ML20211Q859
| ML20211Q859 | |
| Person / Time | |
|---|---|
| Issue date: | 02/17/1987 |
| From: | Levick M, Thompson R NRC, SCIENCE APPLICATIONS INTERNATIONAL CORP. (FORMERLY |
| To: | |
| Shared Package | |
| ML20211Q786 | List: |
| References | |
| CON-FIN-D-1311, CON-FIN-D-1312, CON-FIN-D-1763, CON-NRC-03-87-029, CON-NRC-3-87-29 NUDOCS 8703030203 | |
| Download: ML20211Q859 (110) | |
Text
-
hl"#"O
- fI D'
- ^"I AWARD / CONTRACT 1 TNIS CONTR ACT l$ A RATED ORDE R V
l 6
UNDER DPAS H5 CF R 350)
- 2. C ONT R ACI Free. Ja.s. Aden s s No.
- 3. E F F ECT tvt DA1 E
- 4. REQuasaitO,e/ uRCMAst REQvEST/Ph0 JECT NO.
P NRC-03-87-029 FEB 17 587 f4RR-86-051
- h. issvEo e v U.S. Nuclear Regulatory bolmmission
.. AouiNisu REo ev ut.en, m. i== s' I
COoE Division of Contracts Washington, DC 20555
- 7. NAME AND ADDRESS OF CONT R ACTOR (No... trees eety. county. As.re.ad 21P Codes
- 8. DELt% E RY Science Applications International Corporation 1710 Goodridge Drive fos ORiclN
@ OTHE R rsec telee,J McLean, VA 22102
.. oisCOvNT POa PaouPT PAv-ENT l'T E M 10 SUBMIT INVOICES I4 eePee. annaru other.
wane.Peentuda TO THE CODE F ACILITv CODE ADDRESS SHOVIN IN 12
% ). & Hep T O/M A R es F O R 32.PAvMENT WILL eE MADE ev C E U.S. Nuclear Regulatory 68%issiun Refer to Section F.2 of contract.
Div. of Accounting and Finance, Office of Resource Mgt, Washington, DC 20555 33.
TMORITv FOR u$iNG OTHER TMAN FULL AND OPEN COMPEta.
- 34. ACCovNT eNG AND APPROPRI ATION DAT A Refer to p.2.
to us C. 23ouen i
4i u S C. 253 ten SA. ITE M NO 158 SUPPLIES /SERvlCES 15C. QUANTITv 150, UNTT 15E. UNIT PRICE 15F AMOUNT Services to perform " Technical Assistance in Support of Basic t.ffort:
NRC Reacuor Licensing Activities" in accordance with the ist. Cost
$ 9,232,916.00 Statemenu of Work herein and as further implemented by Awar i Fee Pool 613,008.00 Science Applications International Corporttion's Techni cal Total 5 9,845,924.00
. Proposal dated October 30, 1986 as amended by revision
)ption Effo rt:
dated January 8,1987; which are incorporated herein by Est. Cost
$ 6,750,240.00 Awar i Fee S9d v$$00 4
reference. COST PLUS AWARD FEE INDEFINITE QUANTITY T
INCREMENTALLY FUNDED Ceilino AMOUNT OF CONTRACT > s 9;845;924.00
- 16. TABLE OF CONTENTS V) lSEC. l OESCRIPTION lPAGEISI V) l SE C. l OE SCRIPTION l PAG E LSI PART I-THE SCHE DULE PART il-CONTR ACT CLAUSES X
A SOLICIT ATION/CONTR ACT FORM Xl 8 l CONTR ACT CLAUSES l
X 0
SUPPLIES OR SE RvlCES AND PRICES / COSTS PART in - List Or DOCuuENTS. EMMtelT5 AND OTHE R ATT ACM.
X C
DESCRIPTION / SPECS / WORK STATEMENT A lJ l LIST OF ATTACHMENTS l
_Y D
PACK AGING AND MARKING PA RT eV - R EPR ESENTATIONS AND INST RUCTIONS X
E INSPECTION AND ACCEPTANCE K
REPRESENTATIONS.CE RTIFICATIONS AND X
F DELivE RIES OR PE RFORMANCE OTHER STATEMENTS OF OFFERORS X
G CONTRACT ADMINISTRATION DATA L
INSTRS.CONOS. AND NOTICES TO OF FERORS X
H SPE"l AL CONTR ACT REQUIREME NTS M
EVALUATION F ACTORS FOR AWARD CONTRACTING OfflCER WIL L COMPL ETE ITEM 17 OR 18 AS APPLICABL E E
37 CONTR ACTOR'S NEGOTIATED REEMFNT (Centractor de re-I s.
AWARD (Contractor de not regesred to. dan #4a. decement J vov, P.','i,'.!,*.!'!" !:.".'"*O '.0'.!T. "."' o n...
'.*4**!s* it:0' *<Tft.!
- ,'!!l *".'?"!" t';?,".""*i'.'............
'L'." T.i.'.""Z" "t",'0"T0*;." /,7.0 2.:i."l0"*,"?" YF;.'?.' 'f; it."; '*.','"J".',"." '!? tic."T". ;'!!J"3't J,'a.',";,,7".':,0'.'!?.'t.W/."!.
2".?;h'.?",**dit'.". '*,ln"l,.7.
- " '"* 'i"*<~ ";.*:.'""l"lll.".LL"L' 3:,*'.n'di';1~.'"L:,1lu"7,"",.':).7:,?n:l* " "2 f"M': *."ll.'* :."l.
Ona?.'OYA'*ntl.",1of"*,".,;7l"ll, UN.'l /""*" '"'*"" "
.u C
asA. Naut AryD TjvLy/CK r siGeeE R rr,Pe er Prias, 2cA. NAME or CONT R ACTING Or reCER N//W L. M V Af/846df d/ /W868/3 Ronald D. Thompson 8 9e. N E OF CONT R ACTOR 19C.DAJE SIGNED 208 a f EG ST ATE 5 08 AMEasC A GOC. DATE SsGNED 6LA)4 A UW/MY
), n, }
/b A 0,-.md4 W sv j G7 7
By
,.,. +.
..rN rc - FO< w St.soe, v..cti
.RD FORM 26 IRE v. 4.es)
Nsu rsso4 TANDA 25-306 PREVIOUS EDITeON UML'5 Asst ey GS A I
@ ll S. GOVilillf(NT PRlirtent CFF#CE : 1943 6 -340 9s:11) 07030302O2 070217 PDR CONTR NRC-03-87-029 PDR
r NRC-03-87-029 PAGE 2 Standard Form 26 Block 14. Accounting and Appropriation Data APPN. N0. 31X0200.207 FIN. N0. D1311 B&R N0.
20-19-10-11-2 AMOUNT
$343,000.00 FIN NO.
D1312 S&R NO.
20-19-40-41-2 AMOUNT
$13,000.00 FIN NO.
D1763 B&R NO.
20-19-50-53-2 AMOUNT
$200,000.00 s
TOTAL AMOUNT OBLIGATED: $556,000.00
)
~. - - - - - - -
HRC-03-87-029 PAGE 3 p
Section B - Supplies or Services and Prices / Costs B.2 Cost and Fee Basic Contract (3 year perfomance period)
Estimated Cost $ 9,232,916.00 Award Fee Pool $
613,008.00 Total
$ 9,845,924.00 Option (2 additional years of performance)
Estimated Cost $ 6,750,240.00 Award Fee Pool $
450,318.00 Total
$ 7,200,558.00 GRAND TOTAL $ 17,046,482.00 B.3 Remittance Address k
Name: Science Applications International Corporation Address: c/o First National Bank of Maryland Account No. 401-9197-2 P.O. Box 64115 Baltimore, Maryland 21264 Section G
_C_ontract Administration Cata v
G.1 Qnsideration (For Base Period Only, Exclusive of Option) 1.
The estimated cost to the Government for all allowable costs and award fee shall not exceed $9,845,924.00 for perfomance of this contract.
2.
The Contractor shall be reimbursed for all allowable costs incurred, and accepted by the Contracting Officer, not to exceed the estimated amount of $9,232,916.00.
3.
Award fee may also be earned under this contract as provided by Clause G.2 entitled " Award Fee and Perfomance Evaluation."
4.
Total funds currently available for payment and allotted to this contract are $556,000.00 of which $521,331.00 represents the estimated reimburseable costs, and of which $34,669.00 represents the award fee pool.
5.
It is estimated that the amount of funds currently obligated will cover performance through July, 1987.
l l
l
r f4RC-03-87-029 PAGE 4 G.2 Award Fee and Perfonnance Evaluation An award fee pool of $ 613,008.00 (Base Period Only) is hereby established Evaluation of award fee will be accomplished in accordance with the Award Fee Detemination Plan (AFDP) which is attached hereto and made a part hereof.
In the event this contract is tenninated prior to a regularly scheduled award fee detemination, the fee to be paid to the contractor shall be an appropriate portion of any available award fee as may be determined by the Fee Determination Official (FD0).
G.3 Delete in entirety and substitute the following:
Indirect Cost Rates A.
Pending the establishment of final overhead rates which shall be negotiated based on audit of actual costs, the Contractor shall be reimbursed for allowable indirect costs hereunder at the provisional rate of M of direct labor) 8.
Pending the establishment of final fringe benefit rates which shall be negotiated based on audit of actual costs, the Contractor shall be reimbursed for al' owahle indirect costs hereunder at the provisional rate ofjQdirect lab'op>
C.
Pending the establishment of final general and administrative rates which shall be negotiated based on audit of actual costs, the Contractor shall be reimbursed for allowable indirect costs hereynder-at-the_provicinnal rate
% of total direct cos kefc~lusive of direct material costs and direct subcontract costs, D.
Pending the establishment of final material overhead rates which l
shall be negotiated based on audit of actual costs, the Contractor shall be reimbursed for allowable indirect. gests ereundar a+ the_prayisional rate $ of direct materials s
Qubcontractcosts.
l E.
Notwithstanding A.,
B., C., and D. of this Section, said provisional rates may be adjusted as appropriate during the term of the contract upon the acceptance of such revised rates by the Contracting Officer.
G.4 Payment of Award Fee, paragraph 2, Insert: An Award fee pool of
$613,008.00 (Base Period Only)...
G.6 Project Officer:
S. Singh Bajwa U.S. Nuclear Regulatory Commission Office of Nuclear Reactor Regulation Washington, DC 20555 Telephone Number: 301/492-8452 L
1 NRC-03-87-029 PAGE 5 Add the following new clause to Section G.:
G.12 Subcontract Approvals The contractor is hereby authorized to enter into the following subcontracts, each on a cost plus award fee basis for the estimated total amounts shown below. A copy of each subcontract shall be submitted to the Administrative Contracting Officer upon execution.
Estimated Amount S_ubcontractor Base Period Option Period ~ Total Battelle Memorial Institute
$ 489,044.00
$ 368,278.00 857,322.00 Westec Services, Inc.
794,250.00 576,793.00 1,371,043.00 Scientech, Inc.
264,863.00 200,451.00 465,314.00 Comex Corporation 183,917.00 131,991.00 315,908.00 Any other proposed subcontracts shall be subject to FAR clause 52.244.2
" Subcontracts Under Cost-Reimbursement and Letter Contracts," incorporated by reference herein.
5 Section H.
Special Contract Requirements H.1 Key Personnel Richard Stark Robert Liner Bernie Saffell Ian Sargent Larry Ybarrondo Add the following clause to this contract:
H.9 Subcontracting Program for Small Business and Small Disadvantaged Business (This applies to both the basic effort and the option effort.)
The contractor has established in its subcontracting plan dated January 8, 1987, which is hereby made a material part of this contract and is attached hereto, the following goals for awards to small business concerns and small disadvantaged concerns:
1.
26 percent of the total planned subcontract amount of
$3,220,259.00 to small business concerns.
(This equates to
$835,908.00.)
NRC-03-87-029 PAGE 6 2.
16 percent of the total planned subcontract amount of
$3,220,259.00 to small disadvantaged business concerns.
(This equates to $497,886.00.)
Section I - Contract Clauses Delete: 52.232-18 " Availability of Funds" Section J - List of Attachments The following attachment is added to the list:
Attachment Number Title 6
Contractor's Subcontracting Plan 7
i f
I
f SOLD:lTATION,CFFER AND AWARD
' NDt n gT"^
65,
SCO
' ^ " ^
AS( CFR
- 2. CONT R AC T NO.
- 3. 5OLICIT ATION NO.
- a. T YPE OF SOLaCITAT SON
- b. DAIt. ISSUED
- 6. R EGus54 TION.PU RCHASE RS-NRR-86-051 SE ALED BID (IFB) 9/30/86
'NRR-86-051 X NEGOTIATED (RFP) 7, 655UE D B Y CODE l
- 8. ADDRESS OF F ER TO (tf other than item 71, U.S. Nuclear Regulatory Commission U.S. Nuclear Regulatory Commission Division of Contracts, ATTN: Patricia A. Smith Division of Contracts Washington, DC 20555 Washington, DC 20555 RFP No. RS-NRR-86-051 NOTE: In sealed bid solicitations "of fer" and " offeror" mean ** bid" and " bidder" SOLICITATION
- 9. Sealed of fers in or9nal and 8
copies for furnishing the supplies or services in the Schedule will be received at the place specified in item 8 or if 4 : 0 0 PM,,x,,,im, 10/30/86 handcarried,in the depository located in 4550 Montgomery Avenue, BetheSda, MD oniii Room 2223
'D* "'
CAUTION - LATE Submissions, Modifications and Withdrawals. See Section L. Provision No 52.214.7 or 52.215-10. All offers are sublect to all terms and canditions contained in this sohC6tation.
CALL:
Mrs. Patricia A. Smith
( 301 ) "4 92-4278"#' *" '*
~#"
~ "
tO. FOR INFORM ATION
- 11. TABLE OF CONTENT:
(!)lSEC. l DESCRIPTION lPAGE(S)
W)lSEC. l DESCRIPTION lPAGE(S)
PART I - THE SCHEOULE PAR T il - CONTR ACT CLAUSES fbNTRACT CLAUSFS l 43 X
A SOLICITATION /CONTR ACT FORM l
Xl 1 X
8 SUPPLIES OR SERVICES AND PRICES / COSTS 2
PACT W IIST OF DOCUMENTS, EXHIBlTS AND OTHER ATTACH.
X C
DESCRIPTION / SPECS IWORK STATEMENT 3
Xl ; l 1,ST OF ATTACHMENTS l 48 X
D PACKAGING AND MARKING 22 PuT iv - REPRESENTATIONS ANO INSTRUCTIONS X
E INSPECTION AND ACCEPTANCE 22 J 9EPRESENTATIONS. CERTIFICATIONS AND 49 y
X F
DELIVERIES OR PERFORMANCE 23 OTHER STATEMENTS OF OFFERORS X
G CONTRACT ADMINISTRATION DATA 28 X
L INSTRS., CONDS.. AND NOTICES TO OF FERORS 56 X
H SPECIAL CONTR ACT REQUIREMENTS 37 X
M EVALUATION FACTORS FOR AWARD 63 OF FE R (Must be fully completed by offeror)
NOTE: Item 12 does not apply if the solicitation includes the provisions at 52.21416, Minir'um Bid Acceptance Period.
12 in comphance with the above, the undersigned agrees,if this of fer is accepted within calendar days (60 calendar days unless a different period is inserted by the offeror) from the date for receipt of of fers specified above, to furnish any or all items upon which prices are of fered at the pricelet opposite each item,dehvered at the designatec' point (s), within the time specified in the schedule.
to C ALENDAR DAYS 20 CALENDAH DAYS Jo CALENDAH DAYS CALENDAH DAM
- 13. DISCOUNT FOR PROMPT PAYMENT ISn Section I, Clause No. 32 232 8) of of ya of 14 ACKNOWLEDGMENT OF AMENDMENTS AMENDMENT NO.
DATE AMENDMENT NO DATE I
(The offeror acknowleders receipt of amend.
1 mwts to the SOLICITA TION for offerors and relat d documents numbered and dated' CODE l l F ACILITY l 16.NAME AND T 4T LE OF PERSON AU T HOHt2EO TO SIGN IS A. N AME OFFER IType orprintJ AND ADDRESS OF OFFEROR IS;. T E EPHONE NO. finclude area 15C. CHECK IF REMITTANCE ADDRESS
- 17. SIGN A T U R E
- 18. O F F E H D A T E IS OlFFERENT FROM ABOVE ENTER SUCH ADDRESS IN SCHEDtJLE AWARD (To be completed by Government)
- 19. ACCEPTED A5 TO ITEMS NUMBEHED
- 20. AMOUN T
- 21. ACCOUNTING AND APPROPRI ATION 22.
UT ORIT Y F OH U$!NG O T HE H THAN F ULL AND OPEN COMPE it.
I 23 SUBMIT INVOICES TO ADDRESS SHOWN IN l
10 U S C. 2304kH
)
41 U S C 253kn 14 copies unless otherwuse specirnedo rl KAOMINISTERED BY t/f other than item f)
CODE l 2 5. PA Y MEN T WILL BE M ADE BY CODE l l
- 26. N AME OF CON TR AC T ING OF FICE H (Type or prints 2~/. UNITED STATES OF AMERICA 2 8. AW A R O D A T E ISisnature of Contmetsne Officerl IMPORTANT - Award wiil be made on this Form, or on Standard Form 26, or by other authorized of ficial written notice.
STANDARD FORM 33 f ut v. a su NSN 7$40 0I 152-8044 3y333 7, EV80US EDITION NOT USABLE M'[4Nfw'3N p 4 (c )
7 A
~4 RS-NRR-86-051 Paga 2 Section B - Supplies or Services and Prices / Costs B.1 Brief Description of Work
Title:
" Technical Assistance in Support of NRC Reactor Licensing Activities" Independently the contractor shall perform technical evaluations in support of licensing actions, generic and plant-specific safety assessments, risk assessments, evaluation of selected safety issues, cost-benefit impact analyses, regulatory requirements, and analyses of operating experience.
the technical evaluations performed will cover the full spectrum of NRC licensing activities.
B.2 Proposed Cost and Fee Offeror is to complete proposed costs below:
Basic Contract (3 year performance period)
Estimated Cost $
Award Fee Total Option (2 additional years of performance)
Estimated Cost $
Award Fee Total GRAND TOTAL $
B.3 Remittance Address If item 15c. of the Standard Form 33 has been checked, the offeror shall enter the remittance address below.
Name:
Address:
6 6
RS-NRR-86-051 Page 3 Section C - Description / Specifications / Work Statement C.1 Statement of Work _
1.0 GENERAL DESCRIPTION Independently, and not as an agent of the Government, the contractor shall per-fann approximately 700 technical evaluations over a three year contract period (and approximately 350 technical evaluations if NRC exercises an option to extend the period of perfonnance an additional two years) in support of licensing actions, generic and plant-specific safety assessments, risk assessments, evaluations of selected safety issues, cost / benefit impact analyses, regulatory requirements, and analyses of operating experience.
The technical evaluations to be performed by the contractor will be selected from the topics described below for each general topic group or similar topics of equivalent complexity.
The types of technical evaluations considered within the scope of this procure-ment shall include the full spectrum of NRC licensing activities including, but not limited to, the following: applications for Construction Permit, Operating License, and Operating License Amendment; implementation of new or revised regulatory requirements; application of information resulting from research or other technological ~ advancement; implementation of requirements generated by the lessons learned from the accident at Three Mile Island; and Systematic Safety Evaluation of Operating Reactors, including the Safety Assessment Program.
The contractor shall be capable of providing multi-disciplinary talent and experience in the nuclear industry to perfonn work under this contract.
All work to be performed under this contract will be initiated by the issuance of Task Orders by the Government.
Some task orders may require the use of a j
limited number of experts contributing a small percentage of time (5 to 50 percent) for one to six months to complete the task.
For planning purposes, talents needed for this contract may be distributed by percentage as follows:
20 percent Nuclear Plant Systems, 20 percent Nuclear Plant Electrical Engineering, 20 percent Materials and Structural Engineering, 10 percent Reactor Operations Personnel and Human Factors Engineering,10 percent Nuclear Engineering, 5 percent Radiological Engineering, 5 percent Risk and Reliability Engineering, 5
percent Mechanical Engineering, and 5
percent or less Meteorological and Geologic Engineering.
These percentages may vary significantly from one month to another, depending on the needed expertise for the assignment.
2.0 NUCLEAR PLANT SYSTEMS ENGINEERING
~
For planning purposes, 20 percent of the total level of effort for this contract will be needed in the nuclear plant systems. engineering area, which includes reactor
- systems, auxiliary
- systems, and containment systems engineering.
The contractor may perform detailed safety assessments of significant operating reactor events, review design and performance of essential nuclear plant systems (including support and auxiliary systems, such as service water and RCS cleanup, and containment systems and subsystems),
i
a e
RS-NRR-86-051 Page 4 review engineered safety features and safety systems design and perfonnance adequacy, evaluate mass-energy models and hydrogen generation models for postulated accidents, and systems measures for mitigation, review design and performance of control room systems to ensure that operators are protected during accidents, post-accident systems including containment spray and atmospheric cleanup systems, and review balance of plant systems.
Examples of the type of tasks that may be assigned follow.
2.1 Fire Protection Review The Fire Protection Rule,10 CFR 50.48 and Appendix R to 10 CFR 50, became effective on February 17, 1981.
Licensees and applicants have requested exemp-tions and deviations from the rule based on the analysis of fire hazards.
As required, the contractor shall review this analysis to ensure that each alter-native to meeting the requirements of 10 CFR 50.48 and Appendix R provides an equivalent level of overall protection of plant safe shutdown capability.
The contractor shall use only expert systems engineers and fire protection engineers in conducting these reviews.
The contractor shall perform a review and evaluation of each exemption request using the requirements of 10 CFR 50.48 and Appendix R to 10 CFR 50 and the guidance of the Standard Review Plan (NUREG-0800), Section 9.5-1, Appendix A to BTP A PCSB 9.5-1, and the National Fire Protection Association Fire Codes.
The final Technical Evaluation Report (TER) shall include recommendations that the NRC grant or deny the exemption or-deviation request.
2.2 Coordination and Integration of Initiatives The design of the Safety Parameter Display System (SPDS), design of instrument displays based on Regulatory Guide 1.97 guidance, detailed control room design (DCRD), design review development of function-oriented emergency operating pro-l cedures, and operating staff training should be integrated with respect to the overall enhancement of operator ability to comprehend plant conditions and cope with emergencies. The three groups of initiatives--SPDS, control room improve-ments, and emergency response facilities (technical support center, emergency operation facility, operational support center) have many interrelationships.
Contract assistance will be used as needed by the staff in assessing the post-implementation validation and verification program of these initiatives.
The evaluations may require expertise with experience in systems integration and familiarity with SPDS, DCRD, and Regulatory Guide 1.97 requirements.
2.3 Unreviewed Safety Issues Changes related to safety of the plant requires the licensee to submit an ap-plication for amendment to the license pursuant to Section 50.90.
Contract assistance will be used as needed by the staff to review the unreviewed safety issues such as Transamerica Delaval, Inc. (TDI) diesel engines and Salem anticipated transients without scram (ATWS).
1
- - _.. - _ _ _ _,.. _ _,,,. ~,,, _..,
J A
RS-NRR-86-051 Pagm 5 2.4 Unanticipated Events (Nuclear Systems Skills)
As required, contractor assistance may be used in conducting initial safety assessment of unanticipated events occurring at operating power reactor facil-ities.
Initial generic technical evaluations related to safety may include aspects of nuclear power plant design, construction, or operations that are directly related to operating facilities.
This may include a rapid initial safety assessment of unanticipated events.
Results of the initial safety assessment may be presented orally on site and documented in.a letter report within a week of the oral presentation.
(See also 5.5.)
2.5 Shutdown Decay Heat Removal At the completion of the resolution of USI A-45, some of the plants may require an evaluation of the safety adecuacy of systems for removing decay heat from a reactor core during shutdown and to assess the value and the impact of alterna-tive measures for improving the. reliability of those systems.
In order to ac-complish these objectives, numerous tasks and subtasks have been identified, including system reliability assessments, system engineering feasibility studies, themal-hydraulic analysis, power plant characterizations, reviews of emergency operating procedures, and evaluation of the vulnerability of the systems to special emergencies such as fire, flood, earthquake, and sabotage.
Work on these aspects is in progress.
As required, the contractor shall perfom reviews and evaluations of the topics stated above for specific nuclear power plants and will provide a TER.
This could include extensive analysis of auxiliary feedwater reliabilities for a limited number of specific designs.
2.6 Pressurized Themal Shock Overcooling transients in pressurized water reactors, such as those resulting from instrumentation and control system malfunctions, small-break loss-of-coolant accide ts (LOCAs), main steamline breaks, feedwater pipe breaks, and stuck-o, safety valves, can cause an overcooling of the reactor vessel concurrent with or followed by repressurization.
This situation is called pressurized thermal shock (PTS).
If the fracture toughness of the plate and weld materials in the beltline region of the reactor vessel has been decreased by neutron irradiation, severe PTS events could cause failure of the vessel and melting of the core (USI A-49).
PTS rule will require extensive plant-specific risk analyses by licensees and implementation of necessary corrective actions for plants that will exceed the screening criteria in the rule.
A. detailed description of this issue can be found in NUREG/CR-2083,
" Evaluation of Pressurized Thernal Shock: Initial Phase of Study" (October 1981).
As required, the contractor shall perform reviews and evaluatior:s of licensee submittals for specified nuclear power plants or conduct evaluations and pro-vide technical evaluation inputs required for licensing actions.
m a
a RS-NRR-86-051 Paga 6 2.7 Integrated Schedules for Nuclear Plant Modification Schedules for plant modifications at operating reactors, both utility initiated and NRC required, are being negotiated between the NRC Project Managers and the licensees for operating reactors.
NRC will establish realistic plant-specific schedules that take into account the unique aspects of work at each plant. The objective is to establish an integrated implementation schedule for new and existing ' requirements reflecting relative priorities for each power reactor licensee.
As required, the contractor shall assist the staff in providing an objective technical assessment of the licensee's integrated schedule pr'ogram for plant modifications. The integrated schedule (IS) program review may include a thorough understanding of its contents and bases; e.g.,
the methods employed for judging work priority, constraints of licensee resources, overall schedule integration, and the mechanism planned for making changes to the IS. The contractor shall assess the overall validity of the IS as submitted by the licensee.
Factors to be considered in the assessment are coverage (IS includes all NRC initiatives and licensee commitments to NRC),
timing (realistic estimates of work durations and planning), and other factors.
At the completion of the review, the contractor shall provide a TER with a recommendation that the overall IS is or is not valid.
2.8 Non-Power Reactor Reviews A complete review of the Safety Analy(sis Report (SAR) is conducted by the NRC to ensure that the Non-Power Reactor NPR) licensee meets all of the applicable rules and regulations for relicensing.
The SAR must include infomation that thoroughly describes the facility, its operations, and all safety-related changes made during the previous license period.
The application for renewal will include the SAR, Technical Specifications, and Environmental Analyses.
The SAR will contain the design basis and operating limits for reactor operation; a safety analysis of the structure, components, and systems showing that they will be able to perform their intended functions; updated information on meteorological, seismic, and other natural and man-caused phenomena; and analyses of potential consequences of various accident scenarios. As required, the contractor shall review and evaluate the licensee's application submittal for each of the NPRs in accordance with the criteria provided in Appendix A
" Standard Review Outlined for Sections of Safety Evaluation Report for Licensing of Non-power Reactors." On occasion the contractor may be requested to conduct independent evaluations related to NPRs.
At the completion of technical evaluations the contractor shall provide TERs to the NRC.
2.9 Safety Assessment Program The Safety Assessment Program will address all pertinent safety issues at an operating nuclear power plant and provide an integrated cost-effective implementation plan. The licensee will provide probabilistic and deteministic analyses that address selected safety issues.
The licensee's submissions will be reviewed by NRC to verify the validity of the proposed resolutions of the issues and the implementation schedule and to estimate the relative safety importance of selected issues.
Depending on the infomation submitted, as required, the contractor may review the licensee's analysis or provide a separate assessment based on other available probabilistic risk assessment (PRA) studies.
T
-J C
RS-NRR-86-051 Pagn 7 2.10 Reviews for ATWS Topic or ATWS Rule Implementation Generic Letter 83-28 permits plant-specific implementation schedules [ pursuant to 10 CFR 50.54(f)] to be established in coordination with the NRC Project Manager that take into account any unique competing safety requirements and priorities of each plant.
Each licensee will be requested to submit a proposed schedule for completing the actions to comply with these intermediate-tem re-quirements.
The technical assistance may be used on an as-needed basis to assist the staff to complete the reviews in a timely manner.
The contractor may be required to review the s'ubmittals of licensees and provide written TERs to the NRC. Similar technical assistance may be needed for implementation of an ATWS (anticipated transients without scram) rule.
(See NUREG-1000, " Generic Implication of ATWS Events at the Salem Nuclear Power Plant," April 1983.)
(
2.11 Reliability of Systems and Equipment Important to Safety The designs of a nuclear power plant are developed by groups of engineers and scientists organized into engineering and scientific disciplines.
The reviews performed by the designers include interdisciplinary reviews to ensure the functional compatibility of the plant structures, systems, and components.
Reviews and evaluations of safety systems and equipment are accomplished in
[
accordance with the Standard Review Plan (SRP).
Occasionally there are ques-tions regarding the reliability of systems and equipment important to safety of various plant systems, both as to the supporting roles such systems play and as to the effect one system can have on other systems. Contract assistance may be needed in reviewing the reliability of plant-specific systems and related equipment important to safety.
Results of the review will be reported in the TER.
2.12 Balance-of-Plant Systems A number of unanticipated plant transients are caused by balance-of-plant (B0P) systems. Examples include reactor shutdowns caused by feedwater control system failures, other control system failures, turbine pilot valve / throttle valve failures, and leaks on overpressurization in the instrument air systems, or losses of offsite power caused by failures of onsite distribution systems. The contractor shall support the NRC staff in evaluating the need for improving the quality and reliability of these systems.
The objective of this task will be to improve safety of plants by improving the operation of BOP systems.
At the completion of this task, the contractor will provide reccnnendations in a final TER input to the staff's effort for improving the plant safety.
3.0 NUCLEAR PLANT ELECTRICAL ENGINEERING For planning purposes, 20 percent of the total level of effort for this con-tract will be needed in the electrical engineering area, which includes instru-mentation and control (I&C) and power systems engineering.
As required, the contractor shall evaluate the design and maintenance of plant instrumentation that provides for automatic safety actuations or information to the control room or outside the control
- room, including post-accident monitoring instrumentation.
This task shall include technical evaluations of plant instrumentation and control systems; i.e., reviews of electrical and
a o
RS-NRR-86-051 Page 8 physical separation issues, redundancy, and other issues related to established l
standards; evaluates plant power systems necessary to accomplish safe cold shutdown, power system adequacy for system performance during accident conditions, offsite and onsite power sources and distribution systems related to safety equipment and instrumentation (including diesel generators, offsite power availability and reliability issues, and offsite grid issues).
Examples of the type of tasks that may be assigned follow.
