ML20212G370
| ML20212G370 | |
| Person / Time | |
|---|---|
| Issue date: | 12/18/1986 |
| From: | Hagan T, Rubin A NRC OFFICE OF ADMINISTRATION (ADM), SYSTEM AUTOMATION CORP. |
| To: | |
| Shared Package | |
| ML20212G354 | List: |
| References | |
| CON-FIN-B-8166, CON-NRC-33-87-224 NUDOCS 8701200287 | |
| Download: ML20212G370 (144) | |
Text
y .
t
' 7"iS CONTRACT IS A RATED ORDER
- U' g"-'ARD/ CONTRACT "#f UNDER DPAS 115 CFR 350) l 43
- d. CONTR ACT # roc. feet. Jde,.i.) NO. 3. EF F ECTIVE DATE av. REQUISITION / PURCHASE REQUEST / PROJECT N9.
NRC-33-87-224 December 18, 1986' ORM-86-264 and ORM-87-224 S. I5suto av 6. ADMINISTERED SY (1/ other then Jtern 5) l l U.S. Nuclear Regulatory Commission Division of Contracts Washingtuit, D.C. 20555
- 7. NAME AND ADDRESS OF CONT R ACTOR (No., street, city, county State sad ZIP Code) 8. OELt V E R Y System Automation Corporation ' 8 "'9'" *'"'""*"*-
8555 Sixteenth Street - - - ~
" 4 " " "^**'"' -
Silver Spring, Maryland 20910 ' -
N/A
- 10. SUBMIT INVOICES ltTEM (4 copees unless other. I
}2 sene noect/ led) TO THE CODE FACILITY CODE ADORESS SHOVIN IN:
- 11. Ship TO/M ARK FOR 12. PAYMENT WILL SE MADE SY cOoE U.S. Nucicar Regulatory Commi M 01, Division of See Section F Accounting & Finance, ORM, Attention: GOV /COM Accounts Section, Washington, D.C. 20555
- 13. AUTHOR 6TY FOR USING OTHER THAN FULL AND OPEN COMPETI- 14. ACCOUNTING AND APPROPRI ATION DATA B&R No. 80-20-25-05 APPN No. 31X0200.807 lo u.S C. 23ouca i 41 u.S C. 253 cu i FIN: 88166 OBLIGATE: $800,000.00 15A. I TEM NO 15B. SUPPLIES / SERVICES 15C. QU ANTITY 15D. UNIT ISE. UNIT PRICE 15F. AMOUNT The Nuclear Regulatory Commission accepts Syst em Automation C )rporat ion's (SAC) Offer under RFP No. O lM-86-264 as revised through Amendmen t No. I to deve lop ADP systems for the Corporate Data Network. SAC's proposals dated March 14, 1986 , Augus : 1, 1986 and letter
, submissio 1' dated December 15,1986are hereby incorporated in to this contract by reference.
l This is a l incrementally funded cost-plus-fixe'i-fee task orde -ing ty1e contract.
l 8701200287 861218 E -3$ E-224 PDR
- 16. TABLE OF CONTENTS m MAL AmNN C NTRAM $ ,668,617 VIlSEC.l DESCRIPTION lPAGE(S) VI lSEC l DESCRIPTION lPAGElS)
PART I- THE SCHEOULE PART il-CONTR ACT CLAUSES X A SOLICITATION / CONTRACT FORM l Xl 1 l CONTRACT CLAUSES I 35 X B SUPPLIES Ol' SE RVICES AND PRICES / COSTS 2 PART m - UST OF DOCUMENTS. EXHIBITS AND OTHER ATTACH.
X C OESCRIPTION/ SPECS / WORK STATEMENT 3 xl J l tiST OF ATTACHMENTS I 43 X D PACKAGING AND MARKING 18 PART IV - REPRESENTATIONS ANO INST RUCTIONS X E INSPECTION AND ACCEPTANCE 18 K REPRESENTATIONS. CERTIFICATIONS AND X F DELIVERIES OR PERFORMANCE 18 OTHER STATEMENT 9 OF OFFERORS X G CONTRACT AOMINISTRATION DATA 20 L INSTRS .CONOS . ANO NOTICES TO OFFliRORS x H SPECIAL CONTR ACT REQUIREMENTS 27 M EVALUATION FACTORS FOR AWARD CON TRACTING OfflCER WilL COMPL ETE ITEM 17 OR 18 AS APPLICABL E
- 17. h CONTRACTOR'S NEGOTLATED AGREEMENT (Contractor 18. a re.AWARO (Contreetor is not required to sign the docuenent.) Your
[ifnYactoNr$'t u"n5n"'a deYv"r "an iterns or peNor'[d a Ne"'s"dvNs$e! n [S t e ".aNtU c'n en mm.w=.~===,=rr.:,r.= :"u=n =:,',m
- "O'o0" "*4"in'.Z'".'ia". l."!!y".n'"L'T"fcWN.'."r'et,'.*W
.==rer=====
=.w=,',wn,:',n,es rnace ey you waien aaasi.ons or cnanus
'?,, '. '">'di'#""P.f,74L*"n'i.' E'Tf,Pn ,"#,"l7."J'11 n=" *,,"*na",. '
l
%.':4*.'C1T"3tt'."UiMCla urll:.>'""" '"'*'**"'" " '-
l 19A. NAME AND TITLE OF SIGNER (Type or print) 20A. NAME OF. CONTR ACTING OF FICER Alfred Rubin, President Timpthy-F-yagan, Contracting Officer 198. A O CO TRACTOR m h W~ /
19C.DATE 51GNED POB. UN4 TE(/MAf t$tP AMER 20C. DATE S&GNLD BY nature of person'a@horised to sogn) 12/18/86 BY
' " (Ssgneture"of Qba tractupt Ofhchr) g [h e[
- NSN 7540-01 152 8069 26 107 [ STANDARD FORad 26 (REV. 4 8M PREVliUS EOtTION UNUSABLE Prescriped by G5A
__________--_______ ___ G_FR_R AN_A o _/VMloll$M _ A(W1 ^ ( * *
-6 NRC-33-87-224 Page 2 Section B - Supplies or Services and Prices / Costs i B.1 Brief Description of Work
- a. The Contractor shall provide all necessary personnel, materials and facilities to develop corporate shared data bases utilizing the~ DBMS package IDMS/R, strategic information planning, and information engineering methodologies. Tasks include design and -
, '- maintenance of the systems architecture, design and development . ._
of shared data bases and user applications, integration of office _
automation and data processing systems and performance of related database design and data administrr. tion functions.
- b. Task orders will be issued for work. required by the NRC in accordance with 52.216 Ordering (APR 1984) and 52.216 Requirements (APR 1984). The NRC reserves the right to withdraw a proposed task order at any time prior to its fonnal award.
Only Contracting Officers of the NRC or other individuals specifically authorized under this contract may authorize the initiation of work under this contract. The provisions of this )
contract shall govern all task orders issued hereunder.
B.2 Consideration and Obligation
- a. The total estimated amount ci this contract (ceiling) for the products / services ordered, delivered, and accepted under this contract is $3,668,617. The Contracting Officer may unilaterally increase this amount as necessary for completion of orders placed with the contractor during the contract period provided such orders are within any maximum ordering limitation prescribed under this contract. _
- b. The amount presently obligated with respect to this contract is
$800,000. The Contracting Officer mt,y issue orders for work up to amount presently obligated. This obligation amount may be unilaterally increased from time to time by the Contracting Officer by written modification to this contract. The obligation amount shall, at no time, exceed the contract ceilin as specified in paragraph a above. When and if the amount (s)gpaid and payable to the contractor hereunder shall equal the obligation amount, the contractor shall not be obligated to continue performance of the work unless and until the Contracting Officer shall increase the amount obligated with respect to this contract. Any work undertaken by the contractor in excess of the obligation amount specified above is done so at the contractor's sole risk.
t NRC-33-87-224 Page 3
- c. A total estimated cost and fee, if any, will be negotiated for each task order and will be incorporated as a ceiling in the resultant task order. The contractor shall comply with the provisions of 52.232 Limitation of Cost (APR 1984) for fully funded task orders and 52.232 Limitation of Funds.(APR 1984) for incrementally funded task orders, issued hereunder.
Section C - Description / Specifications / Work Statement -
4 . .. .._ . _ . ..
, C.1 Statement of Work . _
C.1.1 Background The United States Nuclear Regulatory Comission (NRC) is responsible for the protection of the public health and safety in the civilian use j of nuclear power and nuclear materials. In the performance of its i duties, the NRC utilizes a wide variety of automatic data processing (ADP), encompassing numerous applications, including scientific, administrative and management information systems.
j Current ADP Environment i The NRC's computing needs are now met by agreements with other i
government. agencies (especially the U.S. National Institutes of Health and the U.S. Department of Energy's laboratories), by commercial timesharing, and by distributed word processing terminals,
, microcomputers and minicomputers throughout the agency, with
- telecommunications links to provide access to information.
l The agency currently has approximately 200 standalone type systems, only a few of which share data or files with other systems. Most of -
- the systems are COBOL, batch processing-oriented using ISAM file structure and Wylbur text editor for data entry and job submission.
- Some of the systems are being front ended with RAMIS II software in order to improve user access to data. All but the most recent of the automated systems were developed based on the specific information
, requirements of the requesting office (a traditional, bottom-up
- approach) either under the direction of the central data processing i organization or under the direction of the requesting office dealing directly with its own or contractor personnel. The agency followed the Federal Information Processing Standards Publications (FIPS PUBS) 38 and 64 systems development process and used its documentation format as a guideline for system documentation.
Corporate Data Network Concept In 1983, the NRC began to seek ways to improve the linkage between information technology expenditures and the agency's missien j responsibilities and to provide services in a more effective meiner.
t Driving forces behind this included further decentralization of l
certain agency functions to its regional offices, which demanded more data sharing among offices; dramatic improvements in ADP technology;
6
, NRC-33-87-224 Page 4 and the desire of senior management to develop more " health and safety," nission related ADP systems. The James Martin strategic planning and information engineering approach was adapted to the NRC environment and the agency adopted the concept of a Corporate Data
- Network (CDN)asitsnewADPstrategy.
The cornerstones of the CDN include (1) integration of word and data processing and office automation through a state-of-the-art ~'
^ telecommunications network system; (2) development of a network'of- --
corporate shared databases a:. cessed through end-user computing; -
(3) operation of an Information Technology Center to train and assist users; and (4) User-steward accountability for data integrity and timeliness. In the CDN environment, it is envisioned that NRC professional, management and administrative staff will be able to access and use CDN word or data processing or office automation capabilities from their workstations in a fully integrated " office information system" environment.
The CDN strategy will ensure that a top-down, agency-wide ADP perspective is taken in developing a network of shared databases that are most critical to management, recognizing that information is a corporate resource. In the CDN, data will be extracted from corporate databases, copied to personal computers for local processing, and then returned to the corporate databases for updating.' Standard compatible equipment, software and processing techniques will provide flexibility
, for ad hoc reporting and English-like queries, simplify operations and training, and reduce the need for programmer intervention. The CDN will change ADP operations from the traditional, centralized style of support to a more dynamic end-user oriented style of operation.
Corporate Data Network Plan .
The Corporate Data Network is a complex undertaking with numerous, interrelated tasks, all of which are necessary for its successful accomplishment. Given the potential for changes in technology, management priorities and management direction, we know there will be some deviations from initial plans. Nevertheless, we have included in j this plan the generic steps necessary to evolve from the existing data processing environment to the proposed CDN environment, while recognizing that the plan must be viewed as evolving and dynamic in nature.
The following is a list of preliminary tasks undertaken as part of the CDN management plan that are especially germane to this procurement.
A. Database Management System and CDN Supporting Scftware Packages.
The NRC has purchased anc will make available the DBMS package IDMS/R and associated Cullinet database management software, and two other software products, "Information Planner" and " Data Designer."
7
NRC-33-87-224 Page 5 B. Timesharing Service for Initiating CDN Development. The NRC has
- determined its requirements for a computer timesharing service that will be used during initial development and implementation of CDN databases and applications. A timesharing Interagency Agreement has been awarded to the Department of Justice and will remain in place until the NRC can select the appropriate cption for'a permanent CDN facility. Work perfonned under this contract will utilize the timesharing service. -
C. Executive Office Automation Pilot Project. The NRC initiated an .
executive level office automation project in January 1985 on a commercial timesharing service. End-users are supported with microcomputers, IBM 327X-compatible terminals and IBM 5520 display stations. The project includes (1) word processing, (2)end-user computing, (3) electronic office applications (PROFS), and (4) full text document storage and retrieval applications (STAIRS). The concepts and techniques employed in this project will be evaluated and may become requirements in the CDN for all offices if deemed cost-effective.
D. Development of ADP Procedures, Standards and a Quality Assurance Program. The NRC has awarded a contract for the development of an independent quality assurance program which will be in place and continued throughout the development of the CDN. New, comprehensive ADP procedures and standards are currently being developed, many of which will be applicable to the work performed under this contract. These ADP procedures and standards will be furnished to the contractor, both when the contract is initiated, t and as they are further developed.
E. Data Analysis and Categorization. This task was completed by NRC's contractor, Touche Ross and Co., in mid-1985. It resulted in the identification and definition of clusters of data entities, and relative organizational functions. Further analysis produced a list of logical databases of related data
- entities. An adaptation of the James Martin strategic information planning approach, and the software products "Information Planner" and " Data Designer," were used for enterprise modeling and high level data modeling. The contractor prepared a Preliminary Strategic Data Plan for developing the
, shared database component of the CDN, including an approach, development priorities, resources and a schedule.
A Final Strategic Data Plan is being developed within the NRC.
F. CDN Shared Database Prototype Project.
! This task began in September 1985 and was completed in the Spring 1986. Touche Ross and Company has provided technical assistance to the NRC in developing portions of two related j databases consisting of the event and unit data entities and selected user applications.
4
.- . . . , , , , . - . - , - . - , . - . - - . - - - - . , - . - . . . , , . - - . . - , - - - - - ,--~.,. ~--- -.c -
- , - - , - ~ - - - - - . . - , . - - . ,
0
. HRC-33-87-224 Page 6 The project is being implemented using IDMS/R, "Information Planner," " Data Designer," a prototyping methodology, and the assumptions and standards set forth in the Preliminary Strategic Data Plan, except that only a limited set of data is being converted into the system. The pilot is being conducted for evaluation and test purposes so that the NRC can gain experience with new tools, techniques, roles and responsibilities; identify _
'. ' and resolve issues prior to full scale refjne estimated resources,' schedules, and"tWe devel_opment;'
approach toCDN~ ~
development prese'nted in the Preliminary Strategic Data Plan. ~
Documentation, code, physical databases, and other deliverables will be furnished to the CDN development contractor at an appropriate time.
As a result of experience in the prototype, NRC now anticipates that some high priority information systems will be developed to serve specific single business functions of the agency. Using this approach, a development project will entail developing portions of the many logical databases that are applicable to particular business functions. Other development projects will require the development of complete logical databases as outlined in the Preliminary Strategic Data Plan.
Corporate Data Network Development Environment Development and implementation of the CDN involves the execution of numerous interrelated tasks, many of them with contractors' assistance, and the participation of both agency-wide ADP groups and of specific agency staffs (" users"). The Office of Information Resources Management will manage the entire CDN development process.
User offices will participate heavily in all phases of CDN development projects. Office user-analysts and user-participants will be assigned to each development project and, among other tasks, they will be trained by the NRC to develop their own applications using fourth generation languages and DBMS query languages. User application primarily implies query and report generation.
The NRC expects to acquire contractor support for an independent validation, verification and Test Team to perform quality assurance of development work provided under this effort in accordance with the NRC's prescribed quality assurance program. Once a development project is fully accepted and operational, ongcing support and systems maintenance functions will be performed by a maintenance contractor.
The systen developnent contractor will be expected to work with these other contractors in a harmonious and productive manner.
l
.. NRC-?3-87-224 Page 7 Work under this contract will be issued through a series of task orders, some of which will be concurrent. Some task orders will be effective during the duration of the contract; others will be more limited in scope and time. RM/D staff will be assigned as a task manager for each task order issued. The contractor, although working against a series of task orders, will be expected to fully integrate all aspects of work conducted under the contract. _
C.1.2. Scope af Work . _
Ovarall Scope he contractor shall provide the necessary personnel, materials, 1 office facilities and other hardware and software required to perform ;
work associated with the development of the NRC Corporate Data Network (CDN). The contractor shall: design and maintain the systems 4 architecture; develop integrated databases and applications; perform Data Base Design and Administration (DBD) and Data Administration (DA) functions; perform systems integration of technologies, processes and databases; perform project planning and control; and perform other work directly related to the development of systems for the CDN, such as analyses or studies, as provided for in a series of approved task orders. In performance of this contract, the Contractor shall interact with NRC staff as appropriate at the Headquarters location in the Washington, D.C. metropolitan area and Regional offices. The Contractor shall have the ability to attend meetings with as little as one hour notice at the Headquarters location.
For purposes of this contract, the term " system," when used, includes data processing, word processing, data communications, office automation, both hardware and software, or any combination thereof, - -
including all databases and applications.
In performing any work under this contract, the contractor shall ensure that NRC's CDN objectives are satisfied for compatibility of all equipment and software; integration of microcomputers, word processing systems and office automation systems with the central facility; elimination of unnecessary or duplicative data; and ease of use by end-users.
l During the course of this contract, NRC priorities may change due to management direction, changes in regulations guiding the conduct of NRC business, or other factors. For example, there may be changes in the general grouping of logical databases or in the systems development process based on experience and necessary refinements and adjustments. Additionally, major ADP technological changes also can be expected which may impact overall CDN development and implementation. Accordingly, as the NRC expects some deviations frer its initial plan, the contractor shall follow an overall technical dpproach that accommodates potential changes and allows the NRC to meet its CDN objectives and make adjustments to the CDN management plan.
o
. NRC-33-87-224 Page 8 Corporate Data Network Strategic Planning Approach and Software Tools Based upon the approach developed during the initial CDN Task " Data Analysis and Categorization" and " DBMS and Supporting Software Selection," the NRC has selected the following strategic information
. planning approach and software tools for the development of the CDN.
~
A. Enterprise ~Modeling and Data Modeling ~
1 Data entities and their attributes are defined and associated -
with the functions and organizations which use them. Entities are clustered into logical databases. Bubble charting is performed to identify key relationships between entities and databases. A data dictionary is developed that identifies entity properties and key attributes.
B. Information Planner, Database Design, Inc.
An automated tool that assists in the construction, analysis and maintenance of enterprise models that support strategic information systems planning. Among many parameters, the model
! describes the functions that an organization performs and what
! information is needed to perform each function.
I C. Data Designer _, Database Design, Inc.
1 An automated design tool that helps combine user data requirements (user views) into an integrated schema, using the process of canonical synthesis. The end product is a properly l
! normalized logical data model that allows new applications to be added without the necessity of logically restructuring the entire -
j database.
, D. IDMS/R Database Management System, Cullinet Software, Inc.
) A high performance database management system that centralizes and controls the data resource. With IDMS/R, NRC has acquired the following Cuilinet database management products:
i IDMS/R - Central Version Integrated Data Dictionary (IDD) l IDMS-DC(UCF)
, ApplicationDevelopmentSystem/0nline(ADS /0)
! OnLineQuery(OLQ)
- OnLine English (OLE) l Culprit Infomation Database (IDB)
Goldengate l
i i
E O
, NRC-33-87-224 Page 9 At a minimum, while developing individual databases and applications, the contractor shall follow the strategic planning approach of performing enterprise and data modeling, shall utilize these software tools, and shall update, expand upon, and ensure the integrity of the Enterprise Model and Corporate Data Model databases resident in these
< tools. In addition, the contractor may suggest the use of other software tools that will improve upon the data analysis, systems ,
'~
.. design and development, systems integration, systems tisting,~and data 4 administration processes. The NRC sht,11 ippfove, in advance of th'eir- "
applic8 tion, all other* software tools proposed and shall be able to purchase outright or acquire a license to use these tools. Once approved, the contractor shall also create, update and ensure the integrity of databases resident on these other software tools.
Major Areas of Work Anticipated The following are general descriptions of work expected to be issued through separate task orders under this contract. These are general descriptions of work and are not intended to be all inclusive.
Orientation Prior to any design or development work, the contractor shall go through an orientation period, as provided for in a task order issued shortly after contract award. The orientation will be a structured program developed by the NRC that will include technical courses, reading, and meetings with appropriate agency persornel.
During orientation, the contractor shall gain an understanding of NRC's mission, objectives and requirements. Contractor personnel shall become familiar with the mission-related and operational -
responsibilities of Headquarters Offices and Regional Offices that lead to the need for sharing data among users. The contractor shall become thoroughly familiar with the objectives of the CDN, CDN management direction, the CDN planning process, the deliverables of CDN tasks that have been completed to date, and concurrent CDN tasks or activities that directly affect the contractor's work. Contracter personnel shall become as knowledgeable about regulatory processes anc' terms and nuclear concepts and tern'inology as is deemed practicable.
It is expected that a significant orientation period and some travel to the regions will be necessary.
A full understanding of the NRC's overall requirements, and the ability to quickly assimilate user requirements expressed in technical and regulatory jargon, will be instrumental to the successful execution of work performed under this contract.
NRC-33-87-224 Page 10 Design and Maintain Systems Architecture CDN gcals include (1) linking ADP, word processing and office automation systems together through a current state-of-the-art telecomunications technology / networking system; and (2) having an environment where ADP equipment, software and systems are as fully integrated and compatible as possible. The NRC wants an integrated
" office system" environment where professional, management, and
J- administrative staffs can access or use CDN capabilities from various . "
types of workstations such as IBM 5253 terminals, dumb terminals, or -
personal computers. -
Some user applications will require access solely to central shared databases Many applications will contain a combination of data processing and office automation capabilities. Some applications may be entirely office automation oriented, with a limited requirement for access to central shared databases, or the databases themselves may be office automation oriented, such as calendars, messages, text, bulletin boards, etc.
Given the'above, and the hardware and software availa~ble to implement the CDN, the contractor shall design and maintain the CDN systems architecture as provideo for in a task order. The design shall lay out how the databases, processes and hardware / software configuration shall fit together and work in an operational environment, taking into account the functional capabilities of the equipment and DBMS, and the performance characteristics desired by the NRC. For example, the plan should address the process of updating shared databases, stating the
- procedures and under what conditions updating should be accomplished on-line versus extracted from corporate databases, copied to personal computers for local processing, and then electronically transmitted to _
i the CDN timesharing facility for updating.
Develop Integrated Databases cad Applications The contractor shall analyze, design and develop integrated databases and applications for the CDN, as provided for in task orders.
- l. The initial CDN task for " Data Analysis and Categorization" produced a l
corporate data structure comprised of logical databases of related data entities and their associated applications. Based upon priorities that will be established by the ADP Steering Group, these central shared databases and applications shall be developed under this contract. The databases are listed in Table 1 following this page (no order implied or as yet determined).
i I
i i
f
o NRC-33-87-224 Page 11 TABLE 1 CDN LOGICAL DATABASES AND DATA ENTITIES ASSOCIATED WITH EACH LOGICAL DATABASE Allegation Database Issues Database A11egat' ion Backfit Issue Bulletin Investigation (Case) -
Generic Letter -- - -
Building / Property Database -
Generic /US Issue -
Issue (General)
Suilding(NRC) '
Equipment (NRCTechnical) Legal Database Physical Security (NRC)
Property (NRC) Appeal Visitor Case (Legal)
Decision Commission Database Hearing Intervenor Commission Order Petition Commission Paper Pleading Witness Enforcement Database License Database Deviation License Enforcement Action License Applicant Violation License Application Licensee Licensee Plan Events Database Technical Specification / License .
