) b-
' st 1sk a sessment pro Unclassified Davis-Bes aclea Power Station ii-a-t Unclassifled
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.... a Approved: June 17,1991 (Revised: July 9,1995) 33
Vclume 3, Part 1 - Publicati:ns, M:ll, cnd Infcrmation Discl:sure Unclassified Ccntrcct:r cnd Grcntee Publications in the NUREG S ri:s Handbook 3.8 Exhibits Exhibit 2 (continued) l DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT o
MSTRUCTIONS NRC FORM 335. SitucORAPHIC DATA SHttT.18 DA$tD ON CUIDELINES FOR FORMAT AND PRODUCT 4DN OP $CitNTIPlc A440 TECHNICAL REPOfLTS. AN&l 139WitB7 AVAILABLE PROM AMERICAN NAT40NAL CTANDARDS INSTIT*/TE.1430 SROADWAY, NEW YORK. NY 10018. EACH StPARATE LY DOUND REPORT-70R EKAMPLE. f ACH VOLUMt IN A MVLTIVOLUME SET-8 HALL HAVE ITS UNIQUE blBUOGRAPHIC DAT A SHEET.
- 1. AtPORT NUMBER. fach indeveduetty bound meert met
- 8. PERFORuseec ORGAlvt2ATlood NAMt ANO tAAILiteG eorry e un6else alphasonerse oesleretsen INUREGI menored ADont98. G6ve terre, street. esty, state. end ZIP onese.
by the Reculatory Pubreatnere Drench. Divison of Freedom List no snore then two levels of en eteenism6enal heererehy, of Intermetaan and PuMiestsens Servues, h eseerderne weth Deeley the home of the organaesteen esectly as tolsews:
Amer 6sen Nedenef $mneord ANSI F39.23-1983 Stoneerd 06vissen Offee. Orgentaat6en er C1-
..-.. earney, and lashnenen Report Number.8TMN). Lhe seeersese letters, seerees.
AreNe numereas, slanhos and hyphens enty, as in the laitews.
6ng enemples: NUREC.0100, NUMEC/CP4010, NUREC/
- 9. SPONSORite0 ORGANIZATION If NRC, tvoe *$eme es CM4100, and NUREG/SR4010. For meerts in e streen eef i
Vol Supp., fnev., and Aseeneurm, oshen necessary. Add shove"4 f contractor, provose NRC Devisson.Off** er Repen.
U.S. Nuneser Repleiery Coneniselen end a, i
ws.
eenererter erossfeierence identifestaan nunter Of onyl below NUREG earles nummer, e.g. PNLrXXXX. $ANDXX.
- 10. SUPPL &MENTARY fe0TES. Inwr intens A 6ncluerd X EXX. EA).XXXX, elsewhere but pertut. such est Propped in gesperetion with...
Presensed et sentennes of... To be put 8ished. Desket No.
- 2. TITLE AND SU8 TITLE. Thee shound indesw eteerly and brerfly the aut$ect (coversee) of the separt; nneludml any asbeitte to the mean tNo. Wien e report is prepared la enere then one solume, repost the primary title.eed yelume number E A38tMCT. Mes a W M e er W W m end inclues outrtigte ter the gustJfle solume. Use upper and M W met focent 4Mormnesa eenuired en the Bomt seat letters, but sehsisse esmouter comes names. De
,,,,,g, g, gg,,,,,,,,,,,,g,,,,,,nWecent bbl.egraphy er not use acronyms and in6uel.sme in intes; mey he oderd in legereture survey er muttsee solunos.mentsen it terre. Atsstreet perenthesia.
k u be M 'sy outrier et paw w.
- 12. KEY 9e0ROWDt9CRIPTOfts. Select from the Energy Date 1 DA18 REPORT PUBUSHtD. Each report must eerry a esse hear Sublect Thensumes. dot / TIC 700R R4. the proper inder,eung month and veer published, autherteed wrms that keentity the maior eencept of the remerth end are suff6csontly specifne and presses to be used
12, AVAILAS4LITY STATEMENT. Denese public posseesbility, for enemple "wnlenised", et lamheten ter poseens other
- 5. AUTHORIS). G6ve nemets) in =. z 2 oreer (e.g., John then soeurity.
R. Dee, A Robert Deel, ust auther's a8s.tietsen af 6: h spfest.
eat from the performnne A 1 -
- 14. SECUnlTY CLASSIFICAT10N. Enwr U.S. Securety Clas:sfi.
estion in.
_ with U.S. Seemrity Repteuens 0.e.,
- s. TYPE OP REPORT. stone dreh. final, prenmanary. sepicat.
pehntee( mp% ennuel, guerudy, eu.
- 15. NLAIDER OP PAGES. Leeve blanit. (Ameed by NTill
- 7. PER800 COVERER, Add inebstve deems.