3.1 Instrumentation and Control Power Interactions Safe operation of a nuclear power plant requires that sufficient information be i
available to operators at all times to bring the plant to a safe shutdown condition in the event of a loss of offsite power or some other emergency.
(1) An I&C power supply fault can cause a critical challenge to standby engineering safety features (ESFs); i.e., cases including reactor trips, loss of main feedwater, loss of offsite power, etc.
(2) The same I&C power supply fault could defeat some of the ESFS called on to mitigate the initiating event, for both core cooling systems and containment cooling systems.
(3) The same I&C power supply fault could blind or partially blind operators to the status of the plant and prevent them from taking appropriate recovery actions.
1 As required, the contractor shall either conduct evaluations for the NRC or review information provided by the licensees to determine if the power supply and bus arrangements for the status annunciator systems and indication instru-mentation are adequate to ensure that at least one channel of information is 1
available at all times.
The power supply system status annunciator system may also be reviewed to detemine if it is adequate to ensure that the operators will be aware of any degradation that may have occurred.
3.2 Instrumentation to Assess Plant Conditions Instrumentation for light-water-cooled nuclear power plants, used to assess plant environmental conditions during and following an accident and to provide infomation important to safety, is required for the control room operating personnel.
Instrumentatiol is also provided to indicate infomation about plant variables required to enable the operation of manually initiated safety systems and other appropriate operator actions involving systems important to safety. The contractor shall, as required, either conduct evaluations for the NRC or review information provided by the licensees to determine compliance j
with Regulatory Guide 1.97 and Supplement 1 of NUREG-0737, " Clarification of TMI Action Plan Requirements:
Requirement for Emergency
Response
' Responsibility" (January 1985) (SPDS and DCRD).
As required, the contractor 1
shall assist NRC in completing remaining unfinished SPDS and DCRD reviews.
I 4
I t,_
s s
RS-NRR-86-051 Paga 9 3.3 Safety-Related DC Power Supplies The NRC's study of the adequacy of DC power supplies was documented in NUREG-0305, " Technical Report on DC Power Supplies in Nuclear Power Plants" (July 1971).
This study recommended the perfomance of quantitative reliabil-ity assessment. This assessment was performed and documented in NUREG-0666, "A Probabilistic Safety) Analysis of DC Power Supply Requirements for Nuclear Power Plants" (April 1981.
NUREG-0666 recommendations are being converted into requirements.
Implementation guidelines are also being developed.
As required, the contractor shall review the licensees' submittals in response to implementation requirements approved by the Committee to Review Generic Requirements (CRGR).
3.4 Diesel Generator Reliability l
l Operation of a nuclear power plant requires that diesel generators supplying onsite emergency power be available on demand for safe shutdown of the reactor in the event of an accident or loss of offsite power. NUREG/CR-0660,"Enh'ance-ment of Onsite Emergency Diesel Generatar Reliability," has addressed operating experience problems that have had an effect on the reliability and availability of onsite emergency diesel generators at various nuclear plants and provided reconnendations for correction of these problems.
Pending final resolution of GSI B-56,
" Diesel Generator Reliability "
the interim diesel generator reliability improvement program may require contractor technical assistance in conducting technical evaluations of the licensee submitals in this area and the contractor shall provide results in TERs to the NRC.
Generic Letter 84-15 proposing staff actions to improve and maintain diesel generator reliability was issued to all licensees of operating plants.
Licensees have described their diesel generator reliability improvement program, if any, for attaining and maintaining a reliability goal.
This infomation together with other studies is presently being considered to determine' the necessity for any further actions.
3.5 Station Blackout _
Concurrent loss of offsite and emergency onsite sources of alternating current electric power is referred to as station blackout (USI A-44).
Many safety sys-tems required for decay heat removal from the reactor core and containment heat removal are dependent on the availability of this power.
The NRC staff has completed NUREG-1032, " Evaluation of Station Blackout Accidents at Nuclear Power Plants" (May 1985), presentitig the technical findings on this issue.
Recommendations for specific improvements to reduce risk from loss of all AC power have been developed. These recommendations are being incorporated into a proposed rule and regulatory guide.
Implementation may require technical assistance of the contractor to conduct plant-specific or generic reviews.
3.6 pualificationofSafety-RelatedElectricalEquipmentforSeismicand Lynamic Loads (Electrical Engineering Skills)
The USI A-46 program investigated the adequacy of seismic qualification methods used for electrical equipment installed in older nuclear plants, and detennined that it is necessary to develop proposed requirements that could be implemented I
8 RS-NRR-86-051 Pags 10 in a practical cost-beneficial way to ensure that equipment in older plants can adequately withstand a seismic event and ensure the capability to safely shut down the plant (NUREG-1030, " Seismic Qualification of Equipment in Operating Nuclear Power Plants," with attachment August 1985).
Each licensee of an operating reactor which has not been previously reviewed to current licensing criterion would be required to perfom a seismic verification review and report the results.
Seismic verification may be accomplished generically by vendor design analysis.
As
- required, the contractor shall review the licensee and applicants' submittals for compliance with NRC criteria using a set of review guidelines developed by the NRC.
The review guidelines will be based on Regulatory Guide 1.100, Institute of Electrical and Electronics Engineers (IEEE) Standards 344-1975 and 323-1974; and Sections 3.9.2, 3.9.3, 3.10, of the Standard Review Plan. NUREG-1018. " Seismic Qualification of Equipment in Operating Plants," was issued in September 1983.
(See also 9.4.)
4.0 MATERIALS AND STRUCTURAL ENGINEERING For planning purposes, 20 percent of the total level of effort for the contract will be needed in the materials and structural engineering area.
As required, the contractor shall (1) evaluate the materials engineering, in-service inspection, and materials integrity aspects of design and perfomance of systems structures and components (SS&C) of nuclear power plants; (2) evaluate design loads, structural criteria and margins, static and dynamic analyses, and potential impact of external events, such as earthquake and flooding; (3) evaluate the stability of materials used inside containment to detemine post-accident p(erformance (including aging) and determine impact on system performance; and facilities, such as spent fuel pool modifications.
Examples of the type of tasks that may be assigned follow.
4.1 Welding The staff occasionally conducts technical evaluations of welding, fabrication, inspection, quality assurance. of welded structures, components and systems in nuclear power plants.
The analyses are conducted based on the Codes 1)
American Society (AWS) Standard D.1.1. and American National Standards Institute of Mechanical Engineers (ASME)Section III, NF, American Welding Society (ANSI) Standard B.31.1.
As required, the contractor shall assist NRC in conducting evaluations of welding practices used in the field.
At the completion of the task, results shall be reported in a final TER.
The contractor shall have field experience in welding / materials / structural engineering.
a i
RS-NRR-86-051 Page 11 4.2 Stress Corrosion Cracking in BWR Pressure Boundary Piping Inspections conducted at several boiling water reactors (BWRs) revealed inter-granular stress corrosion cracking (IGSCC) in large-diameter recirculation and residual heat removal piping. Generic Letters 84-07 and 84-11 provide guidance to licensees planning to replace recirculation system piping (or other reactor coolant system pressure boundary piping) with materials that are less suscepti-ble to intergranular stress corrosion cracking.
In particular, guidance regarding NRC reviews and approvals that may be necessary is provided.
As required, contractor shall assist NRC in reviewing or analyzing stress analysis for the recirculation and other replaced piping systems that verify the licensee's demonstration that allowable limits have not been exceeded.
The contractor shall be knowledgeable in all aspects of IGSCC materials and water chemistry.
t 4.3 Bolting Degradation or Failure in Nuclear power Plan'ts A large number of the reported bolting incidents are related to primary pres-sure boundary applications and major component support structures.
Therefore, there is increasing concern regarding the integrity of the primary pressure boundary in operating nuclear power plants and the reliability of the component I
support structures following a LOCA or an earthquake.
As required by the NRC, the contractor shall conduct independent evaluations or review the submittals j.
of the licensees and provide written TERs to NRC.
4.4 Inservice Inspection Program Licensees for boiling or pressurized water reactor nuclear power facilities are required by 10 CFR 50.55 to have an inservice inspection program that meets the requirements of NRC and the ASME Boiler and Pressure Vessel Code.
If the licensee determines that it is impractical to meet certain Code requirements, a justification must be provided to the Coninission that can grant relief from specific requirements or impose alternate requirements.
As
- required, the contractor shall review licensee submittals for the implementation of inservice inspection programs that request relief from the requirements and provide written technical evaluations to the NRC.
In some cases, independent evaluations by the contractor may be necessary.
The reactor vessel is an integral part of the pressure boundary and its struc-tural integrity must be evaluated throughout its service life.
Periodic exami-nations of the vessel are performed to detect service-induced flaws in the ves-sel welds and base materials.
To determine the vessel's capability to continue its function with an adequate safety margin during steady-state and transient conditions, sufficient data relative to each reactor vessel is necessary for input to structural integrity analyses.
The purpose of this program is to provide a compilation of data on reactor ves-sels (including design, materials of construction, fabrication history, preser-vice and inservice examination methods and results, identification of welds in-accessible for state-of-art examination techniques, and the identification and location of any recordable flaws found during examinations or inspections). As required, the contractor shall assist NRC to compile and update the data neces-
J
.a RS-NRR-86-051 Pag 3 12 i
sary to assess the structural integrity of each reactor pressure vessel (throughout its service life) at all licensed facilities.
Some of the data input will be based on information contained in reports required to be submitted by licensees under the inservice inspection program.
4.5 PWR Steam Generator Tube Integrity j
Tube degradation results from a combination of problems related to mechanical design, materials selection, fabrication techniques, and secondary system design and operation. An integrated program for the resolution of this problem (USIs A-3, A-4, and A-5) has been drafted by NRC staff and focuses on the following topics:
prevention and detection of loose parts and foreign objects in steam generators, inservice inspections of steam generator tubes, control of secondary water chemistry, inservice inspection of the condenser for converting steam back to. water, the limit on primary-to-secondary leakage, the limit on iodine radioactivity in the coolant water, and the reset of the safety injection signal after tube ruptures in steam generators.
The contractor may be required to evaluate the licensee's and applicant's submittals for compliance with requirements and report the results of the review in a TER.
4.6 Spent Fuel Pool Modifications New spent fuel storage rack designs proposed by licensees are reviewed for structural design, materials aspects, analysis procedures for all loads (including seismic and impact loadings, loading combinations and structural l
acceptance criteria), and quality control for fabrication and installation.
The review is perfonned in accordance with Sections 3.7 and 3.8 of the Standard Review Plan and the associated branch technical position on spent fuel storage.
As required, the contractor shall review the licensee-proposed modification for compliance with NRC criteria or conduct independent technical evaluations and provide the results in a TER.
I 5.0 REACTOR OPERATIONS PERSONNEL AND HUMAN FACTORS ENGINEERING For planning purposes, 10 percent of the total level of effort for this I
contract will be needed in the reactor operations personnel and human factors engineering areas.
As required, the contractor shall review human factors issues of plant i
operation (including operator response to transient and accidents, control room displays and information access, adequacy of equipment for the operator to respond to accidents inside and outside the control room, plant staffing
- issues, procedures for normal and abnormal events including emergency procedures, administrative and management issues for control of safety at 3
l facilities, and human factors design issues), as well as organizational matters of plant staffs dealing with the training and licensing of personnel (including 1
examination of simulator operations, organizational review activities.
l technical specification adequacy for maintenance and surveillance, plant startup and preoperational test programs, and test procedures and programs).
l As required, the contractor shall also review quality assurance / quality control (QA/QC) programs that include documentation of and associated infonnation and interviews with appropriate personnel, plant inspection, and assessment of allegations.,
l Examples of the type of tasks that may be assigned follow.
l l
',L-
a RS-NRR-86-051 Paga 13 5.1 Man-Machine Interfaces The purpose of reviewing the human factors aspects of man-machine interfaces in control rooms of nuclear power plants is to minimize the potential for operator error.
As required, the contractor shall assist NRC in the development of regulatory guidance for local control stations, annunciator systems, and other man-machine interface areas.
Results will be provided in a TER for each evaluation completed.
5.2 Maintenance and Surveillance During the performance of the Maintenance and Surveillance Program Plan (MSPP) activities, as required, the contractor shall assist the NRC in assessing the nature and cause of both plant-specific and generic issues and problems per-taining to maintenance,.by providing technical evaluations and recomending appropriate courses of action.
For example, a loss-of-feedwater event at Davis-Besse was assessed to have been further compounded by deficiencies in the licensee's maintenance program.
An NRC team made up of staff and contractor personnel conducted a detailed site survey of the Davis-Besse maintenance pro-gram and practices and provided a technical evaluation.
It is also possible that a generic problem may develop that, because of its magnitude and/or its technical specialization, may require the assistance of a contractor.
As NRC proceeds to carry out the activities of the MSPP and conduct a review of nuclear power plant maintenance, it is expected that difficult technical issues related to maintenance will requira technical assistance.
As required, the contractor shall perfonn onsite reviews and evaluations of licensee-provided information for specific nuclear power plants and will pro-4 vide technical evaluation inputs required for licensing actions.
5.3 Technical Specifications Licensees occasionally propose amendments to existing Technical Specifications j
for operating convenience and improved safety.
As recuired, the contractor shall review the proposed individual Technical Specification amendments for compliance with existing NRC requirements for their piant.
In addition, the contractor may perfonn generic or plant-specific assessments of the need for Technical Specification changes at the request of NRC.
Such assessments may range from a review of the bases and methods to establish power reactor Tech-l nical Specifications to a need to change specific limiting conditions of operation (LCOs).
5.4 Technical Specification Modification Program As required, the contractor shall assist in implementing a program to modify existing operating reactors Technical Specifications so as to realize the im-l provements identified by the Technical Specification Review Group. This effort l
would result in the elimination of existing regulatory requirements that are not necessary for safety and bring about more efficient and effective utiliza-l tion of NRC and licensee resources in the future.
This program may be l
initiated in the beginning of FY 1987 and will include approximately one-third of the operating plants (30 to 35) each year through FY 1989.
- = -
o RS-NRR-86-051 Pagg 14 4
5.5 Operational Safety Assessments (Reactor Operations and Human Factors Skills)
~
Prompf ' reviews and technical support may be required 'on issues related to unan-ticipated events of possibly immediate safety concern.
In addition, when re-i quired, the contractor shall review event sequences against licensing analyses, evaluate plant and operator perfonnance during events, evaluate the adequacy of e
ifcensee procedures for responding to events, identify generic implications, review licensee analyses, and evaluate corrective actions before plant restart.
Examples of such events include (1) the discovery of an inoperable containment i
spray system, (2) break in a main feedwater line due to water hanmer, (3) failure of automatic shutdown systems, and (4) unavailability of all three i
auxiliary feedwater pumps.
(Seealso2.4.)
5.6 Near-Tern Operating License Reviews l
As required, the contractor shall assist the NRC in determining whether or not alleged improper practices during the construction at the nuclear power plant were valid, and whether any departures from proper practice were significant to the safety of the plant and have generic implications concerning other quality control practices or other safety systems at the plant. As required, the con-tractor shall assist NRC in determining whether there is proper implementation of the applicant's and vendor's quality assurance programs at the plant site.
Activities will include intensive investigations conducted at the plant site or at its major contractors or vendors and followup documentation of the investigation in a Safety Evaluation Report (SER) format.
The contractor shall possess technical capabilities to complete these types of evaluations that sh'411 include engineering and project management expertise in the areas of plant systems, quality control / quality assurance programs at l
nuclear power plants, and industry standards, as well as technical talents in specific areas such as welding, fire protection, cablepulling, mechanical piping, and structural engineering.
l Multi-disciplinary teams may be required to conduct technical evaluations, and conclusions will be presented in a written TER.
Contractors may be called to testify at the Licensing Board Hearings in support of their technical evaluation reports.
6.0 NUCLEAR ENGINEERING For planning purposes,10 percent or less of the total level of effort for this l
l contractor will be needed in the nuclear engineering area.
As required, the contractor shall review and evaluate the nuclear core design I
and perfonnance, potential and observed fuel failure mechanisms and consequences relative to design bases, reactivity control systems, submittals for spent fuel pool modifications and rod consolidation or storage methodo1'ogies and applications, source-term issues regarding fuel performance or release of radioactivity.
l Examples of the type of tasks that may be assigned follow.
i
.s RS-NRR-86-051 4
l Pag 2 15 4
6.1 Accidents in Spent Fuel Pools The risks of beyond design basis accidents in the spent fuel storage pool were examined in the December 1975 WASH-1400 (NUREG-75/014), " Reactor Safety Study:
An Assessment of Risks in U.S. Commercial Nuclear Power Plants," (App.1, pp.
l 1-96ff). It was concluded that these risks were orders of magnitude below those involving the reactor core.
The reasons for re-examining spent fuel storage pool accidents are two-fold.
First, spent fuel is being stored instead of reprocessed.
This has led to the expansion of onsite fuel storage by means of j
high-density storage racks, which results in a larger inventory of fission products in the pool, a generator heat load on.the pool cooling system, and l
less distance between adjacent fuel assemblies.
Second, some laboratory studies have provided evidence of the possibility of fire propagation between assemblies in an air-cooled environment scenario which was not previously considered.
This subject is presently identified as Generic Issue 82, the i
resolution of which may require licensee evaluations and modifications of existing facilities, or modifications thereto. Until resolution of the Generic Issue, evaluations of accidents in spent fuel pools are to be evaluated using the criteria contained in the SRP.
As required, the contractor shall review the submittals from licensees that i
request spent fuel storage expansion and provide written TERs to the NRC.
i i
6.2 Reload Evaluations The NRC receives plant reload applications from Westinghouse, General Electric (GE), Combustion Engineering (CE), and Babcock and Wilecx (B&W) plants.
Areas of evaluation may involve determination of (1) significant increase in the probability or consequences of an accident previously evaluated, (2) the i
possibility of new or different kinds of accidents from any accident previously j
evaluated, or (3) margins of safety.
The changes in system design and operation and in safety analysis methods introduced in reload applications i
require an independent assessment and safety evaluation.
As required, the contractor shall assist in conducting technical reviews of the reload applications as well as detailed safety analysis audit calculations. The scope of these calculations may include static and transient power distributions, reactivity coefficients, variation of core parameters with fuel depletion, xenon characteristics and stability, control requirements and worth, startup procedures and testing, and transient and accident analysis.
The results of these audit calculations are used to confirm the licensee prediction of the key reload safety input parameters (reactivity coefficients, rod work, F '
O etc.) as well as the calculation of specific aspects of reload safety analysis.
i l
l 7.0 RADIOLOGICAL ENGINEERING 1
l For planning purposes, 5 percent of the total level of effort for this contract will be needed in the radiological engineering area that includes radiation j
protection.
l I
1
. 0 4
RS-NRR-86-051 Page 16 j'
The contractor, as required, shall review radiological aspects of plant systems design (containment cleanup, etc.), plant operations and radiological programs that address the radiation sources during normal operations, anticipated opera-i tional occurrences and accident conditions, effluent system design, treatment methods for effluent, expected releases during waste treatment, gaseous waste management, solid waste management, radiological protection design and perfor-mance features of nuclear plants; and shall evaluate source tem issues.
Examples of the type of tasks that may be assigned follow.
7.1 Low Level Waste Disposal Procedures A licensee or applicant for a license may apply to NRC for approval of proposed i
procedures to dispose of licensed material in a manner not otherwise authorized in the regulations.
Each application includes a description of the licensed j
material and any other radioactive material involved, including the quantities and kinds of such materials and the levels of radioactivity involved, and the proposed manner and conditions of disposal.
As required, the contractor shall i
review the applicant's analysis and evaluations of pertirent information as to i
the nature of the environment, ground and surface wi.ter in general areas, potentially affected facilities, and procedures to be observed to minimize the risk of unexpected or hazardous exposures.
Proposed disposal procedures may include sanitary sewage systems, treatment, and incineration.
I 7.2 Severe Accident Policy Implementation The objective of this assignment is to assist in the implementation of the Commission's Policy on Severe Accidents and to make regulatory use of new source term infomation. The implementation plan provides for the resolution of severe accident issues through the (1) systematic examination of existing plants for particular vulnerabilities to severe accidents, (2) clarification of i
i procedures and requirements for new plant applications concerning severe i
accidents, and (3) regulatory utilization of improved infomation on source terms.
l l
The initial analysis of the operating reactors, to be perfomed using a formal methodology approved by the NRC, is likely to identify more than one potential vulnerability per plant.
The process of deciding which of these l
vulnerabilities represents a real safety problem and deciding what remedial l
action is advisable will require technical analyses on the part of the utilities and reviews by the NRC.
The clarification of procedures and requirements for new plants regarding severe accidents will largely involve the development of guidance on the role of probabilistic risk assessment (PRA) in the regulatory process.
Because of the wide diversity of tasks involving severe accidents as well as PRA, the contractor should have expertise and capabilities to perform the full range of disciplines involving severe accident phenomena. This includes exper-tise in the calculation of accident sequence likelihood, both from internal as l
well as external events; assessment of core damage frequency; assessment of i
containment loads as well as containment performance under severe accidents; evaluation of fission product behavior and transport within the core, primary coolant system, and containment under severe accidents; and assessment of off-site consequences in the event of release of a fission products.
mr---,..,
...-.-,--c----.--.-.--.m,_~.w----%,-
--mm------.
RS-NRR-86-051 Pag 3 17 As required, the contractor shall perform evaluations for the (1) systematic examination of existing plants for particular vulnerabilities to serve accidents, (2) clarification of procedures and requirements for new plant applications concerning severe accidents, and (3) ' regulatory utilization of improved information on source terms.
The results of the analyses shall be provided in a TER to the NRC.
l 7.3 Radiological Equipment and Component Replacement Programs Steam generators at several PWRs have experienced tube degradation, which re-quired tube repair or replaument.
Previous analyses of the radiological j
impact of removing and replacing corroded steam generators have been updated based on experience at Surry Units 1 and 2 and Turkey Point Units 3 and 4.
The i
sleeving repairs of degraded tubes at San Onofre Unit 1, Point Beach Unit 2, and Ginna were also analyzed.
Actual occupational doses incurred during j
application of the various technologies used in repair work were included, along with radioactive waste quantities and constituents.
As required, the contractor shall review the licensee's plan for compliance with NRC criteria and regulations. The NRC criteria will be those established based on past reviews covering such topics as occupational radiation exposure estimates, i
radiological effluent estimates, and licensee efforts to maintain occupational radiation exposure as low as is reasonably achievable (ALARA).
i When necessary, the contractor shall conduct independent evaluations to confirm i
the licensee's analysis regarding radiological impact of repairing and/or re-placing major equipment or components within a nuclear power reactor. The review will include the preparation of TERs.
The contractor may provide input to Environmental Statements and expert testimony for Atomic Safety Licensing Board (ASLB) hearings on the subject.
3 j
7.4 Radiological Effluent and Environmental Monitoring Programs i
The objective of this task is to provide the capability to evaluate documentation provided periodically by licensees to fulfill requirements imposed by Radiological Effluent Technical Specifications (RETS).
Portions of the RETS require that specific detailed documentation be submitted periodically 1
to NRC to record changes to the reference documents and report results of l
effluent and environmental monitoring, as well as to detail situations in which Technical Specification limits have been exceeded. Among this documentation is l
the semiannual reporting of changes to the Offsite Dose Calculation Manual l
(00CM), Process Control Program (PCP), and radwaste treatment systems that have j
been approved internally by the licensee.
The review of these documents j
becomes more important as the plants age.
The contractor, as required, shall assist NRC in reviewing and evaluating the detailed changes to the ODCM, PCP, and radwaste treatment systems using the same guidance as was used for the initial staff approval at the licensing stage. These overview observational data will be used in turn to refine or revise calculational models supporting licensing requirements and for early 4
v.,,-,,- m -,,, -. - - -.
,_-,,m,,-,n nw.
_w.n,-,--,---,~,,.~.,._
.w,-
-,--,_ ~ nrn,-
RS-NRR-86-051 Page 18 identification of potential generic problems.
The contractor shall provide a letter report for the nonproblem plants at the completion of a mini-review and will provide a TER for each problem plant for which a technical evaluation is completed. The Project Officer will determine the need for preparing a TER.
These TERs will assist the NRC staff in developing plant-specific and industry-wide trends.
7.5 Worker Radiation Protection Improvements The objective of this task is to improve nuclear power plant worker radiation protection to allow workers to take effective action to control the course and consequences of an accident, as well as to keep exposures as low as reasonably achievable (ALARA) during normal operation and accidents, by improving radia-tion protection practices, health physics, in-plant radiation monitoring, con-trol room habitability, and radiation worker exposure data base.
NRC is coordinating with the Institute for Nuclear Power Operations (INP0) in an effort to improve overall radiation protection and ALARA programs in the industry.
NRC will evaluate, as necessary, various aspects of the industry's radiation protection efforts.
The following areas may be included under this task:
(1) reducing activated corrosion product at light-water reactors (LWRs), (2) reducing exposure from maintenance and inspection of reactor plants, (3) providing shielding source terms, (4) compiling exposure data, (5) developing inplant radiation dose rates, (6) evaluating neutron streaming at PWRs, and (7) compiling and assessing radiation protection data and information from NRC and industry sources.
In addition, licensees provide for emergency activities to prevent accidents or to minimize accident consequences.
These activities often require the application of sound health physics practices. As required, the contractor shall review the submittals of licensees or conduct plant-specific evaluations and provide written TERs to the NRC.
8.0 RISK AND RELIABILITY ENGINEERING For planning purposes, 5 percent of the total level of effort for this contract will be needed in the risk and reliability engineering area.
As required, the contractor shall perfonn or review plant-specific probabilis-tic assessments and results, evaluate reliability and risk estimates to support i
plant-specific activities, review prioritization of safety issues based on safety significance, and review safety goal issues and analyses to support plant activities based on cost-benefit analyses.
Examples of the type of tasks that may be assigned follow.
8.1 Evaluation and Utilization of Probabilistic Risk Assessments Several utilities are performing probabilistic risk assessments (PRAs) of their power plants to identify potential weaknesses that might warrant plant modifi-cation. actions that should be taken at the plants. As required, the contractor i -
~
RS-NRR-86-051 Paga 19 shall validate the plant damage state analyses presented in PRAs submitted by the utility.
The evaluation should identify the dominant sequences associated with the different plant damage states and the major contributors to these se-quences, and perform a critical review of the PRA of the nuclear power plants.
As required the contractor shall perfonn independent analyses of safety issues, either plant-specific or generic, to provide a PRA of the issues.
9.0 MECHANICAL ENGINEERING For planning purposes, 5 percent of the total level of effort for this contract will be needed in the mechanical engineering area.
As required, the contractor shall (1) evaluate equipment design and perfonnance to meet safety function and operability requirements; (2) evaluate seismic and dynamic qualification of equipment, component behavior during various conditions, and operating margins for mechanical equipment; (3) review load handling systems for nuclear power plants including those used for refueling and fuel pool operations; (4) verify structural integrity, capacity, and margins associated with mechanical equipment; and (5) review and evaluate conditions associated with various postulated events such as earthquakes, man-related hazards, floods, pipe breaks, and the threat of these events to the integrity of mechanical equipment.
Examples of the type of tasks that may be assigned follow.
9.1 Environmental Qualification of Mechanical Equipment The NRC will make a determination regarding the need to review the environmental qualification of safety-related mechanical equipment in operating plants. Licensees may be required to provide submittals and documentation to demonstrate the environmental qualification of this equipment. The contractor, as required, shall review licensee submittals or conduct evaluations to detennine compliance with the NRC requirements / acceptance criteria.
9.2 Piping and Support Reanalysis l
There have been several cases in which licensees have been required to perform piping and support reanalyses.
These cases resulted from the discover) of either incorrect modeling assumptions or computer code errors. To resolve this type of problem, the licensee must assess the extent of the problem, obtain j
either verified modeling data or computer codes, perform reanalyses of the i
affected piping and supports, and make any required field modifications, l
The contractor, as required, shall review and evaluate the infonnation i
i submitted by the licensee (plant-specific) or conduct independent evaluations to document the appropriateness of the licensee's actions.
This work will require a strong background in piping analysis and support design and experience in the application of the ASME Code,Section III. This work will be consistent with Piping Review Connittee recommendations (NUREG-1061, " Report of the U.S. Nuclear Regulatory Connission Piping Review Connittee," Vols.1-4, l
1984).
i l
?
i l
o RS-NRR-86-051 Page 20 9.3 Component Cooling Water System Failures Interruption of seal cooling may lead to reactor coolant pump (RCP) seal failure and subsequent loss of primary coolant to containment, i.e., a small LOCA.
For plants in which the component cooling water system is also used for cooling reactor coolant system makeup pumps, makeup capability could be lost coincident with the seal. leakage and core melt could result.
The program will reconnend what steps the NRC should take, if any, to ensure increased reliability of the component cooling water system relative to its RCP seal cooling function.
Test data will be reviewed to determine the time to failure of seals without seal cooling and the leak rate resulting from this type of failure.
A review of instrumentation available to the operator, as well as automatic or manual actions that can be taken to minimize interruptions of RCP seal cooling or prevent unacceptable consequences from loss of seal cooling, will be performed.
As required, the contractor shall assist the NRC in completing these reviews.
9.4 Qualification of Safety-Related Mechanical Equipment for Seismic and Dynamic Loads (Mechanical Engineering Skills)
The USI A-46 program investigated the adequacy of seismic qualification methods used for mechanical equipment installed in older nuclear plants, and determined that it is necessary to develop proposed requirements that could be implemented in a practical cost-beneficial way to ensure that equipment in older plants can adequately withstand a seismic event and ensure the capability to safely shut down the plant (NUREG-1030 with attachment August 1985).
Each licensee of an operating reactor that has not been previously reviewed to current licensing criterion would be required to perform a seismic verification review and report the results. Seismic verification may be accomplished by the individual licensees based on generic positions.
As required, the contractor shall review the licensee's and applicants' sub-mittals for compliance with NRC criteria using a set of review guidelines developed by the NRC.
The review guidelines will be based on Regulatory Guide 1.100 and Sections 3.9.2, 3.9.3, and 3.10 of the Standard Review Plan.
NUREG-1018 " Seismic Qualification of Equipment in Operating Plants," was issued in September 1983.
(Seealso3.6.)
9.5 Vibration Qualification of Equipment Various equipment in a nuclear power plant may be subjected to accident-induced dynamic loads and other vibrations during their installed lives.
Dynamic loads and other vibrations may have detrimental effects on the functional capability of safety-related mechanical and electrical equipment.
Failure of the equip-ment could lead to loss of core cooling and core melt.
As required, the contractor shall conduct independent evaluations or evaluate the licensee's submittals to detennine the extent to which dynamic loads and other vibration in the plant's equipment qualifications program have been considered.
o RS-NRR-86-051 Page 21 10.0 METEOROLOGICAL AND GEOLOGIC ENGINEERING For planning purposes, 5 percent or less of the total level of effort for this contract will be needed in the meteorological and geologic engineering area.