Condition Events Exposure Licensing Action Database Release Threat License Commitment Licensing Action Finance / Accounting Database OpenItem(Licensing)
Budget Operator Database Decision Unit G/L Account Examination (Operator)
Planned Accomplishment Reactor Operator Travel
NRC-33-87-224 Page 12 CDN LOGICAL DATABASES AND DATA ENTITIES ASSOCIATED WITH EACH LOGICAL DATABASE (Continued)
Hardware Database Organization Database Component Organization Deficiency Position Structure - -
System - - State Database... -- -
Test .- . .
Demographics Procurement Database Economic Information Power Utility Provision Agreement Public Utility Comission Contractor / Provider (NRC) State Provision Request .
Vendor Database Radioactive Materials Database Design Fuel Assembly Topical Report Package Vendor Radioactive Material (Accountability)
Shipment Special Purpose Entities Regulatory Database Cost Standards Drill Guide / Standard (NRC) Fee International Agreement FOIA Request Regulation Open TMI Item Statute Patent Training -
- Research Database Union Interagency Agreement-Technical General Purpose Entities Research Program Advisor / Expert / Consultant Site Database Comittee Inquiry Facility (Non-Reactor) Meeting Site Project Unit Work Item Inspection Database Other CDN Components Inspection CDN Index Inspection Module Document Inspection Program Scientific Code /Deta Outstanding Item (Inspection)
Personnel Database Enployee(NRC)
Recruit / Applicant Personnel Acticn Grievance
hkC-33-87-224 Page 13 Although the logical databases are expected to be the major focus uf this contract, the contractor shall also develop office automation databases and applications. They shall include, but not be limited to, the following office automation capabilities:
o Rece.ive and send electronic (mail) messages o Offer automatic calendar, reminder or " tickler" files ~
.u - - -- - -
o Copy and/or move information to other devices on the network -
o Search files in various ways to have ready access to the latest o Information o Perform document tracking In the past, the NRC has used a standard systems development process when developing both large and small systems, as described in FIPS PUBS 38 and 64. However, this historical approach is oriented toward l
"standalone" systems, and will not fully support the development of the CDN. Accordingly, the contractor shall utilize the contractor's proposed modified life cycle development process which begins with strategic infocpiation planning methodologies identified in James Martin's texts' (including enterprise and data modeling) and incorporates other modern methodologies for database de and development (i.e., not limited _ to James Martin's work).gignThese methodologigs shall include structured analysis and design, prototyping and the use of fourth generation languages for database and application creation. Extensive use of prototyping and simulation . .
techniques shall be made during the detailed requirements and decign stages of systems development, incorporating both the continuous user feedback approach and group interview dynamics. (The adopted development process shall become the property of the NRC.)
In developing databases and applications for the CDN, the contractor shall work with NRC users at all stages of the development process, both at Headquarters and, as appropriate, at Regional Offices. The contractor shall follow a development process that accommcdates having user-analysts and user-participants from multiple NRC offices as integral members of a systems development project team.
2 Jar.es Martin. Managing the Data-Base Environment. N.J.: Prentice-Hall, 1983. James Martin. Strategic Data-Planning fiethodologies. N. J.:
Prentjce-Hall,1983.
These methodologies could include, but need not necessarily include, the work of Robert Holland, Tom Demarco, Chris Gane & Trish Sarson, Ed Yourdon, BernagdBoar,HenryLucas,BarryBoehm(examplesonly).
Prototypino, as defined here, means a technique that develops a partially specified, working model of a system that is capable of evolving into a deliverable final product.
. NRC-33-87-224 Page 14 Among the objectives of the CDN are data sharing and controlled data redundancy. The corporate data structure developed for NRC provides for a network of logical databases, most of which are interrelateo.
Many of the databases will depend, to some extent, on information in -
related databases or clusters. The contractor shall be sensitive to, and shall continually demonstrate in the development process, that the databases are not isolated, standalene islands of data, but rather a -
- 7. database structure shared agency-wide. Because. data will. be . stored 1 only _o.nce, except foy performance considerations, a single user ,
application (e.g., searching or generating a report) may require access to several databases. Because several logical databases may have to be in place to satisfy a single user application area, the relative effort required for applications development is expected to increase as more databases become available. .
The NRC will separately contract for 1) an independent validation, verification and test team to perform quality assurance during CDN development, and 2) a contractor to perfonn systems maintenance after the successful completion of acceptance testing for each data entity i and application project. The systems development process followed shall provide for the necessary interfaces and activities between these contractors. All interaction shall be coordinated with the NRC Project Officer.
Database Design and Administration (DBD) and Data Administration (DA)
Functions In support of systems development, the contractor shall update, expand upon and assure the integrity of databases resident in "Information Planner" and " Data Designer," and shall other Data Administration (DA) and Database Designer (DBD) perform duties and functions to the extent provided for in a task order. A task order shall be issued at intervals (probably yearly) to provide for DA and DBD services. Attachment 6 lists the duties and functions perfomed by DA and DBD staffs.
Proiect planning and Control Integration of Technologies, Databases and Processes The contractor, although
- working against a series of separate Task Orders, shall maintain overall project management and control over all 4 aspects of the contract, including any subcontracted work and
~
activities. Work performed under each Task Order shall be fully integrated with work cortpleted under previous Task Orders anc work occurring concurrently under other Task Orders.
l h
NRC-33-87-224 Page 15 The contractor shall ensure that databases and applications developed under this contract conform to the systems architecture design and the corporate data structure of logical databases. The contractor shall act as systems integrator of processes, technologies and databases to the extent required to develop and deliver systems that are fully integrated and compatible and meet NRC's CDN objectives as previously stated. Since some systems will be more office automated oriented and others will be more data processing oriented, the contractor shall be '
especially sensitive to the-integration of office automation and data --
processing systems, ensuring that NRC staff will be able to use or access all CDN capabilities from their workstations. The contractor shall continually monitor and analyze ongoing activities to ensure that user needs are satisfied in the most efficient manner and that interlocking or dependent databases and applications nesh properly.
Each task order shall have a contractor assigned task manager who performs project management duties and charges his/her time against the task order. In addition, the NRC will issue a separate task order for overall project management and systems integration. The contractor shall ensure that there are dedicated personnel responsible for the overall planning, phasing, integration, and control over all work performed under this contract.
C.1.3 Personnel The key personnel designated to perform under this contract are considered critical to the success of the NRC ADP program. The contractor shall continuously sustain a staff with combined, in-depth experience in current technologies including Data and Enterprise Modeling Design of Data and Systems Architecture, Database Management Systems, Fourth Generation Languages, Office Automation, Word _
Processing, Microcomputers, Telecommunications, Local Area Networks, and overall Networking. This staff shall have all of the combined skills necessary to' implement the development process described by the contractor in his Technical Proposal and to perform all tasks identified in the previous section. In addition, the combined staff also shall have specific, demonstrated, direct experience with hardware, software, database and applications, and techniques listed in Table 2.
.- NRC-33-87-224' Page 16 TABLE 2 Hardware IBM PC.(any mocel or compatible)
~ ~~
IBM 5520 (any model)
IBM 370/30XX series (or compatible) -
IBM 3270 (or compatible)
Software IDMS/R and associated software listed on page 9 (no substitutes), Cullinet, Inc.
Information Planner (or similar package), Database Design, Inc.
Data Designer (or similar package), Database Design, Inc. .
Excelerator (or similar package), Index Technology Corporation (desirable)
STAIRS (orsimilarpackage)
PROFS (or similar package)
CROSSTALK (orsimilarpackage) 015055(orsimilarpackage)
IBM-AS (or similar package)
Databases and Applications Financial Management Personnel fianagement Legal Technical (suchasnuclearengineering)*
- Experience in specific technical areas, such is nuclear engineering or health physics, may be required in developing specific databases. Requirements will be identified in the individual task order for developing each information system, logical database or data entity.
- NRC-33-87-224 Page 17 TABLE 2 (Continued)
Techniques Informa' tion Engineering _
~
Strategic Information Planning, including Enterprise Modeling ~~
Data Modeling Data Administration Database Design and Administration, including Database Management Systems Architecture and Design Integration of Processes, Database and Technologies (mainfr6me/ micro / office automation / telecommunications)
Prototyping (as defined in C,1.2)
Structured Analysis and Design Structured and Informal Interviewing and Analysis Group Interview Dynamics Expert Systems (desirable)
Decision Support Systems (desirable) a
'o' NRC-33-87-224 Page 18 Section D - Packaging and Marking The Contractor shall use standard commercial packaging for. all items to be delivered. On the front of the package, the Contractor shall clearly identify the contract and task number under which the product is being provided.
~
Section E - Inspection and Acceptance -
^ Place of Inspection and Acce~ptance ' ~ ~ ~
E.1 Inspection and acceptance of the deliverable items to be furnished hereunder shall be made at the destination. .
Section F - Deliveries and Performance F.1 Reports, Documentation and Other Deliverable End Items All technical reports required by Section C and all Technical Progress Reports required by Section F are to be prepared in accordance with i the attached NRC Manual Chapter 3202. NRC Manual Chapter 3202 is not applicable to the Spending Plan and the Financial Status Report.
F.2 Spending Plan
- a. For cost type Task Orders which exceed $100,000 and cover a period greater than six (6) months, the Contractor shall submit a copy of a Spending Plan to the Contracting Officer and Project Officer within seven (7) calendar days after the effective date of the Task order. (Guidance 9n the content of the Spending Plan will be furnished with the first applicable Task Order.) The Contracting Officer will review the plan providing approval . .
and/or comments within ten (10) calendar days after receipt of the plan. The contractor shall incorporate necessary changes and submit revised Spending Plan to Contracting Officer with initial Financial Status Report.
- b. The Contractor shall update the Spending Plan as required and
! submit with the required Financial Status Report.
F.3 Financial Status Report l
The Contractor shall provide a quarterly Financial Status Report to i - the Project Officer and the Contracting Officer. The report is due within 15 calendar. days after the end of the report period and shall l identify the title of the project, the contract number, project i manager and/or principal investigator, the contract period of performance, and the period covered by the report. Each report shall l include the following:
i 1
-9.-- - ..._ww~.. - ~ ~ , --_c,.,.,,.3 ,,,--_-ym ,-,_ , n.- m _m., - ~ - . , , _ ,,-,--,.,,-e- .,,--_-,_,we---.~y,__m,%_-- - . - - . - - - - - - -
NRC-33-87-224 Page 19
- a. Provide the total estimated cost (value) of the project as reflected in the contract, the amount of funds available in the contract to date, and the balance of funds required to complete the work as follows:
(1). Total Estimated Contract Amount (2) Total Funds Obligated to Date ~
(3) Total' Costs Incurred this Reporting Period ~'
~ ~~ '~ ~
(4) Total Costs Incurred to Date (5) Balance of Obligations Remaining -
(6) Balance of Funds Required to Complete Contract
- b. Detail of all direct and indirect costs incurred during the reporting period for each task against the Contractor's approved Spending Plan. (See the attached document entitled " Spending PlanInstructions.")
F.4 Place of Delivery The items to be furnished hereur. der shall be delivered, with all charges paid by the Contractor, to:
- a. ProjectOfficer(2 copies)
U.S. Nuclear Regulatory Commission Contract No.: NRC-33-87-224 OfficeofInformationResourcesManagement(IRM)
Division of Computer and Telecommunication Services Mail Stop MNBB 7602 Washington, D.C. 20555
- b. ContractingOfficer(1 copy)
U.S. Nuclear Regulatory Commission Contract No.: NRC-33-87-224 Office of Administration Division of Contracts Contract Administration Branch Nail Stop AR 2223 Washington, D.C. 20555 F.5 Duration of Contract Period The ordering period for this contract shall commence on the effective date reflected in Block 3 of the SF 26 and will expire thirty-six months thereafter. Any task orders issued during this period shall be completed within the time specified in the order, unless otherwise specified herein. (Sae 52.216 Ordering (APR 1984) and 52.216 Requirements (APR 1984.) In accordance with 52.217 Option to Extend the Term of the Contract Services (APR 1984), the
MRC-33-87-224 Page 20 term of the contract may be extended at the option of the Government for two additional twelve month periods.. If the Government exercises.
i such options, the total duration of this contract, including the option periods shall not exceed 60 months.
Section,G - Contract Administration Data ,
G.1 Indirect Rates -
- a. Pending the establishment of final indirect rates which shall be .
negotiated based on audit of actual costs, the Contractor shall be reimbursed for allowable indirect costs as follows:
Category Rate (%) Cost Base Applicable Period Overhead Epp % Direct Labor 36 months G&A(1) EEE % Direct Labor, Labor 36 months Overhead, Travel GEA (2) 1E5% Subcontractor Labor, 36 months Subcontractor Other Direct Costs and Direct Costs
- b. The Contracting Officer may adjust the above rates as apprcpriate during the term of the contract upon acceptance of any revisions proposed by the Contractor. It is the Contractor's responsibility to notify the Contracting Officer in accordance with 52.232 Limitation of Cost (APR 1984), as applicable, if such change (s) affect (s) performance of work within the -
established cost or funding limitations.
G.2 Project Officer Authority
- a. The Contracting Officer's authorized representative hereinafter referred to as the Project Officer for this contract is:
Name: Lynn B. Scattolini Address: U.S. Nuclear Regulatory Commission Division of Computer and Telecommunication Services MNBB 7602 Washington, D.C. 20555 Telephone No.: (301) 492-4988
=
NRC-33-87-224 Page 21
- b. Performance of the work under this contract shall be subject to the technical direction of the NRC Project Officer. The term
" Technical Direction" is defined to include the following:
(1) Technical direction to the contractor which shifts work emphasis between areas of work or tasks, fills in details or otherwise serves to accomplish the contractual statement of work. -
(2) Providing advice and guidance to the Contractor in the -
preparation of drawings, specifications or technical portions of the work description.
(3) Review, and where required by the contract, approval of technical reports, drawings, specifications and technical information to be delivered by the contractor to the Government under the contract.
- c. Technical direction must be within the general statement of work stated in the contract. The Project Officer does not have the authority to and may not issue any technical direction which:
(1) Constitutes an assignment of additional work outside the general scope of the contract.
(2) Constitutes a change as defined in the " Changes" clause of this contract.
(3) In any way causes an increase or decrease in the total ..
estimated contract cost, the fixed fee, if any, or the t'ime required for contract performance. _
(4) Changes any of the expressed terms, conditions or specifications of the contract.
(5) Terminates the contract or settles any claim or dispute arising under the contract, or issue any unilateral directive whatever.
- d. All technical directions shall be issued in writing by the Project Officer or shall be confirmed by such person in writing within ten (10) working days after verbal issuance. A copy of said written direction shall be submitted to the Contracting Officer.
The contractor shall proceed pronptly with the performance of e.
technical directions duly issued by the Project Officer in the menner prescribed by this clause and within such person's authority under the provisions of this clause.
' NRC-33-87-224 Page 22 I
- f. If, in the opinion of the contractor, any instruction or direction issued by the Project Officer is within one of the categories as defined in c above, the Contractor shall not proceed but shall notify the Contracting Officer in writing
, within five (5) working days after receipt of any such .
t instruction or direction and shall request the Contracting Officer to modify the contract accordingly. Upon receiving such notification from the contractor, the Contracting-Officer shall ~
.% issue an appropt late- contract modification or advise the "
Contractor in writing that, in the Contracting Officer's opinion, -
the technical direction is within the scope of this article and does not constitute a change under the Changes Clause.
- g. Any unauthorized 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.
- h. A failure of the parties to agree upon the nature of the instruction or direction or upon the contract action to be taken with respect thereto shall be subject to 52.233 Disputes (APR /
1984).
- i. In addition to providing technical direction' as defined above, the Project Officer is responsible for:
(1) Monitoring the Contractor's technical progress, including
', surveillance and assessment of performance, and recomending to the Contracting Officer changes in requirements.
4 (2) Assisting the Contractor in the resolution of technical _ .
problems encountered during perfonnance.
l (3) Reviewing all costs requested for reimbursement by Contractor and submitting to the Contracting Officer i
recommendations for approval, disapproval, or suspension for T'
supplies and services reqJired under this contract.
G.3 Travel Reimbursement 4
- a. The Contractor will be reimbursed for reasonable domestic travel
- costs incurred directly and specifically in the perforrance of this contract. The cost limitations for travel costs are detennined by the Federal Travel Regulations that are in effect 4
on the date of the trip. These Regulations specify the daily
- maximum per diem rates for specific localities within the 4
Conterminous United States (CONUS), the standard CONUS rate, the i
allowance for meals and incidental expenses (M&IE), the cost of travel by privately owned automobile, and the items which require
- receipts. The contractor can obtain the Regulations fren the l Superintendent of Documents, Government Printing Office, t Washington, D.C. 20402.
I i
I
I
. i:RC-33-87-224 ,
Page 23 l l
- b. khen the Govern: rent changes the Federal Travel Regulations, it is l the responsibility of the contractor to notify the Contracting )
Officer in accordance with the Limitatior of Cost clause of this contract if the contractor will be unable to make all of the l approved trips and remain within the cost and fee limitations of this contract.
. c. Foreign travel must be approved in advance by th'e'Coninission_ on
~
I
~~
NRC Form 445 and com' ply with the resulrements of FAR clause' 52.247 Prefsrence fer U.S. Flag Air Carriers (APR 1984). ~
The rates for foreign travel are established by the U.S.
Department of State and are listed in a publication entitled
" Maximum Travel Per Diem Allowances for Foreign Areas." Copies of this publication may be obtained from U.S. Government Printing Office, Washington, D.C. 20402.
G.4 Methoo 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. In the event that the Contractor's . financial institution has access to the Federal Reserve Communications System, the contractor shall forward the following information in writing to the Contracting Officer within seven days after the effective date of the contract.
(1) Name and address of organization (2) Contact person and telephone number (3) Name and address of financial institution (4) Contractor's financial institution's 9-digit ABA identifying number for routing transfer of funds.
(5) Telegraphic abbreviation of Contractor's finar.cial institution.
(6) Account number at contractor's financial institution (7) Signature and title of person supplying this information.
- c. In the event the Contractor's financial institution does not have access to the Federal Reserve Communications System, the contractor shall forward the following information with regard to a correspondent or alternate financial institution. The information shall be in writing and submitted to the Contracting Officer within seven days after the effective date of the contract.
. NRC-33-87-224 Page 24 (1) Name and address of organization.
(2) Contact person and telephone number.
(3) Name and address of financial institution.
(4) Telegraphic abbreviation of contractor's financial _
,., institution. , _ ,_ ,_ _
~
(5) Account numbsr at contractor's financial institution.
(6)- Name and address of the correspondent financial institution that has access to the Federal Reserve Communications System.
(7) Correspondent financial institution 9-digit ABA identifying number for routing transfer of funds.
(8) Telegraphic abbreviation of correspondent financial institution. <
(9) Signature and title of person supplying this information.
- d. Any changes to the information furnished under 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.
G.5 Payment Due Date
- a. Payments under this contract will be due 30 calendar days after -
the later of:
(1) The date of actual receipt of a proper invoice in accordance with the attached " Billing Instructions," 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 paraoraph b of this clause will apply to the new delivery of the final product / service.
I l
i I
NRC-33-87-224 Page 25
- d. The date of payment by wire transfer through the Treasury Financial Comunications System shall be considcred 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.6 Interest on Overdue Payments c- a. The Prompt Payment Act, Public Law 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. Determinations 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, 1986. 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.
(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.7 Remittance Address, If Item 15c. of the Standard Form 33 has been checked, enter the remittance address below, i
! hame: System Automation Corporation Address: P. O. Box 15878 Baltimore, Maryland 21263 G.8 Task Order Procedures
- a. Task Order Request for Proposal When a requirement within the scope of work for this contract is l' identified, the Contracting Officer will transmit to the contractor a Task Order Request for Proposal which will include the following, as appropriate:
l
, NRC-33-87-224 Page 26 (1 Scope of Work / Meetings / Travel and Deliverables (2 Reporting Requirements (3 Period of Performance - Place of Perfcrmance '
(4) Applicable Special Provisions (5) Technical Skills Required (6). Estimated Level of Effort
~
- b. Task Order' Proposal , _ . , _ _ , , , . ,
Bf the date specified in the Task Order Request for Proposal, the
~
~
contractor shall deliver to the Contracting Officer a written Task Order Proposal that provides the following technical and cost information, as appropriate:
(1) Technical Proposal Contents (a) A discussion of the scope of work requirements to substantiate the contractor's understanding of the requirements of the Task Order and the contractor's proposed method . of approach to meet the objective of the order.
(b) Resumes for professional personnel proposed to be utilized in the performance of any resulting task .
order. Include educational background, specific pertinent work experience and a list of any pertinent publications authored by the individual.
(c) Identification of administrative support personnel and/or facilities that are needed to assist the professional personnel in completing work on the task -
order.
(d) Identification of " key personnel" and the nur:ber of staff hours that will be committed to completion of work on the Task Order.
, (2) Cost Proposal l
The Contractor's cost proposal for each Task Order shall be prepared using the Standard Form 1411, Contract Pricing Proposal cover sheet. A copy of the form and instructions are attached to this contract. Each Task Order cost proposal shall be fully supported by cost and pricing data adequate to establish the reasonableness of the prcposed l amounts. The fixed fee for each task order issued under this contract shall be negotiated on a task by task basis.
1 I
.- NRC-33-87-224 Page 27
- c. Task Order Award The Contractor shall perform all work described in definitized Tas' Orders issued by the Contracting Officer. Definitized Task
. Orders will include the following:
(1) Statement of Work / Meetings / Travel and Deliverables _
.3 (2) Reporting Requirements _ ,_ . . _ . . _ ;
) Period of Performance '
) Key Personnel
) Applicable Special Provisions (6) Total Task Order Amount Section H - Special Contract Requiretrents H.1 Key Personnel
- a. The following individuals are considered to be essential to the successful performance of the work hereunder.
John Jelen Diana Gallehr Jack Tunell Mark Clark John Latenser Sue Gorlin James H. Scharen-Guivel Ron Phillips John Butler P.oseanne Kane
, Bruce Harrison Adina Friedman Seetharan Sampath Annette LaMouse-Smith Denesh Rikhi Mai Luu Bob Bucklin Joan Osborne Mina Miranvarian -
Robin Lasko - '
The Contractor agrees that such personnel shall not be removed from the contract work or replaced without compliance with
, paragraphs (b) and (c) hereof.
- b. If one or more of the key personnel for whatever reason becomes, or is expected to become, unavailable for work under this contract for a continuous period exceeding 30 work days, or is expected to devote substantially less effort to the work than indicated in the proposal or initially anticipated, the Contractor shall imediately notify the Contracting Officer and 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.