St. PRICE. Lasse been4L lAsseed by NTIS) m ese.smo.esesse. so -
s Approved: June 17e 1991 34 (Resised: July 9,1995) i
Volume 3, Part 1 - Publications, h1all, and Information Disclosure Unclassified Contractor and Grantee Publications in the NUREG Series IIandbook 3.8 Exhiblts Exhibit 3 Microfiche Sheet Sample l
1 OR D NO.
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Approved: June 17,1991 (Revised: July 9,1995) 35
t ATTACHMENT NO. 3 i
e memWRtr suc055ME4m.e av===
CONTRACT PRICING PROPOSAL COVER SHEET OMB No.:9000-0013 (Cost or pWcJny page AgguiFW)
Lapues: 09/30/98 Pub 6sc reportang burden for thes cohecten of enformeten es setsmated to everage 4 hours4.62963e-5 days <br />0.00111 hours <br />6.613757e-6 weeks <br />1.522e-6 months <br /> per response, enClucing tne time for reyewing metructens, eserching custang date pources, gathenng and me.ntemeng the data needed, and completing and reviewing the col 6ecten of enformaten. Send comments regardeg_thes burden estamete et any other espect of thes cohection of enbrrnation, metudg6suppostoons for reducmg this t>urden, to the FAR Secretarist IVRS) Office of Federal Acquisstion Policy, GSA. Washingt DC 2 se naut of ontmon 3 hA6et of omiwa a Poodi of cohlaci
- 3. YtttPHows j
se f n i Anomes se imi of oniaoa s Po.ei o, Co=iaci A=ACoot ov = R 1
as 6 Tut Acons6
- 4. TYPE OF CONTRA OT ACTION (ChecU e New costinACT e ttTTim CowinAef le CtTv to staTl It le 0004 6 04Amet oppta e utspeeCto osWe n t omt n (3es=#vs
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- 6. PROPO$ED COST (A + # = Cl
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- 7. PER FORMANCE 1
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- d. TOT AL M6CI
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- 14. COST ACCOUNTING STAND ARDS SOARD (CASB) DAT A IMu6he Laie 9 f.373 es emweded and FAA FA AT 30) e wa.t.TH4 CoseTRACT A.CTIOes St SUSACT 10 CA&e MoutAT10eelt de n,,av,t you.tuo.safT.T,ED A CA, t.e.Deta.,O6.uM.S.T.ATladi.es.t.tCAt,e D,6-4 ee l.ii e
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-, pseemensee erus prenaces ette opus Gate, segardenes of type sus sweesense et tueuseer ensah ausses se en wussen tusen. m Wes tesen of assuonant dese, er any sour tensi or usewer ansch mopenng steenensten is geesesseDy seassensed er "" h we psepeeef as we bees One pseceig Ones suG penste art seequets eveh.seman of 9es pseposed pnse 16 esAhet Of 0FFE804 iFreet 16 TTTtt of 0*FtmA #Fe,es ta mAaet of FWed 17.SeGeeATVfE 40 DAT1 Of Suesa:6leose auTHO84 RED 804 t0 CAL REPRDOUCTiose
$1 ANDARD FORM 1411 intv ic>esi Provuous oestuen a set unsbes Peospehes De OEA F AR 64e CFMI E3 fl6 liel
FAC 90-32 OCTOBER 1.1995 i
1;EDERAL ACQUIS1110N REGULATION (1%I0
/
15i m TAHLE 15 2 INSTRUCTIONS l'OR SOHMISSION Of A COSIR WI PHICIMI PHOPOS AL WilEN COST OR PHICINC. DATA ARE REQl' IRED The SF 1411 provides a cmcr sheet for use by offerors to subnut to the timernrrent a prwmg proposal of estimated and/or cetual costs only w hen cost or pnetng data are require l.
I, The pricing proposal shall be scgregated by contract ime stem with sulhoeni detail to permit cost analysis. Attach cost-clement breakdowns, using the applicable fortnats prescribed in item itA. B. or C of thn section for each proposed kne item.
These breakdowns must conform to the instructions m the solutation and any specific requirements established by the con-tracting officer. Furnish supportinF reakdowns for each cost element. conse. tent with the offeror's cost accountmg system.
b When more than one contract hne item is proposed, summary total amounts emenng all line iterm must be formshed for i
cach cost element, if agreement has been reached with Government representatives on use of forward pricing rates / factors.
identify the agreement, include a copy, and describe its nature. Depending on offeror's system, breakdowns shall be provided for the following basic elements of cost, as applicable:
Materials-Provide a consolidated priced summary of individual material quantities meluded in the various tasks, orders, or contract line items being proposed and the basis for pricing (vendor quotes, invoice prices, etc.). Include raw mate-rials, parts, components, assemblies, and services to be produced or performed by others. For all sterns propo tify the item and show the source, quantity, and price.
Competitive Methods-For it,ose acquisitions (e.g., subcontracts, purchase o,ders, material orderr m esecedmy the 15.804 2(aHI) pnced on a competitive basis, also provide data showing degree of com-pertinent threshold set forth at peunion, and the basis for estabhshing the source and reasonableness of price. For interorganitational transfe at other than cost of the comparable competitive commercial uork of the disition, subsidiary, or affiliate of the con-tractor, esplain the pricing method (see 31.205 2Nea Esta;lished Catalog or Market Prices or Prices Set by Law or Regulatmn or Commercial hem Not Cmcred By Another Exception-When an esception from the requirement to submit cost or n, icing data is requested, whether the item wa I
produced by others or by the of feror, provide justificanon for the esceptmn as required by 15.804 l(d).