As required, the contractor shall review or evaluate (1) conditions associated with
- postulated events such as earthquakes, winds, floods, pipe breaks, and their potential to cause radiological consequences onsite and offsite; (2) is-sues related to geologic, seismic, hydrolo<11c, and demographic characteristics of reactor sites; (3) the impact of p' ant operations and the potential influence of the plant and its facilities on local meteorological conditions; (4) dispersion estimates for potential accidental releases or effluents to the atmosphere, and for routine releases of effluents to the atmosphere; and (5) dose computations.
Examples of the type of tasks that may be assigned follow.
10.1 Geology and Seismology Forecasted activity in this area is low.
However, based on new information (for example, the occurrence of si site, or the discovery of faulting)gnificant earthquakes, such as at the Perry
, the NRC may be required to review licensee submittals or conduct independent technical evaluations to assess the safety of the geological and seismological aspect of one or more plant sites.
As required, the contractor shall conduct assigned reviews using the guidance in' ustry standards, and guidance and contained in NRC Regulatory Guides, d
acceptance criteria in the Standard Review Plans (SRP) in the areas of geology and seismology.
The reviews may typically consist of a review of the site geology and seismology including field, laboratory, and other data sources, such as earthquake compilations and regional geologic mapping.
This may require (1) recommending additional investigations to obtain the required data, or assembling of relevant infomation through literature search, contact with regional
- experts, and contact with NRR; (2) making evaluations and reconnendations pertaining to the proposed geologic and seismic design bases; and (3) attending meetings with the NRC personnel to brief them and interact in the licensing process. The results of the contractor's reviews will be documented in TERs.
10.2 Hydrologic Engineering Licensing decisions for nuclear power plants rest, in part, on safety and envi-ronmental evaluations of the hydrologic aspects of the site, the plant, and site-plant interactions.
" Hydrologic" is used here in the broad sense of the word and includes such disciplines and subject areas as surface and ground j
water hydrology, hydraulics, physical oceanography and limnology, coastal engineering, and the liquid transport of radionuclides.
The areas may include j
site modifications and drainage systems.
Forecasted activity in this area is low.
l The contractor may perfom reviews and evaluations of the hydrologic aspects of specified nuclear power plants in accordance with SRP Section 2.4.1 through i
i 2.4.14.
l i
i,
RS-NRR-86-051 j
Page 22 e
C.2 LEVEL OF EFFORT The exact number and scheduling of projects cannot be determined.
No specific amount of work is either guaranteed or implied. The contractor will be compen-sated only for work actually ordered and perfonned.
If such requirements fail '
to materialize in the number estimated below, such failure shall not constitute grounds for an equitable adjustment hereunder.
The most likely level of effort is estimated at 25 to 30 professional staff i
years (psy) per year for 3 years with an option of an additional 2 years.
Option of additional staff years of effort FY-87 FY-88 FY-89 FY-90 FY-91 25-30 25-30 25-30 25-30 25-30 Section D - Packaging and Marking
~
D.1 Packaging and Marking The Contractor shall use standard commercial packaging for all items l
j to be delivered.
On the front of the package, the Contractor shall L
clearly identify the contract number under which the product is being provided.
Section E - Inspection and Acceptance E.1 INSPECTION OF SERVICES--COST-REIMBURSEMENT.
(a)
Definition.
" Services " as used in this clause, includes services performed, workmanship, and material furnished or used in performing services.
(b)
The Contractor shall provide and maintain an inspection system acceptable to the Government covering the services under this contract.
l Complete records of all inspection work perfomed by the Contractor shall be l
maintained and made available to the Government during contract performance and l
for as long aftemards as the contract requires.
l (c)
The Government has the right to inspect and test all services l
called for by the contract, to the extent practicable at all places and times i
during the term of the contract.
The Government shall perfonn inspections and tests in a manner that will not unduly delay the work.
I (d)
If any of the services performed do not conform with contract I
requirements, the Government may require the Contractor to perform the services l
again in conformity with contract requirements, for no additional cost.
When i
the defects in services cannot be correctd by reperformance, the Government may l
(1) require the Contractor to take necessary action to ensure that future i
performance conforms to contract requirements and (2) reduce any fee payable l
under the contract to reflect the reduced value of the services performed.
l (e)
If the Contractor fails to promptly perform the services again i
or take the action necessary to ensure future performance in conformity with contract requirements, the Government may (1) by contract or otherwise, perform the services and reduce any fee payable by an amount that is equitable under i
j the circumstances or (2) terminate the contract for default.
.J-
RS-NRR-86-051 Page 23 i
J E.2 Place of Inspection and Acceptance A.
Inspection and acceptance of the deliverable items to be 4
furnished hereunder shall be made at the destination.
i Section F - Deliveries and Performance F.1 Reports. Documentation and Other Deliverable End Items
'{
F.1.1 Monthly Progress Reports A Monthly Letter Status Report will be issued by the 15th of each l
month to the NRR Technical Assistance Project Manager with copies provided to the Director, Planning and Program Analysis Staff, ATTN:
i
- Chief, Technical Assistance Management
- Branch, and Technical Assistance Program Manager, NRR. Each report will identify the title of the project, the FIN, the Principal Investigator, the perioTW perfomance, and the reporting period and will contain three sections 4
as follows:
1.
Project Status Section j
a.
A listing of the efforts completed during the period; l
milestones reached, or if missed, an explanation provided.
b.
Any problems or delays encountered or anticipated and a
recommendations for resolution.
If the recommended resolution involves a Task Order modification, i.e., change in work requirements, level of effort (costs), or period of performance, a Jse arate letter should be prepared and -
submitted' to the Director, Planning and Program Analysis i
Staff. NRR, ATTN: Project Officer and the Contracting i
Officer.
t c.
A brief statement of what was actually accomplished in completing each assigned task during the reporting period.
d.
A sunnary of progress to date shall be expressed in tems of percentage completion for the project.
e.
Planned accomplishments for the next reporting period, t
f.
Preliminary or interim results, conclusions, trends, or other items of information that the contractor feels are of l
timely interest.
4 g.
Problems or delays that the contractor has experienced in the conduct of his effort.
h.
Specific action that the contractor would like NRC to undertake to alleviate a problem.
1.
Current and projected cost per technical evaluation task.
4 i
~
o RS-NRR-86-051 Page 24 2.
Financial Status Section Provide the total direct staff use and the amount of funds expended (costed) during the period and total cumulative year to date in the following categories.
Year Current to Month Date_
I.
Director Staff Effort (months of charged effort)
XXX XXX II.
Direct Salaries
'$ XX
$ XX Materials and Services XX XX (excludingADP)
ADP Support XX XX Subcontracts XX XX Travel XX XX Indirect Labor Cost XX XX Other(specify)
XX XX General and Administrative Expense XX XX Total Costs
$ XX
$ XX Percentage of available funds XX5 III.
Funding Status:
Provide the prior year carryover, the current fiscal year funding level as reflected in the Task Order proposal, funds received to date for the current fiscal year, and the balance of funding needed for the current fiscal year as follows:
WTor FY FY8 Projected PT5 Funds FYB Funding Carryover Funiing Level Rec d to Date 7
Bal Needed T YX 5 XX 5 XX 5 XX Task Order No.
3.
Fee Recovery Cost Status Section Pursuant to the provisions of NRC Regulation 10 CFR 170, provide the total amount of funds expended (costed) during the period and cumulative to date for each task (e.g., by facility, by Division or report), and report them on a separate page as part of this report in the format on the following page:
RS-NRR-86-051 Page 25 4.
All the cost data should be electronically transferable to fl0 MAD data base system.
5.
Distribution requirements for the monthly progress reports shall be as follows:
One copy each to members of the Performance Evaluation Board (PEB).
One copy each to individual Performance Monitor (PM) and Lead Engineer (LE).
(PM and LE will be designated with each Task,
Order.)
One copy to the Evaluation Coordinator.
Five copies to the Technical Assistance Project Officer.
a e
e
O RS-NRR-86-051 Page 26 FIN:
TITLE:
PERIOD:
Planned Accomplish-Costs Facility Name/
Docket ment per Cumulative Costs Report Title Number Number Period This Fiscal Year Task 1 Task NOTE:
If there exists a task under this project that is relevant and common
- to several other tasks and the effort is required in order to perform the reviews, the costs for the common effort must be prorated to each review to which it applies.
- Common costs, i.e., fee-recoverable costs for services necessary for overall task performance that benefit all similar licensees within a single task, will be reported in the monthly letter status report as a single line item for each task and accrued on a monthly basis.
Common costs include the following:
preparator to interpret and reach agreement on methodology,y or startup efforts approach, acceptance criteria, regulatory position, or TER format; efforts associated with the " lead plant" concept that might be involved during the first one or two plant reviews as estimated by the contractor; meetings / discussions involving the above efforts to provide orientation, background knowledge, or guidance at the beginning or during the performance of work; and any technical effort applied to a category of facilities, e.g., reactor analyses or all BWR facilities.
At task completion or the end of the fiscal year, whichever occurs
- first, cumulative common costs are to be apportioned by the contractor to affected licensee by )either of the following methods:
(1) equally to all licensees, or (2 in proportion to costs incurred during the apportioning
)eriod.
The specific method will be determined by the NRR Techn" cal Assistance Project Officer.
m
RS-NRR-86-051 Page 27 F.1.2 Technical Evaluation Reports (TERS)
The contractor shall prepare a report for each task assigned at the completion of his evaluation.
The NRC will provide work packages including (1) licensee submittals for review, (2) NRC acceptance criteria, and (3) specific task order including Statement of Work (50W).
The licensee's submittals will be reviewed by the contractor to determine the adequacy of the information 3 resented against the information required by the NRC.
If the subm"ttals are.found to be incomplete, the contractor will provide requests for additional information to the NRC staff for forwarding to licensees. The contractor will determine the extent to which the licensee's design and operation comply with criteria provided by the staff and document all conclusions in the TER. All TERs will be submitted to the NRC in draft form for comment / approval before a final TER is prepared.
Distribution requirements for any draft and final TERs shall be as follows:
One copy each to the cognizant Perfonnance Monitor (PM) and cognizant Lead Engineer (LE) for the applicable Work Assignment.
One copy each to the Project Officer and the Evaluation Coordinator.
F.2 Place of Delivery The items to be furnished hereunder shall be delivered, with all transprtation charges paid by the Contractor, to:
U.S. Nuclear Regulatory Commission Attn:
Office of Division of Mail Stop:
Washington, D.C.
20555
- ProjectOfficer(copies)
DivisionofContracts(1 copy)
- To be specified in each Task Order F.3 Duration of Contract Period This contract shall become effective on either the date of award or the effective date as otherwise specified, and shall continue to completion thereof, within 36 months (exclusive of options) after said contract is effective.
F.4 Time of Delivery Delivery times shall be specified in each individual task order issued hereunder.
e O
RS-NRR-86-051 Page 28 Section G - Contract Administration Data G.1 Consideration 1.
The estimated cost to the Government for all allowable costs and award fee shall not exceed $
for performance of this contract.
2.
The Contractor shall be reimbursed for all allowable costs incurred, and accepted by the Contracting Officer, not to exceed the estimated amount of $
3.
Award fee may also be earned under this contract as provided by Clause G.2 entitled " Award Fee and Performance Evaluation."
4.
Total funds currently available for payment and allotted to this contract are $
of which $
$ presents the estimated reimburseable costs, and of which re represents the award fee for the period through 5.
It is estimated that the amount of funds currently obligated will cover performance through G.2 Award Fee and Performance Evaluation An award fee pool of $
is hereby established.
Evaluation of award fee will be accomplished in accordance with the Award Fee Determination Plan (AFDP) which attached hereto and made a part hereof.
In the event this contract is terminated prior to a regularly scheduled award fee determination, the fee to be paid to the contractor shall be an appropriate portion of any available award fee as may be determined by the Fee Determination Official (FDO).
- To be specified in any resulting contract G.3 Overhead / General and Administrative Rates A.
Pending the establishment of final overhead rates which shall be negotiated based on audit of actual costs, the Contractor shall be reimbursed for allowable indirect costs hereunder at the provisional rate of percent of B.
Pending the establishment of final general and administrative rates which shall be negotiated based on audit of actual costs, the Contractor shall be reimbursed for allowable indirect costs hereunder at the provisional rate of percent of C.
Notwithstanding A. and B.
of this Section, said provisional overhead and G&A rates may be adjusted as appropriate during the
RS-NRR-86-051 Page 29 tenn of the contract upon the acceptance of such revised rates by the Contracting Officer.
- To be incorporated into any resultant contract.
G.4 Payment of Award Fee The fee provided for in Clause G.1 " Consideration" shall be paid in, accordance with the Award Fee Determination Plan attached hereto.
An award fee pool of $
is hereby established.
Evaluation of award fee earned shall be accomplished periodically.
Preliminary evaluation shall be conducted by a Perfonnance Evaluation Board (PEB) whose composition is shown in Attachment I hereto.
The board shall recommend the fee award to the NRC Fee Determination Official (FDO).
The final evaluation and determination as to the amount of award fee earned during an evaluation period shall be made by the FD0.
The evaluation on which *he fee determination is to be based will be in accordance with the criteria set forth in Attachment 1, the Award Fee Determination Plan (AFDP).
The Government reserves the right to unilaterally change the content of the AFDP at any time during the life of this contract.
Any changes to the plan will be furnished to the contractor prior to the date they become effective.
The AFDP shall be based upon the Award Fee provisions of this article.
The AFDP will also stipulate that the contractor is encouraged to submit periodic self-evaluation of performance for the consideration of the PEB.
These self-evaluations are to coincide with the periods of performance being evaluated by the Government.
The amount of award fee available for each period of evaluation and the amount of time for each period will be set forth in the AFDP.
Neither the determination as to the amount of award fee available during a given period, the amount of award fee earned, nor the determination of the criteria under which the subject award fee will be made shall be subject to the clause of this contract entitled,
" Disputes."
The contractor shall be advised of the award fee decision by letter which shall include the rationale for reaching the decision.
- To be specified in any resulting contract G.5 Technical Direction A.
Perfomance of the work under this contract shall be subject to the technical direction of the NRC Project Officer named in Section G. of this contract.
The tenn " Technical Direction" is defined to include the following:
1.
Technical direction to the Contractor which shifts work emphasis between areas of work or tasks, requires pursuit of certain Ifnes of inquiry, fills in details or otherwise serves to accomplish the contractual scope of work.
4 I
RS-NRR-86-051
{
Page 30 2.
Providing assistance to the Contractor in the preparation c
of drawings, specifications or technical portions of the work description.
L 3.
Review and where required by the contract, approval of I
technical reports, drawings, specifications and technical information to be delivered by the Contractor to the Government under the contract.
j B.
Technical direction must be within the general scope of work i
stated in the contract.
The Project Officer does not have the l
authority to and may not issue any technical direction which:
l 1.
Constitutes an assignment of additional work outside the j
general scope of the contract.
2.
Constitutes a change as defined in the clause of the General Provisions, entitled " Changes."
l 3.
In any way causes an increase 'in the total estimated contract
- cost, or the time required for contract performance.
NOTE: The Project Officer may direct the i
contractor orally to decrease the work.
Such action will be confirmed in writing by the Contracting Officer.
4 j
4.
Channes any of the expressed
- terms, conditions or i
spec < fications of the contract.
i C.
ALL TECHNICAL DIRECTIONS SHALL BE ISSUED IN WRITING BY THE i
PROJECT OFFICER OR SHALL BE CONFIRMED BY SUCH PERSON IN WRITING WITHIN TEN (10) WORKING DAYS AFTER VER8AL ISSUANCE.
A copy of i
said written direction shall be submitted to the Contracting i
Officer.
The Contractor shall proceed promptly with the performance of technical directions duly issued by the Project Officer in the manner prescribed by this article and within such person's
{
authority under the provisions of this article.
i i
If, in the opinion of the Contractor, any instruction or i
direction issued by the Project Officer is within one of the categories as defined in B(1) through (4) above, the Contractor shal' not proceed but shall notify the contracting Officer in writing within five (5) working days after the receipt of any such instruction or direction and.shall re Officer to modify the contract accordingly. quest the Contracting i
Upon receiving such 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.
)
i i
A
RS-NRR-86-051 Page 31 D.
Any unauthorized comitment or direction issued by the Project Officer may result in an unnecessary delay in the Contractor's performance, and may even result in the Contractor expending funds for unallowable costs under the contract.
E.
A failure of the parties to agree upon the nature of the instruction or direction or upon the contract action to be taken with respect thereto shall be subject to the provisions of the contract clause entitled " Disputes."
G.6 Project Officer A.
Theindividual(s)listedin"B"belowis(are)herebydesignated as the Contracting Officer's authorized representative (hereinafter called Project Officer) for technical aspects of this contract. The Project Officer is not authorized to approve or request any action which results in or could result ' n an increuse in contract costs or terminate, settle any claim or dispu,e arisino under the contract. or issue any unilateral directive whatever.
The Project Officer is responsible for:
(1) monitoring the Contractor's technical
- progress, including surveillance and assessment of performance, and recommending to the Contracting Officer changes in requirements; (2) interpreting the scope of work; (3) performing technical evaluation as required; (4) perfoming technical inspections and acceptances required by this contract; and (5) assisting the Contractor in the resolution of technical problems encountered during performance.
Within the purview of this authority, the Project Officer is*
authorized to review all costs requested for reimbursement by Contractors and submit recommendations for
- approval, disapproval, or suspension for supplies / services required under the contract.
The Contracting. Officer is responsible for directing or negotiating any changes in terms, conditions, or amounts cited in the contract.
For guidance from the Project Officer to the Contractor to be valid, it must:
(1)beconsistentwiththedescriptionofwork set forth in the contract; (2) not constitute new assignment of work or change to the expressed
- terms, conditions or specifications incorporated into this contract; (3) not constitute a basis for an extension to the period of perfomance i
or contract delivery schedule; and, as stated above (4) not l
constitute a basis for any increase in the contract cost.
l 8.
Name and Mail Code:
i Office Address:
Telephone Number:
- To be incorporated into any resultant contract l
l l
i
RS-NRR-86-051 Page 32 G.7 Travel Reimbursement The Contractor will be reimbursed for the following reasonable domestic travel costs incurred directly and specifically in the performance of this contract and accepted by the Contracting Officer:
All travel, and per diem costs (lodging, meals and incidental expenses) shall be reimbursed in accordance with current Federal Travel Regulations, issued by General Services Administration, in effect at the time of authorized travel.
The cost of travel by rented automobile shall be reimbursed on a reasonable actual expense basis.
All cosmon carrier travel reimbursable hereunder shall be via economy class rates when available.
If not available, reimbursement vouchers will be annotated that econonly class acconnodations were not available.
First-class air travel is not authorized.
Receipts are required for common carrier transportation, lodging and miscellaneous items in excess of $25.00.
G.8 Payment Due Date (a) Payments under this contract w111 be due 30 calendar days after the later of:
(1) The date of actital receipt of a proper invoice (original and4 copies)to:
U.S. Nuclear Regulatory Consission Division of Accounting and Finance Office of Resource Management ATTN: GOV /COM Accounts Section Washington, D.C.
20555 or (2) The date the final deliverable product / service is accepted by the Government.
(b) For the purpose of determining the due date for payment and for no other purpose, acceptance will be deemed to occur 30 calendar days after the date of delivery of the final deliverable product / service performed in accordance with the terms of the contract.
(c)
If the final product / service is rejected for failure to conform to the technical requirements of the contract, the provisions in paragraph (b) of this caluse will apply to the new delivery of the final product / service.
9
RS-NRR 16-051 Page 33 (d) The date of payment by wire transfer through the Treasury Financial Communications System shall be considered the date payment is made for individual payments exceeding $25,000.
The date a check is issued shall be considered the date payment is made for individual payments of $25,000 or less.
G.9 Invoice Requirements Invoices shall be submitted in an original and 4 copies to:
U.S. Nuclear Regulatory Comission Division of Accounting and Finance Office of Resource Management ATTN:. GOV /COM Accounts Section Washington, D.C.
20555.
To constitute a proper invoice, the invoice must include the following information and/or attached documentation:
(1) Name of the business concern and invoice date.
(2) Contract number or other authorization for delivery of property or services.
(3) Description price and quantity of property and services actually delivered or rendered.
(4) Shipping and payment tems.
(5) Name (where practicable), title, phone number, and complete mailing address of responsible official to whom payment is to be sent.
(6) Other substantiating documentation or information as required by the contract.
G.10 Interest on Overdue Payments (a) The Prompt Payment Act, Public 1.aw 97-177 (96 STAT. 85, 31 USC 1801) is applicable to payment of the expiration invoice under this contract and requires the payment of interest to Contractors on overdue ' payments of the expiration invoice or improperly taken discounts.
(b) Deteminations of interest due will be made in accordance with the provisions of the Prompt Payment Act and Office of Management and Budget Circular A-125, Vol. 47 Federal Register 37321 August 25, 1982.
Among other considerations, OMB Circular A-125 provides that:
(1)
Interest penalties are not required when payment is delayed because of a disagreement over the amount of payment or other issues concerning compliance with the terms of the contract.
RS-NRR-86-051 Page 34 (2) Whenever a proper invoice is paid after the due date plus 15 days, interest will be included with the payment at the interest rate applicable on the payment date.
Interest will be computed. from the day after the due date through the payment date.
(c) For purposes of this clause, an expiration invoice is defined as a claim submitted for costs incurred for performance through the expiration date of a Cost Type contract.
G.11 Task Order Procedures 1.
Task Orders for services under this contract shall be issued at the sole option of the NRC, and it is understood that NRC undertakes no obligation to issue task orders hereunder beyond the guaranteed minimum amount specified in Section I.,
" Minimum and Maximum Contract Amount."
Additionally, NRC reserves the right to withdraw a proposed task order at any time prior to its formal award.
Only Contracting Officers of the U.S. Nuclear Regulatory Commission may authorize the initiation of-work under this contract. The provisions of this contract shall govern all task orders issued hereunder.
2.
Request for Proposal For each task order issued, the Contracting Officer will transmit to the contractor a written. letter task order request for proposal. That task order request for proposal will specify all pertinent information regarding the work to be performed including the following, as applicable:
1.
Scope of Work / Meetings / Travel and Deliverables 2.
Reporting Requirements 3.
Period of Perfomance - Place of Performance 4
Applicable Special Provisions 5.
Technical Skills Required 6.
Estimated Level of Effort 3.
Technical Proposal By the date specified in the task order request for proposal, e the contractor shall deliver to the NRC Contracting Officer with a copy to the Technical Assistance Project Officer a written 1
technical task order proposal that provides, when applicable.
l the following:
l 1.
A discussion of the scope of work requirements to sub-stantiate the contractor's understanding of the require-ments of the task order and his proposed method of approach to meet the objective of the order.
2.
Resumes for professional personnel proposed to be utilized in the performance of any resulting task order.
Include educational background, specific pertinent work i
experience and a list of any pertinent pubitcations authored by the individual, i
i
RS-NRR-86-051 Paga 35 3.
Identification of administrative support personnel and/or facilities that are needed to assist the professional personnel in compl.eting work on the task order.
4.
Identification of " Key Personnel" and the number of staff hours that will be committed to completion of work on the task order.
5.
Description of any signficant fonner or current contractual and organizational relationships of the offeror, its employees, consultants or expected subcontractor (s), with industries regulated by the NRC, e.g., utilities, etc., and suppliers
- thereof, e.g.,
architect engineers, reactor manufacturers, or applicants / licensees, etc., that might give rise to an apparent or actual conflict of interest. in the event of issuance of a particular task order.
A negative statement, if applicable, is required to be submitted.
4.
Cost Proposal The contractor shall also submit a cost proposal with each task order technical proposal, utilizing the Standard Fonn 1411, Contract Pricing Proposal.
Each task order cost proposal shall be fully supported by the cost and pricing data adequate to establish the reasonableness of the proposed amounts, including:
1.
Direct labor by categories, quantity of hours and applicable hourly rates and extensions hereof.
2.
Indirect cost rates, bases, and extensions thereof.
3.
Itemized material costs, when applicable.
4.
Itemized travel costs, when applicable.
5.
Total estimated cost 5.
Task Order Award Following negotiation of the contractor's task order proposal, the NRC Contracting Officer will issue a formal, definitized task order to include the following as applicable:
1.
Statement of Work and Deliverables 2.
Period of Performance 3.
Name of Lead Engineer 4.
Reporting Requirements
RS-NRR-86-051 Pcg3 36 5.
Total Estimated Cost and Obligations 6.
Applicable Security Requirements and/or Privacy Act Considerations 7.
Special Terms and Conditions 8.
Lead Personnel 6.
Accelerated Procedure The contractor shall not commence work prior to receipt of a definitized task order signed by the NRC Contracting Officer.
However, in some circumstances, it may be necessary for the contractor to connence work before he has submitted his proposal and before a final cost has been agreed upon and a definitized task order is issued.
Accordingly, when the NRC Contracting Officer so authorizes, the contractor shall, within 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> (or as otherwise stated) of receipt of verbal task order request for
- proposal, proceed with the work subject to an agreeable limitation (based on telephonic negotiations).
Where the contractor is authorized as indicated above to commence work prior to the definitization of a task order, the NRC Contracting Officer, within 30 days or such additional period as may be mutually agreed upon after receipt of the contractor's proposal, shall either:
1.
Notify the contractor of the need for further negotiations.
When an agreement on cost is reached, the NRC Contracting Officer shall then definitize the task order.
2.
Definitize the task order, thereby accepting the contractor's proposed price.
3.
Terminate the task order either in part or in its entirety in accordance with the termination clauses of this contract.
7.
Task Order Ceiling Each task order will be subject to the Limitation of Cost Clause l
(Section I, 52.232-20) or Limitation of Funds clause (52.232-22) as applicable.
i i
i
[
~
RS-NRR-86-051 Page 37 Section H - Special Contract Requirements H.1 Key Personnel (a) The following individuals are considered to be essential to the successful performance of the work hereunder.
i
- To be incorporated into any resultant contract The Contractor agrees that such personnel shall not be removed from the contract work or replaced without compliance with paragraphs (b) and (c) hereof.
1 (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
+
i devote substantially less effort to the work than indicated in the proposal or initially anticipated, the Contractor shall feediately notify the Contracting Officer ar.d shall, subject to the concurrence of the Contracting Officer or his authorized representative, promptly replace such personnel with personnel of at least substantially equal ability and qualifications.
(c) All requests for approval of substitutions hereunder must be in writing and provide a
detailed explanation of the circumstances necessitating the proposed substitutions.
They must contain a complete resume for the proposed substitute, and other 4
infomation requested by the Contracting Officer or needed by him to approve or disappfove the proposed substitution.
The Contracting Officer or his authorized representative will evaluate such requests and promptly ' notify the Contractor of his approval or disapproval thereof in writing.
t (d)
If the Contracting Officer determines that suitable and timely l
replacement of key personnel who have been reassigned, terminated or i
have otherwise become unavailable for the contract work is not I
reasonably forthcoming or that the resultant reduction of productive l
effort would be so substantial as to impair the successful completion of the contract or the service order, the contract may be teminated by the Contracting Officer for default or for the convenience of the Government, as appropriate, or, at the discretion of the Contracting Officer if he finds the Contractor at fault for the condition, the contract price or fixed fee may be equitably adjusted downward to compensate the Government for any resultant delay, loss or damage.
H.2 Safety, Health, and Fire Protection The Contractor shall take all reasonable precautions in the performance of the work under this contract to protect the health and safety of employees and of members of the public and to minimize danger from all hazards to life and property and shall comply with
RS-NRR-86-051 Page 38 all health, safety, and fire protection regulations and requirements (including reporting requirements) of the Comission and the Department of Labor.
In the event that the Contractor fails to comply with said regulations or requirements, the Contracting Officer may, without prejudice to any other legal or contractual rights of the Comission, issue an order stopping all or any part of the work; thereafter, a start order for resumption of work may be issued at the discretion of the Contracting Officer.
The Contractor si.111 make no claim for an extension of time or for compensation or damages by reason of or in connection with such work stoppage.
H.3 Dissemination of Contract Information (OM5 Clearance Number 3150-0112)
The Contractor shall not publish, permit to be published, or disseminate to the public any infomation, oral or written, concerning the work performed under this contract without the prior written consent of the Contracting Officer.
Two copies of any information proposed to be published or disseminated shall be submitted to the Contracting Officer.
Failure to comply with this clause shall be grounds for temination of this contract.
4 i
H.4 Private Use of Contract Information and Data Except as otherwise specifically authorized by Section H.,
publication of contract work of this contract,. or as otherwise approved by the Contracting Officer, information and other data developed or acquired by or furnished the Contractor in the performance of this contract, shall be used only in connection with the work under this contract.
l H.S Drawings, Designs, and Specifications All
- drawings, sketches,
- designs, design
- data, specifications, l
notebooks,. technical and scientific data, and all photographs, negatives, reports, findings, recomendations, data and memoranda of every description relating thereto, as well as all copies of the foregoing relating to the work or any part thereto, shall be subject to inspection by.the Commission at all reasonable times (for which inspection the proper facilities shall be afforded the Comission by the Contractor and its subcontractors), shall be the property of the Government and may be used' by the Government for any purpose whatsoever without any claim on the part of the Contractor and its subcontractors and vendors for additional compensation and shall, subject to the right of the Contractor to retain a copy of said material for its own use, be delivered to the Government, or otherwise disposed of by the Contractor either as the Contracting Officer may from time to time direct during the progress of the work or in any event as the Contracting Officer shall direct upon completion or termination of this contract.
The Contractor's right of retention and use shall be subject to the security, patent, and use of information provisions, if any, of this contract.
[
_ _.. ~,. _. _ _.
i RS-NRR-86-051 Page 39 H.6 Proprietary Data and Confidential Information In connection with the perfomance of the work under this contract, the Contractor may be furnished, or may develop or acquire, proprietary data (trade secrets) or confidential or privileged technical, business, or financial information, including Commission plans, policies, reports, financial plans, internal data protected by the Privacy Act of 1974 (P.L.93-579), or other infomation which has not been released to the public or has been detemined by the Commission to be otherwise exempt from disclosure to the public.
Contractor agrees to hold such infomation in confidence and not to
-directly or indirectly duplicate, disseminate, or disclose such information in whole or in part to any other person or organization except as may be necessary to perform the work under this contract.
Contractor agrees to return such information to the Comission or otherwise dispose of it either as the Contracting Officer may from time to time direct during the progress of the work or in any event as the Contracting Officer shall direct upon completion or termination of this contract.
Failure to comply with this clause shall be grounds for temination of this contract.
H.7 Contractor Organizational Conflicts of Interest (OMB Clearance Number 3150-0112)
(a)
Purpose.
The primary purp(ose of this clause is to aid in ensuring that the Contractor:
- 1) Is not placed on a conflicting role because of current or planned interest (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and (2) does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract.
(b)
Scope.
The restrictions described herein shall apply to performance or participation by' the Contractor as defined in 41 CFR 920-1.5402(f) in the activities covered by this clause.
1 (c)
Work for Others.
Notwithstanding any other provision of this contract, during the tem of this contract, the Contractor agrees to forgo entering into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being performed under this contract.
The Contractor shall ensure that all employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause.