\
t i
- . _ . _ . _ _ _ _ _ . - . _ _ _ . _ . . . . _ _ _ . _ . . ~ . . _ _ . _ . _ _ . . . - , . . . _ - . . . _ _ . . _ _ _ _ _ . _ . . . . _ _ _ , . . _ _ . _ _ _ . _ _ _ . _ _
NRC-33-87-224 Page 28
- c. All requests for approval of substitutions hereunder must be in writing and provide a detailed explanation of the circumstances necessitating the proposed substitutions. They must contain a complete resume for the proposed substitute, and other information requested by the Contracting Officer or needed
, by him to approve or disapprove the proposed substitution. The Contracting Officer or his authorized representative will -
evaluate such requests and promptly notify the Contractor of his approval or disapproval thereof in writing.
~
" -~~
_ 7
- d. If the Contracting Officer determines that suitable and timely replacement of key personnel who have been reassigned, terminated or have otherwise become unavailable for the contract work is not reasonably forthcoming or that the resultant reduction of productive effort would be so substantial as tc impair the successful completion of the contract or the service order, the contract may be terminated by the Contracting Officer for default or for the convenience of the Government, as appropriate, or, at the discretton of the Contracting Officer if he finds the Contractor at fault for the condition, the contract price or fixed fee rc.ay 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 all health, safety, and fire protection regulations and requirements i
(including reporting requirements) of the Connission 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 Commission, issue an order -stopping all or any part of the work; thereafter, a start order for resumption of work may be issued at the l
l discretion of the Contracting Officer. The Contractor shall make no l
claim for an extension of time or for compensation or damages by reason of or in connection with such work stoppage.
l
- H.3 Dissemination of Contract Information l
l The contractor shall comply with the requirements of NRC Manual Chapters 3202 and 3206 regarding publication er dissemination to the public of any information, oral or written, concerning the work performed under this contract. Failure to comply with this clause shall be grounds for termination of this contract.
1
.,7 NRC-33-87-224 Page 29 H.4 Private Use of Contract Information and Data Except as specifically authorized by this contract, or as otherwise approved by the Contracting Officer, infcrmation 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.
h.5 " Drawings, Designs and Specifications - - '- ~
All drawings, ' sketches, design data, specifications, 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 tn retain a copy of said
~
material for its own use, be delivered to the Government, or otherwise disposed of by the contractor either as the Contracting Officer may from time to time direct during the progress of the work or in any event as the Contracting Officer shall direct upon completion or
. termination of this contract. The Contractor's right of retention and use shall be subject to the security, patent, and use of information provisions, if any, of this contract.
H.6 Security -
- a. Security / Classification Requirements Form. The attached NRC Fom 187 furnishes the basis for providing security and classification requirements to prime centractors, subcontractors or others (e.g., bidders) who have or may have any NRC contractual relationship which requires access to classified information er matter, access on a continuing basis (in excess of 30 days) to hRC Headquarters controlled buildings or otherwise requires NRC photo identification or card-key badges.
- b. It is the contractor's duty to safeguard Restricted Data, Formerly Restricted Data, and other classified information. The Contractor shall, in accordance with the Comission's security regulations and requirements, be responsible for safeguarding Rcstricted Data, Formerly Restricted Data, and other classified information and protecting against sabotage, espionage, loss ar.d theft, the classified documents and material in the Contractor's possession in connection with the performance of work under this contract. Except as otherwise expressly provided in this contract, the contractor shall, upcn completion or termination of this contract, i.ransmit to the Comission any classified matter
NRC-33-87-224 Page 30 in the possession of the contractor or any person under the contractor's control in connection with performance of this contract.
If retention by the Contractor of any classified matter is required after the completion or termination of the contract and such retention is approved by the Contracting Officer, the _
contractor' will complete a certificate of possession to be
^ ~
furnished to the Commi'ssion specifying 'the" classified' niatter to - -
be retained. The certification shall identify the items and -
types of categories of matter retained, the conditions governing the retention of the matter and their period of retention, if known. If the retention is approved by the Contracting Officer, the security provisions of the contract will continue to be applicable to the matter retained.
- c. In connection with the performance 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 Comission plans, policies, reports, financial plans, internal data protected by the Privacy Act of 1974 (P.L.93-579),
or other information which has not been released to the public or has been determined by the Commission to be otherwise exempt from disclosure to tha public. Contractor agrees to hold such infonnation 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 Commission 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 termination of this contract.
- d. Regulations. The contractor agrees to conform to all security regulations and requirements of the Commission.
- e. Definition of Restricted Data. The term " Restricted Data," as used in this clause, means all data concerning (1) design, manufacture, or utilization o atomic weapons; (2) the production of special nuclear materials; or (3) the use of special nuclear material in the production of energy, but shall not include data declassified or removed from the Restricted Data category pursuant to Section 142 of the Atomic Energy Act of 1954, as amended.
NRC-33-87-224 Page 31
- f. Definition of Fomerly Restricted Data. The term "Formerly Restricted Data,".as used in this clause, means all data removed fron the Restricted Data category under Section 142-d. of the Atomic Energy Act of 1954, as amended.
- g. Security Clearance Personnel. The contractor shall not permit any individual to have access to Restricted Data, Fomerly Restricted Data, or other classified information, except in
,u accordance with the Atomic Energy Act of 1954, as amended,2nd. --
the Commission's. regulations or requirements applicable to the -
particular type or category of classified information to which access is required.
- h. Criminal Liabilities. It is understood that disclosure of Restricted Data, Formerly Restricted Data, or other classified information relating to the work or services ordered hereunder to any person not entitled to receive it, or failure to safeguard any Restricted Data, Fomerly Restricted Data, or any other classified matter that may come to the Contractor or any other person under the contractor's control in connection with work under this contract, may subject the contractor, its agents, employees or subcontractors to criminal liability under the laws of the United States. (See the Atomic Energy Act of 1954, as amended, 42 U.S.C. 2011 et. seq.; 18 U.S.C. 793 and 794; and Executive Order 12356.)
- 1. Subcontracts and Purchase Orders. Except as otherwise authorized in writing by the Contracting Officer, the contractor shall insert provisions similar to the foregoing in all subcontracts and purchase orders under this contract.
~
- j. In performing the contract work, the contractor shall assign classifications to all documents, material, and equipment originated or generated by the contractor in accordance with classification guidance by the Comission. Every subcontract and purchase order issued hereunder involving the origination or generation of classified documents, material, or equipment shall provide that the subcontractor or supplier shall assign classifications to all such documents, material, and equipment in accordance with classification guidance furnished by the contractor.
H.7 Contractor Organizational Conflicts of Interest (OMB Clearance Number 3150-0112)
(a) Purpose. The primary purpose of this clause is to aid in ensuring that the Centractor:
(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, arid
NRC-33-87-224 o
Page 32 (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 620-1.5402(f) in the activities covered by this clause.
(c) Work for Others. Notwithstanding any other provision of this 7
.'- contract, during the term 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 firm or organization may involve a potential conflict of interest, the Contractor shall obtain the written approval of the Contracting Officer prior, to execution of such contractual arrangement.
(d) Disclosure after award.
(1) The Contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest, as defined in 41 CFR 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 termination to be in the best interests of the Government.
(e) Access to and use of information.
(1) If the Contractor in the performance of this contract obtains access to information, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L.93-579), or data which has not been released to the public, the Contractor agrees not to:
(i) Use such information for any private purpose until the information has been released to the public; (ii) compete for work for the Commission based on such informrtion 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;
l l
NRC-33-87-224 Page 33 ;
(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 information 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 Contracter shall treat such infnrmation in accordance with restricti)ns 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.
(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 the Government's rights.
(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 inply 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.
l (h) Waiver. A request for waiver under this clause shall be directed in writing through the Contracting Officer to the Executive Director i
for Operations (EDO) in accordance with the procedures outlined in 920-1.5411.
H.8 Determination of Minimum Wages and Fringe Benefits Each employee of the contractor or any subcontractor performing
- services under this contract shall be paid at least the minimum l allowable monetary wage and fringe benefits prescribed under Waga l Determination No. 80-1294 (Rev. 17) dated November 27, 1984 which is i attached.
l H.9 Government Furnished Propertv/ Materials l
l a. The NRC will provide the contractor with the following items as required for performance of individual task orders issued hereunder. Each task order will specify the item (s) to be provided.
1
NRC-33-87-224 Page 34 Item / Description (1) Computer time on the CDN timesharing facility and the following software:
- a. Information Planner (Database Design, Inc.)
- b. Data Designer (Database Design, Inc.)
- c. IDMS/R Database Management System (Cullinet Software, -
, - Inc.) and the following Cullinet database management. _.
__ products: .
IDMS/R - Central Integrated Data Dictionary (IDD)
IDMS-DC (UCF)
Application Development System /Or.line (ADS /0)
OnLine Query (0LQ)
OnLine English (0LE)
Culprit Information Database (IDB)
Goldengate
- b. Only the property / materials listed above will be provided by the Government. All other property / material required in performance of the contract shall be furnished by the contractor.
--,e--
c NRC-33-87-224
- . Page 35 PART II - CONTRACT CLAUSES Section I - Contract Clauses.
I. Federal Acquisition Regulation (48 CFR Chapter 1) Clauses Rights'in Technical Data and Computer Software
- a. Def.initions - - .- --- -
1
'~ '
(1) Technical Data means recorded information, regardless of form or -
characteristic, of a scientific or technical nature. It may, for example, document research, experimental, developmental or engineering work; or be usable or used to define a design or process or to procure, produce, support, maintain, or operate material. The data may be graphic or pictorial delineations in media such as drawings or photographs; text in specifications or related performance or design type documents; or computer printouts. Examples of technical data include research and engineering data, engineering drawings and associated lists, specifications, standards, process sheets, manuals, technical reports, catalog item identifications and related information and computer software documentation. Technical- data does not include computer software or-financial, administrative, cost and pricing, and management data or other informaticn incidental to contract administration.
(2) Computer - a data processing device capable of accepting data, performing prescribed operations on the data, and supplying the results of these operations: for example, a device that operates on discrete data by performing arithmetic and logic processes on these data,. or a device that operates on analog data by performing physical processes on the data.
(3) Computer Software - a computer-programs and computer data bases.
(4) Computer Program - a series of instructions or statements in a form acceptable to a computer, designed to cause the computer to execute an - '
operations. Computer programs include operating systems, assemblers, compilers, interpreters, data management systems, utility programs, sort-merge programs, and ADPE maintenance / diagnostic programs, as well as applications programs such as payroll, inventory control, and engineering analysis programs. Computer programs may be either machine-dependent or machine-independent, and may be general-purpose in nature or designed to satisfy the requirements of a particular user.
(5) Computer Data Base - a collection of data in a form capable of being processed and operated on by a computer.
l (6) Computer Software Documentation - Technical data, including computer l listings and printouts, in human-readable fann which (i) documents the design or i details of computer software, (ii) explains the capabilities of the software, or l (iii) provides operating instructions for using the software to obtain desired l results from a computer.
(7) Unlimited Rights means rights to use, duplicate, or disclose technical data or computer software in whole or in part, in any manner and for any purpose whatsoever, and to have or permit others to do so.
(8) Limited Rights means to use, duplicate, or disclose technical data, in whole or in part, by for the Government, with the express limitation that such technical data shall not, without the written permission of the party furnishing such technical data be (a) released or disclosed in whole or in part outside the Government, (b) used in whole or in part by the Government for manufacture, or
!!RC-33-87-224
. Page 36 in the case of computer software documentation, for preparing the same or similar computer software, or (c) used by a party other than the Government, except for:
(1) emergency repair or overhaul work only, by or for the Government, where the item or process concerned is not otherwise reasonably available to enable timely perfonnance
. of the work, provided that the release or disclosur_e,thereof -
., outside the Government shall be made subject.to a prohibition _ _
accinst further use, release or disclosure; or (ii) release to a foreign . government, as the interest of the United States may require, only for information or evaluation within such government or for emergency repair or overhaul work by or for such government under the conditions of (i) above.
(9) Restricted Rights apply only to computer software, and include, as a
~
miniaum, the right to:
(i) use computer software with the computer for which or with which it was acquired, including use at any Government installation to which the computer may be transferred by the Government; (ii) use computer software with a backup computer if the computer fcr which or with which it was acquired is inoperative; (iii) copy computer programs for safekeeping (archives) or backup purposes; (iv) modify comp'ter u software, or combine it with other software, subject to the provision that those portions of the derivative software incorporating restricted rights software are subject to the same restricted rights; and (v) treat computer software bearing a copyright notice as a published copyrighted work; and in addition, any other specific rights not - -
inconsistent therewith listed or described in this contract or described in a license or agreement made a part of this contract.
(b) Government Rights.
(1) Unlimited Rights. The Government shall have unlimited rights in:
(1) technical data and computer software resulting directly from performance of experimental, developmental or research work which was specified as an element of performance in this or any other Government contract or subcontract; (ii) computer software required to be originated or developed under a Government contract, or generated as a necessary part of performing a contract; (iii) ccmputer data bases, prepared under a Government contract, consisting of information supplied by the Government, information in which the Government has unlimited rights, or information which is in the public domain;
O NRC-33-87-224 o Page 37 *
(iv) technical data necessary to enable manufacture of end-items, components and modifications, or to enable the performance of processes, when the end-items, components, modifications or processes have been, or are being, developed under this or any other Government contract or subcontract in which experimental, developmental or research work is, or was specified as an element of contract performance, except technical data pertaining to items, components,_ processes, or -
7 computer software developed at priyat.e_ expense. (but. ste. _
(2)(11) below),; ~
(vl technical data or computer software prepared or required to be delivered under this or any other Government contract or subcontract and constituting corrections or changes to Government-furnished data or computer software; (vi) technical data pertaining to end-items; components or processes, prepared or required to be delivered under this or any other Government contract or subcontract, for the purpose of identifying sources, size, configuration, mailing and attachment characteristics, functional characteristics and performance requirements (" form, fit and function" data, e.g.,
specification control drawings, catalog sheets, envelope drawings,etc.);
(vii) manuals or instructional materials prepared or required to be
> delivered under this contract or any subcontract hereunder for installation, operation, maintenance or training purposes; (viii) technical data or computer software which is in the public domain, or has been or is normally furnished without restriction by the Contractor or subcontractor, and (ix) technical data or computer software listed or described in an agreement incorporated into the schedule of this contract which the parties have predetermined, on the basis of subparagraphs (i) through (viii) above, and agreed will bc furnished with unlimited rights.
(2) Limited Rights. The Government shall have limited rights in:
(i) technical data, listed or described in an agreement incorporated into the Schedule of this contract, which the (ii) parties technicalhave dataagreed pertaining willtobe furr.ished items, components with or limited rights; and processes developed at private expense, and ccmputer software documentation related to computer software that is acquired with restricted rights, other than such data as may be included in the data referred to in (b)(1)(1), (v), (vi),
(vii), and (viii).
provided that only the portion or portions of each piece of data to which limited rights are to be asserted pursuant to (2)(i) and (ii) above are identified (for example, by circling, underscoring, er a note), and that the piece of data is marked with the legend below in which is inserted:
A. the number of the prime contract under which the technical data is to be delivered.
B. the name of the Contractor ano any subcontractor by whom the technical data was generated, and
~
NRC-33-87-224
- Page 38 C. an explanation of the method used to identify limited rights data.
LIMITED RIGHTS LEGEND Contract No: ..............
Contractor: ................
Explanation of Limited Rights Data Identification Method Used: _ _. -
CONTRACT CLAUSES AND SOLICITATION PROVISIONS Those portions of this technical data indicated as limited rights data shall not, without the written permission of the above Contractor, be either (a) used, released or disclosed in whole or in part outside the Government, (b) used in whole or in part by the Government for manufacture or, in the case of computer software documentation, for preparing the same or similar computer software, or (c) used by a party other than the Government, except for (1) emergency repair or overhaul work only, by or for the Government, where the item or process concerned is not otherwise reasonably available to enable timely performance of the work, provided that the release or disclosure hereof outside the Government shall be made subject to a prohibition against further use, release or cisclosure; or (ii) release to a foreign government, as the interest of the United States may require, only for information or evaluation within such government or for emergency repair or overhaul work by or for such government under the conditiens of (1) above. This legend, together with the indications of the portions of this data which are subject to such limitations shall be included on - -
any reproduction hereof which includes any part of the portions subject to such limitations.
(3) Restricted Rights. The Government shall have restricted rights in computer software, listed or described in a license or agreement made a part of this contract, which the parties have agreed will be furnished with restricted rights, prcvided, i however, notwithstanding any contrary provision in any such l license or agreement; the Government shall have the rights in (a)(9)(1) through (v). Such restricted rights are of no effect unless the computer software is marked by the Contractor with the following legend:
RESTRICTED RIGHTS LEGEND Use, duplication or disclosure is subject to
- restrictions stated in Contract No. ..................
I with ............. NameofContractor)......................
and the related computer software documentation includes a prominent statement of the restrictions applicable to the computer software.
l
3 NRC-33-87-224
- Pagn 39 (4) No legend shall be narked on, nor shall any limitation or restriction on rights of use be asserted as to, any data or computer software which the Contractor has previously delivered to the Government without restriction. The limited or restricted rights provided for by this paragraph shall not impair the right of the Government to use similar or identical data or computer software acquired from other sources. -
(c) Material Covered by Copyright. -
.. (1) In addition to the rights granted..under. the provisions _
af (b) above, the. Contractor agrees to and does hereby grant to .
the Government a royalty-free, nonexclusive and irrevocable license throughout the world for Government purposes to publish, translate, reproduce, deliver, perform, dispose of, and to authorize others so to do, all technical data and unlimited rights computer software prepared or required to be delivered under the contract, now or hereafter covered by copyright.
(2) Copyrighted matter shall not be included in technical data furnished hereunder without the written permission of the copyright owner for the Government to use such copyrighted matter in the manner described in (c)(1) above, unless the written approval of the Contracting Officer is obtained.
(3) The Contractor shall report to the Governnent (or higher-tier Contractor) promptly and in reasonable written detail each notice or clain of copyright infringement received by the Contractor with respect to any technical data or computer software delivered hereunder.
(d) Removal of Unauthorized Markings. Notwithstanding any provision of this contract concerning inspection and acceptance, the Government may correct, cancel, or ignore any marking not authorized by the terms of this contract on any technical data or computer software furnished hereunder, if:
(i) the Contractor fails to respond within sixty (60) days
- ~
to a written inquiry by the Government concerning the propriety of the markings, or (ii) the Contractor's response fails to substantiate, within sixty (60) days after written notice, the propriety of limited rights markings by clear and convincing evidence, or of restricted rights markings by
, identification of the restrictions set forth in the l
contract.
In either case the Government shall give written notice to the Contractor of the action taken.
(e) Relation to Patents. Nothing contained in this clause shall imply a license to the Government under any patent or be construed as affecting the scope of any license or other right i
otherwise granted to the Government under any patent.
l (f) Limitation on Charges for Data and Computer Software. The l
Centractor recognizes that the Government or a foreign government with funds derived through the Military Assistance Program or otherwise through the United States Government may contract for property or services with respect to which the vendor may be
! liable to the Contractor for charges for the use of technical l
data or computer software on account of such a contract. The
NRC-33-87-224 Page 40 Contractor further recognizes that it is the policy of the.
Government not to pay in connection with its contracts, or to allow to be paid in connection with centracts made with funds derived through the Military Assistance Program or otherwise through the United States Government, charges for data or computer software which the GNernment has a right to use and disclose to others, which is in the public domain, or which the Government. has been given without restrictions upon its use and -
disclosure to others. -This' policy does. mot apply to reasonable. __
, reproduction, handling, mailirig, and similar administrative costs incident to the furnishing of such data or computer software. In recognition of this policy, the Contractor agrees to participate in and make appropriate arrangements for the exclusion of such charges from such contracts, or for the refund of amounts received by the Contractor with respect to any such charges not so excluded.
(g) Acquisition of Data and Computer Software from Subcontractors.
(1) Whenever any technical data or computer software is to be obtained from a subcontractor under this contract, the Contractor shall use this same clause in the subcontract, without alteration, and no other clause shall be used to enlarge or diminish the Government's or the Contractor's rights in that subcontractor data or computer software which is required for the Government.
(2). Technical data required to be delivered by a subcontractor shall nomally be delivered to the next-higher tier Contractor. However, when there is a requirement in the prime contract for data which may be submitted with limited rights pursuant to (b)(2) above, a subcontractor may fulfill such ~
requirement by submitting such data directly to the Government rather than through the prime Contractor.
, (3) The Contractor and higher-tier subcontractors will not use their power to award subcontracts as economic leverage to acquire rights in technical data or computer software from their subcontractors for themselves.
52.217-9 OPTION TO EXTEND THE TERM OF THE CONTRACT--SERVICES. (APR1984)
(a) The Government may extend the term of this contract by written notice to the Contractor within the time specified in the Schedule; provided, that the Government shall give the Contractor a preliminary written notice of its intent to extend at least 60 days before the contract expires. The preliminary notice does not commit the Government to an extension.
(b) If the Government exercises this option, the extended contract shall be considered to include this option provision.
(c) The total duration of this contract, including the exercise of any options under this clause, shall not exceed 60 months.
(End of clause)
(R7-104.27(c))
, R 1-1.1508-2(d))
C
/
, NRC-33-87-224 Page 41 52.252-2 CLAUSES INCORPORATED BY REFERENCE. (APR 1984)
This contract incorporates the following clauses by reference, with the same force and effect as if they were given in fuli text. Upon request, the Contracting Officer will make their full text available.
I.' FEDERAL ACQOISITION REGULATION (48 CFR CHAPTER 1) CLAUSES ,
Section E 7
52.246-5 INSPECTION OF SERVICES--COST-REIMBURSEMENT. (APR 1984)
Section F 52.212-13 STOP-WORK ORDER.-- Alternate 1 (APR 1984)
Section I 52.202-1 DEFINITIONS. (APR 1984) 52.203-1 0FFICIALS NOT TO BENEFIT. (APR 19b4) '
52.203-3 GRATUITIES. (APR 1984) 52.203-5 C0VENANT AGAINST CONTINGENT FEES. (APR 1984) 52.203-6 RESTRICTIONS ON SUBCONTRACTOR SALES TO THE GOVERNMENT (JUL 1985) 52.215-1 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL. (APR 1984) 52.215-2 AUDIT--NEGOTIATION. (APR 1984) 52.215-22 PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA. (APR 1984) 52.215-24 SUBCONTRACTOR COST OR PRICING DATA. (APR1985) 52.215-3 WAIVER OF FACILITIES CAPITAL COST OF MONEY 52.216-7 ALLOWABLE COST AND PAYMENT. (APR 1984) _
52.216-8 FIXED FEE. (APR 1984)
, 52.216-18 ORDERING 52.216-21 REQUIREMENTS 52.219-6 NOTICE OF TOTAL SMALL BUSINESS SET-ASIDE. (APR 1984) 52.219-8 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL DISADVANTAGED BUSINESS CONCERNS. (JUN 1985) 52.219-13 UTILIZATION OF WOMEN-0WNED SMALL BUSINESSES. (APR 1984) 52.222-1 NOTICE TO THE GOVERNMENT OF LABOR DISPUTES. (APR 1984) 52.222-3 CONVICT LABOR. (APR 1984) 52.222-26 EQUAL OPPORTUNITY. (APR 1984) 52.222-28 EQUAL OPPORTUNITY PREAWARD CLEARANCE OF SUBCONTRACTS. (APR 1984) 52.222-35 AFFIRMATIVE ACTION FOR SPECIAL DISABLED AND VIETNAM ERA VETERANS (APR 1984) 52.222-36 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS (APR 1984) 52.223-2 CLEAN AIR AND WATER. (APR 1924) 52.224-1 PRIVACY ACT h0TIFICATION. (APR 1984) 52.224-2 PRIVACY ACT. (APR 1984) ,
52.227-1 AUTHORIZATION AND CONSENT. (APR 1984) 52.227-2 NOTICE AND ASSISTANCE, REGARDING PATENT AND COPYRIGHT INFRINGEMENT. (APR 1984)
o
\
/ NPC-33-87-224 i o Page 42 l 52.227-3 PATENT INDENhlTY. (APR 1984) 52.227-13 PATENT RIGHTS--ACQUISITION BY THE GOVERNMENT. (APR 1984) 52.228-7 INSURANCE' LIABILITY TO THIRD PERSONS. (APR 1984) 52.232-9 LIMI1ATION ON WITHHOLDING OF PAYMENTS. (APR1984) 52.232-16 PROGRESS PAYMENTS. (APR 1984) 52.232-17 INTEREST. (APR 1984) 52.232-20 LIMITATION OF COST. (APR 1984) 52.232-22 LIMITATION OF FUNDS. (APR 1984) _ _.