Noncompetitive Methods-For those acquisitions (e g., subcontracts, purchase orders, material orders, etc.) escee pertinent threshold set forth at 15.804-2(aK1) priced on a noncompetitive basis, also provide data showing th establishing source and reasonableness of pnce. For standard commercialitems fabricated by the offeror that are Fe crally stocked in inventory, provide a separate cost breakdown if priced based on cost. For interorganizatio fers priced at cost, provide a separate breakdown of cost by elements. As required by 15.806 2(a), prov cost or pricing data submitted by the prospective source in support of each subcontract, or purchase order th (i) 51,000,000 or taore, or (ii) both more than the pertinent threshold set forth in 15.804 2(a)(1)(iii) and (iv) and than 10 percent of the prime contractor's proposed price. The contracting officer may require submission of c pricing data in support of proposals in lower amounts. Submit the results of the analysis of the prospect proposal as required by 15.806. When the submission of a prospective source's cost or pricing data is r described above, it shall be included as part of the offeror's initial priemg proposal.
Direct Labor-Provide a time phased (e.g., monthly, quarterly, etc.) breakdown of h.'
Wurs, rates, and cost by appro-priate category, and furnish bases for estimates.
Indirect Costs-Indicate how offeror has computed and applied offeror's indirect costs, includmg cost oreakdowns, a showing trends and budgetary data, to provide a basis for evaluating the reasonableness of proposed rate rater, used and provide an appropriate explanation.
Other Costs-List all other costs not otherwise included in the categories desenbed above (e.g., special tooling, t computer and consultant services, preservation, packaging and packing, spoilage and rework, and Federa finished articles) and provide bases for pricing.
Royalties-If more than $250, provide the following information on a separate page for each separate name and address of licensor; date of license agreement; patent numbers, patent application serial numbers on which the royalty is payable; bnef description (including any part or model numbers of each contract item on which the royalty is payable); percentage or dollar rate of royalty per unit; unit price of contract item; nu and total dollar amount of royahies, in addition,if specifically requested by the contracting officer, provide a c curnnt license agreemeat and identification of applicable claims of specific patents. (See FAR 27.204 and 3 Facilities Capital Cost of Money-When the offeror elects to claim facilities capital cost of money as an allo
.iie offeror must submit Form CASB CMF and show the calculation of the proposed amount (see FAR 31.20510
- 2. As part of the specific information required, the offeror must submit with offeror's proposal, and cl such, cost or pricing data (that is, data that are verifiable and factual and otherwise as defined at FAR tion, submit with offeror's proposal any information reasonably required to explain offeror' estimating process, including-
- a. The judgmental factors applied and the mathematical or other methods used in the estimate, incl 15-24 r
i FAC 90-32 OCTOBER 1,1995 i
4 PART 15-CONTRACDNO BY NEGOTIATION 15.804 4 l
projecting from known data; and b.ne nature and amount of any contingencies included in the proposed pnce.
- 3. Whenever the otTeror has incurved costs for work performed Rfore submission of proposal, those costs must be ident:6cd
)
in the offeror's cost / price proposal,
- 4. Dere is a clear distinction betweer submitting cost or pncing data and merely making asailable books, records, and other documents without identification. De requirement for submission of cost or pricing data is met when all accurate cost or pricing data reasonably available to the offeror have been submitted, either actually or by specific identification, to the con-tracting officer or an authorired representative. As later information comes into the offeror's possession, it should be promptly submitted to the contracting of6cer in a manner that clearly shows how the information relates to the offeror's pnce proposal. De requirement for submission of cost or pricing data continues up to the time of agreement on price, or another date egreed upon between the parties if applicable.
$ In submitting offeror's proposal, offeror must include an indes, appropriately referenced, of all the cost or pricing data and information accompanying or identified in the proposal, in addition, any future additions and/or revisions, up to the date of agreement on price, must be annotated on a supplemental indes.
- 6. By submitting offeror's proposal, the offeror,if selected for negotiation, grants the contracting officer or an authorired rep-resentative the right to esamine, at any time before award, those books, records, documents, and other types of factual infor-mation, regardless of form or whether such supporting information is specifically referenced or in;luded in the proposal as the basis for pric.ng, that wi!! permit an adequate evaluation of the proposed price.
- 7. As soon as practicable after Gnal agreement on price, but before the award resulting from the proposal, the offeror shall.
under the conditions stated in FAR 15.804 4, submit a r.crtificate of Current Cost or pricing Data.
- 8. HEADINGS FOR SUDMISSION OF LINE ITEM SUMMARIES-A. New Contracts (including Letter contracts).
COST ELEMENTS PROPOSED CONTR ACT PROPOSED CONTR ACT RETERENCE ESTIM ATE-TOTAL COST ESTtM ATE-t! NIT COST (1)
(2)
On 141 Under Column (1)-Enter appropriate cost elements.
Under Column (2)-Enter those necessary and reasonable costs that in offeror's judgment will properly be incurred in efficient contract performance. When any of the costs in thi. column have already been incurred (e.g., under a letter contract or unpriced order), describe them on an attached supporting schedule. When preproduction or startup costs are sign or when specifically requested to do so by the contmtin; *er, provide a full identification and esplanation of them.
Under Column (3)-Optional, unless required by the contracting officer.
Under Column (4)-Identify the attachment in which the information supporting the specific cost element may be found.