If the Contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any fim or organization may involve a potential conflict of interest, the Contractor shall obtain the written approval of the Contracting Officer prior to execution of such contractual arrangement.
RS-NRR-86-051 Page 40 (d) Disclosure after award.
(1)
The Contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest, as defined in 41 CFR 20-1.5402(a).
(2)
The Contractor agrees that if after award it discovers organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the Contracting Officer.
This statement shall include a description of the action which the Contractor. has taken or proposes to take to avoid or mitigate such conflicts.
The NRC may, however, terminate the contract for convenience if it deems such temination to be in the best interests of the Government.
(e) Access to and use of information.
(1)
If the Contractor in the performance of this contract obtains access to information, such as NRC plans, policies, reports, studies, financial plans, internal data protected by i
the Privacy Act of 1974 (Pub. L.93-579), or data which has not been released to the public, the Contractor agrees not to:
(i) Use such infomation for any private purpose until the information has been released to the public; (ii) compete for work for the Comission based on such infomation for a period of six (6) months after either the completion of this contract or the release of such infomation'to the public, whichever is first; l
(iii) submit an unsolicited proposal to the Government based on such information until one year after the release of such information to the public, or (iv) release the information without prior written approval by the Contracting Officer unless such infomation has previously been released to the public by the NRC.
(2)
In addition, the Contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub.
L.93-579),
or other confidential or privileged technical, business, or financial information under this contract, the Contractor shall treat such infomation in accordance with restrictions placed on use of the information.
(3)
The Contractor shall have, subject to patent and security provisions of this contract, the right to use technical data it produces under this contract for private purposes provided that all requirements of this contract have been met.
I\\-
RS-NRR-86-051 Page 41 (f)
Subcontracts.
Except as provided in 41 CFR 20-1.5402(h), the Contractor shall include this clause, including this paragraph, in subcontracts of any tier.
The terms " contract," " Contractor," and
" Contracting Officer," shall be appropriately modified to preserve i
the Government's rights.
i (g)
Remedies.
For breach of any of the above prescriptions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations as necessarily imply bad faith, the Government may terminate the contract for default, disqualify the Contractor from subsequent contractual efforts, and pursue other remedies as may be permitted by law or this contract.
(h)
Waiver.
A request for waiver under this clause shall be directed in writing through the Contracting Officer to the Executive Director for Operations (ED0) in accordance with the procedures outlined in $20-1.5411.
H.8 Method of Payment (a) Payment under this contract will be made by wire transfer through the Treasury Financial Communications System for each individual payment in excess of $25,000 and by Treasury check for each individual payment of $25,000 or less.
(b) Within seven days after the effective date of the contract, the Contractor shall forward the following infonnation in writing to i
the Contracting Officer to facilitate wire transfer of contract payments.
In the event that the Contractor's financial institution has access to the Federal Reserve Communications System, Contractor shall complete all items except items 7 - 9.
I In the event the Contractor's financial institution does not have access to the Federal Reserve Communications System, Contractor shall complete all items except item 4.
1.
Name and address of organization 2.
Contact person and telephone number 3.
Name and address of financial institution 4.
Contractor's Financial institutions's 9-digit ABA identifying number for routing transfer of funds 5.
Telegraphic abbreviation of Contractor's financial institution 6.
Account number at Contractor's financial institution if it receives electronic funds transfer messages through the Federal Reserve Communications System 4
.-.-.-,,----.--.-m
,-,-,___.mm-_e
---,7
,_,,_.-,__-_y_,.-
-y
RS-NRR-86-051 Paga 42 7.
Name and address of the correspondent financial institution if the Contractor's financial institution does not receive electronic funds transfer messages through the Federal Reserve Comunications System 8.
Correspondent financial. institution 9-digit ABA identifying number for routing transfer of funds 9.
Telegraphic abbreviation of correspondent financial institution 10.
Signature and title of person supplying this information (c) Any changes to the information furnished under paragraph (b) of this clause shall be furnished to the Contracting Officer in writing.
It is the Contractor's responsibility to furnish these changes promptly to avoid payments to erroneous bank accounts.
-RS-NRR-86-051 Paga 43 PART II - CONTRACT CLAUSES Section I - Contract Clauses 52.222-2 PAYMENT FOR OVERTIME PREMIUMS.
(APR1984)
(a) The use of overtime is authorized under this contract if the overtime premium cost does not exceed $0.
In addition to this dollar ceiling, overtime is pemitted only for work--
(1) Necessary to cope with emergencies such as those resulting from accidents, natural disasters, breakdowns of production equipment, or occasional production bottlenecks of a sporadic nature; (2) By indirect-labor employees such as those performing duties in connection with administration, protection, transportation, maintenance, standby plant protection, operation of utilities, or accounting; (3) To perform tests, industrial processes, laboratory procedures, loading or unloading of transportation conveyances, and operations in flight or afloat that are continuous in nature and cannot reasonably be interrupted or completed otherwise; or (4) That will result in lower overall costs to the Government.
(b) Any request for estimated overtime premiums that exceeds the amouilt specified above shall include all estimated overtime for contract completion and shall--
(1) Identify the work unit; e.g., department or section in which the requested overtime will be used, together with present workload, staffing, and other data of the affected unit sufficient to permit the Contracting Officer to evaluate the necessity for the overtime; (2) Demonstrate the effect that denial of the request will have on.
the contract delivery or performance schedule; (3) Identify the extent to which approval of overtime would affect the performance or payments in connection with other Government contracts, together with identification of each affected contract; and (4) Provide reasons why the required work cannot be performed by using multishift operations or by(End of clause) employing additional personnel.
(R7-203.271967JUN) 52.233-3 PROTEST AFTER AWARD (JUN 1985)--Alternate I (JUN 1985)
(a) Upon receipt of a notice of protest (as defined in 33.101 of the FAR) the Contracting Officer may, by written order to the Contractor, direct the Contractor to stop performance of the work called for by this contract.
The order shall be specifically identified as a stop-work order issued under this clause.
Upon receipt of the order, the Contractor shall immediately comply with its terms and take all reasonable steps to minimize the incurrence of costs allocable to the work covered by the order during the period of work stoppage.
Upon receipt of the final decision in the protest, the Contracting Officer shall either--
(1) Cancel the stop-work order; or
~
RS-NRR-86-051 Page 44 (2) Terminate the work covered by the order as provided in the Temination clause of this contract.
(b) If a stop-work order issued under this clause is canceled either before or after a final decision in the protest, the Contractor shall resume work.
The Contracting Officer shall make an equitable adjustment in the delivery schedule, the estimated cost, the fee, or a combination thereof, and in any other tenns of the contract that may be affected, and the contract shall be modified, in writing, accordingly, if--
(1) The stop-work order results in an increase in the time required for, or in the Contractor's cost properly allocable to, the performance of any part of this contract; and (2) The Contractor requests an adjustment within 30 days after the end of the period of work stoppage; provided, that if the Contracting Officer decides the facts justify the action, the Contracting Officer may receive and act upon the request at any time before final payment under this contract.
(c) If a stop-work order is not canceled and the work covered by the order is terminated for the convenience of the Government, the Contracting Officer shall allow reasonable costs resulting from the stop-work order in arriving at the termination settlement.
(d) If a stop-work order is not canceled and the work covered by the order is terminated for default, the Contracting Officer shall allow, by equitable adjustment or otherwise, reasonable costs resulting from the stop-work order.
(e) The Government's rights to terminate this contract at any time are.not affected by action taken under this clause.
(End of Clause) 52.216-18 ORDERING.
(APR1984)
(a) Any supplies and services to be furnished under this contract shall be ordered by issuance of delivery orders by the individuals or activities designated in the Schedule.
Such orders may be issued from the effective date of the contract through 36 months thereafter. -
(b) All delivery orders are subject to the terms and conditions of this contract.
In the event of conflict between a delivery order and this contract, the contract shall control.
(c) If mailed, a delivery order is considered " issued" when the Government deposits the order in the mail.
Orders may be issued orally or by written telecommunications only if authorized in the Schedule.
(End of clause)
(R 7-1101 1968 JUN) 52.216-22 INDEFINITE QUANTITY.
(APR 1984)
(a) This is an indefinite-quantity contract for the supplies or services specified, and effective for the period stated, in the Schedule.
The s
quantities of supplies and services specified in the Schedule are estimates only and are not purchased by this contract.
(b) Delivery or perfomance shall be made only as authorized by orders
~
issued in accordance with the Ordering clause.
The Contractor shall furnish to the Government, when and if ordered, the supplies or services specified in the Schedule up to and including the quantity designated in the Schedule as the
" maximum."
The Government shall order at least the quantity of supplies or services designated in the Schedule as the " minimum."
i
, _ _ ~.
RS-NRR-86-051 Paga 45 (c) Except for any limitations on quantities ir. the Delivery-Order Limitations clause or in the Schedule, there is no limit on the number of orders that ma'y be issued.
The Government may issue orders requiring delivery to multiple destinations or performance at multiple locations.
(d) Any order issued during the effective period of this contract and not completed within that period shall be completed by the Contractor within the time specified in the order.
The contract shall govern the Contractor's and Government's rights and obligations with respect to that order to the same extent as if the order were completed during the contract's effective period; provided, that the Contractor shall not be requ' ired to make any deliveries under this contract after 60 months after the effective date of the contract.
(End of clause)
(R7-1102.3(b)1965AUG)
" Minimum and Maximum Contract Amount" During the life of this contract, the Government shall place orders totaling a minimum of thirty (30) staff years of effort.
Total orders placed during the life of the contract shall not exceed one-hundred twenty (120) staff years of effort.
For the purposes of this contract, a staff year is defined as 2080 hours0.0241 days <br />0.578 hours <br />0.00344 weeks <br />7.9144e-4 months <br /> per year of both professional and non-professional labor,
" Option For Increased Quantity and To Extend the Term of the Contract" r
~
There is hereby created in the Government a unilateral right to increase the i
maximum amount of staff years to be ordered under the contract cited in the clause "Hinimum and Maximum Contract Amount" herein.
In exercising this option the Government may increase the level of effort to a maximum amount of two hundred (200) staff years.
The period of performance may also be extended to acconnodate the increase in the maximum level of effort.
However, the total duration of this contract, including the exercise of any options under this clause, shall not exceed five years.
Note: It is anticipated that this option for-increased staff years will be exercised at the end of the third year of this contract; however, it may be necessary to exercise the option sooner. The Government shall give the contractor a preliminary written notice of its intent to exercise either cf these options at least 60 days before the contract expires or 60 days prict to exercising the option if exercised sooner than at the end of the third year of the contract.
The preliminary notice does not commit the Government to the increased quantity or th'e extension to the period of performance.
52.252-2 CLAUSES INCORPORATED BY REFERENEE.
(APR 1984)
This contract incc oorates the following clauses by reference, with the y same for#e and effect at if they were given in full text.
Upon request, the Contracting Officer will pake their full text available.
t
?
.m
RS-NRR-86-051 Paga 46 I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES Section E Section F 52.212-13 STOP-WORK ORDER.-- Alternate 1 (APR 1984) 52.247-34 F.O.B. DESTINATION.
(APR 1984)
Section I 52.202-1 DEFINITIONS.
(APR1984) 52.203-1 0FFICIALS NOT TO BENEFIT.
(APR1984) 52.203-3 GRATUITIES.
(APR1984) 52.203-5 COVENANT AGAINST CONTINGENT FEES.
(APR1984)
-52.203-6 RESTRICTIONS ON SUBCONTRACTOR SALES TO THE GOVERNMENT (JUL 1985) 52.215-1. EXAMINATION OF RECORDS BY COMPTROLLER GENERAL.
(APR1984) 52.215-2 AUDIT--NEGOTIATION.
(APR 1984) 52.215-22 PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA.
(APR 1984) 52.215-23 PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA--
MODIFICATIONS.
(APR 1985) 52.215-24 SUBCONTRACTOR COST OR PRICING DATA.
(APR 1985) 52.215-25 SUBCONTRACTOR COST OR PRICING DATA--MODIFICATIONS.
(APR 1985) 52.215-26 INTEGRITY OF UNIT PRICES (JUL 1986) 52.215-30 FACILITIES CAPITAL COST OF MONEY. (APR1984)(APR1984) 52.215-31 WAIVER OF FACILITIES CAPITAL COST OF MONEY.
52.215-33 ORDER OF PRECEDENCE.
(JAN 1986) 52.216-7 ALLOWABLE COST AND PAYMENT.
(APR1984) 52.217-8 OPTION TO EXTEND SERVICES.
(APR 1984) 52.219-8 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL DISADVANTAGED BUSINESS CONCERNS.
(JUN 1985) 52.219-9 SMALL BUSINESS AND SMALL DISADVANTAGED BUSINESS SUBCONTRACTING PLAN.
(APR 1984) 52.219-13 UTILIZATION OF WOMEN-0WNED SMALL BUSINESSES.
(APR1984 (APR1984))
52.220-3 UTILIZATION OF LABOR SURPLUS AREA CONCERNS.
52.222-3 CONVICT LABOR.
(APR1984) 52.222-26 EQUAL OPPORTUNITY.
(APR1984) 52.222-35 AFFIRMATIVE ACTION FOR SPECIAL DISABLED AND VIETNAM ERA VETERANS (APR 1984) 52.222-36 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS (APR 1984) 52.223-2 CLEAN AIR AND WATER.
(APR 1984) 52.227-1 AUTHORIZATION AND CONSENT.
(APR1984) 52.227-2 NOTICE AND ASSISTANCE, REGARDING PATENT AND COPYRIGHT INFRINGEMENT.
(APR 1984) i 52.227-12 PATENT RIGHTS--RETENTION BY THE CONTRACTOR (LONG FORM).
(APR 1984) 52.228-7 INSURANCE LIABILITY TO THIRD PERSONS.
(APR1984)
RS-NRR-86-051 Pag 47 52.230-3 COST ACCOUNTING STANDARDS.
(APR 1984) 52.230-4 ADMINISTRATION OF COST ACCOUNTING STANDARDS.
(APR 1984) 52.230-5 DISCLOSURE AND CONSISTENCY OF COST ACCOUNTING PRACTICES.
(APR1984) 52.232-17 INTEREST.
(APR 1984)
(APR1984 52.232-18 AVAILABILITY OF FUNDS.(APR 1984) )
52.232-22 LIMITATION OF FUNDS.
52.232-23 ASSIGNMENT OF CLAIMS.
(JAN 1986) 52.233-1 DISPUTES.
(APR 1984) 52.242-1 NOTICE OF INTENT TO DISALLOW COSTS.
(APR1984) 52.243-2 CHANGES--COST-REIMBURSEMENT.
(APR1984)--AlternateI.
(APR1984) 52.244-2 SUBCONTRACTS (COST-REIMBURSEMENT AND LETTER CONTRACTS)
(JUL 1985) 52.244-5 COMPETITION IN SUBCONTRACTING.
(APR1984) 52.246-25 LIMITATION OF LIABILITY--SERVICES.
(APR1984) 52.249-6 TERMINATION (C0ST-REIMBURSEMENT).
(MAY1986) 52.249-14 EXCUSABLE DELAYS.
(APR 1984) t e
l l
l l
l l
-g,,
.,,.n-,.
P RS-NRR-86-051 Paga 48
'PART III - LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS Section J - List of Attachments Attachment Number Title 1
Award Fee Determination Plan 2
NRC Contractor Organizational Conflicts of Interest (41CFRPart20) 3 NRC Manual Chapter 3202 4
Standard Form 1411 with Instructions 5
Billing Instructions l
l l
i t
RS-NRR-86-051 AWARD FEE DETERMINATION PLAN Contents Part A.
Introduction B.
Organization Structure for Award Fee Administration C.
Performance Areas. and Evaluation Criteria D.
Methods for Determining Award Fee E.
Changes in Plan Coverage Figure 1 - CPAF Contract Performance Reporting, Review, and Evaluation Procedure Figure 2 - CPAF Support Contract Rating Table and Accompanying Evaluation Scale l
l l
l l
-2 A.
Introduction 1.
This plan covers the administration of the award fee provisions of Contract No.
with 2.
The following matters, among others, are covered in the contract.
(a) The contractor is required to accomplish the Statement of Work (S0W) as set forth in Part I of this contract.
(b) This plan covers the period from the effective date of the contract through (c) The estimated cost of perfonning this work is (d) The award fee pool is (e) The estimated cost and award fee pool are subject to equitable adjustments on account of changes or other contract modifications.
(f) The award fee earned and payable will be determined as specified in this plan by the Fee Detennination Official (FD0) in accordance with this plan.
(g) Award fee determinations are not subject to the Disputes clause of the contract.
(h) Alterations of the award fee plan during the course of this contract must be made thirty days prior to the start of the evaluation period to be effective.
3.
The objective of the award fee provisions of the contract is to afford the contractor an opportunity to earn increased fee commensurate with the achievement of optimum performance in pursuit of contract objectives and goals. Optimum perfonnance is not necessarily equated with the highest level of performance achievable in all incentivized areas.
Rather, it represents the most favorable degree of performance obtainable considering the achievement of contract objectives in light of the contractor's most effective utilization of available resources.
. B.
ORGANIZATIONAL STRUCTURE FOR AWARD FEE ADMINISTRATION The following organizational structure is established for administering the award fee provisions of the contract.
1.
Fee Determination Official (FDO)
(a) The FD0 is (b) Prinary FD0 responsibilities are:
(1) Determining the award fee earned and payable for each evaluation period and informing the Contractor in writing of the amount and rationale for the award.
(2) Recommending changes in plan coverage and content to the Contracting Officer.
2.
Performance Evaluation Board (PEB)
(a) The Chairman and members of the PEB are listed below.
(b) The Chairman may recommend the appointment of non-voting members to assist the Board in performing its functions.
(c)
Primary responsibilities of the Board are:
(1) Conducting ongoing evaluations of contractor performance and the submission of a Performance Evaluation Board Report (PEBR) to the FD0 covering the Board's findings and reconnendations for each evaluation period, as addressed in Part D.
r (2) Considering changes in this plan and reconnending those it determines appropriate for adoption to the FDO.
E 1 -
. 3.
Perfomance Monitors (PMs) a.
A PM will be assigned to each perfomance area to be evaluated.
The assignment will be made by the PEB Chaiman, b.
Each PM will be responsible for complying with instructions of the PEB Chaiman.
Primary PM responsibilities are:
(1) Monitoring, evaluating, and assessing contractor performance in assigned areas.
(2)
Periodically preparing a Performance Monitor Report (PMR) for the PEB, as appropriate.
(3) Recomending appropriate changes in this plan for consideration.
4.
Evaluation Periods and Award Fee Available Evaluation Periods Quarterly (first 2 and last 2 evaluationperiods)
Semi Annual (remaining evaluation periods)
~
B.
Award Fee Available Per Period The award fee available for each period shall be computed as follows during the life of the contract:
4 The amount of award fee available for each evaluation period shall be in the same proportion to the total award fee pool as the incurred costs during the period bear to the total estimated contract cost.
i
o
. C.
PERFORMANCE AREAS AND EVALUATION FACTORS: Award fee will be determined by evaluating the contractor's perfomance in the areas identified below.
1.
Technical - 50 Points The extent to which the contractor consistently produces high quality technical products withost requiring excessive technical or administrative direction from the NRC.
(a) Thoroughness and Accuracy of Work 20 pts.
The extent to which the contractor submits technical work products which are thorough, accurate and do not require extensive rework by the contractor.
(b) Technical Independence and Initiative 20 pts.
The extent to which the contractor's technical efforts exhibit independence and initiative that does not require day-to-day technical or administrative direction by the NRC.
(c) Clarity and Conciseness 10 pts.
The extent to which the contractor consistently submits work products that are clear and provide an adequate technical basis for NRC staff safety evaluation reports.
2.
Management and Schedule - 30 points The extent to which the contractor effectively manages the program to produce technical products in a timely manner that meet the needs of the NRC by effectively utilizing resources and work efficient methods.
(a) Ability to meet Schedule Milestones 10 pts.
The extent to which the contractor meets schedule milestones and completion dates in developing technical work products.
(b) Management Independence and Initiative 10 pts.
The extent to which the contractor demonstrates management independence and initiative in developing, proposing and implementing (after NRC approval) plans and procedures for eliminating existing and potential impediments to the work flow process. The extent to which the contractor acts independently to expedite the flow of work both inside and outside its organization with the minimum expenditure of NRC resources to analyze and propose measures to correct problems.
. (c) Ability to Adjust to Changing Needs 5 pts.
The extent to which the contractor exhibits the ability to adjust to the changing needs of the NRC.
(d) Effectiveness,of Liaison Effort 5 pts.
The extent to which the contractor provides effective liaison with the NRC, licensees and others in order to efficiently manage the program and to facilitate the development of technical products.
3.
Cost and Contract Administration - 20 points The extent to which the contractor conducts the work in a cost effective manner and the extent to which it has effected improvements to further reduce the cost of developing technical work products.
The extent to which contract administration is effective.
(a) Cust Estimation and Control 15 pts.
The extent to which the contractor:
(1) effects improvements and efficiencies which are reflected in lower costs, and (2) controls cost growths over the original estimates
~
for each assignment.
(b) Contract Administration 5 pts.
Effectiveness of contractor's performance in the area of contract administration, including:
(1) assurance that necessary supplies, equipment, etc.
are purchased in a cost effective manner, (2) soundness of system to manage subcontractor effort, (3) quality and timeliness of required administrative reports, such as, monthly progress reports, subcontracting plan reports, and subcontractor l
approval requests.
D.
Method for Detennining Award Fee A determination of the award fee earned for each evaluation period will be made by the F00 within thirty days'of the end of the evaluation period.
The method to be followed in evaluating the Contractor's performance during the period, as well as for determining the award fee earned, is described below.
l
, 1.
The PEB Chairman will assign a Performance Monitor (PM) the responsibility for evaluating a specific performance area to be evaluated under the contract. Personnel will be assigned on the basis of their expertise relative to prescribed performance area emphases.
2.
The PEB Chairman will ensure that each PM receives the following:
(a) A copy of the contract and all modifications.
(b) A copy of this plan and any subsequent changes.
(c) Appropriate orientation and guidance.
(d) Specific instructions applicable to assigned performance areas.
3.
PMs will monitor, evaluate and assess contractor perforinance in accordance with the specific instructiors and guidance furnished by the PEB Chairinan.
4.
PMs will submit monthly performance evaluation reports (PER's) and, if required, make verbal presentations to the PEB Chairman.
5.
As appropriate, the PEB Chairman will request and obtain performance information from other units or personnel normally involved in observing contractor performance.
6.
Periodically, the PEB will consider PER's and other performance information it obtains and discuss the reports and information with PMs or other personnel, as appropriate.
7.
Within ten days after the end of each evaluation period, the contractor shall submit to the Contracting Officer a written self-assessment of its performance during the evaluation period including the amount of award fee it feels it has earned. After receipt of the contractor's self-assessment report, the contractor may be required to meet with the PEB to discuss overall performan'ce during the period. As requested by the PEB Chairman, PMs and other personnel involved in performance evaluations will attend the meetings and participate in discussions.
8.
After any such meeting with the contractor, the PEB will consider matters presented by the contractor and establish its findings and recommendations for the PEBR. The PEB will use the chart in Figure 2 to score each performance area. The scores will then be averaged to produce an overall score for the evaluation period.
8-9.
The PEB Chairman will prepare the PEBR for the period and submit.it to the FD0 for use in determining the award fee earned. The report will include a recommended range of award fee with supporting documentation. When submitting the report, the Chairman will infom the FD0 whether or not the contractor desires to present any matters to the FD0 before the award fee detemination is made.
10.
The FD0 will consider the PEBR and discuss it with the PEB Chairman or other personnel, as appropriate.
If requested by the contractor, or the FD0 considers.it appropriate, the FD0 will meet with the contractor for discussions.
If requested by the FDO, the PEB Chairman and any other personnel involved in performance evaluation may be required to attend the meeting with the contractor.
11.
The FD0 will determine the amount of award fee earned during the period. The amount determined will not result solely from mathematical summing, averaging or the application of a formula. The FD0's determination of the amount of award fee earned and the basis for this determination will be stated in the Award Fee Determination Letter (AFDL). The Letter will be signed by the FD0 and given to the contractor for attachment to its voucher requesting payment of the award fee.
E.
Changes in Plan Coverage 1.
Right to Make Changes Any matters covered in this plan may be cha'nged unilaterally by the NRC thirty (30) days prior to the beginning of an evaluation period by formal modification of the contract.
2.
Method for Changing Plan Coverage l
Personnel involved in the administration of the award fee provisions of the contract are encouraged to recommend changes in plan coverage with a view toward changing management emphases, motivating higher performance levels, or ' improving the award fee determination process.
Recommended changes should be sent to the PEB for consideration and drafting. Prior to the end of each evaluation period, the PEB will review proposed changes and forward them to the FD0 with appropriate connents and justification, or inform the FD0 that no changes are
[
recommended for the next period.
[
[
.,...,,,..v,.
n _.,
,-,-,-,v,
-_-n.
-,------..,-,,n-----
o Figure 1 CPAF CONTRACT PERFORMANCE REPORTING, REVIEW, AND EVALUATION PROCEDURE Award Fee Determination Letter N/
FEEDETERMINATIONOFFICIAL(FD0)
CONTRACTOR o Award Fee Recomendation o Performance Evaluation Board Report PERFORMANCE EVALUATION BOARD (PEB)
A o Monthly Reports o All Reported Events EVALUATION COORDINATOR CONTRACTOR
/\\
/\\
o Monthly Reports o Self-Assessment Report Perfonnance ' Monitors Performance Monitors Perfonnance Monitors
O g Figure 2 EVALUATION SCALE Adjective Grade Numerical Grade Definition Superior 96 to 100 Perfomance is outstanding in essentially all respects, and represents the very best which could be expected of any contractor. This grade represents a practical goal, to be awarded for a degree of performance which is real and attainable, not theoretical.
Excellent 86 to 95 Performance ranges from substantially better than average to outstanding.
In this range the contractor has improved all facets of his operation beyond that level described for in the range below.
The contractor has greatly exceeded the schedules, output, and overall performance which would be expected of an average contractor. Areas of deficiencies are few and overall are considered relatively unimportant.
Contractor shows initiative in executing the job and in invoking improvements. The degree to which the contractor exceeds schedules, achieves objectives, eliminates areas of deficiency, etc., determines the grade in this range.
Good 81 to 85 This grade, the top of the good range, represents average performance and the point of reference for the grading l
system. The contractor at this point has met most needs, schedules, and expectations in a fashion which corresponds to average or standard performance by a qualified contractor.
Areas of below-average performance are about balanced by areas of above-average perfomance.
,---,.----.----w
Figure 2 Adjective Grade Numerical Grade Definition 76 to 80 In this range the contractor is below, but approaching, average performance.
The degree to which the contractor has slipped below performance, has missed schedules, or shown uncompensated deficiencies determines the grade in this range.
Satisfactory 71 to 75 Perfonnance is below the. average or standard performance expected of a qualified contractor. The contractor at this point is halfway between
(
average performance and performance which is considered unsatisfactory.
66 to 70 In this area the contractor is deficient in a significant number of areas, and these deficiencies are not t
offset by areas of above-average performance. The contractor's grade in this area will be determined by the extent of the deficiencies and his proximity to unsatisfactory performance.
60 to 65 Perfonnance is deficient in substantial areas of effort, and is sufficiently far below perfonnance as to be overall unsatisfactory.
Immediate improvement l
1s required in order to permit continuation of the contract, j
i i
59 and Below There is zero award fee for a l
performance in this range.
)
l I
O PART 20-1 -- GENERAL Subpart 20-1.54--Contractor Organizational Conflicts of Interest Sec.
20-1.5401 Scope and policy.
20-1.5402 Definitions.
20-1.5403 Criteria for recognizing contractor organizational r.onflicts of interest.
j 20-1.5404 Representation.
4 20-1.5405 Contract clauses.
20-1.5405-1 General contract clause.
20-1.5405-2 Special contract provisions.
20-1.5406 Evaluation, findings, and contract award, 20-1.5407 Conflicts identified after award.
20-1.5408 (Reserved) 20-1.5409 (Reserved) 20-1.5410 Subcontractors.
20-1.5411 Waiver.
20-1.5412 Remedies.
AUTHORITY:
Sec. 8. Pub. L.95-601, adding Sec. 170A to Pub. L.
l 83-703, 68 Stat. 919, as amended (42 U.S.C. ch.14) 120-1.5401 Scope and Policy J
l (KRC)(a) It is the policy of the U.S. Nuclear Regulatory Comissionto avoid, el 1
of interest.
The NRC achieves this objective by requiring all prospective contractors to submit information describing relationships, if any, with organizations or persons (including those regulated by NRC) which may give rise to actual or potential conflicts of interest in the event of contract award.
(b) Contractor conflict of interest determinations cannot be made automatically or routinely; the application of sound judgment on virtually a case-by-case basis is necessary if the policy is to be applied so as to satisfy the overall public interest.
It is not possible to prescribe in advance a specific method or set of criteria which would serve to l
identify and resolve all of the contractor conflict of interest situations l
which might arise; however, examples are provided in these regulations to guide application of the policy.
NRC contracting and program officials must be alert to other situations which may warrant application of this policy guidance.
The ultimate test is:
Might the contractor, if awarded the contract, be placed in a position where its judgment may be biased,
)
or where it may have an unfair competitive advantage?
I i
(c)
The conflict of interest rule contained in this subpart applies to-contractors and offerors only.
Individuals or firms who have other i
relationships with NRC (e.g., parties to a licensing proceeding) are not l
covered by this regulation.
This rule does not apply to the acquisition j
of consulting services through the personnel appointment orocess, NRC j
1
7590-01 agreements with other government agencies, international organizations, or state, local or foreign governments; separata procedures for avoiding conflicts of interest will be employed in such agreements, as appropriate.
520-1.5402 Definitions (a)
" Organizational conflicts of interest" means that a relationship exists whereby a contractor or prospective contractor has present or planned interests related to the work to be perfomed under an NRC contract which:
(1) May diminish its capacity to give impartial, technically sound, objective assistance and advice or may otherwise result in a biased work product, or (2) may result in its being given an unfair competitive advantage, (b)
"Research" means, any scientific or technical work involving i'
theoretical analysis, exploration, or experimentation.
I (c)
- Evaluation activities" means any effort involving the appraisal l
of a technology, process, product, or policy.
(d)
" Technical consulting and management support services" means 1
internal assistance to a component of the NRC in the forinulation or administration of its programs, projects, or policies which normally require the contractor to be given access to information which has not been made available to the public or proprietary information.
Such i
services typically include assistance in the preparation of program plans; arid preparation of preliminary designs, specifications, or statements of work.
(e)
" Contract" means any contract, agreement, or other arrangement j
with the NRC except as provided in Section 20-1.5401(c).
(f)
" Contractor" means any person, fim, unincorporated association, 1
joint venture, co-sponstor, partnership, corporation, affiliates thereof, or their successors in interest, including their chief executives.
l directors, key personnel (identified in the contract), proposed consultants or subcontractors, which is a party to a contract with the NRC.