52.232-23 ASSIGNMENT OF CLAIMS. (APR 1984.) .._ .__ _
~
52.233-1 DISPUTES. (APR1984) ~!
52.242-1 NOTICE OF INTENT TO DISALLOW COSTS. (APR1984) 52.243-2 CHANGES--COST-REIMBURSEMENT. (APR 1984)--Alternate I. (APR 1984) 52.244-2 SUBCONTRACTS (C0ST-REIMBURSEMENT AND LETTER CONTRACTS)
(JUL 1985) 52.244-5 COMPETITION IN SUBCONTRACTING. (APR 1984)
- 52.245-5 GOVERNMENT PROPERTY (C0ST-REIMBURSEMENT, TIME-AND-MATERIAL, ORLABOR-HOURCONTRACTS). (APR 1984)--Alternate I.
(JUL 1985) 52.249-6 TERMINATION (C0ST-REIMBURSEMENT). (MAY 1984) 52.249-14 EXCUSABLE DELAYS. (APR 1984) 52.222-41 SERVICE CONTRACT ACT OF 1965.
l e
d
- - . - - - - , , . . - - - , . - - - - - . . ~ . - - - - . - .
I wo
/ NRC-33-87-224 o Page 43 PART III - LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS Section J - List of Attachments Attachment Number Title 1 NRC Contractor-Organizational Conflicts of Interest
,(41 CFR Part 20) __
f
"~ ~
~ ~'
'if ,
Billing Instructions 3 NRC Manual Chapter 3202 4 NRC Form 187 - Security / Classification Requirement 5 Wage Determination 6 Functions of Data Administration (DA) Staff and Database Designer (DBD) Staff o e d
. - - . . . . - - _ _ . ~ - - . . - - _ _ . . _ . . _ _ - - - . - , , ._
. _.. - - . - . . ~ . . . - .
fn -
. PART 20-1 -- GENERAL Subpart 20-1.54--Contractor' Organizational Conflicts of Interest
- Sec. '
. 20-1.5401 Scope and policy.
, 20-1.5402 Definitions.
1.5403 Criteria for recognizing contractor organizational son'flicts of interest. .
, 20-1.'5404 Representation.- - - - - .
1 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-l'.5410 Subcontractors. -
20-1.5411 Waiver. -
. 20-1.5412 Remedies. J
! AUTHORITY: Sec. 8, Pub. L.95-601, adding Sec.170A to Pub. L.83-703, 68 Stat. 919, as amended (42 U.S.C. ch.14) 520-1.5401 Scope and Policy
! (a) It is the policy of the U.S. Nuclear Regulatory Comission (NRC) to avoid, eliminate or neutralize contractor organizational conflicts of interest. The NRC achieves this objective by requiring all prospective i
contractors to submit information describing relationships, if any, with organizations or persons (including those regulated by NRC) which may _
l 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 identify and resolve all of the contractor conflict of interest situations 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 l'here it may have an unfair competitive advantage?
l (c) The conflict of interest rule contained in this subpart applies
- to contractors and offerors only. Individuals or firms who have other .
relat'ionships with NRC (e.g., parties to a licensing proceeding) are not- }
covered by this regulation. This rule does not apply to the acquisition of consulting services through the personnel appointment process, NRC l
1-
"T 9- - ryim--=qur-gNer we v e---+Ww m* ryv+-vw----g -m--------*g- y *-mir-gs,w ww-ex-g y 7-mM'.. .,wwe emw we e-geasw*w-wm-W 1 r'
7590-01 agreer.ents with other govbrnment agencies, international organizations.
or state, local or . foreign governments; separate procedures for avoiding.
, conflicts of interest will be employed in such agreements: as appropriate.
. fr20 ,1.5402 Definitions .
-(a) " Organizational conflicts of interest" means that a relationship exists whereby a contractor or prospective contractor has present or . -
planned interests related to the work to be performed under an NRC -
contract which: (1) May diminish its capacity to give impartial, technically -
' sound, objective assistance and advice or may otherwise result in a
- biased work product, or (2) may result in its being given an unfair -
competitive advantage.
(b) "Research" means any scientific or technical work involving theoretical analysis, exploration, or experimentation.
(c) Evaluation activities" means any effort involving the appraisal of a technology, process, product, or policy.
, (d) " Technical consulting and management support services" means
- internal assistance to a component of the NRC in the formulation or administration of.its programs, projects, or policies which normally ;
require the contractor to be given access to information which has not been made available to the public or proprietary information. Such services typically include assistance in the preparation of program plans; artd preparation of preliminary designs, specifications, or statements of work. -
(e') " Contract" means any contract, agreement, or other arrangement with the NRC except as provided in Section 20-1.5401(c). _
(f) " Contractor" means any person, firm, unincorporated association, joint venture, co-sponstor, partnership, corporation, affiliates thereof,
, or their successors in interest, including their chief executives, i directors, key personnel. (identified in the contract), proposed consultants or subcontractors, which is a party to a contract with the NRC.
. (g) " Affiliates".means business concerns which are affiliates of ~
each other when either directly or indirectly one concern or individual controls or has the power to control another, or when a third party controls or has the power to control both (41 CFR 51-1.606-1(e)).
~ '
' . ( h )' " Subcontractor" means any subcontractor of any tier which performs work under a contract with the NRC except subcontracts for supplies and subcontracts in amounts of $10,000 or less.
, (i) " prospective contractor" or " offeror" meens 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-
--e.iw -w-e. -y. 9-m.,- y*m,.yyym . p- , , , ,%,y-g,p-ggwe
7590-01 i
(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. 7
' ~ ~
sid-1.5403. Criteria for. recognizing contractoForganizaition51' ~ [
, : 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 determination by NRC as to whether organizational conflicts of interest exist will be made in light of comon sense and good business Judgment based upon the relevant facts disclosed and the work to be 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
- 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 i conflicts of interest. (1) The offeror or contractor shall disclose _ .
q information concerning relationships which may give rise to organizational s
conflicts of interest under the following circumstances:
) .
(i) Where the offeror or contractor provides advice and recommendations i i to the NRC in a technical area in which it is also providing consulting assistance in the same area 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 j any organization regulated by the NRC.
I (iii)Wheretheofferororcontractorevaluatesitsownproductsor j services, or the products or services of another entity where the offeror j ;
or contractor has been substantially involved in their development or
, marketing.
( ,
! (iv) Where the award of a contract would otherwise result in placing the offeror or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC or may otherwise result in an unfair competitive advantage for the offeror or contractor.
I i
r- -r 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 520-1.5405-2 in the following cirte stances
i (1) -Where the offeror or contractor prepares specifications which
' are to be used .in competiti/e procurements of products or services covered by such specifications. - -
a (ii). Where the offer,or 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 t
which could form the bas,is for a later procurement action.
(iv) Where the offeror or contractor is granted access to proprietary
. information of its competitors.
- (v) Where the award of a contract might otherwise result in placing the offeror or contractor in a conflicting role in which its judgment l may be biased in relation to its work for the NRC or may otherwise
, result in an unfair competitive advantage for the offeror or contractor.
(c) Policy application guidance. The following examples are illustrative only and are not intended to identify and resolve all contractor organizational conflict of interest situations. (1) Example.
The XYZ Corp., in response to a request for proposal (RFP), proposes to i .
undertake certain analyses of a reactor component as called for in the
', RFP. The XYZ Corp. is one of several companies considered to be technically well qualified. In response to the inquiry in the RFP, the XYZ Corp. -
advises that it is currently performing similar analyses for the reactor
, manufacturer.
Guidance. An NRC contract for that particular work normally would i 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 weil-qualified companies available, there would be no reason for considering a waiver of the policy.
(2) Example. The ABC Corp., in response to a RFP, proposes to perform certain analyses of a reactor component which are unique to one type of advanced reactor. As is the case with other technically qualified i
ccmpanies 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. '
4 j :
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 protection of the public. Only one manufacturer
- has extensive experience with that type of M ant. Consequently, that company is the only one with whom NRC can contract which can develop and f 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 tenns of i- 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 ,
j to guard against bias. ,..
I _, (4) Example. The ABC Co. submits a proposal for a new system for - ~
1_
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. -
l Guidance. A contract could be awarded to the ABC Co. provided that the contract stipulates that no information produced under the contract
- j 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 J unfair competitive advantage that might otherwise accrue. When NRC furnishes information to the contractor for the performance of contract l . 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 i
officer of all situations in which the information developed under the contract is proposed to be used.
- - . , - a e
7590-01
.l' l l
(5) Example. The ABC Corp., in response to a RFP proposes to assemble a map showing certain seismological features of the Appalachian 3
fold belt. In accordance with the representation in the RFP and 520-1.5403(b)(1)(i), ABC Corp. informs the NRC that it is presently i doing seismological studies for several utilities in the Eastern United States but none of the sites are within the geographic area, contemplated _ .
by the NRC study. , _ ,_ . _ .
j Guidancia. The contracting officer would normally conclude that award of a contract would not place ABC Corp. in a conflicting role where its judgment might be biased. The work for others clause of s20-
, 1.5405-1(c) would preclude ABC Corp. from accepting work during the term 4
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 perfonnance of a contract is not relevant to a determination of the existence of such conflicts prior to the award of a contract.
(2) It is not relevant that the contractor has the professional
- reputation of being able to resist temptations which arise from organizational 4
conflicts of interest, or that a follow-on procurement is not involved, or that a contract is awarded on a competitive or a sole source basis.
j s20-1.5404 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 i . 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.
4 1
, -a 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 centract does ( ) or does not ( ) involve situations or relationships --
~
4 of.the type set forth in 41 CFR 520-1.5403(b)(1). - - . . . . - -
(c) 15structions to o'fferors. The following shall be included in -
all NRC solicitations: (1) If the representation as completed indicates that situations or relationships of the type set forth in 41 CFR 5 20-1.5403(b)(1) are involved, or the contracting officer otherwise determines that potential organizational conflicts exist, the offeror shall provide a statement in writing which describes in a concise manner all relevant facts bearing on his representation to the contracting officer. If the contracting officer determines that organizational
- conflicts exist, the following actions may be taken: (1)Imposeappropriate I conditions which avoid such conflicts, (ii) disqualify the offeror, or (iii) determine that it is otherwise in the best interest of the United States to seek award of the contract under the waiver provisions of 520-1.5411.
(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 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 permitted to correct the omission.
5 20-1.5405 Contract clauses 5 20-1.5405-1 General contract clause
.------------,,-----,.n.,.--,n . . , - ---- -..-,
-,,b Ag mm n=0 6
7590-01 All centracts of the types set forth in 520-1.5404(b) shall include the following clauses:
(a) Purpose.
The primary (purpose of this clause is to aid in1) Is not placed in a con ensuring that the contractor:
because of current or planned interest (financial, contractual, or or.otherwise) which relate to the work under th.is.. contract, and. 2) (ganizational,
-J does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract. .
(b) Scope. The restrictions described herein shall apply to performance or participation by the contractor as defined in 41 CFR 5 20-1.5402(f) in the actitities covered by this clause.
(c) Work for others. Notwithstanding any other provision of this contract, during the term of this contract, the contractor agrees to forego entering into consulting or other contractual arrangements with
- any firm or organization, the result of which may give rise to a conflict
' of interest with respect to the work being' performed under this contract.
The contractor shall ensure that all employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause. If the contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting officer prior to execution of such contractual arrangement, j (d) Disclosure after award. (1) The contractor warrants that to -
the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest, as defined in 41 CFR 520-1.5402(a).
(2) The contractor agrees that if after . award it discovers organizational conflicts of interest with respect to this contract, it shall make an imediate and full disclosure in writing to the contracting officer.
This statement shall include a description of the action which the contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, terminate 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 l protected by the Privacy Act of 1974 (Pub. L.93-579), or data which has not been released to the public, the contractor agrees not to: (1) Use such releasedinformation for any(private to the public; purpose ii) compete until for work forthe theinformation has been Comission based
e .a 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
- l. such information 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 .
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 information in accordance with restrictions
- . placed on use of the information.
(3) The contractor shall have, subject to patent and security provisions of this contract, the right to use technical data it produces under this contract for private purposes provided that all requirements of this contract have been met. ,
1 ,
( 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 i 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 i
directed in writing through the contracting officer to the Executive Director for Operations (ED0) in accordance with the procedures outlined i in 5 20-1.5411.
520-1.5405-2 Special contract provisions.
(a) If it is determined from the nature of the proposed contract I 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 the use of an '
- appropriate special contract provision. If appropriate, the offeror may l
negotiate the terms and conditions of these clauses, including the extent.and time period of any such restriction. These provisions include but are not limited to:
. i
} !
e r
I
. g.. c 7590-01 -
(1) Hardware exclusion clauses which prohibit the acceptance of proauction contracts .following a related nonproduction contract previously
.; performed by the contractor; "
(2) Software exclusion clauses; i
j (3)
Clauses which require the contractor.(and certain of his key
} ' personnel) to avoid certain organizational conflicts of interest; and-i .
'- _. e
, (4) Clauses which provide for protectf~on ~oT donfidential data and
, guard against its unauthorized use.
- (b) The following additional contract clause may be included as section (1) in the clause set forth in5 20-1.5405-1 when it is determined that award of a follow-on contract would constitute an organizational conflict of interest.
- (1) Follow-on effort. (1) The contractor shall be ineligible to participate in NRC contracts, subcontracts, or proposals therefor (solicited.
i or unsolicited) which stem directly from the contractor's performance of
', work under this contract. Furthermore, unless so directed in writing by
- the contracting officer, the contractor 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.
(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 L effort which is based on such statement of work or specifications. The contractor shall not incorporate its products or services in such statpent.
of work or specifications unless so directed in writing by the contracting officer, in which case the restriction in this subparagraph shall not apply.
(3) Nothing in this paragraph shall preclude the contractor from offering or selling its standard commercial items to the government.
i 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 $20-1.5404(b) and other relevant information. After evaluating this information against the criteria of i 20-1.5403, a finding will be made by the contracting officer whether organizational conflicts of interest exist with respect to a particular offeror. If it has been determined that conflicts of interest exist, then tne contracting officer shall eitner:
(a) Disqualify the offeror from award, i
i r - n ,-r,_..- .- n v - . , - , , . . , , , , . - - - . - . ,,e ,,,~.,-r. . , ~ , - - - . - - - , . , - - . - . - ~-- . - , . . - . - , , - . , , , . .
. , -5 ,
7590-01 (b) Avoid or eliminate such conflicts by appropriate measures; or (c) Award the contract under the waiver provision of 5 20-1.5411.
520-1.5407 Conflicts identified after award.
If potential organizational conflicts of interest are_ identified -
af ter award with respect to a particular contractor, the contracting - 1 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 520-1.5405, the contracting
~
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)
!20-1.5409 (Reserved) 520-1.5410 Subcontracts The contracting officer shall require offerors and contractors to submit a representation statement in accordance with !20-1.5404(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.
520-1.5411 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 recommendation of the contracting officer, and after consultation with the Office of the General Counsel, the ED0 may waive the policy in specific cases if he determines that it is in the best interest of the United States to do -
50.
Such action shall be strictly limited to those situations in which:
(1) The work to be performed under contract is vital to the NRC program; (2) the work cannot be satisfactorily performed except by a contractor whose interests give rise to a question of conflict of interest; and (3) contractual and/or technical review and supervision methods can be employed by NRC to neutralize the conflict. For any such waivers, the justification and approval documents shall be placed in the Public Document Room.
m., s 7590-01 520-1. 5412 Remedies In addition to such other remedies as may be permitted by law or contract for a breach of the restrictions in this subpart or for any intentional misrepresentation or intentional nondisclosure of any relevant interest required to be provided for this s.ection, the NRC -
,. may debar the' contractor f. rom subsequent _ NR.C_ contracts. .- -
. s
~' Dated at Washin'aton. D.Cthis 27th day of March 1979.
For the Nuclear Regulatory Commission b
' chdN b&
, . Samuel D. Chilk '
Secretary oflthe Commission w
w
(
C ;
lg k
h
't 4
_ . ~ . _ . _ _ _ _
(REVISED-6/84)
BILLING INSTRUCTIONS FOR NRC COST-TYPE CONTRACTS -
- ~ "_
General.
The contractor shall submit vouchers for cost-reimbursement in the voucher.
sample manner and format described herein'ind as illustrated in the Number of Copies..
An original and two copies should be mailed to the NRC office identified below.
Frequency.
The contractor shall submit claims for reimbursement once each month unless otherwise authorized by the Contracting Officer.
Form.
and Services Claims shall Other Thanbe submitted Personal." on the Form DC-3 " Voucher for Purcha Contracting Officer. These forms are available from the (The instructions for preparation and itemization of the voucher are shown on the form.)
Billing of Ccsts Afte'r Expiration of Contract.
If costs are incurred during the contract period and claimed after the contract has expired, the period during which these costs were incurred must be cited.
Currency.
the contractor in maintaining his accounting records; payments 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.
instructions. These instructions supersede all previous billing o
k 4
0
+
. s INSTRUCTIONS FOR PREPARING COST !
INFORMATION FOR NRC CONTRACTS '
' - Preparation and Itemization of the Voucher. _ Th.e_ contracEr shall . furnish the s 2
^information set forth in the explanatory notes below. These notes are keyed .
to the entries on the sasple voucher. .
Payor's Name and Address. (1) Address the original voucher (with 2 copies) to:
U.S. Nuclear Regulatory Commission, 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 individua'l responsible for answering any questions NRC may have reoarding the invoice (name and phone number).
(a) Contract Number - Insert the NRC contract number. #
(b) Title of Project - List the full title of the project being perforned 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 '
n umber.
l (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. _
-, --+,.--..r,.,, , - . - - . ..n-, , - , - - - , ,.,._,,n,,,-,.,.,,.-.,--n---,-,.nw . _ - . - , , - - . , , - - , , - .
(h)
Direct Costs - Insert the major cost elements.
(1)
Direct Labor - This consists of salaries and eages paid (or accrued) for direct performance of the contract itemized as (cllows:
' . Labor Labor Hours Ca tegory Negotiated Cumulative -
Hours Billed Rate Totii J- . - ._ _ llours BtJled '
(2) _
to direct labor and billed as a direct cost. Fringe Benefits -
indicate the rate. Frin Where a rate is used, not be identified here. ge benefits included in direct labor should (3) Direct Equipment tions list each item 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 educatio 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 piece of equipment listed in the property schedule of the (2) the Contracting Officer's approval letter if the equipment is erisk (*) if the equipment is below the approval Further level.no itemization of vouchers shall only be required for items having specific limitations set forth in the contract.
(4)
_ Materials, Supplies, and Other Expendable Items
- These are '
described in (3) above. consumable materials and supplies and equipmen >
(5)
. hourly _ Premium rate. Pay - This is remuneration in excess of the basic (Requires written approval of Contracting Officer.) ;
r (6) l Consultants' Fee - The supporting information must include the j name, hourly or daily rate of the consultant and reference the NRC approval (if not specifically approved in the original contract).
(7) its territories, possessions, and Canada; it should be bil separately from foreign travel .
for individual Per Diem, and all supporting infonnation for eachTravel trip taken.
+
h All costs associated with each trip must be shown in the following format: (Unless the organization's travel policy has been negotiated and approved by NRC)
, Date Traveler Destination Purpose Cost -
7 From 'To From To -
- 1. Airfare
- 2. Rental Car
- 3. Local Travel
- 4. Per Diem Days 0
- 5. Meals:
- Date Breakfast lunch Dinner If not included in Per Diem.
- 6. Tips, Misc. -
(Itemize if more than 510,00)
(8) billingSubcontracts period. - Include all costs paid to approved subcontractors * $uriry This includes the details of the subcontract terms (i..e.,
cost-plus-fixed-fee, direct labor, indirect costs, travel, profit, etc.)
(9) Other - List all other direct costs by cost elements and dollar amount separately.
(1)
Indirect Costs--Overhead - Cite the 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 amounts for the period.
(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 and cumulative Amounts periods. Claimed - Insert the total amounts claimed for the cu
, (n) ~
Adjustments - This include ~s amounts conceded'by"the contractor, outstand-ing suspensions, and disapprovals subject to appeal.
(o) _ Grand Totals m
J
~
VOUCHERS FOR PURCilASLS AND SLRVICES OTHER 1HAN PERSONAL F
SAMPLE V0UCHER Payor's Name and Address The U.S. Nuclear Regulatory Commission (a) Contract Number NRC-10-81-624 Olvision of Accounting and Finance (b) Title of Project " Study of Nuclear Waste
- Office of Resource Management Concepts" Attention: GOV /COM Accts Section Washington 0.C. 20555 -
~
Payee's Name and Address , (c) Voucherlumber 003
),ABCLURPORATION100 The National Bank Main Street (d)or DateAnywhere, Voucher Prepared U.S. A. 10/18/82 , ;
Anywhere, U.S.A. Assignee for ABC CORP. (e) Total Estimated Cost of Contract Anywhere, U.S. A. $350,000.00 (When Payments Assigned)
Indiividual to Contract (f) Total Fixed-Fee 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) Direct Labor * $2.400
- (2) Fringe Benefits @ 16.5 '. $6.800 i (if computed as percentace)
! 600 1.200 (3) Direct ,
Ecuipment
- 5,000 (4) flaterials Supplies and S 000 ~~
Uther Expendable Items
- 2,000 -
(5) Premium Pav 4.000 '
156 150
~ ~ ~
(6) Consultants
- 100 ' ~ ~ '
(7) Travel - Domestic
- 100 i
200 200 Foreton *
(8) Subcontract
- 200 200
! (9) Uther Costs
- 3.000 ~
- 9.000 l(i) INDIRECT COSTS ** * '
' A) Overhead ~~100 ' of Total Direct Costs (Indicate Base) 513,600 529.650 Subtotal S27.200 559.300 B) General A Administrative Expense 3.264 6.4 t>0 12 L of Cost Elements Nos.1-9. A Total Costs 530.464 565./50 (j) FlxED-FEE EARNED (Formula) 1,523 3.400
~
(m) Total Anounts Claimed $31.')8 7 $6') .150 (n) Adjustments Outstanding Suspensions
- 1.700 1.700 (n) Grand Totale.