Attach separate pages as necessary.
B. Change Orders, Modifications, and Claims.
COST ESTIMATED COST OF NET COST TO COST OF WORK NET COST OF REf1RENCE ELEMENTS COST OF ALL DELETED BE DELETED ADDED CHANGE WORK WORK DELETED ALREADY PERFORMED (1)
(2)
(3)
(4)
($)
(6) 0)
Under Column (1)-Enter appropriate cost elements.
l Under Column (2)-Include the current estimates of what the cost would have been to complete the deleted work not )et I performed (not the original proposal estimates), and the cost of deleted work already performed.
Under Column (3)--Include the incurred cost of deleted work already performed, actually computed if possible, or mated in the contractor's accounting records. Attach a detailed inventory of work, materials, parts, components, an ware already purchased, manufactured, or performed and deleted by the change, indicating the cost and of eachline item. Also,if offeror desires to retain these items or any portion of them, indicate the amount offered for the Under Column (4)-Enter the net cost to be deleted which is the estimated cost of all dele work already performed. Column (2) less Column (3) = Column (4).
15 2
FAC 90 OCTOIER 1,1995 15.im44 FEDERAL ACQUISITION REGULATION (FAR) t l"
Under Column (5)-Enter the offeror's c>timate for cost of work added by the shange. When nontecuning costs are sig-nificant, or when specifically requested to do 50 by the contracting officer, prmide a full identification and caplanation of them. When any of the costs m this column have already been meurred. desenbe them on an attached supporting schedule.
Under Column (6)-Enter the net cost of change which is the cost of wo:L added, less the net emt to be deleted When this result is negative, place the amount in parentheses Column (4)less Column (5) = Column (b).
Under Column (7)-Identify the attachment in which the information supportmF the specific cost elemem may be found.
I Attach separate rages aynecessary, C. Price Revision / Redetermination.
CL'TOIT DATE NUMBER OF UtJITS NUMiiER OF CONTRACT REDETLR MIN ATION Dil1ERENCE COMNITID UNITS TO HE AMOUNT l'ROFOSAL COMPLETED AMOUNT til t2) th (4)
(Si (6)
COST INCURRED INCURRED INCURRED TO1AL LSTIM ATLD ESTtMATED REftRENCE ELLMENTS COST-COST-COST-INCURRED COST TO TOT AL COST PREPRODUC-COMPLETED
% ORK IN COST COMPLETE TION UNITS PROCESS sh is)
(9)
(101 (10 -
(t2)
(th (14:
Under Column (1)-Enter the cut of f date required by the contract,if applicable.
Under Column (2)-Enter the number of units completed dunng the penod for which esperienced costs of production aie being submitted.
Under Column (31-Enter the number of units remaining to be completed under the contract.
Under Column (4)-Enter the cumulative contract amount.
Under Column (5)-Enter the offeror's redetermination proposal amount.
Under Column (6)-Enter the difference between the contract amount and the redetermination proposal amount. When this result is negative, place the amount in parentheses. Column (4)less Column (5) = Column (6).
Under Column (7)-Enter appropriate cost elements. When residual inventory exists, the final costs established under fixed price incentise and fixed-price redeterminable stranecments should be net of the fair market value of such inventory.
In support of subcontract costs, submit a li,tirig of all subcontracts subject to repricing action, annotated as to their status.
Under Column (8)-Enter all costs incurred under the contract before starting production and other nonrecurring costs (usually referred to as ua. tup costs) from offeror's books and lecords as of the cutoff date. These include such costs as pre-production engineenng, special plant rea. Fement, trainmg program and any identifiable nonrecurring costs such as initial rework, spoilage, pilot runs, etc. In the event the amounts are not segregated in or otherwise available from offeror's records, enter in this column offeror's best estimates. Explain the basis for each estimate and how the costs are charged on offeror's accounting records (e.g., included in production costs as direct engineering labor, charged to manufacturing overhead, etc.),
Also show how the costs would be allocated to the units at their various stages of contract completion.
Under Columns (9) and (10)-Enter in Column (9) the production costs from oRemr's looks and records (exclusive of preproduc.
tion costs reported in Column (8)) of the units completed as of the cutoR date. Enter in Column (10) the costs of work in pmcess as determined from oNeror's records or inventones at the cutoR date. When the amounts for work in pmcess are not available in contrac-i tor's records but reliable estimates for them can be made, enter the estimated amounts in Column (10) and enter in Column (9) the dif-terences between the totalincurred costs (exclusive of preproduction costs) as of the cutoR date and these estimates. Explain the basis
' for tue estimates, including identification of any provision for experienced or anticipated allowances, such as shrinkage, rework, design changes, etc. Fumish experienced unit or lot costs (or labor hours) from inception of contract to the cutoff date, improvement curves, and any other available production cost history pertaining to the item (s) to which oReror's proposal relates.
Under Column (II)-Enter total incurred costs (Total of Columns (8), (9), and (10)).
Under Column (12)--Enter those necessary and reasonable costs that in contractor's judgment will properly be incurred in com-pleting the remaining work to be performed under the contract with respect to the item (s) to which contractor's proposal relates.
Under Column (13)-Enter total estimated cost (Total of Columns (11) and (12)).
Under Column (14)--Identify the attachment in which the information supporting the specific cost element may be found.