(g)
" Affiliates" means business concerns which are affiliates of' each other when either directly or indirectly one concern or individual controls or has the power to control another, or when a third party controls or has the power to control both (41 CFR I1-1.606-1(e)).
(h)
" Subcontractor" means any subcontractor of any tier which performs work under a contract with the NRC except subcontracts for supplies and subcontracts in amounts of $10,000 or less.
l (i)
" Prospective contractor" or " offeror" means any person, firm, unincorporated association, joint venture, partnership, corporation, or affiliates thereof, including its chief executive, directors, key personnel (identified in the proposal), proposed consultants, or subcontractors, submitting a bid or proposal, solicited or unsolicited, to the NRC to I
obtain a contract.
2 j
o 7590-01 (j)
" Potential conflict of interest" means that a factual situation exists that suggests (indicates) that an actual conflict of interest may arise from award of a proposed contract.
The term " potential conflict of interest" is used to signify those situations which merit investigation prior to contract award in order to ascertain whether award would give rise to an actual conflict or which must be reported to the contracting officer for investigation if they arise during contract perfomance.
a20-1.5403 Criteria for recognizing contractor organizational conflicts of interest (a) General.
Two questions will be asked in determining whether actual or potential organizational conflicts of interest exist:
(1) Are there conflicting roles which might bias a contractor's judgment in relation to its work for the NRC?
(2) May the contractor be given an unfair competitive advantage based on the performance of the contract?
The ultimate detennination by NRC as to whether organizational conflicts i
of interest exist will be made in light of common sense and good business judgment based upon the relevant facts disclosed and the work to be performed.
While it is difficult to identify and to prescribe in advance a specific method for avoiding all of the various situations or relationships which might involve potential organizational conflicts of interest, NRC personnel will pay particular attention to proposed contractual requirements which call for the rendering of advice, consultation or evaluation I
activities, or similar activities that lay direct groundwork for the
{
NRC's decisions on regulatory activities, future procurements, and research programs.
(b)
Situations or relationships which may give rise to organizational conflicts of interest.
(1) The offeror or. contractor shall disclose infonnation concerning relationships which may give rise to organizational conflices of interest under the following circumstances:
(1) Where the offeror or contractor provides advice and recommendations to the NRC in a technical area in which it is also providing consulting assistance in the same aren to any organization regulated by the NRC.
(ii) Where the offeror or contractor provides advice to the NRC on the same or similar matter in which it is also providing assistance to any organization regulated by the NRC.
(iii) Where the offeror or contractor evaluates its own products or services, or the products or services of another entity where the offeror or contractor has been substantially involved in their development or marketing, i
(iv) Where the award of a contract would otherwise result in placing the offeror or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC or may otherwise result in an unfair competitive advantage for the offeror or contractor..
7590-01 (2)
The contracting officer may request specific information from an offeror or contractor or may require special contract provisions such as provided in i20-1.5405-2 in the following circumstances:
i (1) Where the offeror or contractor prepares specifications which are to be used in competitive procurements of products or services covered by such specifications.
(ii) Where the offeror or contractor prepares plans for specific approaches or methodologies that are to be incorporated into competitive procurements using such approaches or methodologies.
(iii) Where the offeror or contractor is granted access to information not available to the public concerning NRC plans, policies, or programs which could form the basis for a later procurement action.
(iv) Where the offeror or contractor is granted access to proprietary information of its competitors.
(
(v) Where the award of a contract might othenvise result in placing j
the offeror or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC or may otherwise j
result in an unfair competitive advantage for the offeror or contractor.
l (c)
Policy application guidance.
The following examples are illustrative only and are not intended to identify and resolve all contractor organizational conflict of interest situations.
(1) Example.
The XYZ Corp., in response to a request for proposal (RFP), proposes to undertake certain analyses of a reactor component as called for in the RFP. The XYZ Corp. is one of several companies considered to be technically j
well qualified.
In response to the inquiry in the RFP, the XYZ Corp.
advises that it is currently performing similar analyses for the reactor l
manufacturer.
Guidance. An NRC contract for that particular work normally would not be awarded to the XYZ Corp. because it would be placed in a position in which its judgment could be biased in relationship to its work for NRC.
Since there are other well-qualified companies available, there would be no reason for considering a waiver of the policy.
(2)
Example.
The ABC Corp., in response to a RFP, proposes to perform certain analyses of a reactor component which are unique to one type of advanced reac' tor. As is the case with other technically qualified companies responding to the RFP, the ABC Corp. is performing various projects for several different utility clients.
None of the ABC Corp.
projects have any relationship to the work called for in the RFP. Based on the NRC evaluation, the ABC Corp. is considered to be the best qualified company to perform the work outlined in the RFP. l I
7590-01 Guidance.
An NRC contract normally could be awarded to the ABC Corp. because no conflict of interest exists which would motivate bias with respect to the work.
An appropriate clause would be included in the contract to preclude the ABC Corp. from subsequently contracting for work during the performance of the NRC contract with the private sector which could create a conflict.
For example ABC Corp. would be precluded from the performance of similar work for the company developing the advanced reactor mentioned in the example.
(3)
Example.
As a result of operating problems in a certain type of comercial nuclear facility, it is imperative that NRC secure specific data on various. operational aspects of that type of plant so as to assure adequate safety pr:otection of the public.
Orfly one manufacturer has extensive experience with that type of plant.
Consequently, that company is the only one with whom NRC can contract which can develop and conduct the testing programs required to obtain the data in reasonable time.
That company has a definite interest in any NRC decisions that might result from the data produced because those decisions affect the
(
reactor's design and thus the company's costs.
Guidance. This situation would place the manufacturer in a role in which its judgment could be biased in relationship to its work for NRC.
Since the nature of the work required is vitally important in tems of NRC's responsibilities and no reasonable alternative exists, a waiver of the policy may be warranted.
Any such waiver shall be fully documented and coordinated in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms to guard against bias.
(4)
Example.
The ABC Co. submits a proposal for a new system for evaluating a specific reactor component's performance for the purpose of developing standards that are important to the NRC program. The ABC Co.
has advised NRC that it intends to sell the new system to industry once its practicability has been demonstrated.
Other companies in this business are using older systems for evaluation of the specific reactor component.
Guidance. A contract could be &$sarded to the ABC Co. provided that the contract stipulates that no information produced under the contract will be used in the contractor's private activities unless such information has been reported to NRC. Information which is reported to NRC by contractors will normally be disseminated by NRC to others so as to preclude an unfair competitive advantage that might otherwise accrue. When NRC l
furnishes information to the contractor for the performance of contract work, it shall not be used in the contractor's private activities unless such information is generally available to others.
Further,. the contract will stipulate that the contractor will inform the NRC contracting officer of all situations in which the information developed under the contract is proposed to be used. i
7590-01 i
(5)
Example.
The ABC Corp., in response to a RFP proposes to assemble a map showing certain seismological features of the Appalachian fold belt.
In accordance with the representation in the RFP and
$ 20-1.5403(b)(1)(1), ABC Corp. infoms the NRC that it is presently doing seismolog'ical studies for several utilities in the Eastern United States but none of the sites are within the geographic area contemplated by the NRC study.
Guidance.
The contracting officer would nomally conclude that award of a contract would not pla~ce ABC Corp. in a conflicting role where its judgment might be biased.
The work for others clause of 8 20-1.5405-1(c) would preclude ABC Corp. from accepting work during the term 1
of the NRC contract which could create a conflict of interest.
(d)
Other considerations.
(1) The fact that the NRC can identify and later avoid, eliminate, or neutralize any potential organizational conflicts arising from the performance of a contract is not relevant to a detemination of the existence of such conflicts prior to the award of a contract.
(2)
It is not relevant that the contractor has the professional reputation of being able to resist temptations which arise from organizational conflicts of interest, or that a follow-on procurement is not involved, i
or that a contract is awarded on a competitive or a sole source basis.
I I20-1.5404 Representation (a) The following procedures are designed to assist the NRC contracting officer in determining whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a particular offeror or contractor.
(b)
Representation procedure.
The following organizational conflicts of interest representation provision shall be included in all solicitations and unsolicited proposals for:
(1) Evaluation services or activities; (2) technical consulting and management support services; (3) research; and (4) other contractual situations where special organizational conflicts of interest provisions are noted in the solicitation and would be included in toe resulting contract.
This representation requirement shall also apply to all modifications for additional effort under the contract except those issued under the " changes" clause.
Where, however, a statement of the type required by the organizational conflicts of interest representation provision has previously been submitted with regard to the contract being modified, only an updating of such statement shall be required. t m.,-,-
.m-,_,..
O 7590-01 ORGANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION I represent to the best of my knowledge and belief that:
The award to of a contract or the modification of an existing contract does ( ) or does not ( ) involve situations or relationships of the type set forth in 41 CFR I20-1.5403(b)(1).
(c)
Instructions to offerors.
The following shall be included in all NRC solicitations-(1) If the representation as completed indicates that situations or relationships of the type set forth in 41 CFR 5 20-1.5403(b)(1) are involved, or the contracting officer otherwise determines that potential organizational conflicts exist, the offeror i
shall provide a statement in writing which describes in a concise manner all relevant facts bearing on his representation to the contracting officer.
If the contracting officer determines that organizational conflicts exist, the following actions may be taken:
(1) Impose appropriate conditions which avoid such conflicts, (ii) disqualify the offeror, or (iii) detemine that it is otherwise in the best interest of the United States to seek award of the contract under the waiver provisions of I20-1.5411.
(2) The refusal to provide the representation required by 5 20-1.5404(b) or upon request of the contracting officer the facts required by '520-1.5404(c), shall result in disqualification of the offeror for i
award.
The nondisclosure or misrepresentation of any relevant interest may also result in the disqualification of the offeror for award; or if such nondisclosure or misrepresentation is discovered after award, the resulting contract may be terminated.
The offeror may also be disqualified from subsequent related NRC contracts and be subject to such other remedial actions provided by law or the resulting contract.
(d) The offeror may, because of actual or potential organizational conflicts of interest, propose to exclude specific kinds of work from the statements of work contained in a RFP unless the RFP specifically prohibits such exclusion.
Any such proposed exclusion by an offeror will be considered by the NRC in the evaluation of proposals.
If the NRC considers the proposed excluded work to be an essential or integral part of the required work and its exclusion would work to the detriment of the competitive posture of the other offerors, the proposal must be rejected as unacceptable.
(e)
The offeror's failure to execute the representation required by subsection (b) above with respect to invitation for bids will be considered to be a minor informality, and the offeror will be pemitted to correct the omission.
5 20-1.5405 Contract clauses 5 20-1.5405-1 General contract clause t
/
, r>a.
7590-01 4
AllcoNtractsofthetypessetforthini20-1.5404(b)shallinclude the following clauses:
4
' (a) purpose.
The primary purpose of'this clause is to aid in ensuring that the contractor:
(1) Is not placed in a conflicting role because of current or planned interest (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and (Z) does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract.
(b)
Scope.
The restrictions described herein shall ~ apply.to performance or participation by the contractor as defined in 4i CFR I 20-1.5402(f) in the actitities covered by this clause.
(c) Work for others.
Notwithstanding any other provision of this contract, during the term of this contract, the contractor agrees to forego entering into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being performed under this contract.
The contractor :ihall ensure that all employees who are employed full
^ '
time under this contract and employees designated as key personnel, if J
any, under this contract abide by the provision of this clause.
If the contractor believes with respect to 1tself or any such employee that any proposed consultarit or other contractual arrangement with any firm or l
4 organization may involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting officer prior to execution of such contractual arrangement.
(d)
Disclosure after award.
(1) The contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest, as defined in 41 CFR 520,1.5402(a).
(2) The contractor agrees that if after award it discovers organizational conflicts of interest with respect to this contract, it shall make an imediate and full disclosure in writing to the contracting officer.
This3 statement shall include a description of the action which the contractor has taken or proposes to take to avoid or mitigate such conflicts.
The NRC may, however, tehninate the contract for convenience if it deems such termination to be in the best interests of the government.
(e) Access to and use of information.
(1) If the contractor in the performance of. this. contract obtains access to information, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L.93-579), or data which has not been released to the public, the cohtractor agrees not to: (1) Use suchJnformation for any private purpose until the information has been released to the public; (ii) compete for work for the Comission based
-H-
1 7590-01 on such information for a period of six (6) months after either the completion of this contract or the release of such information to the public, whichever is first, (iii) submit an unsolicited proposal to the government based on such information until one year after the release of such infonnation to the public, or (iv) release the information without prior written approval by the contracting officer unless such information has previously been released to the public by the NRC.*
l (2)
In addition, the contractor agrees that to the extent it l
receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L.93-579), or other confidential or privileged technical, business, or financial information under this contract, the 1
contractor shall treat such information in accordance with restrictions l
placed on use of the information.
4 1
(3)
The contractor shall have, subject to patent and security provisions of this contract, the right to use technical data it produces under this contract for private purposes provided that all requirements of this contract have been met.
(f)
Subcontracts.
Except as provided in 41 CFR 520-1.5402(h), the contractor shall include this clause, including this paragraph, in subcontracts of any tier.
The terms " contract," " contractor," and
" contracting officer," shall be appropriately modified to preserve the government's rights.
(g)
Remedies.
For breach of any of the above proscriptions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations as necessarily imply bad faith, the government may I
terminate the contract for default, disqualify the contractor from subsequent contractual efforts, and pursue other remedies as may be permitted by law or this contract.
(h) Waiver.
A request for waiver under this clause shall be directed in writing through the contracting officer to the Executive Director for Operations (ED0) in accordance with the procedures outlined ini20-1.5411.
I20-1.5405-2 Special contract provisions.
(a)
If it is determined from the nature of the proposed contract that organizational conflicts of interest exist, the contracting officer may determine that such conflict can be avoided or after obtaining a waiver in accordance with 520-1.5411, neutralized through th.e use of an appropriate special contract provision.
If appropriate, the offeror may negotiate the tenns and conditions of these clauses, including the extent and time period of any such restriction. These provisions include but are not limited to:
.g.
7590-01 m.
(1)
Hardware exclusion clauses which prohibit the acceptance of production contracts following a related nonproduction contract previously performed by the contractor; (2)
Software exclusion clauses; I
(3)
Clauses which require the contractor (and certain of his key personnel) to avoid certain organizational conflicts of interest; and (4)
Clauses which provide for protection of confidential data and guard against its unauthorized use.
1 (b)
The following additional contract clause may be included as section (1) in the clause set forth in s 20-1.5405-1 when it is determined that award of a follow-on contract would constitute an organizational conflict of interest.
(i)
Follow-on effort.
(1) The contractor shall be ineligible to participate.in NRC contracts, subcontracts, or proposals therefor (solicited or unsolicited) which stem directly from the contractor's performance of w'ork under this contract.
Furthermore, unless so directed in writing by the contracting officer, the contractor shall not perform any technical consulting or management support services work or evaluation activities under this contract on any of its products or services or the products or services of another firm if the contractor has been substantially involved in the development or marketing of such products or services.
4 (2)
If the contractor under this contract prepares a complete or essentially complete statement of work or specifications, the contractor shall be ineligible to perform or participate in the initial contractual
~
effort which is based on such statement of work or specifications.
The contractor shall not incorporate its products or services in such statement l
of work or specifications unless so directed in writing by the contracting officer, in which case the restriction in 'this subparagraph shall not i
apply.
(3)
Nothing in this paragraph shall preclude the contractor from offering or selling its standard comercial items to the government.
l 5.20-1.5406 Evaluation, findings, and contract award The contracting officer will evaluate all relevant facts submitted by an offeror pursuant to the representation requirements of !20-l~.5404(b) and other relevant information.
After evaluating this informaticn agains't the criteria of i 20-1.5403, a finding will be made by the contracting officer whether organizational conflicts of interest exist with respect l
to a particular offeror.
If it has oeen determined that conflicts of interest exist, then tne contracting officer shall either:
(a)
Disqualify tne offeror from award, i, o
- m. -
. _.. _ _. _ _ _ _. -.. _, _.. ~.. _ _ _
7590-01 (b)
Avoid or eliminate such conflicts by appropriate measures; or (c)
Award the contract under the waiver provision of I20-1.5411.
520-1.5407 Conflicts identified after award.
If potential organizational conflicts of interest are identified after award with respect to a particular contractor, the contracting officer determines that such conflicts do, in fact, exist and that it would not be in the best interests of the government to terminate the contract as provided in the clauses required by $20-1.5405, the contracting 3
officer will take every reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with 520-1.5411, neutralize the effects of the identified conflict.
520-1.5408 (Reserved) 520-1.5409 (Reserved) 520-1.5410 Subcontracts The contracting officer shall require offerors and contractors to submit a representation statement in accordance with 520-1.5404(b) from subcontractors and consultants.
The contracting officer shall require the contractor to include contract clauses in accordance with 520-1.5405 in consultant agreements or subcontracts involving performance of work under a prime contract covered by this subsection.
I20-1.5411 Waiver In the first instance, determination with respect to the need to seek a waiver for specific contract awards shall be made by the contracting officer with the advice and concurrence of the program office director and the Office of Executive Legal Director.
Upon the recomendation of the contracting officer, and after consultation with the Office of the General Counsel, the EDO may waive the policy in specific cases if he determines that it is in the best interest of the United States to do so.
Such action shall be strictly limited to those situations in which:
(1) The work to be performed under contract is vital to the NRC program; (2) the work cannot be satisfactorily performed except by a contractor whose interests give rise to a question of conflict of interest; and (3) contractual and/or technical review and supervision methods can be employad by NRC to neutralize the conflict.
For any such waivers, the justification and approval oocuments shall be placed in the Public Document Room...
- =
7590-01 520-1. 5412 Remedies In addition to such other remedies as may be permitted by law or contract f6r a breach of the restrictions in this subpart or for any intentional misrepresentation or intentional nondisclosure of any relevant interest required *to be provided for this section, the NRC may debar the contractor from subsequent NRC contracts.
Dated at Washinoton. D.cthis 27th day of March 1979.
For the Nuclear Regulatory Commission 3
A
~
cauudN G:h &
e Samuel J. Chilk Secretary of the Commission.
---,-n--
- - - - - - - ~ - - - - - - ~ - - ~ - - ' ~ ~ ~ ' ' ' ' ' " ~ ' ' ' ' ~ ~ ' ' ' ' " ' "
~ ' ~ " ' ' ' ' ' ~ '
~ ' ' ' ' ~ ~ ' ' ~ ~ " ~ ~
ATTACHMENT 3 Form NRC-489 (1-75)
U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL TRANSMITTAL NOTICE CHAPTER NRC-3202 PUBLICATION OF UNLLA551FIED RLGULAIUNY ANU ILLHNILAL DOCUMENTS PREPARED BY NRC CONTRACTORS INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS SUPERSEDED:
TRANSMITTED:
Wmber Date Wmber Date TN _,
3200-3 Chapter Chapter NRC-3202 1/25/78
~
Page Page Appendix Appendix NRC-3202 1/25/78 REMARKS:
This chapter and appendix establish responsibilities, basic requirements, standards and procedures for the documentation, production and dissemina-tion of regulatory and technical reports prepared by NRC consultants and by NRC contractors and their subcontractors, including reports prepared under or pursuant to interagency agreements.
l l
a U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL Volume: 3000 Information and Foreign Activities Part :
3200 Technical Information and Document Control ADM.
Chapter 3202 PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 3202-01 COVERAGE This chapter and its appendix handbook establish responsibilities, basic requirements, standards and procedures for the documentation, production and dissemination of regulatory and technical reports prepared by NRC consultants and by NRC contractors and their subcontractors, including repcrtsi prepared under or pursuant to interagency agreements.
These reports are hereafter referred to as contractor documents. This chapter does not cover NRC staff-generated documents, environmental impact statements, NRC docket material, or the documents generated by NRC boards, panels and advisory committees.
i 3202-02 OBJECTIVES 021 To assu,re productic,n of information and reports as required by the Energy Reorganization Act of 1974 and the Freedom of Information i
Act.
022 To assure that dissemination of regulatory and technical docu-ments is consistent with requirements for public availability of information on the regulatory process.
023 To assure that national security, patent rights, copyrights, and commercial proprietary rights are not compromised by the release, distribution, or dissemination of information from the NRC.
~
024 To assure that formal NRC contractor documents will carry the t
registered NRC designation NUREG as the prime identification.
3202-03 RESPONSIBILITIES AND AUTHORITIES I
031 The Director, Office of Administration, develops and main-tains, in consultation with Directors of Offices and Divisions, NRC standards, procedures and guides for the production and dissemination of l
regulatory and technical contractor documents.
Approved: January 25, 1978 i
5
,#i
PU8LICATION OF UNCLASSIFIED REGULATORY AND NRC-3202-032 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS 032 The Director, Division of Technical Information and Document Control; develops and administers a central document control system for a.
identifying, printing and distributing contractor documents and responding to requests for them.
b, develops and maintains guides and standards for the documentation, formatting, printing, dissemination, and public sale of contractor documents.
c.
assures that a system exists for review of contractor documents for adherence to patent, copyright and security policies prior
(
to dissemination.
d.
establishes and administers interagency agreements necessary for the dissemination and public sale of contractor documents and controls the duplication and printing of contractor docu-ments to assure adherence to the Government Printing and Sinding Regulations issued by the Joint Committee on Printing (JCP), Congress of the United States.
e.
establishes distribution data banks, maintains official standard distribution lists for automatic distribution of contractor 4
documents, and controls distribution to assure adherence to the Government Printing and Binding Regulations and the Privacy Act (Title 5, U.S.C.).
033 Directors, Offices and Divisions:
a.
establish the contract or Standard Order for Work
- provisions, including those required by this chapter and its appendix; Chapter NRC-3203, Distribution of Unclassified NRC Staff-and Contractor-Generated Documents and its appendix; Chapter N RC-0260, Printing and Related Activities and its appendix; and NRC Bulletin 1102-6, Procedure for Placement of Work with DOE (to be issued). In those provisions:
(1) specify what documents will be reviewed for policy, man-agement, regulatory and legal issues by NRC staff in draft prior to printing and distribution. If the document is to be reviewed by NRC staff, give the conditions under which the contractor may publish documents in the event of unresolvable differences relative to the draft, including the type of disclaimer to be used in addition to the standard government disclaimer (see Exhibit 6).
- In the case of DOE work, this is NRC Form 173, Standard Order for DOE Work.
Approved: January 25, 1978 i
4 i
e
-- _ ~ -,.-,- - -
,-..._..__._.__.--..-n-n.,_,n_n,n n,,..---
-v,
PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC-3202-034 (2) provide for the reviews necessary to insure that the na-tional security, patent rights, copyrights, and commercial proprietary rights are not compremised by the release or dissemination of documents.
If the contractor is to be authorized to make the review, designate the contractor officials who are authorized to sign NRC Form 426 prior to NRC distribution of documents.
(3) specify that all formal documents carry NUREG numbers as the prime identification, as. illustrated in the appendix, and that interim documents include the title page indicated in the appendix.
(4) specify whether formal documents shall be printed by NRC or the contractor if the contractor has a JCP authorized federal printing plant (see appendix, part 111).
(5) specify that all formal documents required by NRC shall be distributed by NRC.
(6) establish the number of copies the contractor may retain or request for internal and external distribution and charge against NRC.
Written justification must be pro-vided to the NRC JCP representative when the number ex-coeds the 50 copies. authorized by JCP.
b.
assure adherence to instructions and authorizations regarding the reproduction and distribution of documents.
c.
recommenc standard distribution category (ies) and provide standard and incidental distribution lists for contractor documents to the contractor and the Division of Technical Information and Document Control.
d.
provide changes to the official standard and incidental dis-tribution lists to the contractor and the Division of Technical I
Information and Document Control.
034 Director, Office of the Executive t.ecal Director, provides le-gal review and advice to NRC staff on questions regarding inventions, patenti., and use of copyrighted material.
035 Director, Division of Security, provides review of documents to assure that national security interests are not compromised by the release.
I 036 Director, Division of Contracts:
3.
coordinates the flow of all documents to and from contractors where such docurtsnts may result in alterations in the terms and conditions of applicable contracts as they pertain to docu-ment production and distribution.
i Approved: January 25, 1978 i
4 9-
,.r-
. < _ -, -,m_----..._#
r
-,----..--,.,.-----~w.
--e
. - - -, -, - - - _ _ _ - - - - - - - - -, - - - + - - - -
Y PU8LICATION 0F UNCLASSIFIED REGULATORY AND-NRC-3202-04 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS s
b.
advises the contractor as to the source and method for obtaining documents required from the government for performance of the contract.
c.
provides contractor with copies of NRC Manual Chapters 3202, 3203 and 0260, when appropriate, d.
determines that requests for proposals and invitations for bids and subsequent contracts awarded require contractor compliance with Chapter NRC-3202 and the Government printing and Binding Regulations, when appropriate.
3202-04 DEFINITIONS
- 0 41 camera-ready copy - copy ready for printing. This is a collo-quial term of long standing that is used even though the printing process may not involve the so-called copy camera (see also reproducible masters).
042 central document control system means for developing and maintaining the policies, procedures and guides needed to identify and produce regulatory and technical documents and to assure adherence to requirements and standards for documentation, formatting, printirig and distribution.
043 commercial proprietary richt - trade secrets and commercial or financial information obtained from a
person and privileged or j
confidential.
044 contractor document - a document prepared in accordance with the provisions of a, contract or unde'r or pursuant to an interagency agreement.
045 copyright "the exclusive, legally secured right to reproduce (as by writing or printing), publish and sell the matter and form of literary, musical or artistic wo'rk..."
(Webster's Third international Dictionary).
Copyrighted material may not be reproduced without the permission of the author or publisher.
046 disseminate - to announce the publication of documents and make them available for free distribution, sale or copying.
047 distribute - to dispense documents to specific organizations and individuals to assure participation in the regulatory process and support of research and technological investigations. Such distribution may be i
i accomplished by the use of standard distribution data banks established and maintained by the Division of Technical Information,and
- Words underscored in definitions are also defined in list.
l i
Approved: January 25, 1978 i
l 4
I
~. -
4 PUBLICATION OF UNCLASSIFIED REGULATORY AND 1
TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS HRC-3202-048 Document Control based on the requests of the originating Office or Division.
048 document - a printed record or copy thereof (see also report).
049 documentation - includes classification and associated required markings, the NRC document number unique to the document, title (and subtitle, if any), author or correspondent (if any), organization identifi-cation and contract number (or interagency agreement number), date and availability.
0410 formal contractor documents - regulatory and technical docu-ments that record the results of contractor or interagency agreement work at principal points in the program. Such documents may include, but are not limited to, quarterly and annual progress reports and final reports.
Prior to publication, these documents shall have received the reviews and approvals required by NRC. Se:h reviews and approvals shall include, but not necessarily be limited to, patent review (if applicable) and security review (if applicable).
These reports will carry NUREG designations as the prime identification.
04ll Interim contractor documents - regulatory and technical docu-l ments prepared in accordance with contract or interagency agreement re-quirements for recording plans and results during the course of the work.
Such documents may include, but are not limited to, informal 4
progress reports, quick-look reports, data reports, status summary reports, project descriptions, pre-test predictions, model verifications, experiment safety analyses, experiment operating procedures, facility certification reports, and test result reports.
04l2 NRC procram or project sponsor the NRC individual responsible for the performance of a consultant or a contractor and his subcontractor or work performed under or pursuant to an interagency agreement.
i 0413 patent review review by legal staff to assure protection i
rights in inventions.
I 0414 publicly available documents - documents which are available in the NRC Public Document Room (POR) for public inspection and copying.
0415 reaulatory and technical documents. documents-that have been prepared in support of regulatory investigations and are to become publicly available records.
Such documents shall carry unique identification.
j 0 416 report a regulatory or technical document that is to be printed and disseminated which carries the bibliographic documentation required for storage and retrieval.
0417 reproducible masters - camera-ready copy which includes (I) originals of line drawings (or prints that can be copied), (2) glossy I
Approved: January 25, 1978 i
I l
l
-.w,--
PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC-3202-0418 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS f
prints of black and white photographs (colored photographs cannot be 4
reproduced), (3) original typed or printec; text, tables, cover, title page, contents and abstract, or (4) other forms of the materials listed in (1), (2) and (3) that are acceptable to a printer who will guarantee to prepare -reproducible copy therefrom (see appendix, part IV, for guide-
)
lines).
0 418 unique identification - NRC identification used on a document and its attachments, revisions, and supplements that is not used on any other document.
i 3202-05 BASIC REQUIREMENTS 0 51 Applicability. The provisions of this chapter and.its appendix i
apply to NRC consultants and to NRC contractors and subcontractors, in-ciuding those working under interagency agreements, whose contracts re-quere the preparation of regulatory and technical documents. Because of
{
the unique requirements of NRC boards, panels and advisory committees which report directly to the Commission, the handling of reports prepared by consultants and contractors to them are governed by the Board or
}
Panel Chairman and, in the case of advisory committees, by the Advisory L
Committee Management Officer.
052 Forms.
NRC Form 426, " Publication Release for Unclassified Formal NRETtaff, Consultant and Contractor Reports (Exhibit 5) shall.
be used as provided in the appendix.
053 Appendix 3202.
Standards, procedures and methods for managing the production and dissemination of contractor documents are i
contained in the appendix to this chapter.
054 Preparation Requirements.
a.
Documents to be Printed by NRC. All contractor documents to i
be printed by NRC shall be prepared according to Appendix j
3202. The reproducible masters for the requisite distribution shall be transmitted to the Division of Technical Information and Document Control by the NRC program or project sponsor or i
the authorized contractor official.
b.
Documents Printed by Authorized Federal Printina Plants or l
Duplicated by a Contractor.
All contractor documents to be printed or duplicated by the contractor (as specified by the contract, agreement, or standard order for work) shall be pre-pared according to Appendix 3202, and a reproducible master l
and sufficient copies for standard and incidental distribution shall be supplied to the Division of Ttchnical Informatian and j
Document Control accompanied by completed NRC Form 426 signed by the NRC program or project sponsor er the authorized contractor official.
1 1
Approved: January 25, 1978 I
i i
I l.
PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC-3202-055 055 References. The NRC manual chapters referenced are available from.the Division of Technical information and Document Control. The,
other citations are available from the Government Printing Office, a.
Chapter NRC 0260, " Printing and Related Activities."
b.
Chapter NRC 2101, "NRC Security Program."
c.
NRC Appendix 2l01, Part lil, " Control of Classified Information and Documents."
d.
NRC Appendix 2101, Part Vill, " Physical Protection of Classified NRC Facilities and Matter."
e.
Chapter NRC 3203, " Distribution of Unclassified NRC Staff-and Contractor-Generated Documents."
f.
NRC Bulletin l102-6, " Procedure for Placement of work with DOE" (to be issued).
g.
Title 44, U.S. Code, "Public Printing and Documents."
h.
Government Printing and Binding Regulations of the Joint Committee on Printing, Congress of the United States, No. 24, April 1977 (JCP Regulations).
i.
Title 5, U.S. Code.
Approved: January 25, 1978
/
.a PUBLICATION 0F UNCLASSIFIED REGULATORY AND TECHNICAL 00CUhENTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 i
CONTENTS I
PAGE PART I FORMAL CONTRACTOR DOCUMENTS TO BE PRINTED BY NRC.......