$30.287 $ 6 7 .4 ?'O
- (HI 0011H S SUI'I'ORIING INf 0RMAll0N. )
_ N E A1 TACHEO. )
DC-3
- '/n '
. O 1
SAMPLE SUPPORTING INFORMATION
- 1) Direct Labor - $2400 Labor, , Labor tours Hours.
Categ'o ry
- Cumulative a
, . Negotiated . Billed Rate Total Hours Billed -
Senior Engineer I 2400 100 $14.00 $1400 975 Engineer 1500 50 $10.00 $500 465 Computer Analyst 700 100 $5.00 $500 320 T2T66
- 3) Direct Equipment Spectrometer - General Electric (as approved in Property Schedule) $5,000
- 4) Materials, Supplies & Other Expendable Items 10 Radon Tubes 0 $110.00 = $1100.00 6 Pairs Electrostatic Gloves 0 $150.00 *
= $900.00
$2000.00
- 5) Premium Pay Walter Murphy - 10 hours1.157407e-4 days <br />0.00278 hours <br />1.653439e-5 weeks <br />3.805e-6 months <br />,0 $10.00 Per Hour = $100 (This was approved by NRC in letter dated 3/6/82.)
,6 ) Consultants' Fee Dr. Carney - I hour 0 $100 = $100
- 7) Travel Date Traveler Destination Purpose Costs From To From To 3/1/82 3/6/82 William King Chicago, Wash., Meeting with 1) Airfare $80.00 Il DC Project 2) Rental Car $15.00 k Officer 4) Per Diem - 2 Days 0 $50.00 = $100.00
- 6) Tips, Mi sc. $ 5.00~
TOTAL: $200 i
. o .
- 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% = -
' Travel - 2 Trips - Wash. .. DC $800.00 c- 9 $200. ..._ .= $400.00 - "
to Boston, MA Profit '
9 7%
TOTAL: =_$200.00 53000.00 (j) Fixed-Fee (Formula)
(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 -Officer Indicates amount withheld from voucher #001, now approved by letter 3/10/82.
3- _ __
l I
l (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 curre and cumulative periods.
(n) s Adjustments - This includes amounts conceded 4y-the contractor, outstand.
' - ~
ing suspensions, and, disapprovals subject to appeal. ~
(o) Grand Totals e
9
. 4
VOUCHERS FOR PURCilASLS AND SLRVICES OTHER 1HAN PERSONAL SAMPLE VOUCHER Payor's Name and Address The U.S. Nuclear Regulatory Commission (a) Contract Number _ NRC-10-81-624 Olvision of Accounting and Finance (b) Title of Pro, Ject " Study of Nuclear Waste Office of Resource Management Concepts, Attention: GOV /COM Accts Section Washington. 0.C. 20555 _,
Payee's Name and Address -
(c) Voucher' Number 003 . . -
ABC 00RPORAHON The National' Bank 1 100 Main Street or Anywhere, U.S.A. . (d) Date Voucher Pr'epared 10/18/82 *
- Anywhere. U.S.A. Assignee for ABC CORP. (e) Total Estimated Cost of Contract Anywhere, U.S.A. 5350,000.00 (WhenPaymentsAssigned)
Indiividual to Contract (f) Total Fixed-Fee Regarding This Voucher: S17,500.00
!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) Direct Labor
- S2.400
- (2) Fringe Benefits @ 16.5 L 56.800 ~
(if computed as percentaae) 600 1.200 (3) Direct Equipment
- 5,000 -
(4) flaterials, Supplies and S 000 ,
' ' ~
r Other Expendable Items
- 2,000 (5) Premium Pay 4.000 '
100 150 l'
(6) Consultants
- i (7) _ Travel - Domestic
- 100 200 100 700 T.
Foreton *
(8) Subcontract
- 200 200
~
! (9) D~ther Cos ts
- 3.000 ~
9.000 f (1) INDIRECT COSTS 5 * * '
i
' A) Overhead ~100
- of Total Diiect Costs (Indicate 5ase) $13,600 $29.650 i
Sut,to ta l 527.200 $$<1. W
- 0) General A Administrative Expense 3,264 ~ ~ '
6.4'io 12 L of Cost Elements Nos.1-9. A Total Costs $30.464 $65. /! 0 (j) FIXE 0. FEE EARNEO (formula) 1.523 3.400 ,
(m) Total Amounts Claimed $3I.987 Ih9.lS0 (n) Adjustments _,
Outstanding Suspensions
- 1 .700 1.700 (n) Grand Total'.
$30.?H7 16 7 . U,0
- (Ri t)lllHI S $UI'l'ORilNG IN10RMAl!0N. )
,_ (St C AliACitrn )
Dr.3 2/M.'
~
b-
SAMPLE SUPPORTING INFORMATION
- 1) Direct Labor - $2400
~
Labor . Labor Hours . Hours-. .. . - Cumulative Catego(y Negotiated , Billed i
, Rate Total Hours Billed .
Senior Engineer I 2400 100 $14.00 $1400 975 Engineer 1500 50 $10.00 $500 465 Computer Analyst 700 100 $5.00 $500 320 INi36
- 3) Ofrect Equipment Spectrometer - General Electric (as appmved in Property Schedule) $5,000
- 4) Materials, Supplies & Other Expendable Items 10 Radon Tubes 0 $110.00 = $1100.00 6 Pairs Electrostatic Gloves 0 $150.00 *
= $900.00 52000.00
- 5) Premitm Pay Walter Murphy - 10 hours1.157407e-4 days <br />0.00278 hours <br />1.653439e-5 weeks <br />3.805e-6 months <br />,0 $10.00 Per Hour = $100 (This was approved by NRC in letter dated 3/6/82.)
,6 ) Consultants' Fee Dr. Carney - I hour 0 $100 = $100
- 7) Travel Date Traveler Destina tion Purpose Costs From To From To 3/1/82 3/6/82 William King Chicago Wash., Meeting with 1) Airfare $80.00 Il DC Project 2) Rental Car $15.00 P Officer 4) Per Diem - 2 Days 0 $50.00 = $100.00
- 6) Tips, Misc. 55.00~
TOTAL: $_200,
- 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 -- = ~'
to Boston, MA $400.00 ~ '
Profit .
9 7% =
TOTAL: $200.00 53000.00 (j) Fixed-Fee (Formula)
(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 Con Officer letter 3/10/82.
It
/ "s Form NRC-489
' (1 76)
U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL TRANSMITTAL NOTICE i CHAPTER NRC-3202 PUBLICATION OF TECHNICnL REPORTS PEPARED BY NRC -
., C0!ERAC'IORS, INCLUDING REPORIE PEPARED UNDER OR - -
PURSUA?/r TO I?IERAGENCY AGREE!O7FS SUPERSEDED: TRANSMITTED:
Number Date Number Date TN 3200-21 Chapter NRC-3202 4/29/82 Chapter NRC-3202 8/29/84 Page Page Appendix NRC-3202 4/29/82 Appendix NRC-3202 8/29/84 REMARl;S:
This revision of Chapter 3202 expands the chapter from coverage of unclassified reports to include the rarkirE and handling of sensitive
- (' unclassified inforration (Official Use Only and Limited Official Use Inforration, Safeguards Inforrntion, Proprietary Inforration) and classified inferration (Top Secret, Secret, and Ccnfidential). A secticn has also been added to set forth procedures for the handling of unclassified reports on NRC cooperative programs with foreign ~
governments and organi::ations and with U.S. irxiustry.
T -,
t- _ . . . . . _ _ ;
- j. : .
o ;
i- i
'\j U.S. NUCLEAR REGULATORY COMMISSION NRC MANUAL i
Volume: 3000 Information and Foreign Activities -- -
Part" : 3200 Technical Information and Document Control - ~
ADM -
CHAPTER 3202 PUBLICATION OF TECHNICAL REPORTS 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 technical reports prepared by NRC consultants and grantees and by NRC contractors and their subcontractors, including reports prepared under or pursuant to interagency agreements or memorandums of understanding. These reports are hereafter referred to as contractor re-ports, This chapter does not cover NRC staff-generated documents, NRC docket material, or the documents generated by NRC boards, panels ,
advisory committees and Offices that report to the Commission.
3203-02 OBJECTIVES 0 21 to assure production and dissemination of technical reports as . .
required by the Energy Reorganization Act of 1974 and the Freedom of Infor-mation Act.
022 to assure that dissemination of technical reports is consistent with requirements for public availability of information.
023 to assure that national security, patent rights, copyrights, proprie-tary rights and rights in other sensitive unclassified information are not compromised by the release, distribution, or dissemination of technical reports from NRC.
024 to assure that formal NRC contractor reports will carry the regis-tered NRC designation NUREG/CR or NUREG/CP as the prime identification.
025 to provide for coordination of press or other media releases.
3202-03 RESPONSIBILITIES AND AUTHORITIES 031 The Director, Office of Administration:
. a. develops and maintains, in consultation with Directors of Offices 6~ and Divisions and Regional Administrators, NRC standards, proce-dures and guides for the production and dissemination of technical contractor reports.
Approved: August 29, 1984
J. .
k PUBLICATION OF TECHNICAL REPORTS PREPARED BY ,
NRC CONTRACTORS, INCLUDING REPORTS PREPARED '
.NRC-3202-032 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS
- b. periodically surveys report activities throughout NRC to ascertain ',
that the provisions of this chapter are adequate and are being implemented; makes any changes needed. .
032 The Director, Division of Technical Information and Document ,
Control: i develops and. administers a central report control sys, tem for identi-
- a. -
,. . fying, printing and distributing contraLctoLreports, and ,rtsponding y to requests for unclassified reports. ,
j b, develops and maintains guides and standards for the documentation, formatting, printing, dissemination, and public sale of unclassified contractor reports, j c. assures that a system exists for review of unclassified contractor reports for adherence to patent, copyright and disclosure policies j prior to dissemination.
- d. establishes and administers interagency agreements necessary for the
- dissemination and _public sale of unclassified contractor reports and i controls duplication and printing of contractor reports to assure
- adherence to the Government Printing and Binding Regulations i
issued by the Joint Committee on Printing (JCP), Congress of the
. United States, m '
! e, in response to requests of Directors of Offices and Regional .
Administrators, establishes distribution data banks, maintains official i standard distribution lists for automatic distribution of unclassified contractor reports, and controls distribution to assure adherence to j the Government Printing and Binding Regulations, the Privacy Act, and the Freedom of Information Act. - '
1 033 Directors of Offices and Regional Administrators:
I a. establish the contract or Standard Order for Work
- provisions. ;
i including those required by this chapter and its appendix; Chapter '
i NRC-3203, Distribution of Unclassified NRC Staff- and Contractor-i Generated Documents and its appendix; Chapter NRC-0260. Print-ing , Copying, Graphics and Photography and its appendix; and .
- Chapter NRC-1102, Procedures for Placement of Work with the L
- Department of Energy. In the Statement of Work
(1) specify what reports will be reviewed for policy, management, and legal issues by NRC r,taff in draft prior to printing and .
- distribution. If the report is to be reviewed by NRC staff, l give the conditions under which the contractor may publish documents in the event of unresolvable differences relative to '
> the draf t, including the type of disclaimer to be used in addi-i tion to the standard government disclaimer (see Exhibit 6). i
- In the case of DOE work, this is NRC Form 173, Standard Order for DOE '
Work. See Chapter NRC-Il02.
. Approved: August 29, 1984 l
( ..-
a PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED j UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-034 (2) provide for the reviews necessary to insure that the national security , patent rights , copyrights , proprietary rights and rights in other sensitive unclassified information are not compromised by the release or dissemination of the reports.
)
If DOE contractors are to be authorized to make -the reviews, 7
.- designate the contractor officials who are authorized to - sign -
NRC Form 426A. prior to NRC distribution of reports (see -
Appendix, Part IV). Assure that sensitive unclassified and classified reports are marked and handled. properly (see Appendix, Part V).
(3) specify that all formal reports carry NUREG/CR or NUREG/CP numbers as the prime identification , as illustrated in the appendix.
(4) specify whether formal reports shall be printed by NRC or 'he contractor if the contractor has a JCP-authorized federal print-
- ing plant (see Appendix, Parts 11 and IV),
(5) specify that all formal reports required by NRC shall be distributed by NRC.
(6) establish the number of copies the contractor may retain or request for internal and external distribution and charge
!( against NRC. Written justification must be provided , and approval obtained of the NRC JCP representative (the Director, Division of Technical Information and Document Control) when '
the number exceeds the 50 copies authorized by JCP for ,
unclassified reports.
(7) assure the protection of classified and sensitive unclassified information , if any, in contractor reports (see Appendix, Part V).
- b. assure adherence to instructions and authorizations regarding the reproduction and distribution of reports.
- c. recommend standard distribution category (les) for contractor reports to the Division of Technical Information and Document Control.
- d. provide changes to the official standard distribution lists to the Division of Technical Information and Document Control.
- e. establish procedures for review of contractor's proposed press and other media releases, i 034 The Office of the Executive IMAl Director provides legal I
review and advice to NRC staff on questions regarding inventions, patents, proprietary information, use of copyrighted material, national security, and if other sensitive unclassified and classified information.
035 The Director, Office of Public Affairs, upon request of the project manager, reviews proposed contractor's press or other media releases for appropriateness.
.'. L *.
PUBLICATION OF TECHNICAL REPORTS PREPARED BY o NRC CONTRACTORS, INCLUDING REPORTS PREPARED N RC-3202-036 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS m 036 The Director, Division of Security:
- a. administers the overall information security program which includes management of the security classification program and other programs for the protection of sensitive unclassified information. ,
- b. advises staff of NRC Offices and Regions on the preparation and -
/- handling of reports containing classified, proprietary and other sen- -
sitive unclassified information. * .
037 The Director, Division of Contracts:
- a. coordinates .the flow of all reports to and from contractors (other than DOE contractors) where such reports may result in alterations in the terms and conditions of applicable contracts as they pertain to report production and distribution.-
- b. advises the contractor as to the source and method for obtaining reports required from the government for performance of the contract;.
- c. provider. contractor with copies of NRC Chapters 0260, 3202, 3203, 3207, ar.d 3210, when appropriate.
y
- d. determines when requests for proposals and invitations for bids, as $
well as subsequent contracts, should include statements requiring contractor compliance with Chapters NRC-3202, 3207, and 3210 and the Government Printing and Binding Regulations.
- e. ensures that appropriate clauses are included in contracts regarding ,
the private use and protection of classified, proprietary and other sensitive unclassified information.
3202 04 DEFINITIONS
- 041 camera-ready copy - pages ready fcr printing by the offset printing process. This is a colloquial term used even though the printing process may not involve the so-called copy camera (see also reproducible masters).
042 central report control system - means for developing and maintaining the policies, procedures and guides needed to identify and produce regulatory and technical reports and to assure adherence to requirements and standards for documentation, formatting, printing and distribution.
0 contractor report - record of work done (a report) prepared in accordance with the provisions of a contract or under or pursuant to an interagency agreement.
! Words underscored in definitions are also defined in list. )
Approved: August 20,.1984
t PUBLICATION OF TECHNICAL REPORTS PREPARED BY
. s NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-044
(
['
044 copyright - a form of protection provided by the laws of the United States (Title 17, U.S. Code) to the authors of " original works of authorship" including literary, dramatic, musical, artistic, and certain other intellectual works. This protection is available to both published and unpublished works.
Copyrighted material may not be reproduced without the permission of the -
author or publisher. - - - - - -
045 disseminate - to announce the publicat.on of reports and make them available for free distribution, sale or copying.
046 distribute - to dispense reports to specific organizations and indi-viduals to assure their participation in the regulatory process and support of research and technological investigations. Such distribution may be accom-plished by the use of standard distribution data banks established and main-tained by the Division of Technical Information and Document Control based on the requests of the originating Office or Region.
047 documentation - classification and associated markings required for classified or sensitive unclassified documents , the NRC report number unique to the report, title (and subtitle, if any), author or correspondent (if any), organization identification and contract number (or FIN number), date and availability.
048 draft or final material for inclusion in " Safety Evaluation Reports"
(('
or " Environmental Statements" (ES) - written material requested for input to SERs or ESs to be issued as NUREGs. Such material may be edited or modi-fied at the discretion of the NRC staff.
049 formal technical reports - the final product of research, an original ~
investigation, or a significant compilation of information. This product is a formal technical report for publication in the NUREG/CR series. For extensive long-term projects, formal monthly, quarterly or semiannual and annual peri-odic technical reports may be required. A draft of the final or periodic report may be requested for comment prior to preparation of the camera-ready copy.
0410 NRC project manager - the NRC staff member responsible for the work performed by consultants or contractors and their subcontractors, or for work performed under or pursuant to an interagency agreement.
0411 patent review - examination by legal staff to assure protection rights in inventions.
0412 proprietary information - trade secrets; privileged or confidential research, development, commercial or financial information, exempt from manda-tory disclosure under 10 CFR Part 2 (Sections 2.740 and 2.790) and under 10 CFR Part 9 (Section 9.5); and other information submitted in confidence to the NRC by a foreign source and determined to be unclassified by the NRC.
0413 publicly available documents - information (reports and references) s which is available in the NRC li blicu Document Room (PDR) for public inspec-
{7 tion and copying or available in the public domain.
g.
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED -
NRC-3202-0414 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 04M reproducible masters - camera-ready copy which includes (1) origi-nals of line drawings (or prints that can be copied), (2) glossy prints of .
black and white photographs (colored photographs cannot be reproduced),
(3) original typed or printed text, tables, cover, title page, contents and abstract, or (4) other forms of the materials listed in (1), (2) and (3) that a printer can reproduce. -
0415 technical reports - information on the technical aspedts of contract I work..'These may be interim or fitial technical letter reports, draft or fi~nal-
- ~
formal technical reports for publication in the NUREG/CR or NUREG/CP ~
series, or draft or final material for inclusion in SERs or ESs.
0416 technical letter reports (also called technical evaluation reports)
- interim or final letters that provide information on the technical aspects of contract work. Interim technical letter reports may be required at various stages of a project. These reports usually are followed by a final technical letter report or a formal technical report. Final technical letter reports are usually specified in situations where the tec%ical work is review and eval-uation of work of others or work to be used by the staff in the licensing and regulation process. Interim letter reports may include, but are not limited to, informal (interim) progress reports, quick-look reports, data reports, status summary reports, project descriptions, pre-tested predictions, model verifications, experiment safety analyses, experiment operating procedures, facility certification reports, and test re,sult reports. m 0417 unique identification - NRC identification used on a report and its M
/
attachmentT revisions, and supplements that is not used on any other report.
3202-05 BASIC REQUIREMENTS 051 Applicability . The provisions of this chapter and its appendix apply to NRC consultants, grantees, contractors and subcontractors, including those working under interagency agreements, whose contracts require the prepara-tion of technical reports. Because of the unique requirements of NRC boards, panels, advisory committees and Offices which report directly to the Commission, the handling of reports prepared by consultants and contractors to them are governed by the Board or Panel Chairman and, in the case of advisory committees, by the Advisory Committee Management Officer, or the Commission . These exceptions do not preclude the use of the NUREG/CR series designation on reports prepared for these entities that are to be given wide public dissemination.
052 Forms. NRC Form 426A, " Publication Release for Unclassified NRC ,
Contractor and Consultant Reports" (Exhibit 5), NRC Form 335, "Biblio-graphic Data Sheet" (Exhibit 7), and NRC Form 190, " Cover Sheet for Reports Containing Proprietary Information" (Exhibit 19), shall be used as provided in the appendix. '
053 Appendix 3202. This appendix contains standards and procedures for the preparation of reporting requirement portions of Statements of Work, )
and for the documentation, production, and dissemination of technical reports prepared by contractors and other government agencies in accordance with contract requirements or interagency agreements.
Approved: August 29, 1984
. s . ..
t
): .
c.
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED M UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-054
.' . l 054 Preparation Requirements ,
- a. Reports to be Printed by NRC. All contractor reports to be printed by NRC. shall be prepared according to Appendix 3202. The repro-ducible masters for the requisite distribution shall be transmitted to
' the Division of Technical Information and Document Control accom-
~ ~ '~
~
' panied by completed N.RC Form 426A and NRC Form 335.
- b. Reports Printed by Authorized Federal Printing Plants. All contrac-tor reports to be printed by the contractor (as specified by the contract, agreement, or standard order for work) shall be prepared according to Appendix 3202, and a reproducible master and suffi-cient copies for standard and incidental distribution shall be sup-plied to the Division of Technical Information and Document Control, accompanied by completed NRC Form 426A, signed by the authorized contractor official. Each such report shall include, as the last page, a completed NRC Form 335.
055 References. The NRC chapters referenced and NUREG-0794 (ref, j) and NUitEG-0650 (Tef.1) are available from the Division of Technical Informa-tion and Document Control. The other publications are available from the Government Printing Office. .
f a. Chapter NRC-0260, " Printing, Copying, Graphics and Photography." ,
,A i b. Chapter and Appendix NRC-2101, "NRC Security Program."
- c. Chapter NRC-3203, " Distribution of Unclassified NRC Staff- and Contractor-Generated Documents." -
- d. Chapter N R C- 1102, " Procedures for Placement of Work with the Department of Encrgy."
- e. Chapter NRC-3206, "NRC Contractor Speeches, Papers and Journal Articles on Regulatory and Technical Subjects."
- f. Chapter NRC-3207, " Conferences and Conference Proceedings . "
- g. Title 44, U.S. Code, "Public Printing and Documents " Government Printing Office,
- h. Government Printing and Binding Regulations of the Joint Committee on Printing, Congress of the United States, No. 24, April 1977 (JCP Regulations), Government Printing Office.
- i. Title 5 U.S. Code, " Government Organization and Employees "
Government Printing Office.
__.____.________.._______As _. A _ __ A
__e. s e /th. M4
PUBLICATION OF TECHNICAL REPORTS PREPARED BY '
NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-055 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS
- j. " Technical Writing Style Guide," A. W. Savolainen et al. , compilers.
U.S. NRC Report NUREG-0650, November 1979, and Supplement 1.
February 1982.
- k. " Protection of Unclassified Safeguards Information," D. J. Kasun.
- USNRC Report NUREG-0794, October 1981.
- 1. ,., Chapter NRC-0'255, " Mail M,anagement," and Appendix '0'255, Part V_,
Annex,A. ,
.4
]
Approved: August 29, 1984
. - -- =- . -. - _ _ = _ ~ . - _. - -.
i
(
l ~
i l PUBLICATION OF TECHNICAL REPORTS PREPARED BY l
_ NRC CONTRACTORS. INCLUDING REPORTS PREPARED
't h UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202
(\
l CONTENTS PAGE PART I PREPARATION OF REPORTING-REQUIREMENTS PORTIONS OF STATEMENTS
.- 0F WORK FOR CONTRACTS, GRANTS AND STANDARD..C.RDERS FOR DOE WORK -
~ '
A. LIST 0F TECHNICAL REPORT REQUIREMENTS......................... 1 B. REQUIREMENTS FOR FORMAL REP 0RTS............................... 2 C. REQUIREMENTS FOR DRAFT REP 0RT'S................................ 2 D. PUBLISHING UNCLASSIFIED, NON-SENSITIVE INFORMATION l IN OPEN LITERATURE AND PRESENTING PAPERS...................... 3 E. TYP0 GRAPHY.................................................... 4 F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION........................................ 4 !