Attach separate pages as necessary.
15-26
f ATTACHMENT NO. 4 4
j, l
CONTRACTOR SPENDING PLAN - INSTRUCTIONS The Contr'ctor Spending Plan (CSP) is an important tool for projecting and l
tracking contract costs and progress each task under the contract.
Applicability The Nuclear Regulatory Commission (NRC) requires that the CSP be completed l
for cost reimbursement contracts when the award amount is expected to exceed l
$100,000 and the period of perfomance is expected to exceed 6 months.
For i
task order type contracts, a CSP is required when an individual cost reimbursement task order 41s expected to exceed the above thresholds When a contract or task order modification it. creases the contract or task order amount of a cost reimbursement contract or task order to over $1Dp,000 and the period of performance from the efftetive date of the modification to the contract or task order expiration exceeds 6 months, a CSP is required for all contract work to be performed after the ef fective Ate of the modification.
' Submission 1.
A CSF is required:
4.
as part of the cost proposal for a cost reimbursement contract or individusi task order, or modification to a contract or task order which meets the above thresholds; b.
as part of the Best and Final Offer (if requested) as a result of negotiations; 2.
Updated CSP information is required on a monthly basis or as approved by the CO as part of the " Financial Status Report" (Ref:
Section F.3,
" Financial Status Report").
Format The attached CSP sample format may be duplicated and used by the Contractor, or modified to permit more accurate reporting or to meet other needs of the contractor.
For instance, the sample format prevides spaces to report projected costs for 12 months, but the contractor may wish to alter the sample format for shorter or longer contract / task order periods. The contractor may also wish to alter the sample format for ease of typing or automated production.
So long as complete information is provided on actual and projected costs or accomplishments, changes to the format to improve relevance to the circumstances are encouraged.
It is up to the discretion of the. offeror to determine the appropriate level of cost detail to be presented based on the complexity of the effort.
This plan reflects only the minimum requirements for submission of cost detatis which will be considered for completeness, reasonableness, and as a measure of effective management of the effort.
The Contracting Officer reserves the right to request additional cost information, if deemed necessary.
l CONTRACT 0C $P[NDING PLAN (CSP)
(t> be co-elet d c3 o part cf th. of f.rcr*
Cect ProPo -I for each ecst retebursee.at contract or todtvidual task order er for any contract or task e
r -,ftc.t..a tc,,..<...,tio..ooo.ad m...r,.,
ac.
rted e.c..d t e,.
at,, s >
C Perfer. enc. P.rtod:
fro-
/
/
to _/
/
Tcsk Order he.
8' fetal Ests.at d Costs (taciudsag f t.a f... tf ear) of the meditscassen m..
Paposed Centract/lask Order /Modtfication (to a contract Of feror/Contracter m or task order) at the it.e of proposal sutwitsstoa.
S Does not tactude opttons.
i l
Prov'. cost dotatIn by month for the total contract / task order /er task order modtf tcation 1
Cast Elements 1st wat%
2nd Meath 3rd Moath 4th Moath 5th Moath 6th '4eath 3
Ctr ct Cests s
3 3
3 3
!adtreet Costs s
g g
g g
3 letal Esttmated s
g 3
3 3
Ce ts tacteding ftsed fee tf any Project 1
Compiet1on g
g g
g 3
Cas3 Elements 7th Meath ath Meet 6 9th Meath 10thMoath 11th Meath 12th Meath Strect Casts s
s s
s s
g Indirect Cents s
g.
3 Tesal Estimated s
I I
I I-Costs includtag timed fee 19 any
.;rojset e.
O ATTACHMENT NO, 5 q-SMALL BUSINESS AND SMALL DISADVANTAGED BUSINESS SUBCONTRACTING PLAN Date CONTRACTOR:
ADDRESS:
SOLICITATION OR CONTRACT NUMBER:
e ITEM / SERVICE:
The following, together with any attachments, is hereby submitted as a Subcontracting Plan to satisfy the applicable requirements of Public Law 95-507 as implemented by 0FPP Policy Letter 80-2.
1.(a)
The following perrentage goals (expressed in terms of a percentage of total planned subcontracting dollars) are applicable to the contract cited above or to the contract awarded under the solicitation cited.
(1) Small Business concerns:
% of total planned subcontracting dollars under this contract will go'to subcontractors who are small business concerns.
(ii) Small Disadvantaged Business Concerns:
% of total planned subcontract'ng dollars under this contract will go to subcontractors who are small business concerns owned and coa + rolled by socially and economically disadvantaged individuals.
This percentage is included in the percentage shown under 1.(a)(1), above, as a subset.
(b) The following dollar values correspond to the percentage goals shown in (a) above.
(1) Total dollars planned to be subcontracted to small business concerns: $
(ii) Total dollars planned to be subcontracted to small disadvantaged business concerns: $
This dollar amount is included in the amount shown under 1 (b)(1),
above, as a subset.
e*
i I
d' (c) The total estimated dollar value of all planned subcontracting (to all types of business concerns) under this contract is 1
(d) The following principal products and/or services will be subcontracted under this contract, and the distribution among j
small and small disadvantaged business concerns is as follows:
i (Products / services planned to be subcontracted to small business concerns are identified by * - To small disadvantaged business concerns by **)
I i
(ATTACHMf.NT.MAY BE USED IF ADDITIONAL SPACE IS REQUIRED)e (e) The following method was used in developing subcontract goals (i.e., Statement explaining how the product and service areas to be subcontracted were established, how the areas to be i
subcontracted to small and small disadvantaged business concerns were determined, and, how small and small disadvantaged business i
concerns' capabilities were determined, to include identification j
of source lists utilized in making those determinations).