1 A.
00CUMEN m ION..................................
i 1.
Applicability.............................
I 2.
Front Cover and Title Page................
I 3.
Availability Information..................
3 4.
Disclaimer................................
3 i
5.
Abstract..................................
4 I
8.
P.ATENT AND SECURITY REVIEWS....................
4 1.
Patent Review.............................
4 L
2.
Security Review...........................
4 i
C.
PROCEDURES FOR PRINTING OR DUPLICATING ANO DISTRIBUTING...................................
5
)
1.
Printing or Duplicating...................
5 2.
Reprinting or Reduplicating...............
5 3.
Distribution of Documents.................
5 EXHIBITS i
i 1.
Sample Cover for Unclassified Formal Contractor-i Prepared Documents, Excluding Those Prepared Under or Pursuant to Interagency Agreements......................
6 2.
Sample Title Page for Unclassified Formal Contractor-Prepared Documents, Excluding Those Prepared Under or Pursuant to Interagency Agreements......................
7 3.
Sample Cover for Unclassified Formal Reports Prepared Under or Pursuant to Interagency Agreements.............
8 4.
Sample Title Page for Unclassified Formal Reports i
Prepared Under or Pursuant to Interagency Agreements....
9 l
5.
NRC Form 426, Publications Release......................
10 6
Disclaimer and Availability Statements..................
11 PART II INTERIM CONTRACTOR DOCUMENTS TO BE PRINTED BY NRC OR AN AUTHORIZED FEDERAL PRINTING PLANT OR DUPLICATED BY A C0NTRACTOR......................................
13 A.
DOCUMENTATION.................................
13 l
1.
Applicability............................
13 2.
Title Page...............................
13 i
i i
1 Approved: January 25, 1978 i
i Lo-,-.....---,.___,._
PISLICATION OF UNCLASSIFIED REGULATORY AM NRC Appendix 3202 TkCHNICAL DOCUNENTS PREPARED SY NRC CONTRACTORS CONTENTS PAGE B.
PATENT AND SECURITY REVIEWS....................
13 1.
Patent Review.............................
13 2.
Security Review...........................
14 C.
PROCEDURES FOR PRINTING OR DUPLICATING AND DISTRIBUTING...................................
14 1.
Printing or Duplicating...................
14 2.
Distribution of Documents Printed by NRC.,
15 3.
Distribution of Documents Duplicated by Contractor................................
15 EXHIBIT 7.
Sample Title Page for Interin Contractor Documents To Be Nade Publicly Available...............................
16 Pe'tT III FORMAL DOCUNENTS TO BE PRINTED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS BY AGENCIES WITH JCP AUTHORIZED FEDERAL PRINTING PLANTS...................
17 A
DOCUMENTATION..................................
17 1.
Applicability.............................
17 2.
Front Cover and Ti tle Page................
17 3.
Availability and Price Information........
19 4.
Disclaimer................................
19 5.
Abstract..................................
20 8.
PATENT AND SECURITY REVIEWS....................
20 1.
Patent Review.............................
20 2.
Security Review...........................
.20 C.
PROCEDURES FOR PRINTING AND DISTRIBUTING.......
20 1.
Printing..................................
20 2.
Reprinting.......................
20 3.
Distribution of Documents.................
21 PART IV GUIDELINES FOR PREPARATION 0F MANUSCRIPT
- AND REPRODUCIBLE MASTERS TO BE PRINTED BY NRC............
23 A.
INTR 000CTION...................................
23 Approved: January 25, 1978 11
PusLICATION OF UNCLASSIFIED REGULATORY AND TECNNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 CONTENTS PAGE 8.
ORDER OF ELEMENTS IN A REPORT..................
23 C.
FRONT MATTER...................................
24 1.
Cover, Title Page and Disclaimer..........
24 2.
Abstract..................................
24 3.
Guides for Preparing an Abstract..........
25 4.
Summary...................................
25 5.
Table of Contents and Page Numbers........
25 6.
List of Figures...........................
26 7.
List of Tab 1es............................
26 8.
Preface...................................
26 9.
Acknowledgments...........................
26 10.
Previous Reports in Series..,.............
26 Exhibit 8 - Table of Contents.............
27 Exhibit 9 - Table of Contents Using Numbers and Decimals....................
28 Exhibit 10 - Table of Contents for Con-forence Proceedings.....................
29 11.
Abbreviations and Symbols.................
30 0.
TEXT...........................................
30 1.
Title of Report...........................
30 2.
Introduction..............................
30 3.
Paper.....................................
30 4.
Typing Instructions.......................
30 5.
Image Area................................
30 6.
Page Numbering............................
30 7.
Photocopied Text..........................
31 8.
Footnotes.................................
31 E.
BACK MATTER....................................
31 1.
References................................
31 a.
Format....................'...........
31 b.
Availability Requirement.............
32 c.
Proprietary and Classified Documents.
32 2.
Bibliogr'aphy..............................
32 3.
Appendix..................................
33 4.
Glossary..................................
33 5.
Distributica List.........................
33 iii Approved: January 25, 1978
PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS.____
CONTENTS PAGE F.
GRAPHIC AND TABULAR MATTER.....................
33 1.
Tab 1es....................................
33 2.
Figures...................................
34 3.
Photographs...............................
34 4.
Special Graphics..........................
34 G.
EXAMPLES OF REFERENCE CITATIONS................
34 1.
Correspondence............................
34 2.
Internal Papers...........................
34 3.
Personal Communications; Private Communications; Notes Regarding Visits....
35 4.
Procedures Manuals........................
35 5.
Government Agency Printed Documents and Drafts of Documents to be Printed that Have Been Made Available to the Public for Comment...............................
35 6.
NRC Contractor Reports and Reports Pre-pared on Interagency Agreements...........
36 7.
NRC Applicant Document....................
36 8.
Project Documents.........................
36 9.
Licensee Documents........................
36 1.
Books.....................................
36 l'.
Conference P4pers.........................
36 10.
Journal Articles. Magazine Articles, Newspaper Articles........................
37 13.
University Theses.........................
37 14.
Codes and Standards.......................
37 l
l 1
l Approved: January 25, 1978 iv
PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 This appendix provides standards and procedures for the documentation, production and dissemination of regulatory and technical documents that are to be made publicly available and are prepared by contractors or other government agencies in
- accordance with contract requirements or interagency agreements.
,lt is presented in four parts: Part I - Formal Contractor Documents to be Printed by NRC, Part ll - Interim Contractor Documents to be Printed by NRC or Duplicated by Contractor, Part til - Formal Documents to be Printed Under or Pursuant to Interagency Agreements by Agencies with JCP Authorized Federal Printing Plants, and Part IV - Guidelines for Preparation of Manuscripts and Reproducible Copy to be Printed by NRC.
PART I FORMAL CONTRACTOR DOCUMENTS TO BE PRINTED BY NRC
~
A.
DOCUMENTATION 1.
Applicability The ' requirements of this part apply to contractor and in-a.
teragency agreement documents that are to be printed by NRC.
Contractors, other than DOE laboratories with authorized federal printing plants, may not print reports prepared for NRC.
b.
With respect to classified documents and documents "For Official Use Only," the requirements set forth in this part shall be used in conjunction with Chapter NRC 2101.
~
The requirements of this part do not apply to consultants c.
and contractors of the NRC boards, panels, and advisory committees which report directly to the Commission.
2.
Front Cover and Title Page l
Separate covers and title pages are required (see Exhibits a.
I and 2 for contractor reports and Exhibits 3 and 4 for reports prepared under or pursuant to interagency agreements).*
' Reproducible copy of the cover of the performing organization may be submitted; however, the data elements shown in Exhibit I must be iricluded.
1 Approved: January 25, 1978 L
PU8LICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS-PREPARED BY NRC CONTRACTORS _
b.
The items shown in Exhibits I through 4 and discussed below shall appear on the title page and cover, as appropriate.*
(1)
NRC Document Number.
Each document shall be identified by an NRC-controlled alphanumeric number as the prime number unique to that document. The centralized document control system for unique identification is maintained by the Division of Technical Information and Document Control.
Numbers may be obtained by calling Division of Technical information and Document Control or submitting a copy of NRC Form 426 (Exhibit 5) with a request for a number.
The NRC identification number will have the form:
NUR EG/C R-1234 The contractor's report number, if any, may be in-sorted below the NUREG number on the title page and cover, as shown in Exhibits I through 4.
When a document consists of more than one volume or binding or is issued in more than one edition, an appropriate volume, supplement, part or revision de-signation shall appear immediately below the report number.
l (2) Title and Subtitle (a) Use a brief title that indicates clearly the subject matter covered in the document.
(b) When a document is prepared in more than one volume, repeat the primary title'on each volume.
l (c) If appropriate, show the type of document (e.g., annual report, final report, thesis, etc.)
and the period covered as part of the subtitle.
j (3) Personal Author (s)' Name(s). Auth' ors' names should l
De given on the title page and cover unless this is I
impractical, as in the case of annual reports which have many contributors, if authors' contributions are as editors, compilers, etc.,
so indies.te on title
- These requirements meet the specifications of American National Standard ANSI Z39.18-1974, Guidelines for Format and Production of Scientific and Technical Reports, and ANSI Z39.23-1974, Technical Report Numbers.
\\
.l Approved: January 25, 1978 2
1 i
i 8
e
__,,,,m.__
- .,_-_.._..-.__._.__~~_.----.a-.----_.-.._,-__,_.._
PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 page following the names. In addition, list affiliation of each author only if affiliated with an organization other than the organization generating the document.
(4) Organization identification.
On the title page and cover, provide information of the type illustrated in Exhibits I through 4.
I (5) Basis for Report Date(s)
(a) The basis for dating may be shown along with the date on the title page. Various bases for dating are possible; e.g., date document com-plated, date reviews completed, date published, date distributed, etc.
(b) More than one date, with the basis for each, may be shown where this is necessary.
3.
Availability Information All formal documents will be made available for sale by NRC and by the National Technical Information Service (NTIS).
The following statements will be inserted on the inside of the front cover (Exhibit 6) by the Division of Technical Information and
(
Document Control:
Available from U.S. Nuclear Regulatory Commission Washington, D.C.
20555 Available from National Technical information Service (NTIS)
Springfield, Virginia 22161 j
4.
Disclaimer The following notice will be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by an agency of the United
)
States Government. Neither the United States Government nor any agency thereof, or any of their employees, makes any war-ranty, expressed or implied, or assumes any legal liability or i
responsibility for any third party's use, or the results of such use, of any information, apparatus, product or process disclosed in this report, or represents that its use by such third party would not infringe privately owned rights." The following additional statement, "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory l
Commission" will be printed below the standard disclaimer, if l
appropriate.
I 3
Approved: January 25, 1978
.n-...
44 PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL 00CUNENTS PREPARED BY NRC CONTRACTOR $ -
5.
Abstract An abstract of 200 words or less shall be prepared for each formal document. if the abstract is included in the document, it should appear on a separate page between the table of con-tents and the text.*
B.
PATENT AND SECURITY REVIEWS I
Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the' patent rights of NRC or the contractor. If the work being reported is contractually managed through another government agency (e.g., DOE laboratories), that government agency should be requested by the contractor to perform the patent review. The result of such review shall be reported on NRC Form 426 in item ll '(Exhibit 5).
i if NRC directly administers the contract or the contractor is i
unable to obtain a patent clearance from the government agency 1
administering the contract, the responsible NRC contracting officer shall be consulted, and the responsible NRC program or project sponsor shall consider the patent implications. If there is no need for patent review because. of the certainty that the 4
l document contains no description of novel technical i
developments which may be of an inventive nature, NRC Form 426 may be completed with the statement "not applicable" or "N/A" in the space for the Patent Counsel's signature. If there i
is a possibility that there is disclosure of developments of an i
inventive nature, the contracting officer shall request assis-1 tance from the NRC Patent Counsel, Office of the Executive Le-l gal Director.
2.
Security Review l
In most cases, contractor reports will be unclassified. Should a
}
report of classified work be required, however, the NRC program or project sponsor must work with the NRC Division of Security to establish the appropriate classification procedures and inform the contractor of such procedures through the contracting officer.
t
'This preferred positioning of the abstract in the document need not be f
followed if the style manual of the originating organization requires a
}
different location.
l Approved: January 25, 1978 4
i i
l
[
l 8
PUBLICATION OF UNCLAS$1FIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 C.
PROCEDURES FOR PRINTING OR DUPLICATING AND DISTRIBUTING 1.
Printino or Duplicatino Reproducible masters prepared in accordance with this appendex* shall be transmitted to the Division of Technical information and Document Control, accompanied by completed NRC Form 426 (Exhibit 5). NRC Form 426 must be signed by i
the NRC program or project sponsor or the authorized contractor official. The Division of Technical Information and Document Control will review the masters for adherence to the standards set forth in this chapter and appendix and will arrange for printing and distributing the docut.ent.
'e, Unsatisfactory masters will be reported to the progra.n or project sponsor for appropriate contractual action by the contracting officer or, in the case of government agency or interagency agreement work, the publications manager of the performing organization.
2.
Reprinting or Reduplicating Requests for reprinting or reduplicating any document subse-quent to the initial printing or duplication require approval of the Division of Technical Information and Document Control.
Each request shall include a written justification for the re-printing or reduplicating and a list of recipients and their complete addresses.
3.
Distribution of Documents All copies of formal contractor documents will be distributed by the Division of Technical Information and Document Control in accordance with instructions on NRC Form 426 (Exhibit 5).
I If any distribution is to be made other than, or in addition to, the standard distribution established for the document, written justification for printing or duplicating additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control.
The final pages of the reproducible masters shall be the dis-tribution list, i
'For guidelines, see part 111.
i t
i 5
Approved: January 25, 1978 l
l 1
PUBLICATION 0F UNCLASSIFIED REGULATORY AND NRC Appendll: 3202 TECNNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS ~---
EXHIBIT 1 SAMPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR. PREPARED DOCUMENTS EXCLVOING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Rgen No.
- Coat, n,.i m..tw avl Nunet/Camia v.l.,P.,i,n n.,me.in m yi UCLA ENG M01 riti.
LMFBR FUEL ANALYSIS TASKB: POST. ACCIDENT HEAT REMOVAL Subeltl. and Type of Report N*l A*P8't (Anne.1, Topee.1, et )
Ostebw 1,1978 September 30,1977 Autheels)
J. Co.c6.
N. C. O.trender J. M. McDonewgh
- 1. C.ften Coctee.ter Univee.ity et Ce4Herna., Lo. Ansee 4
NnC pr.....a v.,
U. s. N oor.., n...i.e.,, C..
i..i.e Approved: January 25, 1978 6
a PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 EXHIBIT 2 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL CONTRACTOR-PREPARED DOCUMENTS. EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NaC Report No.
Centeseter Report No. (if anyl Vol.. Port, Rev., me. (6f any)
Ejjy,"n','
Distr 6bution Category No. (if anyl LMPSR FUEL ANALYSIS Tim TASKS: POST. ACCIDENT HEAT REMOVAL Subtitle and Type of Report Peetmeeert (Annuel, Topieel, etc.)
cetone,1, itre. septemme, se, ter; Autheelsi, Ed6 tor (s),
a coa.
= c. o.
>~ ' < -
c no,(s), me.
Rep.ri oma and se e
- .',.c
- ::::::: =;;;;
c.nt, N.n.
- 'i
,~,,n e -
and Addrese taa*=.caown NRC S;:r cf2; e====
NaC c.n.e. N..
7 Approved: January 25, 1978
PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED 8Y NRC CONTRACTORS.---
EXHIBIT 3 SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Repwt No.
Nungem.ugs Centreeter Report No. lW any) onNL433 v.i., ent, nw., one. (W e v v.i.. noe. :
rios A CRITICAL EVALUATION OF THE NONRADIOLOGICAL ENVIRONMENTAL TECHNICAL SPECIFICATIONS se6eue Volume 8 Peach Bottom Atomic Power Station Unho 2 and 3 Aethet(s) 8 o e e.,
E. e Russur A. J Ufestese Centractet Nanies Oak Riese Neuenel Et:-_,
prepned fee NRC Sponootship U. 5. Nwloer Reevistory Conwnieslen Approved: January 25, 1978 8
--_a e
n PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 EXHIBIT 4 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS l
NRC Report No.
Centraster Report No. (if anyI U".'"i,,
Vol., Part. Rev., etc. (if any) l*
- aa 8 Distribution Category No. (if any)
A CRITICAL EVALUATION OF THE E*
NONRADIOLOGICAL ENVIRONMENTAL TECHNICAL SPECIFICATIONS Veleme 3 UN peach Bottom Atomic Power Station Unite 2 and 3 Aggggg(g) sua eacc o o c.
aoa A s n.
Report Dates and Beees
- ~w..' s - =. a.
. 'e ie ts o,. e
.iert Centreeter Nemes
'a'********L-**'
and Addresses
" '.".E.."
u c
c -....
~
v s on e+
NRC Sponsorshop o- ~ e'5g*e g c=
ae in a
.a Interegoney Ayooment No.
W 5 7 y'La***
NRC FIN No. er u
, a-oos se sse is Cenerest No.
"C * * ** ' ' 88 '
9 Approved: January 25, 1978 l
- S 4-PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS -
m._
CxHIBIT 5 gg7 i assomt=vwena senc son,4m.
u s =vC6.aa a.w6a,on. Cow. sv A e r,a,a mac' u'3Nt
/
e g
p s,.stmew,.o= ta t.com.. e aneg, --
+
f g
r PUSUCATrONS RELEASE FOR UNCLAS$1FIED FORNAa.
! "# 8"l*f*'
NRC STMt. CONSULTANT. ANCs CONTRACTOR REPOtiTR ~
3 TITLE aNo svoisfig som.s r m as amone sa ans seet s
-.g N.
e
[
/
e J'
n!
A
. auf Moas se mes, eso. sa.,e.
ense avea a neaware e as ss.*e a
- /.-
n s
'f c
fe
. onca%ika.oss at u.c' ** ew...
e ce s.* *.= _. w vae. e.
. -=.a
-, '.4, n. new se+.
e o*
- st. o.v...osu sa4=C w=.e I'
of a f enom. NC Es,
e atsonr ontaei easis 8 om aaca on ta =.
r.v..me =*. - w se. e m -sa
'e e
_- -._.i-F CO8ef naCT munegge enauf.oehaC raogsiav seO% son.on 005, mar.T es..emog.suo s-!
r
/
9 f, Pt of OXun4 N T e 's
- v. #
~-
, as uuta tan, set *0nt e, la,- -...e.w esuewr-es#e.d m nye
- e..
t 'e f t tuse>Las ast roet 6.. CnhagagmCtparta 7,
.t v.* 6. no Come. no 4CI d pa,a.. Os Cogs. a.hC4
~
<w 3soCahow oe Cinse8.as 4Cf
' la Qtut a erassean sw. we.nwe e, m e.e e es.non en,.e n.
in at gouwg 4og 0 019 astut ena,t s
,,,e,,,,
e., e, Ceawareer seae ese se, e er.a0 M*.e e# e# et#4.$df e##enoege.gm gag $gewapM Cee**e* e r e*.e. ewe.en 0 e
D
- N".'***8*'"'"'"'"
. $1 amoaap 0 57a.eu8eCes assu stas sa.t i s.'* *"","'*"'r"is w"."*."."ea..+,
a sm e.e, mm. e.aee.=e e.ee.e awa s a. weer e.em.eae a egenon: *ar s een.en e am.or a wNo *-
s se*,
a.ee e
' e.01uta sene ew **a
.ne.e e..en e.e.ew.v eoe o eene*..ve m man,+ ee e n n n an n.eko ae Cenemur esneee one,e.e
,.w..
j,-
o o
(
f
/[
f fI aD0: T *Oha L e%8 0nua t so% amo at va a as.eu, is, e.,,, s.
. e e. e e
ee., tv-e ea
.-,e..,
4
\\
i t2 on to ct.a masse.
e) Swsw.,,t e e'
... ~.
.aC.
- .a
,m......o0.Oa,......,0..,,,,...
. ee.
. e..
,o o..
. C._.........a,. o.e e ama4 > a"o a*
s
.C.aa4 C aa~,.o...o
,o.,,..o, ea... C. a an sC..o, o n a
, e a.... C o.,
..... ~. s a.
. 4 a w a. ac.
..a 4..
~.~-.~.e.
. o...
mC.oa..a,,,e.,
- e....o,w..
,,0 u.,,.....a.. a. o oa..
...... e...oc.
.o Approved: January 25, 1978 10
)
e
__-,,...,.,n-
- - - - - -. --- - - ~ - - -
-- ' - ' ~ "'
< n.
PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMiNTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 EXHIBIT 6 f
DISCLAIMER AND AVAILABILITY STATEMENTS (BACK OF COVER)
A<
f I
NOTICE The report was preparea as an account of work sponsored by s
an agency of the Uniteo States Government. Neither the vasted States Government not any seency thereof, or any of
= ",
i their employees, makes any warranty, escreare:' or imrhed, or
- /
assumes any legel fisoihty or responsabihty for any third party's use, or the resets of s th use, of any aftformation, apoeratus, product or protnes disclosed in this report, or represents that ett use Dy such thera party would not infringe privately owned rights 1
The views empressed in this report are not necessarHy those of tne U 5. Nuclear Regulatory Commission.
l
+1 e
'L
, i O
d a.
f Aveiause from U $ %cieer Res ietory Commamea weenassoa.O C. 20665 a.miews from Notenee ta nicas saeormee oa smice n
ser age.eed, Virginia 22161
)
11 Approved: January 25s 1978
?
'e
!l
-~b
,,y
,.n_.,,,,,,n.,.n-,,,,.
.-,,a,-.
o PUBLICATION OF UNCLASSIFIED REGULATORY ANO
-TECNNICAL DOCUMENTS PREPARED BY NRC CONT.tACTORS NRC Appendix 3202
[ %l.
PART 11 3
INTERIM CONTRACTOR DOCUMENTS TO BE PRINTED BY NRC OF.- AN AUTHORIZED FEDERAL PRINTING PLANT OR DUPOCATED BY A CONTRACTOR i
}
A.
DOCUMENTATION l..
Applicability a.
The requirements of this part apply to contractor docu-ments that 'are to be printed by NRC or an authorized Federal printing plant or duplicated by a contractor.
b.
With respect to classified documents and documents "For Official Use Only," ' these requirements shall be used in lj conjunction with. Chapter NRC-2101.
i i
c.
The requirements of this part do not apply to consultants and contractors to the NRC boards, panels, and advisory committees which rsport directly to the Commission.
2.
Title Page a.
A title page is required for each document. This page may be typed on plain bond and attached to the document.
b.
The items shown in Exhibit 7 and discussed below shall appear on the title page. While the layouts and typefaces s
need not be exactly the same as in Exhibit 7, the items
+
t shall appear in approximately the locations indicated.
(1)
NRC Accession Number.
Each document to be made i
publicly available will be given a number unique to that document by the Division of Technical informa-tion and Document Contro).
(2) ' The other title page items are self-explanatory or are 5
explained in Exhibit 7.
c.
The title page shall be marked " Interim."
3 B.y PATENT AND SECURITY REVIEWS I.
Patent Review
,y Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely 13 Approved: January 25, 1978
/
_ -, _, _. ~,.,, _
,._,-,_-,.--_,,.,,.,r c..,.,,m,.,.
_,_.-,,.m..-_
PU8LICATION OF UNCLASSIFIED REGULATORY AND
_ _ _ _ NRC Appendix 3202 TECHNICAL DOCUMENTL PREPARED BY NRC CONTRACTORS _
affect the patent rights of NRC. If the work being reported is contractually managed through another government agency (e.g.,
DOE laboratories), that government agency should be requested by the contractor to perform the patent review. The result of such review 'shall be reported on NRC Form 426 in item 11 (Exhibit 5).
j If NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the government agency administering the contract, the respon'sible NRC contracting officer shall be consulted, and the responsible NRC program or project sponsor shall consider the patent implications. If there is no need for patent review because of the certainty that the document contains no description of novel technical developments of an inventive nature, NRC Form 426 may be completed with the statement "not applicable" or "N/A" in the space for the Patent Counsel's signature.
If there is a pos-sibility that there is disclosure of developments of an inventive natu re, the NRC contracting officer shall request assistance from the NRC Patent Counsel, Office of the Executive Legal Director.
2.
Security Review in most cases, contractor reports will be unclassified. Should a report of classified work be required, however, the prograrr. <>r project sponsor must work with the Division of Security to establish the appropriate classification procedures and inform the contractor of such procedures.
C.
PROCEDURES FOR PRINTING OR DUPLICATING AND DISTRIBUTING l.
Printing or Duplicating. Interim documents may be printed by NRC or an authorized Federal printing plant or duplicated (as defined by the Joint Committee on Printing, JCP, U.S.
Congress)* by the contractor. If to be printed by NRC, the
- duplicating - as defined by JCP, means that material produced by use of single-unit duplicating equipment with an image area not larger than 11 by 17 inches and which has a maximum image of 10-3/4 by 14 inches: provided that work exceeding 5,000 production units of any one page, and work exceeding 25,000 production uni?.s in the aggregate of multiple pages, I
shall not be done without authority of JCP. Any work exceeding the limits stated above and requiring equipment other than that listed as duplicating equipment in the Government Printing and Binding Regula-tions must be approved by JCP or requisitioned by the Division of Tech-nical Information and Document Control.
l l
l i
Approved: January 25, 1978 14 I
i lr.
l
PU8LICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 reproducible masters of the document, accompanied by a com-plated NRC Form 426, must be sent to the Division of Technical information and Document Control.
2.
Distribution of Documents printed by NRC.
The masters of documents to be printed by NRC shall include a list of those to whom the document is to be distributed, complete with organi-zation address and Zip code, or a standard distribution list shall be specified if an applicable one exists.
3.
Distribution of Documents Duplicated by Contractor.
Interim documents duplicated by the contractor shall be distributed by the contractor or the Division of Technical Information and Document Control. If to be distributed by NRC, the necessary copies and a list of those to whom the document is to be dis-tributed, complete with organization address and Zip code, and a completed NRC Form 426 shall accompany the documents when sent to the Division of Technical Information and Document Control; a standard distribution list may be specified if an applicable one exists.
If distributed by the contractor, two copies of the document shall be sent to the Division of Technical information and Document Control, along with a list of those to whom copies were distributed and a completed NRC Form 426. An accession number will be assigned before the document is sent to the NRC public Document Room.
A copy of the NRC Form 426 wili be returned to the contractor with the accession number assigned.
15 Approved: January 25, 1978
PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC App ndix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS EXHIBIT 7 SAMPLE TITLE PAGE FOR INTERIM CONTRACTOR DOCUMENTS TO BE MADE PUBLICLY AVAILABLE INTER 8M REPORT Aseeemon No.
(Will be added by NRC)
Contraster Report No.
Title of Propamfor which C e,anP,eyen. no,ectTnw.
Contrast Written L6mited Subioet of semiseiof the Desweet This Doeumont Type of Document: Status Roport. Ouick Look 7_,,
Reporte etc.
Authorts).
Dese of Deewment-Individual Reesecame NRC see.vieves and NRC Omco or D==en The assument een seesered erwnerdy ter orehmmary or enternal use it hga not resengd fue rev sw and escreves. S nse there may es nuestanteve armges. the secumens chaves noe se annueous tense.
Conteactor and Address oen Rw Nei.enes Leeerewr, Oak Roses. Tennemme 37830 osereses ey Undse CarDade Carperstaan for the U10esertmeat of Eeurgy Preseres for U.S. Nuctest me,wmeery Commenen Weeheven.D C 20646 Interagency Agreement unser Intereseney Ayeomew DDE 40 550 75 or Contract No.
NRC FIN No. A12347 INTERIM REPORT l
Approved: January 25e 1978 16 e
r-PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 PART lli FORMAL DOCUMENTS TO BE PRINTED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS CY AGENCIES WITH JCP AUTHORIZED FEDERAL PRINTING PLANTS A.
DOCUMENTATION l
l.
Applicability a.
The requirements of this part apply to NRC staff who are responsible for agreements with other agencies and their contractors who print regulatory and technical documents required by agreements with NRC.
b.
With respect to classified documents and documents "For Official Use Only," the requirements set forth in this part shall be used in conjunction with Chapter NRC-2101.
c.
The requirements of this part do not apply to consultants and contractors to the NRC boards and advisory committees which report directly to the Commission.
2.
Front Cover and Title Page a.
Separate covers (of different paper than that of the text) and title pages are required.*
b.
Items such as those shown in Exhibits 3 and 4 and' l
discussed below shall appear on the front cover and title page, as appropriate.** While layouts and typefaces need not be exactly the same as in Exhibits 3 and 4, the items shall appear in approximately the locations indicated and with the same relative prominence.
. (1)
NRC Document Number.
Each document shall be identified by an NRC-controlled alphanumeric num-ber as the prime number unique to that document.
The centralized document control system for unique
- The cover stock of the performing organization may be usedi however it must include the data elements shown in Exhibit 3.
- These requirements meet the specifications of American National Stand-ard ANSI Z39.18-1974, Guidelines for Format and Production of Scien-tific and Technical Reports, and ANSI Z39.23-1974, Technical Report Numbers.
17 Approved: January 25, 1978 t
l t-
PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS,_ _ _ _
identification is maintained by the Division of Tech-nical Information and Document Control.
Numbers may be obtained by calling the Division of Technical-Information and Document Control or submitting a copy of NRC Form 426 (Exhibit 5) with a request for a number.
The NRC identification number will have the form:
NU R EG/CR-1234 The contractor's report number, if any, may be inserted below the NUREG number on the title page and cover, as shown in Exhibits 3 and 4.
When a document consists of more than one vclume or binding or is issued in more than one edition, an appropriate volume, supplement, part, or revision designation shall appear immediately below the report number (s).
NRC document numbers on covers and title pages shall be shown entirely on one line to facilitate computer processing.
(2) Title and Subti~tle (a) Use a brief title, which indicates clearly the subject matter covered in the document.
(b) When a document is prepared in more than one volume, repeat the primary title on each volume.
(c) If appropriate, show the type of document (e.g.,
annual report, final report, thesis, etc.) and the period covered as part of the subtitle.
(3) Personal Author (s)' Name(s)
(a) Authors' names should be given on the title page and cover unless this is impractical, as in the case of annual reports which have many contributors.
if authors' contributions are as editors, compilers, etc., so indicate on title page'and cover following the names.
In addition, list affiliation of each author only if affiliated with an organization other than the organization generating the document.
(b7 Authors may be identified on backstrips (spines) of bound volumes.
Approved: January 25, 1978 18 e
. -, + -
,r
f PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 (4) Organization identification (a) On cover, provide the name of the. contractor respon-sible for preparing the document, followed by " Pre-pared for the U.S. Nuclear Regulatory Commission."
(b) On the title page, provide information of the type illustrated in Exhibit 4.
(5) Basis for Report Date(s)
(a) The basis for dating may be shown along with the date on the title page. Various bases for dating are possible; e.g.,
date document completed, date reviews completed, date published, date distributed,
~
etc.