G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND WORKSH0PS................................................. 4 h( H. WRITING AND PUBLISHING UNCLASSIFIED B00KS..................... 5
- 1. DISTRIBUTION OF REPORTS TO CONTRACTORS........................ 5
~
J. COORDINATION OF PRESS OR OTHER MEDIA RELEASES OF UNCLASSIFIED INFORMATION................................... 5 i
PART II UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC... 7 l A. DOCUMENTATION................................................. 7
- 1. Applicability............................................ 7
- 2. Front Cover and Title Page............................... 7
- 3. Availability Information................................. 9
- 4. Disclaimer............................................... 9
- 5. Previous Reports in Series............................... 9 ,
6, Abstract................................................. 9
- 7. References and Bibliographies............................ 9 ,
- 8. Bibliographic Data Sheet................................. 10 I
i B. PATENT AND SECURITY REVIEWS................................... 10
- 1. Patent Review............................................ 10
- 2. Security Review.......................................... 10 i_ ARGO@WG@ AurEct 89eI984
s*
PUBLICATION OF TECHNICAL REPORTS PREPARED BY ,
NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS w.y CONTENTS (Continued) -
PAGE ,
C. PROCEDURES FOR PRINTING AND DISTRIBUTING...................... 11
- 1. Printing................................................. 11
- 2. Reprinting........................................
. . ..... 11 -
, , 3. Distribution of Reports ................ u..,.............
IL .;
EXHIBITS
~
- 1. Sample Cover for Unclassified Formal Centractor-Prepared Reports, Excluding Those Printed by DOE Lab'oratorie, with JCP Authorized Federal Printing P1 ants........................................... 13
- 2. Sample Title Page for Unclassified Formal Contractor-Prepared Reports, Excluding Those Printed by 00E Laboratories with JCP Authorized Federal Printing P1 ants................................ 14
- 3. Sample Cover for Unclassified Formal Reports Printed by DOE Laboratories with JCP Authorized Federal Printing Plants.......... 15
- 4. Sample Title Page for Unclassified Formal Reports Printed by 00E Laboratories with JCP Authorized Federal Printing S.
P1 ants............................................................
NRC Form 426A, Publications Release...............................
16 17
))
- 6. Disclaimer and Availability Statements...................... . '.'.... 18 7, NRC Form 335, Bibliographic Data Sheet............................ 19 PART III UNCLASSIFIED TECHNICAL LETTER REP 0RTS........................ 21 A. F0RMAT....................................................... 21
- 1. Applicability........................................... 21
- 2. Requirements............................................ 21 B. PATENT AND SECURITY REVIEWS................................. 21
- 1. Patent Review.......................................... 21
- 2. Security Review........................................ 22 PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE OFFICE OF NUCLEAR REGULATORY RESEARCH BY 00E LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS...................... 23 A. DOCUMENTATION............................................... 23 1
- 1. Applicability.......................................... 23 '
- 2. Front Cover and Title Page............................. 23 Approved: August 29, 1981 11
. _. m. . . - _..
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 s
CONTENTS (Continued)
> PAGE
- 3. Availability and Price Information..................... 25
- 4. Disclaimer............................................. 25
- 5. Previous Reports in Series............................. 25 7
.- 6. Abstract............s.............,.. m ............... -25 -
- 7. . References and Bibliographies.......................... 26 .
- 8. Bibliographic Data Sheet............................... 26 B. PATENT AND SECURITY REVIEWS................................. 26
- 1. Patent Review.......................................... 26
- 2. Security Review........................................ 26 l
C. PROCEDURES FOR PRINTING AND DISTRIBUTING.................... 27
- 1. Printing .............................................. 27
- 2. Reprinting............................................. 27
- 3. Distribution of Reports................................ 27 PART V REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION...................................... 29
) A. APPLICABILITY............................................... 29 1(
B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION...... 29 C. PROPRIETARY INFORMATION..................................... 30 .
D. SAFEGUARDS INFORMATION...................................... 31 E. CLASSIFIED INFORMATION...................................... 31 EXHIBITS t 8. Sample Cover for a Contractor Report Containing Official Use Only Information.................................................. 33
- 9. Sample Tit 1e Page for a Contractor Report Containing Official Use Only Information.............................................. 34
- 10. Sample Back Cover for a Contractor Report Containing Official Use Only Information.............................................. 35
- 11. Sample Cover for a Contractor Report Containing Limited Official Use Information............................. ............ 36
- 12. Sample Title PaDe for a Contractor Report Containing Limited Official Use Information.......................................... 37 1
I i L
111 Approved: August 29, 1984
s .
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED .
NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS CONTENTS (Continued) is PAGE
- 13. Sample Back Cover for a Contractor Report Containing Limited Official Use Information.......................................... 38
- 14. Sample Cover for a Contractor Report Containing Proprietary Information Obtained from a U.S. Organization.............. t..... 39 -
- 15. Sample Cover Page for a Con. tractor Report Containing .
Proprietary Information Obtained from a Foreign Source............ 40
- 16. Sample Title Page for a Contractor Report Containing Proprietary Information Obtained from a U.S. Organization......... 41
- 17. Sample Title Page for a Contractor Report Containing Proprietary Information Obtained from a Foreign Source............ 42
- 18. Sample Back Cover for a Contractor Report Containing Proprietary Information........................................... 43
- 19. Cover Sheet for Reports Containing Proprietary Information. . . . . . . . 44
- 20. Sample Cover for a Contractor Report Containing
Unclassified Safeguards Information............................... 45
- 21. Sample Title Page for a Contractor Report Containing ~
Unclassified Safeguards Information............................... 46
- 22. Sample Back Cover for a Contractor Report Containing Unclassified Safeguards Information............................... 47 _
- 23. Cover Sheet for a Contractor Report Containing Unclassified Safeguards Information............. ................... . ........ 48 PART VI. HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH INDUSTRY......................................... ........... 49 A. PREPARATION OF DRAFT PREllMINARY REPORTS FOR COMMENT......... 49 B. O!STRIBUTION BY NRC PROJECT MANAGERS......................... 50 C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT............... 50 D. REPORT 10ENTIFIERS........................................... 50 E. MAILING TO PROGRAM PARTICIPANTS.............................. 51
, F. SECURITY..................................................... 51 1
Approvett: August 29, 1984 iv
s .
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED
., UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 3
(> CONTENTS (Continued)
. PAGE EXHIBITS
- 24. Sample Cover for a Draft Preliminary Report (Code) for Comment... 52 s
. )
- 25. Transmittal Letter from Contractor to NRC Project Manager for Draft Preliminary Report (Code)................................... 53
- 26. Transmittal Sheet for Requesting Mailing to Cooperative Program Participants...................................................... 54 N,
{ _)
P
)
v Approved: August 29, 1981
F r . ... .. . . .
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED
,. UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 (p
l PART I l PREPARATION OF REPORTING REQUIREMENT PORTIONS OF STATEMENTS OF WORK FOR CONTRACTS, GRANTS AND -
.. STANDARD ORDERS FOR DOE. WORK .- -
e
~
A. LIST OF TECllNICAL R$ PORT REQUIREMENTS List the technical reports required from each project, task or subtask, \
as applicable. State when and to whom they should be submitted and what they should contain. These reports may be t.nclassified, sensitive unclassified or classified. Standards for each of these categories are presented in Parts II through V. The following definitions describe the types of reports that may be specified:
technical reports - information on the technical aspects of contract work. These may be interim or final technical letter reports, draft or final formal technical reports for publication in the NUREG/CR or NUREG/CP series , or draft or final material for inclusion in SEHs or ESs (see definitions below).
technical letter re aorts (also called technical evaluation reports) -
) interim or final .etters that provide information on the technical l
((. '
aspects of the contract work. Interim technical letter reports may be required at various stages of a project. These interim letters usually are followed by a final technical letter report or a formal technical report. Final technical letter reports are usually specified ,
in situations where the technical work is review and evaluation of work of others or work to be used by the staff in the licensing and regulation process. Interim letter reportr may; include, but are not limited to, informal (interim) progress reports , quick-look reports, data reports, status summary reports, project descriptions, pre-test predictions, model verifications, experiment safety anal-yses, experiment operating procedures, facility certification reports, and test result reports. These reports must be identified with the financial number (FIN) assigned to the project. They are not to be identified with DOE registered report codes. The num-ber of copies to be prepared and the distribution of those copies will be specified by the project manager.
i formal technical reports - the final product of research, an original investigation, or a significant compilation of information. This pro-l duct is a formal technical report for publication in the NUREG/CR or NUREG/CP series. For extensive long-term projects, formal monthly, quarterly or semiannual and annual periodic technical reports may be required. A draft of the final or periodic report may be requested l
for comment prior to preparation of the camera-ready copy.
t l
!- ---- --- _- -----.- _ ---_--- - _ - _ - x _ _ _
'~
PUBLICATION OF TECHNICAL REPORTS PREPARED BY ,
NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED E Part I UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS y>l draft or final material for publication or inclusion in SERs, ESs, s A letters, or license amendments - written material requested for use in the NRC licensing process. Such material may be (1) abstracted -
in a NUREG report or attached to a NUREG report, (2) attached to a letter or an amendment to the license, or (3) abstracted and used as necessary by the NRC staff. NRC requires patent review and full management review of this material by the performing organiza-tion. This material is to be submitted to NRC as a rechnical letter -
.-
- report addressed to the project manager and-identified by the f!N. i number. . .
For purposes of this Part, contractor means a private contractor, con-sultant, grantee, another State or Federal Agency working under an interagency agreement, or a DOE / facility or National Laboratory (con-tractor) and subcontractors.
B. REQUIREMENTS FOR FORMAL REPORTS If the contractor is to prepare a final formal technical report for publi-cation, state that it will be printed and distributed by NRC from camera-ready copy submitted by the contractor, unless the work is being done for the Office of Nuclear Regulatory Research by a DOE facility or Laboratory with a JCP-authorized printing plant. The camera-ready copy is to be prepared in accordance with the provisions of this appen- -"
dix, Parts II and V (for contractors other than DOE contractors), or 1 Parts IV and V of this appendix and Chapter 1102 (for DOE contrac- )
tors ) . A style guide is also available free. upon request (NUREG-0650). If the report is to be printed by NRC and it is unclassified, the camera-ready copy is to be submitted by the contractor to the Director, Division of TechnicalInfodnation and Document Control, NRC, Washington, D.C. 20555, by first class mail. For handling of sensitive unclassified ~
and classified reports see Part V of this appendix and NRC Appendix 2101.
4 Unclassified reports printed for the Office of Nuclear Regulatory Research i
' should be handled in accordance with Parts IV and V of this appendix and/or Chapter 1102.
C. REQUIREMENTS FOR DRAFT REPORTS id If a draft is desired prior to completion of a final technical letter report, A
m formal technical report, final material for inclusion in an SER or ES, or for comment by participants in cooperative programs with foreign gov-
- ernments and organizations and with U.S. Industry, state that require-ment and the time frame for delivering the finct camera-ready copy after receiving NRC and/or participant comments on the draft. State that all draft material should be submitted to the cognizant project manager.
When the contractor is to submit draft material for comment prior to the preparation of the final report, state that if there are NRC program and/or participant comments the contractor will be asked to make changes.
If agreement on the changes is reached, the NRC manager will authorize the contractor to prepare the final copy and submit it to the project i manager, if it is a letter report or input to an SER or ES, or to the /
Director, Division of Technical Information and Document Control, if it is Approved: August 29, 1984 2
~ ^ ~~
w . - . . - - . . . .
e PUBLICATION.OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202
[ .UNDER OR PURSUANT TO INTERAGENCY AGREEMENTE Part I ,
. camera-ready copy for printing and distribution. This is to be done to assure proper publication, handling, and ' distribution and, among other things, to preclude further changes that might nullify the agreement. If f , caveats were agreed to and the project manager wishes to check the final document for their presence, he/she should inform TIDC of that desire.
~
In that case, upon receipt of the camera-ready copy by TIDC, the project 7
. -manager will be informed and requested to prepare and sign the'NRC H Form 426A. - -
, Also state that if agreement on changes to a formal technical report to be issued in the NUREG/CR series is not reached, the NRC project manager may request the contractor to prepare the camera-ready copy with, in addition to the standard disclaimer required on all contractor formal reports (see Exhibit 6), ,any caveats deemed necessary to cover NRC objections. Such caveats may range from the "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Ccmmission" to the addition cf a preface setting forth. the NRC opinion or footnotes at appropriate locations within the text.
1 i
State that if NRC objections cannot be covered in this manner, NRC can ,
refuse to publish the report. In the case of DOE / National Laboratory reports, the DOE- Operations Office Manager responsible for that labora- !
tory should be informed by the NRC Office Director or Regional Adminis- '
trator of the decision and the reasons therefor, with a copy to the
,(y ; Laboratory Director. In the case of another Federal agency, a State, or
{-'
a private contractor, the person who executed the contract should simi-larly be informed by the NRC Contracting Officer. The contractor is 4
then free to publish without NRC identification of the report. Project manager or higher level decisiens may be appealed to the NRC Executive _
- Director for Operations.
i D. PUBLISHING UNCLASSIFIED INFORMATION IN OPEN LITERATURE AND
, PRESENTING PAPERS '
If the contractor's principal investigator is to be allowed to publish in the open literature instead of submitting a final report and/or present papers at public or association meetings during the course of the work, add the following statement to the Statement of Work:
- The principal investigator (s) may publish the results of this work l in the open literature instead of submitting a final report and/or present papers at public or association meetings at interim stages of the work.
If the project manager wants to review the paper or journal article prior to presentation or submission for publication, state this in the Statement n of Work, as follows:
The principal. investigator (s) may publish the results of this work in
, the open literature instead of submitting a final report and/or pre-j!
s sent papers.at public or association meetings at interim stages of the
,. work, if the article or paper has been reviewed by the NRC project e
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC App::ndix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED -
Part 1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Ti manager in draft form and agreement has been reached on the con- [
tent. The applicable procedures set forth in Chapters NRC-3206 or ~
NRC-1102 must be followed. ,
If agreement is not reached, NRC may also ask that the paper include in addition to the standard statement " Work supported by the U.S.
, Nuclear Regulatory Commission,d any caveats deemed necessary to cover NRC objections. If NRC objections cannot be covered in this manner, NRC' can refuse to authorize publication in 'the open litera- 7 ture and/or presentation of papers.
- '~ '
]
In the latter case, NRC will inform the contractor of the decision, as stated above for formal reports (see Section C, paragraphs 3 and 4)*
The contractor is then free to publish without NRC identification of the information. This will not affect payment of the contract work costs.
Project manager or higher level decisions may be appealed to the NRC Executive Director for Operations.
If the contractor proposes to publish in the open literature or present the information at meetings in addition to submitting the required tech-nical reports, approval of the proposed article or presentation should be obtained from the NRC project manager. The NRC project manager shall either approve the material as submitted, approve it subject to NRC-suggested revisions, or disapprove it. In any event, a project manager may disapprove or delay presentation or publication of papers on infor- ...
mation that is subject to Commissioner approval that has not been ruled M upon or which has been disapproved. /'
(See Chapter 3206 for provisions relating to payment of page charges and travel costs for presentation of papers.)
E. TYPOGRAPHY -
The text of reports must be single spaced on 83s x 11-in. paper, unless otherwise specifically authorized. Occasionally , reports with many sym-bots and mathematical expressions may require one and one-half spacing to provide for superscripts and subscripts. This spacing should be allowed where needed, but should be considered an exception, not the standard.
F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION Details of the marking of reports designated Official Use Only, Limited Official Use, Proprietary Information , Safeguards Information , and ,
classified (Confidential, Secret, and Top Secret) are provided in Part V of this appendix and in NRC Appendix 2101.
G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND WORKSHOPS NRC publishes or assists in the publication of compilations of papers ~)
presented at meetings , conferences, and symposiums in which NRC Approved: August 29, 1984 4
I . ._ . _ . . . . . .
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part I k..s' participates as a sponsor or cosponsor. Chapter NRC-320", " Conferences and Conference Proceedings," provides general information and guidance for this. More detailed guidance is available from TIDC upon request.
H. . WRITING AND PUBLISHING UNCLASSIFIED BOOKS NRC may, under certain circumstances , publish booki p,repared, by 1
'g'rantees or contractors. For' general informati6n "and guidance 'on book ~
publishing, see Chapter NR,C-3210, " Book Writing and Publishing."
~
I. DISTRIBUTION OF REPORTS TO CONTRACTORS Up to 50 copies of unclassified formal technical reports may be retained by or will be bulk shipped to the contractor by NRC for internal use. '
If fewer than 50 copies are needed, indicate the desired quantity on NRC Form 426A. Single copies for specific individuals in organizations other than the contractor's organization who are not included in the distribution requested by the NRC project manager may be requested on a project basis or on a report-by-report basis. The request, with written justifi-cation, should be addressed to the NRC project manager, with a copy to NRC/TIDC. If the additional distribution is approved by the NRC project manager, the contractor shall send these copies (if printing is done by the contractor) and address labels, even if printing is done by NRC, to NRC/TIDC, where the distribution will be made along with the standard distribution.
Distribution of sensitive unclassified and classi-
{(, fied reports will be made by the project manager on a case-by-case basis.
J. COORDINATION OF PRESS OR OTHER MEDIA RELEASES OF UNCLASSI-FIED INFORMAT:7 A contractor may request permission to issue a press or other media release on the work being done. Such request shall be made to the project manager, who will consult with his/her management and with the Office of Public Affairs. The contractor may not issue a press release on nonroutine information without this prior coordination. This coordination may be accomplished by telephone, with the NRC project manager respon-sible for expeditious handling. Decisions not to release information or delays in handling by the project manager may be appealed to the NRC Executive Director for Operations.
O
_.l 5 .
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 g
. PART II UNCLASSIFIED FORMAL CONTRACTOR REPORTS
+
TO BE PRINTED BY NRC A. - DOCUMENTATION - - -- .- -
a
- 1. Applicability
- a. The requirements of this part apply to contractor and inter-agency agree;nent reports that are to be printed by NRC.
Contractors may not print reports prepared for NRC except
. those DOE laboratories with JCP-authorized printing plants and then only those reports prepared for NRC's Office of Nuetear Regulatory Research.
- b. With respect to sensitive unclassified and classified reports, the requirements set forth in Part V of this appendix shall be used in conjunction with NRC Appendix 2101.
- c. The requirements of this part do not apply to consultants and contractors of the NRC boards, panels, and advisory commit-s tees which report directly to the Commission.
/ ) 2. Front Cover and Title Page 1~'
- a. Separate covers and title pages are required (see Exhibits 1 and 2 for contractor reports and Exhibits 3 and 4 for reports prepared under or pursuant to interagency agreements ) .*~
- b. The items' shown in Exhibits 1 through 4 and discussed below shall appear on the title page and cover, as appropriate.**
(1) NRC Report Number Each report shall be identified by an NRC-controlled alpha-numeric designation as the prime designation unique to that report. The centralized report control system for unique identification is maintained by the Division of Technical Information and Document Control. Numbers may be obtained by calling the Division of Technical Infor-mation and Document Control or by submitting a copy of NRC Form 426A (Exhibit 5) with a request for a number.
Reproducible copy of the cover of the performing organization may be sub-mitted; however, the data elements shown in Exhibit 1 must be included.
Taese requirements meet .the specifications of American National Standard t
ANSI Z39.18-1974, Guidelines for Format and Production of Scientific and
." Technical Reports, and ANSI Z39.23-1974, Technical Report Numbers.
7 Approved: August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC App:ndix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED .
Part II UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS The NRC identification-number will have the form:
NUREG/CR-XXXX or NUREG/CP-XXXX .
where CP indicates conference proceeding. The contrac-tor's report number, if any, may be inserted below the NUREG number on the title page and cover, as shown in .
Exhibits 1 through 4, if desired by the contractor.
.- When a report consists of more- than .one-vollme or. bind-
.__ ing or is . issued in more than one edition, an appropriate _
volume , supplement, part or revision designation shall appear immediately below the report number.
(2) Title and Subtitle (a) Use a brief title that indicates clearly .the subject matter covered in the report.
(b) When a report is prepared in more than one volume, repeat the primary title on each volume.
(c) If appropriate, show the type of report (e.g.,
annual report, final report , thesis , etc.) and the period covered as part of the subtitle.
(3) _ Personal Author (s)' Name(s) j Authors' names should be given on the title page and cover unless this is impractical, as in the case of annual reports which have many contributors, If authors' contri-butions are as editors, ccmpilers, etc. , so indicate on the -
title page following the names. In addition, list affiliation of ecch author only if affiliated with an organization other than the organization generating the document.
(4) Organization Identification On the title page and cover, provide information of the type illustrated in Exhibits 1 through 4.
(5) Basis for Report Date(s)
(a) The basis for dating may be shown along with the date on the title page. Various bases for dating are possible; e.g., date report completed, date reviews completed , date published, date distributed, etc.
(b) More than one date, with the basis for each, may be shown where this is necessary.
Approved: August 29, 1984 8
s PUBLICATION CONTRACTORS,OFINCLUDING TECHNICAL REPORTS PREPARED BY NRC REPORTS PREPARED NRC Appendix 3202 UNDER 3. OR PURSUANT Availability Information TO INTERAGENCY AGREEMENTS Part II_
the National Technical Information Service be and by (NTIS) inserted on the inside of the front Exhibit 6 will Technical Information and Document Control. cover by the Division of
- 4. Disclaimer .
1 The following inside front notice will be added during the printing st .
cover (Exhibit 6): "This report ep on the was prepared as an
, account Government of . work sponsored by an agency of the United States
( thereof, or any of their employees, ranty, makes any warNeither expressed or third implied, party's or assumes use, anyoflegal or the results liability or responsibility such use or any f apparatus, product or process disclosed in this report,, of orany repre-information, senta that its use by such third party would not infringe privately , "The views owned righ expressed t s .report in this " Theare following not additional sta tement Nuclear Re necessarily those of the disclaimer,ifgulatory appropriate.Commission" will be printed belowU.S. the standard Other qualifying statemen ts may be 5.
added, if needed (see Part I.C. , Requirements forports) Draft .
Re Previous Reports in Series If the report previous reportsbeing prepared in the series. is one in an ongoing series , list all ance dates.
6.
Place this list on the back of the title page. Include report Abs tract An abstract report .
Withinofthe 200 words or less shall be prepared for e report, ach formal page between contents page.* the list of previous documents ine the series an 7.
References and Bibliographies Reports or other bibliographies , documents referenced in text and appendixes of unclassifiedreference sections, regulatory and technical reports in the NUREG series must be available to the public Government either in the Printing publicat domain (as in a public ,library Office, at the Service , or at other reference orthe National Technical Information Public Document Room. sales outlets) or in the NRC be made to personalThis means that references communications should not and interviews , unpublished if the styleThis manual preferred of positioning of the abstract in the report n location . the originating organization eed not be followed requires a different 9 Approved: Augu s t 29_, 19M - --- ----- -
PREPARED BY -
PUBLICATION OF TECHNICAL REPORTS PREPARED NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTSUNDER Part II (e.g.,
O -))
information and security national information with
, official use restricted only , etc.).
and unrestricted, it can be distribution If the proprietary ,
unretrievable information is important If credit is due know-quoted in the text, in footnotes, or in appendixes.to individ Availability may ledgement section.
entries (see Exhibit 6).