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(f) Indirect and overhead costs (check on below):
__have been
__have not been l
included in the goals specified in 1(a) and 1(b)
(g) If " nave been" is checked, explain the method ustd in determining the proportionate share of indirect and overhead cost to be allocated as subcontra:ts to small business concerns and small disadvantaged business concerns.
2
4 2.
The following individual will administer the subcontracting program:
Name:
Address & Telephone:
Title:
i This individual's specific duties, as they relate to the firm's subcontracting program, are as follows:
General overall responsibility for this company's Small Business Program, the development, preparation and execution of individual subcontracting plans, and for monitoring performance relative to I
contractual subcontracting requirements contained in this plan, including, but not limited to:
(a) Developing and maintaining bidders' lists of small and small disadvantaged business concerns from all possible sources.
(b) Ensuring that procurement packages are structured to permit small and small disadvantaged business concerns to participate to the maximum extent possible.
(c) ?ssuring inclusion of small and SDB concerns in all solicitations for products or services which they are capable of providing.
(d) Reviewing solicitations to remove statements, clauses, etc., which may tend to restrict or prohibit SB and SDB participation.
(e) Ensuring periodic rotation of potential subcontractors on bidders' lists.
(f) Ensuring that the bid proposal review board docunents its reasons for not selecting low bids submitted by small and small disadvancaged N siness concerns.
(g) Ensuring the establishment and maintenance of records of solicitations and subcontract award activity.
(h) Attending or arranging for attendance of company counsellors at Business Opportunity Workshops, Minority Business Enterprise Seminars, irade Fairs, etc.
(i) Conducting or arranging for conduct of motivational training for purchasing personnel pursuant to the intent of P.L.95-507.
(j) Monitoring attainment of proposed goals.
3
e (k) Preparing and submitting periodic subcontracting reports required.
l (1) Coordinating contractor's activities during the conduct of l
compliance reviews by Federal agencies.
(m) Coordinating the conduct of contractor's activities involving its small and small disadvantaged business subcontracting program.
l (n) Additions to (or deletions from) the duties specified above are as i
follows:
1 3.-
The following efforts will be taken to assure that small and small disadvantaged business concerns will have an equitable opportunity to compete for subcontracts:
(a) Outreach efforts will be made as follows:
(1) Contacts with minority and small business trade associations (ii) Contacts with business development organizations (iii) Attendance at small and minority business procurement conferences and trade fairs (iv) Sources will be requested from SBA's PASS system.
(b) The following internal efforts will be made to guide and encourage buyers:
(1) Workshops, seminars and' training programs will be conducted (ii) Activities will be monitored to evaluate compliance with this subcontracting plan.
(c) Small and small disadvantaged business concerns source lists, guides and other data identifying small and small disadvantaged business concerns will be maintained and utilized by buyers in soliciting contracts.
4
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(d) Additions to (or deletions from) the above listed efforts are as follows:
4.
The bidder (contractor) agrees that the clause entiticd " Utilization of Small Business Concerns and Small Business Concerns Owned and Controlled by Socially and Economically Disadvantaged Individuals" will be included in all subcontracts which offer further subcontracting opportunities, and all subcontractors except small busiress concerns who receive subcontracts in excess of $500,000 will be required to adopt and comply with a subcontracting plan similar to this one.
Such plans will be reviewed by comparing ther. with the provisions of Public Law 95-507, and assuring that all minimum requirements of an acceptable subcontracting plan have been satisfied.
The acceptability of percentage goals shall be determined on a case-by-case basis depending on the supplies / services involved, the availability of potential small and small disadvantaged subcontractors, and prior experience.
Once approved and implemented, plans will be monitored through the submission of periodic reports, and/or, as time and availability of funds permit, periodic visits to subcontractors' facilities to review applicable records and subcontracting program progress.
5.
The bidder (contractor) agrees to submit such periodic reports and cooperate in any studies or surveys as may be required by the contracting agency or the Small Business Administration in order to determine the extent of compliance by the bidder with the subcontracting plan and with the clause entitled " Utilization of Small Bufiness Concerns and Small Business Concerns Owned and Controlled by Socially and Economically Disadvantaged Individuals" contained in the contract.
6.
The bidder (contractor) agrees that he will maintain at least the following types of records to document compliance with this subcontracting plan:
(a) Small and small disadvantaged business concerns source lists, guides and other data identifying SB/SDBC vendors.
(b) Organizations cont:cted for small and small disadvantaged business sources.
5
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'i (c) On a contract-by-contract basis, records on all subcontract solicitations over $100,000, indicating on each solicitation (1) whether small business concerns were 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 witn Minority and Small Business Trade Associations, etc.
Attendance at small and minority business procurement conferences and trade fairs.
(e) Records to support internal activities to guide and encourage buyers: Workshops, seminars, training programs, etc.