(b) More than one date, with the basis for each, may be shown where this is necessary.
3.
Availability and price information All formal documents will be made available for sale by NRC and NTIS. The following statement is required on the inside of the front cover (Exhibit 6):
Available from U.S. Nuclear Regulatory Commission Washington, D.C.
20555 Available from National Technical Information Service (NTIS)
Springfield, Virginia 22161 4.
Disclaimer The following notice shall be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by the United States Government.
Neither the United States Government nor any agency thereof, or any of their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any information, apparatus, product or process disclosed, or represents that its use by such third party would not infringe privately owned rights." The following additional statement, "The views expressed in this report are not nec-essarily those of the U.S. Nuclear Regulatory Commission" will be printed below the standard disclaimer, if appropriate.
19 Approved: January 25, 1978 A
PUBLICATION OF UNCLASSIFIED REGULATORY AND
_ NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS 5.
Abstract An abstract of 200 words or less shall be prepared for each formal document.
Within the document, the abstract shall appear on a separate page between the table of contents and the text.*
B.
PATENT AND SECURITY REVIEWS 1.
Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor.
The government agency responsible for the interagency agreement with NRC should perform the patent review. The results of such review shall be reported by the agency on NRC Form 426 in item II (Exhibit 5).
2.
Security Review in most cases, consultant, contractor, and subcontractor re-ports will be unclassified. Should a report of classified work be required, however, the NRC program or project sponsor must work with the Division of Security to establish the ap-propriate classification procedures and inform the contractor.
C.
PROCEDURES FOR PRINTING AND DISTRIBUTING l.
Printino Contractor documents may be printed only by a JCP authorized printing plant. Documents printed by the contractor and one reproducible master shall be submitted by the NRC program or project sponsor or the authorized contractor official to the Division of Technical Information and Document Control, with completed NRC Form 426. The number of copies specified by the agreement or contract for standard and incidental i
distribution shall be provided.
The appropriate identifying I
number (NUREG/CR-
) may be obtained as discussed in section A.2.b.(l).
i 2.
Reprinting Requests for reprinting of any document at NRC expense subsequent to the initial printing require approval of the Division of Technical Information and Document Control. The
- This preferred positioning of the abstract in the document need not be followed if the style manual of the originating organization requires a different location.
Approved: January 25, 1978 20
.m m.
PU8LICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 request shall include a written justification for the reprinting and a list of recipients and their complete addresses.
3.
Distribution of Documents Each document transmitted to the Division of Technical Infor-mation and Document Control shall be accompanied by a recom-mandation for distribution on NRC Form 426 (Exhibit 5) and sufficient copies for standard and incidental distribution.
I l
o 21 Approved: January 25, 1978
PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 PART IV GUIDELINES FOR PREPARATION OF MANUSCRIPTS AND REPRODUCIBLE MASTERS TO BE PRINTED BY NRC A.
INTRODUCTION These guidelines provide instructions to U.S. Nuclear Regulatory Commission contractors for the preparation of reproducible masters (camera-ready copy) of reports submitted to NRC for printing or duplicating. They are intended for the use of NRC contractors that do not have written editorial standards for manuscript preparation.
Organizations with established report preparation staffs and style manuals should use their own procedures and guidelines; this partic-ularly applies to the DOE laboratories.
Adherence to these or similar established guidelines will insure the professional quality and timely publication of NRC contractor reports.
Manuscripts submitted which do not adhere to these or similar professional guidelines will be reported to the program or project sponsor for appropriate contractual action by the contracung officer or, in the case of government agency or interagency agreement work, the publications manager of the performing organization.
Questions about the implementation of these guidelines should be addressed to NRC's Division of Technical Information and Document Control, Washington, D.C.
20555; (301) 492-7566.
B.
ORDER OF ELEMEN's S IN A REPORT Organize the manuscript according to the following order of elements before submitting it to NRC.
~
Right or Element Page Number Left Hand Page Title page none Right Back of title page none Left l
Abstract iii Right Back of Abstract page none Left j
Table of Contents v
Right y
List of Figures Small Roman (odd or even) Right or Left
[
List of Tables Small Roman (odd or even) Right or Left Preface Small Roman (odd)
Right l
Acknowledgments Small Roman (odd)
Right Abbreviations and Symbols Small Roman (odd)
Right 23 Approved: January 25, 1978
. ~
_ - _, _ _ _ _ ~ _
PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS Right or Element Page Number Left Hand Page introduction Unnumbered, but Right considered Arabic I Text Numbered consecutively Right throughout in Arabic numerals References Numbered consecutively Right throughout in Arabic numerals Bibliography Numbered consecutively Right or Left throughout in Arabic numerals I*
First Appendix Numbered consecutively Right throughout in Arabic
- c numerals
.iis j
Glossary Numbered consecutisely Right or Left throughout in Arabic numerals Distribution Lists Numbered consecutively Right throughout in Arabic numerals When an element ends on a right-hand page and the next element is to start on a cight-hand page, leave a blank unnumbered page and l
skip a number so that the right-hand page starts on an odd page.
Right-hand pages are always assigned odd numbers, left-hand pages are always assigned even numbers.
C.
FRONT MATTER I.
Cover, Title Page and Disclaimer The appropriate cover and title page with the information spec-ified in Part I of this Appendix shall accompany each reproduc-lble master.
2.
Abstract An abstract of 200 words or less shall appear in each report.
The abstract shall summarize the major points of the report, including what investigations the report covers, and any find-
- ings, conclusions, and recommendations.
For progress reports, concentrate on status of work to date. The preferred Approved: January 25. 1978 24 I
l e
i l 0 0
PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 location for the abstract is between the title page and the table of contents.
For conference proceedings, each paper shall include an ab-stract of 200 words or less. The abstract shall appear on the first text page of each paper between the title and the text.
3.
Guides for Preparing an Abstract t
The abstract is a condensed version of the document and should summarize or highlight the major points. It should never ex-coed one paragraph or 200 words, and should provide a review of the contents of the work in abbreviated form.
The abstract should state what was investigated and give any conclusions reached. A review of the major and minor headings of the report and, in particular, the introduction and conclu-sion section can be useful in deciding what information to in-clude.
The first sentence of the abstract should state the subject of the report.
The writing should be concise; that is, words and ideas that are either repetitious or unnecessary should not be used. Care should be taken, however, to include the article Q, an, the) and transitional words (and, however, but) that are,important to readability. The language should be concise, but the ab-stract should not read like a telegram.
4.
Summary Contractor reports (other than short summary reports) should include a 500- to 1,000-word summary of major findings conclu-sions and recommendations (if any) of the report.
The summary should state the purpose and nature of the investigation, as well as provide a brief account of the procedures used, it should provide a concise overview for persons in management positions. Though more complete than an abstract, the summary should not contain a detailed description of the work' on which the findings, conclusions and recommendations were based.
The summary may appear as a separate section between the ab-stract and the table of contents.
It may also be the final section of the text. When it appears between the abstract and table of contents, it is treated as front matter.
When it appears as the final section of text, it should be listed in the table of contents and treated as text matter.
5.
Table of Contents and Page Numbers A table of contents shall be provided if the report contains more that 25 pages of text. The table of contents shall list all 25 Approved: January 25, 1978
PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUNENTS PREPARED BY NRC CONTRACTORS _.
major sections of the text, including the front matter. It shall include chapter ~or section numbers, as well as the title of and page number for each. (See Exhibits 8 and 9 for sample tables of contents.)
In reports made up of chapters or papers by different authors, the table of contents shall list the name of each author with the title of the chapter or the paper (see Exhibit 10, for example).
When prootreading the table of contents, insure that the page numbers and wording of chapter and section titles are identical with those in the text.
6.
List of Figures
.______.i e
A separate page listing figures shall be included when there are five or more figures in the report. The figure numbers and captions shall correspond to those in the text. Such a list is unnecessary for conference proceedings or symposium compilations.
7.
List of Tables A separate page listing tables shall be included if there are five br more tables in the report. The table numbers and titles shall correspond to those in the text.
Such a list is unnecessary for conference proceedings or symposium compilations.
8 Preface (Optional)
The preface is the author's statement about the purpose, back-ground, or scope of the work. It can also contain acknowledg-ments of help received during the course of the work, if the acknowledgments do not run over several paragraphs.
The preface can also cite permission obtained for use of previously published work. The author's name shall appear at the end of the preface with his title, affiliation, and the date.
9.
Acknowledgments l
)
Unless they are more than one page long, acknowledgments shall appear in the preface.
Acknowledgments, if extensive, shall follow the preface on a separate page and carry a small Roman page number, 10.
Previous Reports in Series If the report under preparation is one in an ongoing series, list all previous reports in the series. Include report numbe. and issuance dates.
Approved: January 25, 1978 26 i
4
PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS _.
major sections of the text, including the front matter. It shall 2
include chapter or section numbers, as well as the title of and page number for each. (See Exhibits 8 and 9 for sample tables i
of contents.)
In reports made up of chapters or papers by different authors, the table of contents shall list the name of each author with the title of the chapter or the paper (see Exitibit 10, for example).
When prootreading the table of contents, insure that the page
- numbers and wording of chapter and section titles are identical with those in the text.
6.
List of Figures A separate page listing figures shall be included when there are five or more figures in tne report. The figure numbers and captions shall correspond to those in the text. Such a list is unnecessary for conference proceedings or symposium compilations.
7.
List of Tables i
1 A separate page listing tables shall be included if there are five Or more tat:les in the report.
The table numbers and titles 4
shall correspond to those in the text.
Such a list is unnecessary for conference proceedings or symposium compilat ons.
8 Preface (Optional)
The preface is the author's statement about the purpose, back-ground, or scope of the work. It can also contain acknowledg-ments of help received during the course of the work, if the acknowledgments do not run over several paragraphs.
The preface can also cite permission obtained for use of previously i
published work. The author's name shall appear at the end of the preface with his title, affiliation, and the date.
9.
Acknowledgments Unless they are more than one page long, acknowledgments shall appear in the preface.
Acknowledgments, if extensive, shall follow the preface on a separate page and carry a small Roman page number.
10.
Previous Reports in Series l
If the report under preparation is one in an ongoing series, list l
all previous reports in the series. Include report number and I
issuance dates.
Approved: January 25, 1978 26 n--n.
, - ~,
PU8LICATION OF UNCLASSIFIE0 REGULATORY ANO TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 Exhibit 8 TABLE OF CONTENTS Abstract............................ iii Li st o f F i gure s.................... ri gh t roma n Li st of Tabl es..................... ri gh t roman P re f ac e........................ ri gh t roma n Acknowl edgments.................... ri gh t roman Previous Reports.................... right roman 1
I.
Introduction...........
3 A.
Background......................
B.
Overview and Objectives of Study...........
8 1
10 II.
Experimental Apparatus and Procedure...........
15 A.
Experimental Apparatus................
19 B.
Experimental Procedure................
22 III. Results..........................
25 IV. Discussion........................
35 References...........................
37 Bibliography..........................
Appendixes 39 A.
Thermophysical Property Values............
41 8.
Experimental Data..................
47 Glossary............................
27 Approved: January 25, 1978 i
PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS Exhibit 9 CONTENTS A8STRACT...........................
iii
SUMMARY
......................... ri ght roman 1.
INTRODUCTION.......................
1 2.
EXPERIMENT DESIGN....................
3 2.1 Test Train.....................
3 2.2 Flow Shroud.....................
3 2.3 Fuel Rods..,,..................
8 2.4 Instrumentation...................
10 2.4.1 Test Train Instrumentation..........
10 2.4.2 Fuel Rod Instrumentation...........
12 3.
EXPERIMENT CONDUCT....................
16 3.1 Preconditioning...................
17
- 3. 2 Power Increase and Stead 25 Flow. Reduction.....y-State Operation......
l 3.3 26 1
4.
PRELIMINARY POSTIRRADIATION EXAMINATION RESULTS.....
33 l
1 4.1 Visual and Dimensional Characterization.......
33 l
4.1.1 Rod I E- 007...................
33 4.1.2 Rod IE-008..................
38 4.1.3 Rod IE-009............. *.....
38 4.1.4 Rod IE-010..................
40 4.2 Discussion.....................
40 5.
EXPERIMENTAL RESULTS AND COMPARISON OF CALCULATED
~
AND MEASURED FUEL R00 BEHAVIOR..............
42 5.1 Analytical Model..................
43 5.1.1 Fuel Rod Model................
43 5.1.2 Experimental Conduct Model..........
44 5.2 Cladding Elongation.................
44 Approved: January 25, 1978 28
i-
- o.
PUBLICATION 0F UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 Exhibit 10 CONTENTS OPENING REMARKS (W. P. Bishop).................
1 TOPIC I:
VALUES AND IMPACTS OF WASTE PARTITIONING.......
5 Partitioning--An ERDA Overview (R. O. Walten, Jr.,
V. G. Trice, Jr., and K. D. Dance)...........
6 Discussion 22 Partitioning--Fired or Foe? (J. W. Bartlett).......
24 i
~
Discussion 34 l
A Program to Establish the Technical Feasibility and._
Incentives for Partitioning (J. O. Blomeke).......
38 i
Discussion...............
49 The Impact of Partitioning on the Fuel Fabricator (I. E. Knudsen and B. H. Neuman)............
53 Discussion......................
62 Projected Benefits from Actinide Partitioning (C. Braun and M. Goldstein)...............
64 Discussion......................
76 TOPIC II:
HAZARDS IN RADI0 ACTIVE WASTE DISPOSAL........
80 Potential Environmental Advantages from Partitioning of Radioactive Waste (J. L. Russell).......
81 Discussion......................
89 Other than High-Level Waste (G. R. Bray).....
95 Discussion.....................
105 Environmental Hazards from High-Level Waste (B. L. Cohen)...................... 107 Discussion.....................
127 i
l 29 Approved: January 25, 1978
PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS II.
Abbreviations and Symbols When the abbreviations and symbols used in the report are numerous, and when there is a possibility they will not be understood by the intended audience, include a separate section for them. The list, labeled as cuch, shall appear as the last item of the front matter on a new right-hand page.
D.
TEXT l.
Title of Report The title of the report shall be repeated on the first page of text. It shall be centered at the top of the page, like a chapter i
or section title.
l 2.
Introduction (Optional)
Not every report needs an introduction. Where background in-I formation essential to an understanding of the text is neces-I sary, include an intrddUction. Otherwise, background informa-l tion shall be included in the preface.
{
The introduction follows the preface (or acknowledgments), be-ginning on a new page. As toe first text page, it shall be unnumbered but considered as page number i. If there is no introduction, begin the report with the first major text head-ing, after repeating the report title.
3.
Paper Plain, white, bond paper shall be used. Company letterhead is not acceptable.
4.
Typino instructions Paragraphs shall be single spaced and typed flush left in block style (no paragraph indentations). Double space between para-graphs, triple space before headings, and double space after headings.
L 5.
Imace Area The image areas for typing shall be 6 x 8-l/2 in.
6.
Pace Numberino Pages shall be numbered consecutively throughout, with small Roman numerals for all front matter and Arabic numerals for all text and back matter. The report will be printed on tioth sides of the paper; therefore, all left-hand pages must carry even numbers, and all right-hand pages, odd numbers.
Approved: January 25. 1978 30
PUBl.ICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 New chapters may begin on a new page; either a left-or right-hand page.
Page numbers shall be centered one-half inch above the bottom of the typing guide' " Guidelines for numbering pages containing figures or tables are found in a later section on Graphic and Tabular Matter.
7.
Photocopied Text Pages reproduced by photocopying machines are not acceptable as camera-ready material.
Photographically reproduced pages (using photographic print paper) are acceptable.
8.
Footnotes Footnotes in the body of the report shall be used only for ex-planatory material not extensive enough to comprise an appendix.
Notes citing references to literature used in the preparation of the report shall appear as part of the references (see item G, below).
Footnotes shall appear at the bottom cf the text page between the last line of text and the page number; that is, the last line of the footnote shall be on the bottcm line of the 6 x 8-l/2 in.
A do' ble space shall appear between the last typing guide.
u line of text and the first line of the footnote. A 20-space one shall appear above the first footnote.
Single, double or triple asterisks or daggers shall be used to mark footnotes in the text and at the bottom of the page.
E.
BACK MATTER I.
References l
a.
Format.
Citations of source documents in technical and l
research reports shall be numbered consecutively in the order in which they appear in the text and collected in a t
reference section.
For short reports (20 pages or less),
the reference section shall appear at the end of the report directly following the text.
For long reports, reference sections shall appear at the end of each chapter or major section. In either case, reference sections are labeled as such and may begin at the end of the text or on a new page.
For reports with more than one reference section, if a citation appears in separate chapters or sections, it shall be repeated in each appropriate reference section.
Multiple line citations shall be typed single space, with double spacing between citations.
e 31 Approved: January 25, 1978
PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS The second and subsequent lines of an entry shall be typed flush with the same margin as the first line so that the reference number stands out.
(See item G for guidelines on how to cite specific references.)
6.
Availability Requirement. The provisions of 10 CFR 2.740 and 10 CFR 9.4 require that written, reproducible material
+
used as source material in NRC regulatory and technical documents produced by its contractors and subcontractors be readily available for inspect!cn and copying or be documents ordinarily available from a public library.
Accordingly, reference citations must be presented in a format recognizable by a. librarian.
Citations to infor-mation not available in the open literature shall state where the document can oc purchased or copied.
Give purchase price, if known (see item G for guidelines).
c.
Proprietary and Classified Documents.
When nonproprie-tary or unciassified (or declassifiable) information con-tained in proprietary or classified documents must be used as source material, it should be (1) inserted in the body of the text or as a footnote to the text, (2) copied and placed in an appendix, or (3) abstracted and made available for inspection and copying for a fee at the NRC Public Document Room. if alternative (3) is chosen, the abstract should be referenced in the reference list in the appropriate sequence.
In some instances, reference to classified or proprietary documents cannot be avoided becaut a those documents are the only source for the material. The documents are re-quired, however, to be withheld frcm the public. Never-theless the public must be made aware that such documents served as the bases for the material presented.
~ Accordingly, proprietary documents and classified documents (omit the title if the title is classified) may be referenced when necessary.
This type of reference should include a statement such as the following: This document is not publicly available because it contains proprietary (or national security) Information.
2.
Bibliography Citations of other documents pertinent to the subject but not referenced in the text shall be listed in a bibliography.
Bibliographic entries shall be arranged alphabetically by per-sonal or corporate author name.
The bibliography, labeled as such, shall follow the last ref-erence section in the text and begin on a new page, either right or left.
Approved: January 25, 1978 32
e PUBLICATION 0F UNCLASSIFIED REGULATORY AND TECHNICAL'00CUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 3.
Appendix The appendix shall comprise information supplemental to the repcrt. The types of material to be placed in the appendix are (a) explanations too long for footnotes but helpful to the reader seeking further assistance or clarification, (b) passages from documents or laws that support or illustrate the text, or (c) long charts or tables.
The first appendix shall appear on the first right-hand page directly after the reference section or bibliography.
Each additional appendix shall begin on a new page, either right or left.
Each appendix shall be identified by a title and heading centered above the text.
4 Glossary A glossary shall be included if the report contains many terms that will be unfamiliar to the intended audience. Terms shall be arranged alphabetically, with each new entry beginning on a new line.
Definitions shall follow the term on the same line, dictionary style.
The glossary, labeled as such, shall appear directly after the appendix, beginning on a new page, either right or left.
5.
Distribution List The distribution list shall cite the NRC distribution category and any supplemental distribution the report is to receive. The supplemental recipients shall be listed by title and complet'e address, including Zip Code.
It shall begin on a right-hanc page.
F.
GRAPHIC AND TABULAR MATTER l.
Tables j
Each table shall have a number, in Arabic numerals, and a i
title. The table number and title shall be centered above the table.
Tables shall be numbered sequentially throughout the text or double-numbered by chapter, such as 1.4, 5.6, etc.
Tables shall be referred to in the text by number rather than by direction (" Table 4" rather than "the above table"). When a table must be continued from one page to the next, the table number (" Table 3, Continued") and the column headings shall be repeated at the head of the new page.
1 Pages containing. full-page tables shall be numbered in the same manner as regular text pages.
33 Approved: January 25, 1978 i
1 7
..---,.,..-n-,
a.,..-
.a..,,n
_,.,-.,w_,-,--_.w,,c,,
~-
n
,,,,,,a.m
,,.,en,
-p_,,
PUBLICATION OF UNCLASSIFIED REGULATORY AND
,_, __ NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS.
2.
Ficures Each figure shall have.a number, in Arabic numerals, and a title. The figure number and title shall be placed below the figure. Figures shall be numbered sequentially throughout the text or doubled-numbered by chapter, such as 1.4, 5.6, etc.
Figures shall be referred to in the text by number rather than by direction (" Figure 3" rather than "the figure below").
Pages containing full-page figures shall be numbered in the same manner as regular text pages.
3.
Photog rachs Only continuous-tone glossy black and white prints are accept-able. The following types are g acceptable: color prints and prescreened or half-tone prints or plates.
All photographs shall be mounted and the title, number, and page number placed on the page. Photographs shall be considered as figures with respect to numbers and title.
4.
Special Graphics Special graphics include oversized, engineering drawings and foldouts.
Instructions for handling special graphics shall be provided for each document, where appropriate.
G.
EXAMPLES OF REFERENCE CITATIONS 1.
Correspondence Letter from D. B. Blackman, Georgetown Municipal Utility, to R. A. Gilbert, NRC,
Subject:
Answers to NRC Questions on Docket 50-825, dated January 31, 1975. Available in NRC PDR for inspection and copying for a fee.
2.
Internal Papers Internal papers, such as technical notes and minutes of meet-ings should not be referenced unless they are already available in the NRC Public Document Room (PDR) or will be made i
available in the PDR prior to issuance of the report.
For a technical note, list author (if any), title, and date, and state that it is "available in the NRC PDR for inspection and copying for a fee "
The same format is applicable to minutes of meetings.
Calculations and working papers should j be n
referenced. If the information in them is partinent to the text of the report, it should be made part of the report as text, footnote, or appendix.
Approved: January 25, 1978 34
-_--_N-------,,.-
PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 3.
Personal Communications, Private Communications, Notes Regarding Visits References of the following type should g be used:
J. G. Facer, ERDA Grand Junction Office, personal com-i munication to M.
B.
- Sears, Oak Ridge National Laboratory, December 16, 1975.
Staff visit to the Exxon mine waste dump, Converse County Wyoming, April 12, 1972.
In both instances place these remarks directly in the text, since they do not represent any retrievable information.
4.
Procedures Manuals Procedures manuals should not be refe. red to unless they are normally available.
The ciIaiion should give sufficient in
)
formation to indicate where they can be obtained, if specific procedures are pertinent, they can be reiterated in the text without reference to documents.
j 5.
Government Agency Printed Documents and Drafts that Have Been Made Available to the Public for Comment For draft reports:
U.S.
Nuclear Regulatory Commission, " Draft Generic Environmental Statement on the Use of Recycle Plutonium in Mixed Oxide Fuel in Light Water Cooled Reactors,"
USNRC Report N U R EG-0002, Vols.
1-5, April 1976.
Available in NRC PDR for inspection and copying for a fee.
If specific pages are being referenced, insert volume and page i
numbers following the title; e.g., Vol. 4, pp.10-20, 500-730.
i For final reports:
U.S.
Nuclear Regulatory Commission, " Final Generic Environmental Statement on the Use of Recycle Plutonium in Mixed Oxide Fuel in Light Water Cooled Reactors,"
USNRC Report NU R EG-0002, Vols.
I-5, August 1976.
Available for purchase from National Technical Information t
Service, Springfield, Virginia 22161.
R.
O.
Meyer, "The Analysis' of Fuel Densification,"
USNRC Report NUREG-0085, p. 48, July 1976. Available for purchase from National Technical Information Service, Springfield, Virginia 22161.
35 Approved: January 25, 1978 l
l
PUBLICATION OF UNCLASSIFfED REGULATORY ANO NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS 6.
NRC Contractor Reports and Reports Prepared on Interagency Agreements M. A.M. Shinaishin, University of Arizona, " Dynamic Simu-lation of a Sodium-Cooled Fast Reactor Power Plant," p.
- 196, USNRC Report N U R EG-Oll0, September 1976.
Available for purchase from National Technical Information Service, Springfield, Virginia 22161.
G.
L.
Bordner and others, " Pretest Analysis SLSF In-Reactor Experiment 62," USNRC Accession No. 771090001, prepared for NRC by Argonne National Laboratory, October 1976.
Available in NRC PDR for inspection and copying for a fee.
7.
NRC Applicant Document Exxon Nuclear Company, " Preliminary Safety Analysis Re-port," Vol. 3, p. 5.4-3, Nuclear Fuel Recovery and Re-cycling Center, Docket 50-564, April 1976.
Available in NRC PDR for inspection and copying for a fee.
8.
oroject Documents The format given in item G.7 for applicant documents may be used for project documents, with the docket number replaced by the project number.
9.
Licensee Documents The format given in item G.7 for applicant documents may be used for licensee documents, with the docket number or the license number, 10.
Books S.
Glasstone, Sourcebook on Atomic Energy, p.
- 155, D. Van Nostrand Co., Inc. New York,1974.
11.
Conference Papers 4
.2 Unpublished conference papers should not be referenced. The t
information being used should be stated in the text and credit to the originator given in text or footnote, if the originator can supply a paper, it may be placed in an appendix and mentioned in the text.
Published conference papers should be referenced as follows:
J. L.
Russell, " Potential Environmental Advantages from Partitioning of Radioactive Waste," p. 83 in Proceedings of
'l Approved: January 25, 1978 36 l
l 9
(
1 PUBLICATION OF UNCLASSIFIED REGULATOR AND TECHNICAt. DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 the Conf erence on the Management of Rzd cacti *.e Waste.
waste Partitioning as an Alternatwe,11SNRC Cmprence Report CON F-001, JEne7976. Available scr purcnase from l
National Technical Information
- Service, Soringt; ele, Virginia 22161.
12.
Journal Articles, Magazine Articles, Newspaper Articles S. O Shearer and C w. Still, " Evaluation of Atmospheric Radon in the Vicinity of Uranium Mill Tailings," Health Phs sics 17, 77-88 (1976).
Available in public technical libraries.
"Wh) the Nuclear Power Race worries the U.S.,"
- p. 68, Business heek, August 23, 1976.
Available in public libraries.
" Argentina Says it Has Atom Fuel To Triple its Electrical Capacity," p. 53, The New York Times, August 31, 1976.
Available in public libraries.
13.
University Theses J.
J.
Jacobs, " Programming Language i for the Varian P LCU,"
Master's
- Thesis, p.
70, North, Carolina University,1971.
14.
Codes and Standards "American National Standard Requirements for Collection, Storage and Maintenance of Quality Assurance Records for Nuclear Power Plants," ANSI N45.2.91974 Availacle from American National Standards Institute, 1430 Broadway, New York, N.Y.
10018, Copyrighted.
"Draf t American National Standard Requirements for Collection, Storage, and Maintenance of Quality Assurance Records for Nuclear Power Plants," ANSI N45.2.9, Rev. I, Draft I,
February 1976.
Available from The American Society of Mechanical Engineers, 345 East 47th Street, New York, N.Y.
10017.
37 Approved: January 25, 1978 A
PUBLICATI0lt 0F tmCLASSIFIED Exhibit 11 NRC Appendix 3202 MSA.ATORY NIO TECHNICAL U. S. Nusteer Repsleepy e^=
INICISEllTS PREPARED BY NRC PROCEDURES FOR PUBLICATION OF CINITRACTORS FORMAL CONTRACTOR DOCUMENTS
- Prepare report in sneerdense whh NRCM Appenden 320EPeirt N er eeneester written M stadeth 4
Omisin NuREamR neeber my ensing 1
j 301402-7900 er by h of NRC Penn d 3B as TDIC
1 P le report prepared under,an V/
\\"'
I Propero tMis pegs and Propero er draft this esserin senordense wide page and sever in NRC Fenn 173 " Terms and esserdense w!di NRCM Appendin l
,-%-.-_"" Eahlbha 2. 3. and 4 3102 Emhtsia 1 and 2 M
d Propero en ekstreet of 200 wente er less 4
IOkeein meant rwiew,if apolioshoe 1 4
I I obtain assucity review,if applimente l 4
[Oheem draft reviour try NRC, if applisable l 4
I c_. r diseaween i E
P=p.e = prod =ade menere in asserdense whh NRCM Appendia 3202 Part IV 4
l le report to be prinend by NRC7'"l no (
N yes Must he primend by e JCP Send reprodueado nessesre ardnerhed prindne plant and NRC Fenn 428 to TIDC l
1IP Suhadt ofReient report espise, one repredmeihie nesseur, med NRC Fenn 45 to TSOC 9er diserthution l
'See NRCM 3202 er NRC Penn 173 " Tenne and Canditions," lean 12, for definition.
l Campeses presadwes (NRCM 3202) and fenne may be eheined by esNing 301482 700s.,
"Dieleien of Teshniset infennation and Desument Centrol, Landow 212, U. S. Nuoleer Roguessory Conunission, Washington, D. C. 20585.
If DOE sonweeter, see NRC Form 173 " Tenne ensi Conditions," item 12 for printing anher.
leadene, if not DOE sentraster er other govemment agency, printing noust he done by NRC.
Connet: 1. NRC Teshnmal Manhar for eenwast er Standard Order for Worts.
- 2. Divielen of Technesol Informeteen and Desuneent Control, Telephena 301402 7508.
- U~
Approved: February 10, 1978
,w-=,--rw--w_
.n,
-e-w---w,-,---,,r-
-,.w.. -, - - - - - -,, -. -, - - _ - - - - - - -,, -, - -. - - _ - - - - - -
t l
l '^
NRC Appendix 3202
' Exhibit 12 PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHN! CAL DOCUMEftTS PREPARED By NRC g7-J, CONTRACTORS
'n U. S. Nudeer Reguletory C:--- ' :-
PROCEDURES FOR ISSUANCE OF
)
d
/~
INTERIM CONTRACTOR REPORTS
- Prepare resort in assunlesus tApi NRCM Appendio 33R2 Port IV or on,ntreeter A'
j'.
writan edlertal standssete f
[
I
.~
Propero title page in seasha i
wtWe NIMat Appendia 3302 ashtit 7 E
I or N,R. C F.onn 173,_"Ternm er,d
'.'i
[ Obtain potent seriew, if appliseWaj i
4
~
~
[ Olstosn escurity review, it appliselds I 1
-.I -
4 c
4 l Detonnine dienrepution l
- '[
le report to be printed by NRC?l Y
\\ Y
l Dupliseto (contractor)
~
Prepas ge r::n mestors' E
in esserenec wiWi NRCM Appendiu 3402 Pat IV le report to ae E
distrihuesd by NRCP i
"'/
bV'8 Send reproducible nessears oed oompleted NRC Form 428 to TsDC" W 2 m of ^
Send diserthution for prD ting and distribution
,4 report to TIDC with M **"80'"8 NRC Form 428 and a NRC Form 438 amid of the copeseof the distrtpution list 8' N for distremstion 4
l Distribute (contreetor) l
- Send NRCM 3202 or NRC Form 173 " Terme and Condnions," item 12, for definition.