Guidelines for developing "and presenting Technical -Writingreference material Style - Guide ,"- are in NUREG-0650, pp . 19-23. for
?- provided published in November 1979 (see Appendix A, specific guidance) and Supplement I dated February 1982.
- 8. Bibliographic Data Sheet the shall be prapared and included in NRC Form 335 (Exhibit 7) camera-ready copy as the final right-hand page.
B. PATENT AND SECURITY REVIEWS E
Patent Review 1.
Patent implications shall be considered prior to approval of reportsadver
{
for public release so that disclosure willIf not the work being reported '
patent rights of NRC or the contractor.
is contractually managed through another ')s; governm review . The result of such ibit 5) .
the contractor to perform the patentreview shall be reported on N If NRC directly administers the contract or the contractor d i ister- is unable to obtain a patent clearance from the government agency a m ing the contract,and the responsible NRC project manager shall consider consulted, If there is no need for patent review the patent implications.
because of the certainty that the report contains no description of novel technical developments which may be of an If cable" or "N/A" in the space for the Patent Counsel's signature.
t of an there is a possibility thethat there is officer contracting disclosure shall of developmen request assistance s inventive nature, Counsel, Office of the Executive Legal from the NRC Patent Director.
2.
Security Review _ contractor reports will beShould a unclassified. ,
In most cases, report of sensitive unclassified must or classified work with work the NRC be required ,
however, the NRC project manager appropriate procedures and Division of Security to establish the through the contracting inform officer.
the contractor of such proceduresThe standards for mark given in Part V of this appendix and NRC Appendix 2101.
10 Approved: August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC. App:ndix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED -
Part II UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS information and information with restricted . distribution (e.g., ')
proprietary, national security, official use only, etc.). If the s/
unretrievable information is important and unrestricted, it can be
' quoted in -the text, in footnotes, or in appendixes. If credit is due to individuals, they can be mentioned in the text or in an acknow-ledgement section. Availability may be stated collectively for all
, entries (see Exhibit 6).
Guidelines for developing and presenting ieference material are 9 provided in NUREG-0650, " Technical --Writing Style - Guide,"- c published in November 1979 (see Appendix A, pp . 19-23. for specific guidance) and Supplement I dated February 1982.
- 8. Bibliographic Data Sheet j NRC Form 335 (Exhibit 7) shall be prepared and included in the camera-ready copy.as the final right-hand page.
B. PATENT AND SECURITY REVIEWS
- 1. Patent Review Patent implications shall be . considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor. If the work being reported
's; 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 426A in item 11 (Exhibit 5).
If NRC directly administers the contract or the contractor is unable s-to obtain a patent clearance from the government agency administer- _
ing the contract, the responsible NRC contracting officer shall be consulted, and the responsible NRC project manager shall consider the patent implications . If there is no need for patent review
~ because of the certainty that the report contains no description of 4 novel technical developments which may be of an inventive nature, NRC Form 426A may be completed with the statement "Not Appli-l cable" or "N/A" in the space for the Patent Counsel's signature. If there is a possibility that there is disclosure of developments of an inventive nature, the contracting officer shall request assistance from the NRC Patent Counsel, Office of the Executive Legal Director.
- 2. Security Review In most cases, contractor reports will be unclassified. Should a report of sensitive unclassified or classified work be required, however, the NRC project manager must work with the NRC Division of Security to establish the appropriate procedures and inform the contractor of such procedures through the contracting officer. The standards for marking and handling such reports are j' given in Part V of this appendix and NRC Appendix 2101.
Approved: August 29, 1984 10
P e PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202
, UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part II
! 3. - Availability Information All formal reports will be made available for sale by NRC and by the National Technical Information Service (NTIS). Exhibit 6 will ,
be inserted on the inside of the front cover by the Division of Technical Information and Document Control.
~
,J. Disclaimer . . . . . - - -
l'
^ ~
T$ 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 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 in this report, or repre-sents 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 Commission" will be printed below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed (see Part I.C. , Requirements for Draft Reports).
- 5. Previous Reports in Series
. . \
' j (N y if the report being prepared is one in an ongoing series, . list all previous reports in the series. Include report numbers and issu-ance dates. Place this list on the back of the title page.
Abstract 6.
An abstract of 200 words or less shall be prepared for each formal report. Within the report, the abstract shall appear on a separate page between the list of previous documents in the series and the contents page.*
- 7. References and Bibliographies Reports or other documents referenced in text, reference sections, bibliographies , and appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office, at the National Technical Information Service , or at other reference or sales outlets) or in the NRC Public Document Room . This means that references should not be made to personal communications and interviews , unpublished This preferred positioning of the abstract in the report need not be followed
, if the style manual of the originating organization requires a differer.t I ( ,
location .
9 Approved: August 29, 1984
PUBLICATION OF. TECHNICAL REPORTS PREPARED BY NRC Appsndix 3202 - NRC CONTRACTORS, INCLUDING REPORTS PREPARED -
Part II UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS I information and information with restricted distribution (e.g., ')
proprietary, national security, official use only , etc.) If the s/
unretrievable information is important . and unrestricted, it .can be quoted in the text, in footnotes, or in appendixes. If credit is due
-to individuals, they- can be mentioned in the text or in an acknow-ledgement section. Availability may be stated collectively for all
, entries (see Exhibit 6).
Guidelines for developing and presenting reference material are 9
' '."- provided in NUREG-0650, " Technical -Writing Style - Guide,". 4 published in November 1979 (see Appendix A, pp . 19-23, for specific guidance) and Supplement 1 dsted February 1982.
- 8. Bibliographic Data Sheet NRC Form 335 (Exhibit 7) shall be prepared and included in the camera-ready copy.as the final right-hand page.
'B . PATENT AND SECURITY REVIEWS i
- 1. Patent Review Patent implications shall be considered prior to approval of reports for_ public ielease so that disclosure will , not adversely affect the i patent- rights of NRC oc the contractor. If the work being reported 2
is contractually managed through another government agency (e.g. , ,'g.
DOE laboratories), that government agency should be requested by 1 the contractor to perform the patent review. The result of such review shall be reported on NRC Form 426A in item 11 (Exhibit 5).
If NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the government agency administer- _
ing the contract, the responsible NRC contracting officer shall be
! consulted, and the responsible NRC project manager shall consider i
the patent implications . . If there is no need for patent review
, because of the certainty that the report contains no description of
)
novel technical developments which may be of an inventive nature, NRC Form 426A may be completed with the statement "Not Appli-cable" or "N/A" in the space for the Patent Counsel's signature. If there is a possibility that there is disclesure of developments of an inventive nature , the contracting officer shall request assistance from the NRC Patent Counsel, Office of the Executive Legal
- Director.
s
- 2. Security Review In most cases, contractor reports will be unclassified. Should a report of sensitive unclassified or classified work be required ,
however,- the NRC project manager must work with the NRC Division of Security to establish the appropriate procedures and inform the contractor of such procedures through the contracting officer. The standards for marking and handling such reports are given in Part V of this appendix and NRC Appendix 2101.
y
! Approved: August 29, 1984 10
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part II
- q J C. PROCEDURES FOR PRINTING AND DISTRIBUTING
.)
- 1. Printing Reproducible masters prepared in accordance with this appendix shall be transmitted to the Division of Technical Information and Document Control, accompanied by completed NRC Form 426A (Exhibit 5). NRC Form 426A must be signed by the NRC pr_oject ~
manager or a contractor' official authoiFized' b'y the~ projict manager. '-
Such authorization 'shall be reported in writing to TIDC. -
The Division of Technical Information and Document Control will review the macters for adherence to the standards set forth in this chapter and appendix and will arrange for printing and distributing the report. Unsatisfactory masters will be reported to the NRC project manager for appropriate contractual action by the contract-ing officer or, in the case of government agency or interagency agreement work, the publications manager of the performing organization.
- 2. Reprinting Requests for reprinting any report subsequent to the initial print-ing require approval of the Division of Technical Information and Document Control. Each request shall include a written justification and the project manager's approval for reprinting along with ad-
-( dress labels for the recipients.
{,
- 3. Distribution of Reports All copies of unclassified formal contractor reports will be distrib-uted by the Division of Technical Information and Document Control in accordance with instructions on NRC Form 426A (Exhibit 5). The Division of Technical Information and Document Control will also arrange automatic distribution of these reports to the NRC Docu-ment Control System, the NRC Public Document Room, the National Technical Information Service (NTIS), the Government Printing Office and the Depository Library Service. -
If any distribution is to be made other than, or in addition to, the standard distribution established for the report, written justification and the project manager's approval for printing additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control. Address labels for the additional distribution must be supplied.
Distribution of sensitive unclassified and classified reports will be made by the NRC project manager on a case-by-case basis, d
,/
11 Approved: August 29, 1984 1
~. _ .-_
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202
- :grt ;:
.] UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS L , /
EXHIBIT 1 SAMPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR PREPARED
' DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS __ ~
. . asW & ,
NRC Report No. NUREG/CR-1676 Contractor Report No. (if any) NUSAC-556 Vol., Part, Rev., etc. (if any) Vol.1 Titie Using Advanced Process Monitoring to Improve Material Control e(
Subtitle and Type of Report Final Report
( Annual, Topical, etc.) September 1979 - September 1980 Author (s) Prepared by R L. Hawkins. R. L. Lynch, R. F. Lumb Contractor NUSAC incorporated US I at Regulatory i
13 Approved: August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY
- NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part II UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS I
EXHIBIT 2 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL CONTRACTOR-PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS
~
._ 4 NRC REPORT No. NUREG/CR-1676 Contractor Report No. (if any) gSAC 556 Vol., Part, Rev., etc. (if any)
Distribution Category No. (if any)
T,de Using Advanced Process Monitoring to improve Material Control Subtitle and Type of Report Final Report September 1979 - September 1980
( Annual, Topical, etc.) '%
i Report Dates and Bases .; .cgig syipisso Author (s), Editor (s), y, ed Compiler (s), etc.
Contractor Name gujaciacgi.e l
and Address uct.., va mor .
NRC Sponsorship Prepare <s for Division of Safeguards Office of Nuclear Material Safety and Safeguards as'h ngto N RC Contract No. NRC FIN 86437 .
l 1
Approved: August 29, 1984 14
.h, PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARyD NRP Annandiv 3909
, /D.
UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IL
EXHIBIT 3 SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No. NUREG/CR-1952 Contiactor Report No. SAND 81-0151 Vol., Part, Rev., etc.
LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks k( ; Type of Report Independent Verification Testing Program or Subtitle Independent Verification Test-1 v Thome J A Lewin i W Gimore l SNL, Author (s), Editor (s) "'**d
"' k 'p Bgjnoa,owHu,
A B Ben fN%
Contractor Sandia National Laboratories Sponsorship hS E*uciesr Regulatory Commission 15 Approved: August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY '
NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part II UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS EXHIBIT 4 -'
i SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No.
Contractor's Report No. ,
Vc-l., Part, Rev., etc. NUREG,CR 1952 Distribution $ND81-0151 Category me LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks )
Subtitle independent venfication Testing Program Independent Ver fication Test 1
, Report Dates , , , ise, '
uthor(s), Editor (s) P Contractor's gg4g==
Name and Address NRC Sponsorship g,g',oy ,, ,, g ,,
Office of Inspection and Enforcement S uclear Re ul Commission APC FIN No. NRC FIN 83101 Approved: August 29, 1984 16
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRr' Appendix 3202
, UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part II r: ),I y ,
EXHIBIT 5 NRC FORM 426A, PUBLICATIONS RELEASE FOR UNCLASSIFIED NRC CONTRACTOR AND CONSULTANT REPORTS
~
a
~
- a. sac.e, Omw eJSA
. . , U188UCLE AA m8GukA70A7 00wassB8608s e m880M gwweSa .m .
~
% Caw 3301 an.=.=.*
. . ehea.r.s e e ae=
, *a*
PUBLICATIONS RELEASE FOR UNCLASSIElED . O.sv aiew r 0= Ca ve c,Ca. =0 ae .
NRC CONTRACTOR AND CONSULTANT REPORTS '**a=
m , rr,. mn C Of,--
3 7sF4e a40 $wGTITk& e en se see
- 8sese m %ss .e .m e e auT MO AS en mee am.a ea e some n t e ene, sa as.ee e, one erne,s ,
t haut 08 CONT AaCTOA *.*.e. eae se.*ee se seer. .ae av . -
l va.Ls4G 400805S l f t Lt '.*0%t %J
- e. CONFmaCY Oav a a C09 7 m eC7 um 8 im %vwet n ,0e ase *.e Oct ..=nere e.mee.
- e. af CO%fmACTOn es avruOmste c TO *ns%f *La att epoveOE TmE Doktove'4G s%8OswateON am .=cee et Cou*e *****e toe.=eems Ceme.ea Coet f ee.=e+e.e ** a** g Ca**
I I
. ,, O. - .w %, .C.........
(- la ff teeksCat DE Pom'
... . O.w as spe s%f e meu je CONSE*ENCE***tm
.t. ve TL E O. Co%.s eg mCa pass a
'2' Daf tets O. CON.5 ag %Ct
- 3s LOCavsome O8 Como g eE NCE *
- m. Of e.g a . , e , ee e,- e e enes.e weeca ens, e ee ees .
i . ... C. a s o.. . .. e e , .ON e-,--..ee...-,.--..=-.-. _ . . . - . . . . .
. - e 4 _ a. n . . w. ~ -. .. s.-.-. , - . , - .
., C- -. -e.e . . 9 13 Paff 4T CLE ara %CE # # ...d.(88 97 '
12 $UGulTTED ST 8 4 Nawf 08 aw t=0**ER O CONT eaC f 0m Os .eC*a, On %aC wo%. fc e 'e.. +
8 0.emere.c.ome e.ee..6.e.ac.e %.e.C # erm ett a eogee.,
...e.e,.. e to a.e ..e., e.. Co..aes
. .a . % , e t . a . 4 %C. %O , . . Co. . . o . O. . .C, a 0 0.%., a r.o% a 6 o%.,
e .. . . % , C. . a. 4 %C c . 4 % , . O ,
. . . . . % , e . . . . . % C . O. N. . O e Patg NT COwN54 t S 5+G%atweg j Oats seC%atweg ea see . ece.e. as. em. e < **s m a*'
l Datt 17 Approved : August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED .
Part 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 6 '~
)
DISCLAIMER AND AVAILABILITY STATEMENTS (BACK OF COVER) ,
~~
NOTICE -
This report was papered as en sessunt of work esoneered by en egency of the Unlead Steams ~
Gewernment. Nether the United State Government nor any esoney thereof, or any of their
- empeevees makes any warranty, espessed or implied. er ensumes any laget liability of re-sponsability for any third party's use, or the results of such uns, of any infonnetten, esseretus, poduct or process dnetened in thes report, or represents that its use by mesh third party wondd not infringe povetely owned rights.
NOTICE Availability of Reference Meterials Cited in NRC Puldicatione l
Most documents cited in N RC publicains vnll be eveiletdo from one of the following sources:
- 1. The NRC Public Document Room,1717 H Street, N.W.
Washmeton, DC 20666
- 2. The NRC/GPO Seles Program U.S. Nucteer Repletory Conmismon, Wouhington. DC 20666 y .,
- 3. The Neconal Technical Information Service, Springfield, VA 22161 1 Although the listing that follows represents the maiority of documents cited in NRC publications, it is not intended to be smhoustive.
Referenced documents evodetdo for inspecten and copying for a fee from the NRC Public Docu-ment Room include NRC correspondence end intemet NRC memorende; NRC Office of Inspection and Enforcement bulletins, circulers, information notices, inspection and investigation notices; beenuse Event Reports; vendor reports and correspondence; Commeomon papers; and esplicent and -
liconese documents and correspondence The following documents in the NUREG series are eveitable for purchaus from the NRC/GPO Seles Progrem: formal NRC stoff and contractor reports, NRC4ponsored conference proceedmes, and NRC booklets and brochures. Also eveiletde ers Repletory Guides, NRC repletions in the Code of Federei #eputations, and AcAser #eputerory Comrnission /seuences.
Documents eveilatWe from the National Techmcel Information Service include NUREG series reports and technscal reports prepared by other federal agencia and reports prepared by the Atomic Energy Commresion, forerunner egency to the Nuclear Repletory Commiseen.
Docurnents evealetWe from putdic and specisi technical librenes include oil open literature items, such as books, journal and periodical articise, and t,vuections. Federot Aspeter notices, federei and state legeistion, and % - i reports can usually be obtained from these libranes.
Documents such as themes, deserutens, foreign reports and trereistions, and nortNRC conference proceenmes are sveiletde for purchase from the organization sponsoring the publication cited.
Singie copies of NRC draft reports are eveilable free, to the entent of supply, upon wrrtten request to the Divesion of Technical Information and Document Control U S. Nuclear Repletory Com.
missen, Weehington, DC 20556.
Copies of industry codes and standards used in a substantive menner in the NRC reguietory process are moinstened et the NRC Library, 7920 Norfolk Avenue Betheads. Maryland, and are eveiletWe there for reference use by the putdic. Codes and standards are usuelly copynghted and may be purchased from the orignating orgensaation or, if they are American Notenel Stenrterds, from the Amencen Notonel Stendsats insertute,1430 Brosshey, New York, NY 10018.
GPO Nntee copy once.
App roved - August 29, 1981 '8
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annendix 3202
_, UNDER OR PURSUANT TO INTERAGFNCY AGREEMENTS Part II N
I-
- j x 6,. EXHIBIT 7 NRC FORM 336. BIBLIOGRAPHIC DATA SHEET
,,,,,,,,, ,, _ . - , ._ . - , - . - ,= .. .-.
43.ee W.;; ' seuOGRAPHIC DATA SHEET ,
,,,,,.. ...,. n. ... . -
anos...e v.
,..n......,.........-<.- . uc...= ~ ~ - .
i.,( ........c,..,.
..c-.....................c... . . .. .. . ., .. ... .. .
(Fe. sa,se
,o
((
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED
- Part II UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS
< t l
EXHIBIT 7 (Continued) . >
BACK OF NRC FORM 335
,s. . - ... . - - _
^
DO NOT PRINT THESE INSTR 0CTIONS AS A PAGE IN THE NUREG REPORT f
INSTRUCTli3NS NRC FORM 335, SIOLIOGRAPHIC OATA SHEET,18 SASED ON GUIDELINES FOR FORMAT AND PRODUCTION OF SCIENTIFIC AND TECHNICAL REPORTS. ANSI 239.10-1974 AVAILASLE 790M AklERICAN NATIONAL STANDAROS INSTITUTE.1430 GROAOWAY, NEW YORK, NY 10018. EACH SEPARATELY SOUND REPORT FOR EXAMPLE. EACH VOLUME IN A MULTIVOLUME
$ET-SHALL HAVE ITS UNIQUE SitLIOGRAPHic OATA SHEET.
- 1. REPORT NUMBER. Each individuelty bound report sheel 10. SPONSORING ORGANIZATION. List NRC Division. Office.
carry a unieve eiphonumeric designetion INUREGI easig*ed U.S. Nucteer Reguletory Commission. Washington, DC 20655 by the Division of Technical informeteen end Documee~
Con trol, ADM, in accordance with American Nation, a 11. e. TYPE OF REPORT. State dref t, fines, prehminery, too ce#,
Stendere AN51 239.23-1974 Technical Report Numtsr technicat, regulatory, overterly, etc.. and if sopsicense.
(STRN) Use upperceos letters. Arabic numeress, sloehes. and inclussve detes hyphens only, es in the following suamples: NUREG4100 NUREG/CP4010. NUREG/CR.0100, and NUREG/BR.0010. b. PERIOO COVERED.
For reports in a series odd Vol.. Supo., Revision, and '
Addendum, ween necessary. Add contractor crosereference 12. SUPPLEMENTARY NOTES. Enter information not included identification number (if anyl below NUREG number, e e., eisowhere but useful such as Prepared in cooperation with .
PNL.X A X X, $ ANDX X.X X X X, sal.XX XX. Presented et conference of . . To be pubbshed . Docket N o. . When a report is revised, indicate whether the new N,
- 2. TITLE AND SUSTITLE. Title should indicate clearly and report supersedes or suopiements the onder rooort.
J briefly the subtect (coverage) of the report; including eny e subtitle to the mein title. When a report is preoered in more 13. ASSTR ACT. Inciude a brief 1200 words or less) f actual sum. ~
l than one volume repoet the primary title, odd volume n mber u mery of the most significant information contained in tee and include subtitle for the specific volume. Use upper and report. If the report contains a significant biblicerophy or lower cose letters, but capiteliae computer code names. Do literature survey or m ltione u volumes. mention it here Abstract not use acronyms and initiehsms in tittes; may be added in is to be preoered by author or prosect manager parenthesis.
- 14. DOCUMENT ANALYSIS
- 3. LEAVE SLANK.
! e. KEY WORDS/DESCRIPTORS. Seiect from the Energy l 4. DATE REPOMT COMPLETED. Each report shen carry a date Date Sese Sutnect Thesaurus. DOE / TIC.700R R.S. une I indicating month and year prolect/tesk completed. proper euthorized terms that ideatify the motor concept I of the resserch end ere sufficiently soecibe end precise to l
S. AUTHOR (St. Give nemets) in conventional order le e . John be used es inden entries for catsiog ng.
R. Doe. J. Robert Doel. List author's offination it it is differ.
ent from the performing organiastion. h. (DENTIFIERS ANO OPEN. ENDED TERMS Use .dente-fiers for proiset names, code nemes, equipment designetors.
S. DATE REPORT ISSUED. Each report shen carry a date etc. Use open-eaded thevaards) terms written in descriptor indicating month and year published. form (14el for those subsects for which no descriptor i esists in the thesaurus
! 7. PERFORMING ORGANIZATION NAMS ANO MAILING ADORESS. Give name, street, city, state, and ZIP code. 15. AVAILASILITY STATEMENT, Oenote oubine reiaasebehty.
List no more then two levele of en organiastiones historchy, for enamore " unlimited", or lim +tation for runone otmer Disoley the narne of the orgemaation enactly as fossows: tLan security.
Division. Office. Organeration or Government agency, and address. 18. SECURITY CLASSIFICATION. Ettar U S Security Cisssif*
cation in accordance with U$ Security Regulations b e ,
E. PROJECT /TASM/ WORK UNIT NUMSER. Use the protect, unclassifiedi.
task and work unit numbers under which the report wee properW til any). 17. NUMSER OF PAGES. Leave biank ( Added by NTI$1 1
l 9. FIN OR GRANT NUMSER. Insert the FIN or grant number 18. PRICE. Luve bienk. I Added by NTI$1 under which report w.s puo.,ed.
Approved: August 29, 1984 20 i . - _ _ _ _. __ _ _ _ .
PUBLICATION OF TECHNICAL REPORTS PREPARED BY
'n NRC CONTRACTORS, INCLUDING REPORTS PREPARED i
UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 k.~
PART III UNCLASSIFIED TECHNICAL LETTER REPORTS A.. - FORMAT - - -- -- -
~ ~
- 1. Applicability
- a. The requirements of this part apply t'o unclassified contractor technical letter reports. (See Part I. A for definition.)