Monitoring activities to evaluate compliance.
(f) On a contract-by-contract basis, records to support subcontract i
award data, to include name and address of subcontractor.
(g) Records to be maintained in addition to the above are as follows:
Signed:
Typed Name:
Title:
Date:
Plan Accepted By:
Contracting Officer Date:
NOTE TO CONTRACTING OFFICER:
Upon incorporation of a plan into the contract, indicate herein the estimated dollar value if Contract $
6
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A1TACHMENT NO. 6 ACH VENDOR /MISCELLANEw i
ENROLLMENT FORM This form is used for Automated Clearing House (ACH) payments with an addendum record that contains payment.
I related information processed through the Vendor Express Program. Reciplents of these payments should bring this Information to the attention of their financialinstitution when presenting this form for completion.
l PRIVACY ACT STATEMENT The following information is provided to comply with the Privacy Act of 1974 (P.L. 93 579). All information collected on this form is required under the provisions of 31 U.S.C. 3322 and 31 CFR 210.
This information will be used by the Treasury Department to transmit payment data, by electronic i
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 FEDERAL PROGRAM AGENCY U.S. NUCLEAR REGULATORY COMMISSION AGENCY OENTFlt.R AGENCY LonATION CODE (ALC)
ACN FORMAT
~
NRC 31000001 O cco+ 0 CTx 0 CTP ADoREss DMSION OF ACCOUNTING AND FINANCE, MAIL STOP T 9 H4 WASHINGTON, DC 20555-0001 5657ACT PIR$0N NAME
~~
TELEPHONE NUhSER FINANCIAL OPERATIONS SECTION
( 301 ) 415 7520 PAYEE / COMPANY INFORMATION NAME SSN NO. OR TAAPAYER 10 NO.
ADDRESS CONTACT PERSON NAME:
TELEPHONE NUMBER-.
(
)
FINANCtALINSTITUTION INFORMATICN
~
NAME ADDRESS ACH COORDINATOR NAME:
TELEPHONE NUMBER.
(
)
NINE.DOIT ROUTING TRAN5ff NUMBER.
DEPOSITOR ACCOUNT TITLE:
DEPOSITOR ACCOUNT NUMBER:
LOCK BOX NUMBER.
ACH FORMAT:
CHEC80NG SAVINGS
] LOCK BOX SONATURE AND TITLE OF AUTHOR 2ED OFFICIAL:
TELEPHONE NMER
(
)
.n........,_
+
Instructions for Completing SF 3881 Form
- 1. Agency Information Section - Federal agency prints or types the name and address of the Federal Program agency originating the vendor /miscellane us payment, agency identifier, agency location code, contact person name and telephone number of the agency. Also, the appropriate box for ACH format is checked.
l
- 2. Payee / Company Information Section - Payee prints or types the name of the l
payee / company and address that will receive ACH vendor / mise,ellaneous payments, social security or taxpayer ID number, and contact person name and telephone number of the payee / company. Payee also verifies depositor account number, account title, and type of l
account entered b, vNr financial institution in the Financial Institution Information Section.
- 3. Financial institution information Section - Financial institution prints or types the name end 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 (payee / company) account title and account number. Also, the box for type rl account is checked, and the signature, title, and telephone number of the appropriate financial institution official are included.
Burden Estimate Statement I
The estimated average burden associated with this collection of Information is 1S minutes per I
respondent or record keeper, depending on individual circumstances. Comments concaming the accuracy of thi. burden estirnate and suggestions for reducing this burden should be directed to the Financial Managen ont Service, Facilities Managem6nt Division, Property and Supply Bre"*,h, Room B 101,3700 East Wert Highway, Hyattsville, MD 20782, and the Office of Managemar* and Budoat, Parerwork Reduction Project (1510-0056), Washington, DC 20503.
on'V.HMENT NO. 7 i
PROCEDURES F0W KIGt'M2W, 'EE, Cf;faTk4t!'OR DIYFREING.PR377.35EMC VLDU i
The Nuclear Pegulatory Comedssacu's umC) Wilcy is to support the expression of professional 1.ua3 th and safety j
related concerns associated with the contractors' work for NRC that may differ from a prevailing staff view, an NRC J
i decision or policy position, proposed or established agency i
practices or similar considerations.
The following procedure provides for the expression and resolution of differing professional views (DPVs) of health and safety related concerns of NRC contractors and contractor personnel i
on matters connected ta the subject of the contract.
The l
NRC may authorize up to eight reimbursable hours for the I
contractor to document in-writing a DPV by the contractor,.
the contractor's personnel, or subcontractor personnel.
l Subcontractor DPVs shall be submitted through the prime contractor.
The prime contractor or subcontractor shall j
submit all DPv's received but need not endorse them.
In the l
event sufficient funds are not available under the contract, the contractor shall first obtain authorization from the Contracting Officer providing sufficient funds to cover the l
cost of preparing the DPV.
With the exception of the above specified payment for eight hours work on a DPV, the 1
contractor shall not be entitied to any additional i
compensation or additional work under its contract by virtue of the DPV submission.
I Contract funds shall not be authorized to document an i
allegation in the following instances where the use et this NRC contractor DPV process is inappropriate.