Complete proogdures (NRCM 3202) auf forme may tw exteened by ceNing 301492 7508.
" Division of Tashnical information and Document Convol, Londow 212, U 5. Nw!ser o'
Repletory Commission Weehington, D. C. 20585.
Contact:
- 1. NRC Technical Moniese for contreet or Stemierd Order for Work.
/
- 2. Division of Technical information and Docuenent Control. Telep.Vne 301492 7508.
t l
Approved: February 10, 1978 i
l l
'9 g
y-e
)
ATTACHMENT 4
- i. 506.C TAT.ON, con T m AC1,MOr3,,C AT ION
,c CONTRACT PRICING PROPOSAL COVER SHEET feOTE Th s form s used en concreti estions if euerneessoa of eest se pricine ets is regiaired (See FA A f 5 23d4felJ TTEET efinom (faende KIP Codes 3A.NAME ANO TaTLE OF OFFEmom'5 POINT
- 38. T ELEPMONE NO OF CONT ACT f.
n
! J M+.-
- 4. TYPE OF CONTRACT ACTIQN #Chacel 5
- A NEW CONTR ACT O LETTER CONTRACT
- 8. CHANGE ORDER E UNPRICED OROE A t
. OT HE R #3preefy s P
C. PRICE REVISION /
- 3. T vrE OF CONT R AC T (Checes 8 PROPOSED COST #A*S*C)
~
P I
CPFF CP3F CPAF A. COST
- 3. pmOFIT/ FEE C. TOT AL FFP mm
%m fps OTHER tspeestys IN ACEt5l AND FEntOctSt OF PERFORMAPeCE S List and reference the'edentifIcaxA. Osentity and tcui price propeesd for escfi contract line item. A line itern cost treetdown supporting inst recap is re overed unless otnerweee sosciteed hp t w Coritrp: ting OMeer. #Centanee en reverw. and then en pasin paper. if aseessary t/se esme nessanes s A LINE ITEM NO 1
B eDENTIFICATION C. OUANTIT Y O TOTAL PRICE E REF 4-U 4.. /
A t
,?..r l
e a'
9 PROvtOE NAME. AOORESS. AND TELEPHONE NUMSER FOR THE FOLLOWING #ff erendetaes
~
X"Z'5FfM f"Z5Ei.S T m A TION OF F iC E
- s. AvoiT OrriCE.
4
- 10. wiL L vou mE nt.:im E TME USE OF ANv Gov E 4** MENT PROPER T v ggA. 00 vou REQuanE GovEmN.
3 3 3. T v rE OF F INANCiNG g ome#
IN THE pEmF O6a d ANCE OF THIS womm' tif Wee." asentsfy)
MENT CONT R ACT FiNANCsNG 70 ptaronM TMis enoposEO ADVANCE emOCRESS e~
CONT C T ' fif "Yes." eempde se PAYMEdS PAYMENTS i
,.]YES ONO O cuAa A~Tieo oOA~s NO YES
- 13. MAvE YOU eEEPs Aw AmOED ANY CO*sTmACT3 On SueCONTR ACT5 63. 85 TMe5 PRO *C5AL CON 585 TENT wlTM vovm EST AOLisnE O ES T s-FOR THE SAnst on StMILAR ITEMS wtTHIN THE PAST 3 VEAmS' MATING AND ACCOUNTING pmACTICES ANO enOCEOvaES ANO fif "YeeJ' adeass.y..emres, eastomertes sad esatseer ammeertess F AR PART 31 COST pmINCIPLE5' (if "No."espassaf CYES ONO YES NO 4
14 COST ACCOUNTING STANOAROS SCARO (CASSI DATA treesde Lose es 379 es ameaded and FA A PARf Jos i
DELL TMI5 CORTmACT ACTION WE 5U5 JECT TO CASS mEGuLA-
- 5. peavE YOU 5usutTTEo A CA5s Os5CLOsumE ST ATEMENT
- TiONS a fit "Me.
- espense da proposed)
- CASS Ds.1 er 23 P fit "Yes."speesty asi proposes rne efface to ernece cuenedfied and of deseessedned le te edecesses
[ YES NO l
YES NO C. MA V E YOU W E E N NOT e F E O T H A T Y O u A m t O m M A Y WE eM NON-O. Ili ANV A5PECT OF TMil GNOGQ5AL INCON5:5 TENT wiTM vovm COMpLI ANCE weTM vous OtSCLOsumE ST ATEMENT OR COST OaSCLOSEO #R ActeCE5 On AppteCAeLE COST ACCouMTsNG
. ^ -
ACCOUNTING STANDARDS'ist " Vee."esplesa se propoself ST ANOA mO5'ilf "Yes." eerdesa de proposer; YES NO YES NO Tri,s prooosee es suemitted en responte to tne RFP contract. modifacetson, etc in item 1 and rettects our nest estimenes and/or actwoi costs as o' inis date D 6 M T E(Type)
- 46. NAME OF Fa nM L
is. DATE OF sueMis5aON 67SiGNATund
.\\
~
9 dire FS4Hl.142.gsa$
le t1 103 ST ANDARO FORM 1411 410-831 peewr.ees av CSA
- e.s. eussesuses Pslettes errtcar teen. awne
. fan (48 CF al S3 215 210 e
j i
6 As t
9 m.-...
.w-
+ - - ~,. _ _ _, - -
,---y,-.,--4-------,,-.,,----
,--.,---..-,=-.e
m ;,
-w.
i3 w.
ATTACHMEllT W T '
STANDARD FORM 1411 WITH INSTRUCTIONS 1.
SF 1411 provides a vehicle for the offeror to submit to the Government a pricing proposal of estimated and/or incurred costs by contract line item with~ supporting information, adequately cross-referenced, suitable for detailed analysis.
A cost-element breakdown, using' the, applicable format y
prescribed in 7A, S or C below, shall be attached for,each proposed line iten and must reflect any specific requirements established by the Contracting Officer s Supporting breakdowns must be fdrnished for each cost element, consistent with offeror's cost accounting system.
1 When more than 'one contract line item is proposed, summary total amounts covering all line items must be furnished for each cost element.
If agreement has been reached with Governi.ent representatives on use of forward i
pricing rates / factors, identify the agreement, include a copy, anu 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 sunmary of individual material quantities included in the various tasks, orders, or contract line items being proposed and the basis for pricing (vendor quotes, invoice prices, etc.).
Subcontracted items - Include parts, components, assemblies, and services 3
.that are to be produced or.. performed.by others in accordance with offeror's j
design, ^ specifications, or direction and that are applicable only to the prime contract.
For each subcontract over $500,000, the support should provide a listing by source, item quantity, price, type of subcontract, i
degree of competition, and basis for establishing source and reasonableness q
~,
of price, as well as the results of review and evaluation of subcontract proposals when required by FAR 15.806.
Consists of items,that offeror normally Standard Commercial Items fabricates, in whole or in part, and that are generally stocked in j
inventory. Provide an appropriate explanation of the basis for pricing.
If price is based on cost, provide a cost breakdown; if priced at.other than cost, provide justification for exemption from submission of cost or pricing data, as required by FAR 15.804-3(e).
Interor'ganizational Transfer (at other than cost) - Explain pricing method used.
(See FAR 31.205-26).
Raw Material - Consists of material in a form or state that requires further processing. Provide priced quantities of items required for the proposal.
Purchased Parts - Includes material items not covered above.
Provide priced quantities of items required for the proposal.
Interorganizational Transfer (at cost) - Include separate breakdown of cost by element.
4 s
l
~-
Provide a time-phased (e.g., monthly, qua rterly, etc.)
Direct Labor breakdown of labor hours, rates, and cost by appropriate cat;g2ry, and furnish bases for estimates.
Indirect Costs - Indicate how offeror has computed and applied offeror's indirect costs, including cost breakdowns, and showing trends and budgetary data, to provide a basis for evaluating the reasonableness of proposed rates.
Indicate the rates used and provide an appropriate explanation.
Other Costs - List all other costs not otherwise included in the categories described above (e.g., special tooling, travel, computer and consultant services, preservation, packaging and Federal excise tax on finished articles) packing, spoilage and rework, and and provide bases for pricing.
Royalties - If more than $250, provide the following information on separate page for each separate royalty or license fee:
name and address of licensor; date of license agreement; patent numbers, patent application serial numbers, or other basis on which the royalty is payable; brief description (including any part or model numbers of each contract item or component on which the royalty is payable); percentage or dollar rate of royalty per unit; unit price of contract item; number of units; and total dollar amount of royalties.
In addition, if specifically requested by the Contracting Officer, provide a copy of the current license agreement and identification of applicable claims of specific patents.
(See FAR 27.204 and 31.205-37).
Facilities Capital Cost of Money - When the offeror elects to claim facilities capital cost of money as an allowable cost, the offeror must submit Form CASB-CMF and show the calculation of the proposed amount (see FAR31.205-10).
2.
As part of the specific information required, the offeror must submit with
~
offeror's proposal, and clearly identify as such, cost or pricing data (that is, data that are verifiable and factual and otherwise as defined at FAR 15.801).
In addition, submit with offeror's proposal any information reasonably required to explain offeror's estimating process, including; a.
The judgmental factors applied and the mathematical or other methods used in the estimate, including those used in projecting from known data; and
' b.
The nature and amount of any contingencies included in the proposed price.
3.
There is a clear distinction between submitting cost or pricing data and merely making available books,
- records, and other documents without identification.
The 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 Contracting Officer or an authorized representative.
As later information comes into the offeror's possession, it should be promptly submitted to the Contracting Officer.
The requirement for' submission of cost or pricing data continues to the time of final agreement on price.
i 9
a B.
Change Ordsrs (modifications).
Cost Of Estimated Deleted Cost of All Work Cost Work Already Net Cost To Cost Of Net Cost Of Elements Deleted Performed Be Deleted Work Added Change, Reference (1) ^
(2)
(3)
(4)
(5)
(6)
(7)
Under Column (1) - Enter appropriate cost elements.
Under Column (2) - Include (1) current estimates of what the cost would '
have been to complete deleted work not yet performed, and (ii) the cost of deleted work already performed.
Under Column (3) - Include the incurred cost of deleted work already performed, actually computed if
- possible, or estimated in the Contractor's accounting records.
Attach a detailed inventory of work, j
materials,
- parts, components, and hardware already purchased, manufactured, or performed and deleted by the change, indicating the cost and proposed disposition of each line item.
Also, if offeror desires to retain these items or.any portion of them, indicate the amount offered for them.
Under Colunn (4) - Enter the net cost to be deleted which 'is the estimated cost of all deleted work less the cost of deleted work already performed. Column (2) less Column (3) = column (4).
Under Column (5) - Enter the offeror's estimate for cost of work added by the change.
When nonrecurring costs are significant, or when specifically requested to do so by the Contracting Officer, provide full i
identification and explanation of them.
Under Column (6) - Enter the net' cost of change which is the cost of work added, less the net cost to be deleted.
When this result is negative, place the amount in parentheses. Column (4) less Column (5) =
l Column (6).
Under Column (7) - Identify the attachment in which the information supporting the specific cost element may be found.
Attach separate pages as necessary.
I
(
{
4v
--p,i-wg.wvv
.-,,,-ww,-wy-rw--,*y y
9-*wyy,,wy,-.,,py--w-y---.--vm, yywmeg&--g:-s--v-------rw-^e--r*7
.rv-w**e
-*--N--ww-fw****wam
-+
ewp rr
i 4.
In submitting offeror's
- proposal, offeror must include an
- index, 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 index.
5.
By submitting offeror's proposal, the offeror, if selected for negotiation, grants, the Contracting Officer or an authorized representative the right to examine those books, records, documents, and other supporting data that will permit adequate evaluation of the proposed price.
This right ~may be exercised at any time before award.
6.
As soon as practicable after final 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 Certificate of Current Cost or Pricing Data.
7.
Headings for Submission of Line-Item Summaries:
A.
New Contracts (including Letter contracts).
t Proposed Contract Proposed Contract Cost Elements Estimate-Total Cost Estimate-Unit Cost Reference (1)
(2)
(3)
(4)
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 this 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 significant, or when specifically requested to do so by the Contracting Officer, provide a full identification and explanation of them.
Under Column (3) - Optional, unless required by the Contracting Offi,cer.
Under Column (4) - Identify the attachment in which the information supporting the specific cost element may be found.
Attach separate pages as necessary.
l
,,n.
,. -.., -.. - - -. ~. -.. - - <, -. - - - - -, - -, - - - - - - - - -.. - - - - -
. s C.
Price Revisicn/R; determination Number of Number of Redetermina-Units Units To Be Contract tion Proposal Cutoff Date Completed Completed Amount Amount Difference (1)
(2)
_(3)
(4)
(5)
(6)
Incurred Incurred Incurred Cost-Cost-Cost-Total Estimated Cost Preproduc-Completed Work In Incurred Cost To Estimated Elements tion Units Process Cost Complete Total Cost Reference (7)
(8)
(9)
(10)
(11)
(12)
(13)
(14)
Under Column (1) - Enter the cutoff date required by the contract, if applicable.
Under C61umn (2) - Enter the number of units completed during the period for which experienced costs of production are being submitted.
Under Column (3) - 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 parenthesis. 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-incentive and fixed-price-redeterminable arrangements should be net of the fair market l
value of such inventory.
In support of subcontract costs, submit a listing 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 startup costs) from offferor's books and records as of the cutoff date.
These include such costs as preproduction engineering, special plant rearrangement, training program, and any identifiable nonrecurring costs such as initial rework, spot' age, pilot runs, etc.
In the event the amounts I
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 i
I L
1 (e.g., included in production costs as direct engineering labor, charged to manufacturing overhead, etc.). Also how the costs would be allocated to the units at their various states of contract completion.
Under Columns (9) and (10) - Enter in Column (9) the production costs from offeror's books and records (exclusive of preproduction costs reported in Column (8) of the units completed as of the cutoff date.
Enter in Column (10) the costs of work in process as determined from offeror's records or inventories at the cutoff date.
When the amounts for work in process are not available in Contractor's records but reliable estimates for them can be made, enter the estimated amounts in Column (10) and enter in Column (9) the differences between the total incurred costs (exclusive of preproduction costs) as of the cutoff date and these eptimates.
Explain the basis for the estimates, including identification of any provision for experienced or anticipated allowances, such as shrinkage, rework, design changes, etc.
Furnsih 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 offeror's proposal relates.
Under Column (11) - 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 completing 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.
l
=
_.. _ -. - - ~ _ _. _, _ _.. _ - _ _ _. ___-- _,....--._.___---- - _____ _
s ATTACHMENT 5 l
(REVISED-6/84)
BILLING INSTRUCTIONS FOR NRC COST-TYPE CONTRACTS General.
The contractor shall submit vouchers for cost-reimbursement in the manner and format described herein and as illustrated in the sample voucher.
Number of Copies..
An original and two copies should be mailed to the NRC office identified below.
Frequency.
The contractor shall submit claims for reinbursement once each month unless otherwise authorized by the Contracting Officer.
Form.
Claims shall be submitted on the Form DC-3 " Voucher for Purchases and Services Other Than Personal."
These forms are available from the Contracting Officer.
(T6e instructions for preparation and itemization of the voucher are shown on the form.)
Billing of Costs Afte'r Expiration of Contract.
If costs are incurred during the contract period and claimed after the contract has expired, the period during which these costs were incurred must be cited.
i Currency.
Billings may be expressed in the currency nornelly used by the contractor in maintaining his accounting records; payments will be i
made in that currency. However, the U. S. dollar equivalent for all invoices paid under the contract may not exceed the total U. S. dollars authorized in the contract.
Supersession.
These instructions supersede all previous billing l
instructions.
INSTRUCTIONS FOR PREPARING COST INFORMATION FOR NRC CONTRACTS Preparation and Itemization of the Voucher.
The contractor shall furnish the information set forth in the explanatory notes below. These notes are keyed to the entries on the sample voucher.
Payor's Name and Address.
(1) Address the original voucher (with 2 copies) to:
U.S. Nuclear Regulatory Connission, Division of Accounting and Finance, Office of Resource Management, ATTN: GOV /COM Accounts Section, Washington, D.C.
20555.
Any questions regarding vouchers yet to be paid by the NRC should be addressed to Division of Accounting (301-492-7535). Any questions regarding vouchers for which payment has been received (either in full or partially with suspensions or disallowances) should be ad-dressed to the Contracting Officer.
Payee's Name and Address.
Show the name of the contractor as it appears in the contract and its correct address; except when an approved assign-ment has been made by the contractor, or a different payee or addressee has been designated, then insert the name and address of the payee.
Indicate the individual responsible for answering any questions NRC may have reaarding the invoice (name and phone number).
(a) Contrac.t Number - Insert the NRC contract number.
(b) Title of Project - List the full title of the project being performed under this contract.
(c) Voucher Number - Insert the appropriate serial number of the voucher beginning with 001 for this contract.
Contractors may also include individual internal accounting numbers in addition to the three digit number.
(d) Date of Voucher - Insert the date the voucher is prepared.
(e) Contract Amount - Insert the total estimated cost of the contract, exclusive of fixed-fee.
(f) Fixed Fee - Insert total fixed-fee (where applicable).
(g) Billing Period - Insert the beginning and ending dates (day, month',
and year) of the period in which costs were incurred and for which reimbursement is claimed.
A
(h) Direct Costs - Insert' the major cost elements.
(1) Direct Labor - This accrued) for direct perfc,nsists of salaries and wages paid (or ance of the contract itemized as follows:
La bor Labor Hours Cumula tive Category Negotiated Hours Billed Rate Total Hours Billed (2)
Fringe Benefits - This represents fringe benefits applicable to direct labor and billed as a direct cost.
indicate the rate.
Frin Where a rate is used, not be identified here. ge benefits included in direct labor should (3) Direct Equi xnent tions list each ' tem costin
- For educational institu-ancy of more than one year.g 5500 or more, and having a life expect-institutions list each item costinFor contractors other than education expectancy of more than one year. g $200 or more, and having a life for which reimbursement is re List only those items of equipment the following (as applicable) quested. A reference shall be made to (1) the item number for the specific (2) the Contracting Officer's approval letter if the equi not covered by the property schedule; or (3) be preceded by an ast-erisk (*) if the' equipment is below the approval level.
Further itemization of vouchers shall only be required for items having specific limitations set forth in the contract.
(4) Materials, Su) plies, and Other Expendable Items
- These are consumable materials and supplies and equipment other than that described in (3) above.
(5)
Premium Pay - This is remuneration in excess of the basic hourly rate.
(Requires written approval of Contracting Officer.)
(6)
Consultants' Fee - The supporting information must include the name, bourly or daily rate of the consultant and reference the NRC approval (if not specifically approved in the original contract).
(7)
Travel - Domestic travel is travel within the United States, its territories, possessions, and Canada; it should be billed
~
separately from foreign travel.
Travel costs billed will provide for individual Per Diem, and all supporting information for each trip taken. i
All costs associated with each trip must be shown in the following (Unless the organization's travel policy has been negotiated fomat:
and approved by NRC)
Date Traveler
.Destina tion Purpose
_ Cost From R From H 1.
Airfare 2.
Rental Car l
3.
Local Travel 4.
Per Diem Days 9 5.
Meals :
- Date Breakfast Lunch Dinner If not included in Per Diem.
6.
Tips, Misc.
(Itemize if more than 510,00)
(8) Subcontracts - Include all costs paid to approved subcontractors during billing period.
This includes the details of the subcontract terms (i.e.,
cost-plus-fixed-fee, direct labor, indirect costs, travel, profit, etc.)
i (9) Other - List all other direct costs by cost elements and dollar amount separa tely.
(1)
Indirect Costs--Overhead - Cite tue formula (rate and base) in effect during the time the cost was incurred and for which reimbursement is claimed.
(j)
Fixed-Fee - If the contract provides for a fixed-fee, it must be claimed as provided for by the contract.
Cite the formula or method of computation.
Contractor may bill for fixed fee only up to 85% of total fee.
~
(k)
Amount Billed for Current Period - Insert the amount billed for the major cost elements, adjustment, and adjusted amcunts for the period.
l r -
a-(1)
Cumulative Amount from Inception to Date of this Billing - Insert the cumulative amounts billed for the major cost elements and adjusted
~
amounts claimed during this contract.
(m)
Total Amounts Claimed - Insert the total amounts claimed for the current and cumulative periods.
(n)
Adjustments - This includes amounts conceded by the contractor, outstand-ing suspensions, and disapprovals subject to appeal.
(o)
Grand Totals 9
4 4-s'
s e
VOUCHERS FOR l'URCliASES AND SLRVICES OTHER 1HAN PERSONAL SAMPLE VOUCHER Payor's Name and Address The U.S. Nuclear Regulatory Comission (a) Contract Nunber NRC-10-81-624 Division of Accounting and Finance (b) Title of Project " Study of Nuclear Waste Office of Resource Management Concepts "
Attention: GOV /COM Accts Section Washington, D.C.
20555-
~
Payee _'s Name and Address (c) Voucher Number 003 AUG WWURAHON The National Bank (d) Date Voucher Prepared 10/18/82
[Anywhere,U.S.A.100 Main Street or Anywhere, U.S.A.,
Assignee for A8C CORP.
(e) Total Estimated Cost of Contract Anywhere U.S.A.
$350,000.00 (When Payments Ass.igned) (f) Total Fixed-Fee Indiividual to contract Regarding This Voucner:
$17,500.00
,Name:
Harry Murphy
'Tel. No.: 215-321-8654 l(g) This voucher represents reimburseable costs from 3/1/82 thru 3/30/82 Amount Billed l(h) Direct Costs 1
(1) Direct Labor
- S2.400 56.800 l
(2) Fringe Benefits 916.5 L l
(if computed as percentage) 600 1.200 (3) Direct-Equipment
- 5,000 8.000 (4) itaterials, Supplies and
' ~ ~
Uther Expendable Items
- 2,000 4.000 (5) Premium Pay 100 150
~~
(b) Consultants
- 100 100
~'
(7) Travel - Domestic
- 200 200 i
i Foreion *
(8) 5_ubcontract
- 200 200 (9) Other Costs
- 3.000 9.000 l (1) Ifl0! RECT COSTS s
A) Overhead 700' of Total Direct Costs (Indicate Base)
$13,600 529.650 h
Subtotal
$27.200 559.300 B) General A Administrative Expense 3.264 6.450 12 L of Cost Elements Nos.1-9. A
~~
Total Costs
$30.464 565.750 (j) FIXED. FEE EARNED (Formula) 1.523 3.400 i
(m) Total Amounts Claimed
$31.987 569.150 (n) Adjustments Outstanding Suspensions
- 1.700 f.700 j
(o) Giand Total,,
$3n.7117 567.450
- (RlillllRI S SUI'l'ORilNG INFORMAT ION. )
(M E A1TACllED. )
fr -3
- '/
- :,'
.ss
o SAMPLE
. SUPPORTING INFORMATION
- 1) Direct Labor - $2400 Labor Labor Hours Hours Cumulative Category Negotiated Billed Rate Total Hours Billed a
Senior Engineer I
'2400 100
$14.00
$1400 975 Engineer 1500 50
$10.00
$500 465 Computer Analyst 700 100
$5.00
$500 320 TE4W
- 3) Direct Equipment Spectrometer - General Electric (as approved in Pmperty Schediale) $5,000
- 4) Materials, Supplies & Other Expendable Items 10 Radon Tubes 9 $110.00
$1100.00
=
6 Pairs Electmstatic Gloves,9 $150.00
$900.00
=
32000.00
- 5) Premium Pay Walter Murphy - 10 hours1.157407e-4 days <br />0.00278 hours <br />1.653439e-5 weeks <br />3.805e-6 months <br />,9 $10.00 Per Hour = $100 (ThiswasapprovedbyNRCinletterdated3/6/82.)
,6) Consultants' Fee Dr. Carney - 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br /> 9 $100
= $100 t
- 7) Travel Date Traveler Destination Purpose Costs From To From To l
3/1/82 3/6/82 William King Chicago, Wash.,
Meeting with
- 1) Airfare $80.00 Il DC Project
- 2) Rental Car 515.00 Officer
- 4) Per Diem - 2 Days 9 $50.00 = $100.00 6 ) Tips, Mi sc. $ 5.00~
TOTAL:
$200
c
- 8) Subcontracts XYZ CORP.
(CPFF)
Direct Labor:
- 80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br /> 9 $20.00 per hour = $1600.00 0/H 9 50%
$800.00
=
Travel - 2 Trips - Wash., DC 9 $200
$400.00
=
to Boston, MA Profit 9 7%
$200.00
=
TOTAL:
53000.00 (j) Fixed-Fee (Fonnula)
(5%)
$350,000 X 5% = $17,500 Total Fixed Fee for this Contract
$27,200 X 5% = $1360 Fee Billed for this Period (n) Adjustments
$1700 - Indicates amount withheld from voucher #001, now approved by Contracting Officer letter 3/10/82.
a 1
A ns a -..r G
'la I
I SCIENCE APPLICATIONS INTERNATIONAL CORPORATION n
A SMALL/SMALL DISADVANTAGED SUBCONTRACTING PLAN INCLUDING I
APPROVED MASTER SUBCONTRACTING PLAN EFFECTIVE FROM 1 MARCH 1986 - 28 FEBRUARY 1987 SUBCONTRACTING GOALS FOR SAIC PROPOSAL N0. 1-263-71-870-06 (Revised)
CONTRACT / SOLICITATION NO. RS-NRR-86-051 PREPARED BY:
kn f ikJ h/n YvgneL.Apel 8 J'anuary 1987 SCIENCE APPLICATIONS INTERNATIONAL CORPORATION APPROVED l
m l
( B. Drake 8 January 1987 SCIENCE APPLICATIONS INTERNATIONAL CORPORATION I
(II.
l TABLE OF CONTENTS SECTION -
[* REFERENCE]
TITLE SPECIFIC SUBCONTRACTING PLAN I
[(d)(1),
(d)(2) &
(d)(7)]
S UBCONTR ACT I NG G0ALS............................
I 11
[(d)(3)]
D IS TR IBUT ION OF SUBCONTR ACT AWAR DS...............
1 111
[(d)(4 )]
ME THOD US E D TO DE VE LOP G0ALS.....................
2 IV
[(d)(6)]
INDIRECT AND OVERHEAD C0STS......................
2 V
[(d)(b)]
ME THOD OF IDE NTIFICATION/S0L IC I TATION............
3 SIGNATURE........................................
4 I
I I
- REFERENCE SPECIFICALLY IDENTIFIES FAR 52.219-9 REQUIREMENTS (i)
I
Small/Small Disadvantag:d a
Subcontracting Plan (FAR)
Page 1 of 4 1.
SUBCONTRACTING GOALS 1-263-71-870-06 (Revised)
A.
SAIC Proposal Number I
Solicitation No. RS-NRR-86-051 B.
Program Summary -
Technical Assistance in support of NRC Licensing Activities C.
Subcontracting Plan Administrator Name:
Yvonne L. Apel
Title:
Subcontract Administrator Address:
1710 Goodridge Drive McLean, VA 22102 Telephone No. (703) 556-7094 D.
Corporate S/SD Business Coordinator Name Kathleen M. Heekin Title S/SDB Coordinator Address P.O. Box 2351 La Jolla, CA 92038 Telephone No. (619) 456-7463 E.
SUBCONTRACTING GOAL
SUMMARY
AMOUNT PERCENTAGE 1.
TOTAL CONTRACT PRICE
$17,046,483 2.
TOTAL TO BE SUBCONTRACTED
$ 3,220,259 100%
a.
TO A LARGE BUSINESS
$ 2,384,351 74%
b.
TO A SMALL BUSINESS 835,908 26%
(1) TO NON-DISADVANTAGED 338,022 10%
(2) TO DISADVANTAGED 497,886 16%
11.
PROPOSED DISTRIBUTION AND DESCRIPTION OF SUBCONTRACT AWARDS Estimated Award Value SB SDB LB A.
Single Source item I
Comex Corp.
338,022
-SPDS, DCRDR Reviews and Operational Safety Review I
Small/Small Disadvantaged
~
Subcontracting Plan (FAR)
Page 2 of 4 SB SDB LB Scientech Inc.
497,886 I
-Review of Nuclear Plant Systems and Unanticipated Events at Auclear Power Plants B.
Limited Competition C.
Open Competition
-Materials engineering, mechanical eng, secure accident policy 2,384,351
-Instrumentation and control, elect. eng, & operational safety review III. METHOD USED TO DEVELOP G0ALS A.
Proposed subcontracting goals as identified in Section I, were I
developed by a joint pre-proposal review of the solicitation statement of work and performance requirements. The joint review involved program, technical, and purchasing personnel including the Corporate Small/Small Disadvantaged Business Liaison Coordinator and the proposed Subcontracting Plan Administrator.
B.
Criteria considered in the review process included:
1.
Review of the solicitation statement of work 2.
Identification of the requirement for goods and services 3
Identification of the potential to subcontract for goods and services 4.
Make - Buy Analysis 5
Identification of potential cuppliers 6
Categorization of source requi.ements based on single source, I
limited competition and open competition as provided by the marketplace or as potentially could be developed.
IV.
INDIRECT AND OVERHEAD CHARGES A.
Inclusion in Subcontracting Plan Indirect and overhead charges are not included in this subcontracting plan.
I I
Small/Small Disadvantaged Subcontracting Plan (FAR)
Page 3 of 4 B.
Allocation Formula If indirect and overhead charges are included in this subcontracting plan, the allocation is accomplished on a pro-rata basis as determined by an evaluation of the following criteria:
1.
Determination of the ratio of indirect to direct (R) awards within the previous six (6) month period for programs or activities of a similar nature.
R = Indirect Awards / Direct Awards 2.
Determination of the percentage of indirect awards made in the same period.
S = Small Business Awards / Total Indirect Awards D = Disadvantaged Awards / Total Indirect Awards L = Large Business Awards / Total Indirect Award 3.
The proportionate value of indirect awards resulting from the direct subcontracting plan goal can then be calculated.
S = Subcontracting Plan Direct Goal I = Indirect Awards Resulting from S R = Indirect / Direct Awards I = RS Indirect awards, if included in the subcontracting plan are then calculated as follows:
Small Business = S1 Disadvantaged = DI Large
= LI The amounts used in the calculation are available from the purchasing data base and represent actual activity within the appropriate period.
V.
METHOD OF IDENTIFICATION /S0 LICITATION The development of goals as described in Section 111 resulted in the identification of potential / proposed subcontracting opportunities. The review process identified provided a categorization of items available I
from single sources, limited competition and open competition. Some single source items are available from "only qualified sources" as determined from previous programs of a similar nature.
Small/Small Disadvantaged Subcontracting Plan (FAR)
Page 4 of 4 Items available for limited or open competition provide the opportunity to subcontract to S/SDB. These prospective sources were identified through the mechanisms identified in Section II (Equitable Opportunity) of the Master Subcontracting Plan.
b h kntf BY:
NAME:
Yvonne Apel TITLE:
Subcontract Administrator DATE:
[ h,t u u.q,,
/ff7 u
d I
I I
I I
l l
.