This process shall Rat be used for allegations of wrongdoing which should j_
be addressed directly to the NRC Office of the Inspector l
General (OIG); issues submitted anonymously; issues that are l
deemed by NRC to be frivolous or otherwise not in accordance l
with the policy underlying these procedures; or issues l
raised which have already been considered, addressed, or i
rejected, absent significant new information.
Note that this procedure does Bak provide anonymity.
Individuals i;
desiring ponymity should ca. tact the NRC Of fice of the Inspector General or submit the information under NRC's e
{
Allegation Program, as appropriate.
Each DPV shall be submitted in writing and will be evaluated j
on-its own merits.
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..-:=..--..
~. _...
i 4
i DFV PROCEDURE When required, the cont
- actor shall initiate the DPV process l
by submitting a yIltima statement directly to the NRC Office Director or Regional Administrator responsible for the contract, with a copy to the contracting Officer, Division of Contracts, Office of Administration.
l The DFV, while being brief, shall contain the following as it relates to the subject matter of the contracts a summary of the prevailing NRC view, existing NRC e
decision or stated pocition, or the proposed or lI established NRC practice.
I 4
a description of the submitter's views and how they I
e i
differ f/om any of the above items.
't the rationale for the submitter's views, including an
]
i e
assessasnt based on risk, safety and cost benefit j
considerations of the consequences should the 4
j submitter's position not be adopted by NRC.
1 The Office Director or Regional Administrator will immediately forward the submittal to the NRC DPV Review Panel and acknowledge receipt of the DPV, ordinarily within five (5) calendar days of receipt.
The panel will normally review the DPV within seven calendar t
days of receipt to determine whether enougL infoonation has been supplied to undertake a detailed review of the issue.
Typically, within 30 calendar days of receipt of the necessary information to begin a review, the panel'will provide a written report of its findings to the Office i
Director or *egional Administrator and to the Contracting Officer, which inw.udes a recommended course of action.
The Office Director or Regional Administrator will consider the DFV Review Panel's report, make a decision on the DPV ard provide a written decision to the contractor and the Contracting officer normally within seven calendar days-atter receipt of the panel's recommendation, subsequent to the decision made regarding the DPV Review Panel's report, a summary of the issue and its disposition g
will be included in the NRC Weekly Idformation Report submitted by the office Director.
The DPV file will be retained in the Office or Region for a minimum of one year thereafter.
For purposes of the contract, the DFV shall be considered a deliverable under the contract.
Based upon the office Diractor or Regional Administrator's report, the matter will be closed.
ATTACHMENT NO. 8 Mon +hly Spending Plan Update 1st Month 2no Month 3rd Month 4th Month X Month etc.
I Direct Costs 5 x,xxx
$ x xxx
$ x,xxx
$ x,xxx
$ x,xxx l
Indirect Costs $ x xxx
$ x,xxx
$ x,xxx
$ x xxx
$ x,xxx Total Estimated Cost
$xx.xxx
$xx xxx
$xx.xxx
$xx.xxx
$xx xxx Project Completion xx %
Continue for entire period of performance 1
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ATTACHMENT NO. 9 i
l i
l HLSR FINANCIAL STATUS REPORT FORMAT r
MONTH, YEAR s
Job Code Number:
(Specialized internal account number)
TITLE: GENERIC FUNDAMENTALS EXAMINATION (GFE)
Project Period of Performance: From To 1.
Contract Maximum Ordering Limit:
$xxx.xxx.xx 2.
Total Funds Obligated to Date:
$xxx,xxx.xx-3.
Total Cost Incurred this Reporting Period:
$xxx.xxx.xx 4.
Total Cost Incurred to Date:
$xxx.xxx.xx 5.
Total Staff Hours Worked this Reporting Period:
xx.x Current Month Fiscal Ccmulative Year To Date Project To Date Management hours worked xxx.x xxx.x xxx.x Technical hours worked xxx.x xxx.x xxx.x Clerical hours worked xxx.x xxx.x xxx.x 6.
Total Staff Hours Worked to Date:
xxx.x 7.
Balance of Obligations Remaining (Line 2 minus Line 4 above)$xxx.xxx.xx 8.
Remaining Funds to be Obligated (Line 1 minus Line 2 above) $xxx.xxx.xx 9.' Cumulative project Completion (Line 4 divided by Line 1) xx.xxt
- 10. Significant Changes to Contractor S)ending Plan:11. Direct and Indirect Cost I (note an Current Month Fiscal Cumulative Year To Date Project To Date Direct Labor
$ xxx.xx
$ xxx.r.x
$ xxx.xx General Overhead.
$ xxx.xx
$ xxx.xx
$ xxx.xx i
Cost of Money Overkad
$ xxx.xx
$ xxx.xx
$ xxx.xx Travel Expenses s xxx.xx
$ xxx.xx
$ xxx.xx Subcontracts / Consultants 5 xxx.xx
$ xxx.xx
$ xxx.xx Other Direct Cost
$ xxx.xx
$ xxx.xx
$ xxx.xx G&A
$ xxx.xx
$ xxx..<,x
. $ xxx.xx Cost of Money G & A
$ xxx.xx
$ xxx.xx
$ xxx.xx Fee
$ xxx.xx
$ xxx xx
$ xxx.xx Total
$ xxx,xx
$ xxx.xx
$ xxx.xx
.-