- b. The requirements of this part do not apply to consultants and contractors to the NRC bcards, panels, and advisory commit-tees which report directly to the Commission.
- 2. Requirements Technical letter reports are prepared, duplicated and distributed in accordance with the requirements of the Statement of Work in the contract or in the Standard Order for DOE Work. Each such report must be identified with the financial number (FIN) assigned to the project. The number of copies to be prepared and the distribution of those copies will be specified by the project manager. If unclas-([ sified and non-sensitive, the NRC project manager is responsible for making such reports available in the NRC Public Document Room
-' (PDR) by sending them to the PDR through the NRC Document Control System. _ ,
B. PATENT AND SECURITY REVIEWS
- 1. Patent Review Patent imp!ications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC. If the work being reported is contractually managed through another government agency (e.g. , DOE labora-tories), that government agency should be requested by the con-tractor to perform the patent review.
If NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the government agency administer-ing the contract, the responsible NRC contracting officer shall be consulted, and the responsible NRC project manager shall consider the patent implications.
If there is a possibility that there is disclosure of developments of an inventive nature, the NRC contracting officer shall requert assistance from the NRC Patent Counsel, Office of the Executive Legal Director.
{
21 Arq3 roved: Aurgst 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part III UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS I
- 2. Security Review -'
In most cases, contractor technical letter reports will be unclassi- -
fied. - Should a report of sensitive unclassified or classified work be required, however, the project manager must work with the Division of Security to establish the appropriate security procedures ,
and inform th.e contractor of such procedures. The standards for
",, marking and handling sugh reports are_ given in Part V of thJs y appen, dix and NRC Appendix 2101. , ,
N.
~.
h
.l i
, 'I Approved: August 29, 1984 22
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED O; UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 Q .*
PART IV E
UNCLASSIFIED . FORMAL REPORTS TO BE PRINTED FOR,THE NRC _
. . OFFICE OF NUCLEAR REGULATORY RESEARCH BY DOE _ 1
- LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS ,
A. DOCUMENTATION
- 1. Applicability
- a. The requirements of this part apply to NRC staff who are responsible for agreements with DOE Laboratories and their contractors who print regulatory and technical reports re-quired by NRC. (See also Chapter NRC-1102).
- b. With respect to sensitive unclassified and c.lassified reports the requirements set forth in Part V of this appendix shall be used in conjunction with NRC Appendix 2101.
- c. The requirements of this part do not apply to consultants and contractors to the NRC boards, panels and advisory committees
< which report directly to the Commission, j [\
- 2. Front Cover and Title Page
- a. Separate covers (of different paper than that of the text) and title page are required.* -
- b. Items such as those shown in Exhibits 3 and 4 and discussed below shall appear on the front cover and title page, as appro-priate .** While layouts and typefaces need not be exactly the i same as in Exhibits 3 and 4, the items shall appear in approxi-mately the locations indicated and with the same relative prominence.
(1) NRC Report Number Each report shall be identified by an NRC-controlled alpha-numeric designation as the prime designation unique to that document. The centralized report control system for unique identification is maintained by the Division of Technical Information and Document Control. Numbers may
- The cover stock of the performing organization may be used; however it must include the data elements shown in Exhibit 3.
- These requirements meet the specifications of American National Standard
{l..
ANSI Z39.18-1974, " Guidelines for Format and Production of Scientific and Technical Reports," and ANSI Z39.23-1974, " Technical Report Numbers . "
m _
.~ p.
PUBLICATION OF TECHNICAL REPORTS PREPARED BY .:
NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED 4 Part IV UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS i ' ' ),
be obtained by calling the Division of Technical Informa-tion and Document Control or by submitting a copy of NRC Form 426A (Exhibit 5) with a request for a number.
, The NRC identification number will have the form: .,
7
,s NUREG/C. R-XXXX or NUREG/CP-XXXX
~
The contrat: tor's report number, if any, will be inserted -
below the NUREG
- number on the title page and cover, as ,
shown in Exhibits 3 and 4, if desired by the contractor.
When a report consists of more than one volume or bind-ing or is issued in more than one edition, an appropriate volume, supplement, part, or revision designation shall ,
appear immediately below the report number (s) . NRC j riport numbers on covers and title pages shall be shown entirely on one line to facilitate computer processing.
(2)' Title and Subtitle (a) Use a brief title, which indicates clearly the subject matter covered in the report.
(b) When a report is prepared in more than one volume, repeat the primary title on each volume. .
) '
(c) If appropriate, show the type of report (e.g.,
annual report, final report, etc.) and the period l covered as part of the subtitle. .
(3) Personal Author (s)' Name(s) i (a) Authors' names should be given on the title page and cover unless this is impractical, as in the case ,
i of annual reports which have many contributors. If '
authors' contributions are as editors, compilers ,
l
- etc., so indicate on title page and cover following i the names. In addition, list affiliation of each author only if affiliated with an organization other than the
, organization generating the report.
i (b) Authors may be identified on backstrips (spines) of
- bound volumes. ,l l
l (4) Organization Identification f (a) On the cover, provide the name of the contractor responsible for preparing the report, followed by
" Prepared for the U.S. Nuclear Regulatory l
l L
Commission. " .)l i
i Approved: August 29, 1984 24
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202
~T UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV
{'
(b) On the title page, provide information of the type illustrated in Exhibit 4.
(5) Basis for Report Dates'(s)
(a) The basis for dating may be shown along with the -
, date on the, title page. V.arious . bases for dating are _
, possible; e.g. , date report completed, date reviews ,
completed, date published, date distributed, etc.
(b) More than one date, with the basis for each, may be shown where this is necessary.
- 3. Availability and Price Information All formal reports will be made available for sale by NRC and NTIS.
The statement shown in Exhibit 6 is required on the inside of the front cover.
- 4. Disclaimer The following notice shall be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by the United States Government .
Neither the United States Government nor any agency thereof, or I{~ any of their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any information, apparatus ,
product or process disclosed, or represents that its use by such third party would not infringe privately owned rights." The follow- -
ing additional statement, "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" will be printed below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed (see Part I .C. ,
Requirements for Draft Reports).
- 5. Previous Reports in Series If the report being prepared is one in an ongoing series, list all previous reports in the series. Include report numbers and issuance dates. Place this list on the back of the title page.
- 6. Abstract An abstract of 200 words or less shall be prepared for each formal report. Within the report, the abstract shall appear on a separate page between the list of previous documents in the series and the contents page.*
j- This preferred positioning of the abstract in the document need not be fol-lowed if the style manual of the originating organization requires a different location.
25 Approved: August 29, 1984 _
PUBLICATION OF TECHNICAL REPORTS PREPARED BY .
NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED
~ Part IV UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS
- 7. References and Bibliographies Reports or other documents referenced in text, reference sections, bibliographies, and appendixes of unclassified regulatory and
. technical- reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office, at the National Technic'al Information "
+
i Service, or at other reference or sales "o'utlets) 'or iri Ehe N'RC '
Publi-c Document Rodm. This means that references should not be -'
made to personal communications and interviews , unpublished information and information - with restricted distribution (e.g.,
proprietary, national security, official use only , etc.). If the unretrievable information is important and unrestricted, it can be quoted in the text, in footnotes, or in appendixes. If credit is due to individuals, they can be mentioned in the text or in an acknow- )
ledgement section. Availability may be stated collectively for all
, entries (see Exhibit 6).
i .
Guidelines for developing and presenting reference material are
, provided in NUREG-0650, " Technical Writing Style Guide," pub-4 lished in November 1979 (see Appendix A, pp.19-23, for specific guidance) and Supplement I dated February 1982.
- 8. Bibliograpic Data Sheet , <
t.
! NRC Form 335 (Exhibit 7) shall be prepared and included in the -
- camera-ready copy as the final right-hand page. !
l 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 t patent rights of NRC or the contractor. The DOE Operations Office responsible for the contractor should perform the patent review.
The results of such review shall be reported by the contractor on
, NRC Form 426A in item 11 (Exhibit 5).
$ 2. Security Review
. In most cases, reports will be unclassified. Should a report of sen-
- sitive unclassified or classified work be required, however, the NRC project manager must work with the Division of Security to establish the appropriate classification procedures and inform the t contractor. The standards for marking and handling such reports '
are given in Part V of this appendix and NRC Appendix 2101.
l
./
l Approved: August 29, 1984 26
PUBLICATION OF TECHNICAL REPORTS PREPARED BY s NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202
- f 's UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV C. PROCEDURES FOR PRINTING AND DISTRIBUTING
- 1. Printing Contractor reports may be printed only by a JCP-authorized print- ~
ing plant and then only if prepared for the NRC ' Office of Nuclear Regulatory Research. Reports printed 'b7 the contra'ctor' an'd one -
reproducible master shall be submitted to the Division of Technical -
Information and Document Control, with completed NRC Form 426A.
The number of copies specified by the Statement of Work for stand-ard and incidental distribution shall be provided. The appropriate identifying number (NUREG/CR _) may be obtained as discussed in Section A.2.b.(1).
- 2. Reprinting Requests for reprinting of any report at NRC expense subsequent to the initial printing requires approval of the Division of Technical Information and Document Control. The request shall include a written justification and the project managers approval for the re-printing, along with address labels for the recipients.
- 3. Distribution of Reports s
((, , All copies of unclassified formal contractor reports will be distrib-uted by the Division of Technical Infonnation and Document Control in accordance . with instructions on NRC Form 426A (Exhibit 5).
NRC Form 426A must be signed by a contractor official authorized by the project manager. Such authorization shall be reported in -
writing to the Division of Technical Information and Document Control.
m If any distribution is to be made other than, or in addition to, the standard distribution established for the report, written justification and the project manager's approval for printing additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control. Address labels for the additional distribution must be supplied.
The Division of Technical Information and Document Control will arrange automatic distribution of these reports to the NRC Docu-ment Control System, the NRC Public Document Room, the National Technical Information Service (NTIS), the Government Printing Office and the Depository Library Service.
Distribution of sensitive (unclassified) and classified reports will be made by the NRC project manager on a case-by-case basis, et m -
~
s
, PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202
(\
PART V REPORTS CONTAINING SENSITIVE UNCL'ASSIFIED AND CLASSIFIED INFORMATION . -
~
A. ,'dPPLICABILITY . _ . . _ . .-- -
1 These procedures and exhibits of this part apply to sensitive unclassi-fied and classified reports prepared by NRC contractors . These reports include those designated:
Official Use Only Limited Official Use ,
Proprietary Information ,
Safeguards Information .
Confidential Secret Top Secret Only sufficient information is presented here to aid in the preparation of the properly marked covers, title pages, back covers, and text pages.
Details of the NRC Security Program and specific provisions for deter-
,/ , mining when to use tne markings exhibited are contained in, NRC 1\ Appendix 2101.
The reports covered are defined as sensitive unclassifiedyr classified.
Sensitive unclassified information refers to information designated Official Use Only , Limited Official Use, and Proprietary Information .
Sensitive unclassified information also includes Safeguards Information
~ '
that must be protected from unauthorized disclosure 7' pursuant to 10 CFR 73.21 and Section 147 of the Atomic Energy Act of 1954, as amended, information withheld from public dissemination under the Freedom of Information Act or Privacy Act, and information not to be exported to or disclosed to foreign countries.- _
Classified information as used in -this part includes Restricted Data, Formerly Restricted Data or National Security Information that requires protection in one of the three classification categories described in Executive Order 12356: Top Secret, Secret or Confidential.
The uses of each of the sensitive unclassified and classified categories and the markings required on reports are discussed and exhibited in the following sections. All sensitive unclassified 7nd classified reports are to be sent directly to the project manager.
B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION. '
NRC regulations require an Official Use Only marking to be placed on a f(. report only when the originator or other holder believes the marking is 29 Approved: August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC App:ndix 3202 -NRC CONTRACTORS, INCLUDING REPORTS PREPARED .
-Part V- UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS _
l'* \
I essential to ensure proper handling. Reports designated Official Use .
/
Only .will contain only unclassified ~information originated by or furnished to an NRC" contractor which is to be withheld from public disclosure. The report on which the marking appears must be reviewed at the. time a request for release is received to determine its releasability. The Official Use Only marking is notice of the originator's determination of the applica-bility of an exemption under the Freedom of Information Act or Privacy Act or both at the' time of origination.
~
~,
y Official Use. Only NRC contractor reports shall be marked as shown in -
N . E'xhibits 8 - through 10.
Limited Official Use information is information originated .by the U.S.
s Department, of State. A report originated by an NRC contractor that contains Limited Official Use information shall be marked as shown in l Exhibits 11 through 13. ,
Procedures for reproducing, transmitting, protecting, and handling reports containing Official Use Only and Limited Official Use information
- and removing such reports from those categories are detailed in NRC Appendix 2101.
C. PROPRIETARY INFORMATION j Proprietary information is a specific type of Official Use Only informa-
[ tion. Proprietary information includes: -;
m[. 1
../
- 1. trade secrets.
T- 2. privileged or confidential research, development, commercial or financial information exempt from mandatory disclosure under _
10 CFR Part 2, " Rules of Practice for Domestic Licensing Proceed-ings," Sections 2.740 and 2.790 and under 10 CFR Part 9, "Public Records," Section 9.5, " Exemptions."
- 3. information submitted in confidence to NRC by a foreign source,
- i which has been determined by NRC to be unclassified.
l Unclassified NRC contractor reports containing proprietary information 4
shall be marked as shown in Exhibits 14 through 18. In each instance, the optional wording that describes the material being presented should be selected.
1 i If a report contains both Official Use Only information and proprietary
! information , the front cover shall be marked as proprietary information and may also be marked as Official Use Only information, if necessary.
L Pages in the report that contain proprietary information may be marked L accordingly, including, marginal or other indicators of the specific woeding that is proprietary. Similarily, the pages that contain Official Use Only information without proprietary information may be marked Official Use Only
- s. '
l t 5pproved: August 29, 1984 30
.r .
.. PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V
~
_( Procedures for reproducing, transmitting, protecting and handling pro-E prietary information reports and removing them from the proprietary information category are detailed in NRC Appendix 2101. A cover sheet (Exhibit 19) is to be placed on each hard copy of a report containing l proprietary .information. .
~~
D. S, AFEGUARDS INFORMATION s q
Safeguards information muy be of three types: (1) classified informa- -
tion , which is marked and handled as indicated in Section E, (2) un-classified information restricted under Section '147 of the Atomic Energy Act, which is marked and handled as described in this Section, and (3) unclassified 'information, which , is publicly available and handled as indicated in Parts I through IV.
The safeguards information that is to be protected as described here is unclassu;ed information used in a report which specifically identifies certain licensee's or applicant's detailed:
- 1. security ' measures for the physical protection of special nuclear material
- 2. security measures for the physical protection and location of certain f , plant equipment vital to the safety of production or utilization p facilities .
i Unclassified NRC contractor reports containing safeguards information that is to be protected shall be marked as shown in Exhibits 20 through 22.
Procedures for reproducing, transmitting, protecting, and handling safe-guards information reports and removing them from the safeguards information category are detailed in NRC Appendix 2101. A cover sheet (Exhibit 23) is to be placed on each hard copy of a report containing safeguards information.
E. CLASSIFIED INFORMATION Classified information is limited to Restricted Data, Formerly Restricted Data and National Security Information . The procedures for making classification determinations and for marking, reproducing, transmitting, protecting, and handling reports containing classified information and removing such reports from classified categories are detailed in NRC Appendix 2101. These procedures are too complex for summarizing here.
Classification determinations regarding NRC information may be made solely by authorized classifiers designated by NRC or DOE. Authorized classifiers are responsible for insuring that reports they determine to be classified are marked and protected in accordance with the provisions j of NRC Appendix 2101.
f( -
T.
31 Approved: August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC App:ndix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED
- Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS It is important to note that information may not be classified in order -
to prevent or delay the release of information that does not require protection in the interest of national security. Basic scientific research information not clearly related to national security may not be classified.
l l
l
's l
Approved: August 29, 1984 32 l
PUBLICATION ,OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 m
g UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V EXHIBIT 8 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY NUREGICR XXXX (S)
Title Subtitle and Type of Report Author (s), Editor (s) e er for U.S. Nuclear Regulatory Commission
!N witHMOLO f ROM PU8UC DISCLOSURE l
l OFFICIAL USE ONLY l
33 Approved: August 29, 1984
d PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202- NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS -
EXHIBIT 9 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION m
OFFICIAL USE ONLY NUREG/CR-XXXX (S)
Title Subtitle and Type of Report Marmscret Completeo:sostel Date Pu%ehod: tmonth, veer)
Aut'ertal. fetortel Cot,-tor. e e Ei:Teti,"'*' n Ottice j t
.S. uct u Commiselon '-
NRC FIN No.
i l
l l
OFFICIAL USE ONLY I
l }
l Approved: August 29, 1984 34
PUBLICATION OF TECHNICAL REPORTS PREPARED BY
^
NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202
,7 \ UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS PLM V EXHIBIT 10 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING '
OFFICIAL USE ONLY INFORMATION L
OFFICIAL USE ONLY
../ ',
- j. .-
OFFICIAL USE ONLY 35 Approved: August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY .
NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDFR OR PURSUANT TO INTERAGENCY AGREEMENTS ,,
EXHIBIT 11 -
SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION a
.- s .
LIMITED OFFICIAL USE NUREGICR-XXXX (S)
Title Subtitle and Type of Report A Editorts!
I/*sI*Uct..'r n.eus tory commi ion
~
WITHHOLD FROM PUSUC DISCLOSURE l
LIMITED OFFICIAL USE i
Approved: August 29, 1984 36
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 m UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS Part V I '
)
EXHIBIT 12 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING j LIMITED OFFICIAL USE INFORMATION q LIMITED OFFICIAL USE NUREG/CR XXXX (S)
Title .
Subtitle and Type of Report Manwecret Completed (detel a t m,,em., - ~ ~e.e
,f 3, $%'Y '*'
i\ Office i i U.S. Nucteer Ro ulatory Commiselon
- n "4'a"i.
I LIMITED OFFICIAL USE '
\
37 Approved: August 29, 1984 L
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED -
Part V UNDER OR PRSUANT TO INTERAGENCY AGREEMENTS
.]
EXHIBIT 13 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE s
./.I ,I i
I i
l i
i LIMITED OFFICIAL USE l
t l
Approved: August 29, 1984 38
. PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V h
EXHIBIT 14 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION M
~ -
PROPRIETARY INFORMATION NUREGICR-XXXX (P)
Title Subtitle and Type of Report Authorts). Editor (s)
Contractor Prepared for U.S. Nuclear Regulatory Commiselon j(l MME AL OR FIN N INFOR O 21"'":"ur ** *'*""'" "
iName of Company and Name of Sutw=ned t be or rv i R 2 790 tbin (10CFR 9 51110CFR Part 21) and e ant o 10CFR P WITHHOLD FROM PUBLIC DISCLOSURE is.gnatute T.tw and ON<en Datei PROPRIETARY INFORM ATION
' (/( , ,/
39 Approved: August 29, 1984
. . - - _ _ , _ . - . _ . - - . . - - . . . . _ _ .m. . . -
J PUBLICATION OF TECHNICAL REPORTS PREPARED BY
- NRC App:ndix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS
~ .),
EXHIBIT 15 SAMPLE COVER PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FORElGN SOURCE PROPRIETARY INFORMATION NUREGCR XXXX (P)
Title Subtitle and Type of Report Author (s), Editorts)
Contractor Prepared for U.S. Nucleer Regulatory Commission FOREIGN :P.F0F MATION /
w,;g ..-- .-
'Nm os como.av .no N.m. oe submmen
-, oc a,'t,%',".'.o'!."o'v"J"Acio.o,.
WITHHOLD FROM PUSUC DISCLOSURE
,see.,o,. 7.v. - o . io .,
i l
l l
l l
PROPRIETARY INFORM ATION
)
Approved: August 29, 1984 40
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V
{ ' ~.>
EXHlBIT 16 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION m s -
PROPRIETARY INFORMATION NUREGICR-XXXX (P)
Title Subtitle and Type of Report 5.'i7u'E#Yo e a$.'Ne
CL7en'OL ..
.e , R, e,.4 e.,
4 ! Diviolon j (- Office
.. U.S. Nuclear Regulatory Commisalon Weehington. D.C. 20086 NRC FIN No.
~
OM ERC AL 0 FINA CIAL N ORMAT ON The cument conte as eformaten submmed
'Name of Compan, and Name of Wnen o ary e hIO 2 790 tops tif)CFR 9 Ss 410CFR Port 21) and e
'J7,'o*iE,'?,".,T '""* ****"'"'"
WITHHOLD FROM PUOUC DISCLOSURt
.s .er .n. o,.... .o....
PROPRIETARY INFORMATION
,I 41 Approved: August 29, 1984
= 4 PUBLICATION OF TECHNICAL REPORTS PREPARED BY
- NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS
}
~. _ f "
EXHIBIT 17 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE s
9
~~
PROPRIETARY INFORMATION <
NUREGICR-XXXX (P)
Title Subtrtie and Type of Report Etn.'N'e Authortal Ednortsi e P mont . I
!"=a',=L ,
'S Prepared for Division
\\
Ottice U.S. Nucleer Reguletory Commiselon Jl f Weehington, D.C. 2tNE5 NRC FIN No.
~
FOREIGN INFORMATION su ed NRC 3Name of Compaay and Name of Settert 0" .%"Ol"4'.l'4 TaL .,.
pursuant to 10CFR Part S WITHHOLO FROM PUBUC DISCLOSURE S.gnature Titie and ONet iDavet PROPRIETARY INFORM ATION
)
Approved: August 29, 1984 42
o PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V
(. '
EXHlBIT 18 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION
- 6 ,
PROPRIETARY INFORMATION
, ,/ N
{\-
b PROPRIETARY lNFORMATION 43 Approved: August 29, 1984
- t PUBLICATION OF TECHNICAL REPORTS PREPARED BY l NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED 9 Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS j
', l 3,
.> l EXHIBIT 19 R
COVER SHEET FOR REPORT CONTAINING PROPRIETARY INFORMATION mW PROPRIETARY INFORMATION NOTICE 8'
THE ATTACHED DOCUMENT CONTAINS " PROPRIETARY INFOR-MATION" AND SHOULD SE MANDLEO AS NRC " OFFICIAL USE ONLY" INFORMATION. IT SHOULD NOT BE DISCUSSED OR MADE AVAILABLE TO ANY PERSON NOT REQUIRING SUCH INFORMA-710N IN THE CONQUCT OF OFFICIAL SUSINESS AND SHOULO 8E STORED, TRANSFERRED, AND OISPOSED OF 8v EACH RECIPIENT IN A MANNER WHICH WILL ASSURE THAT ITS CONTENTS ARE ..
NOT MADE AVAILA8LE TO UNAUTHORIZED PERSOf45
/ )!2 COPY, DOCKET NO.
CONTROL.
REPORT.
REC'D W/LTR DTD.
l I
PROPRIFTARY INFORMATION Aporoved December 10. 1980 g Approved: August 29, 1984 44
b .
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annanaiv a?n?
t'
/' Ti UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V EXHIBIT 20 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING O
UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORMATION NUREGICR-XXXX (SG)
Title Subtitle and Type of Report Author (s). Editor (el Contractor N uci r Reg alatory Comrnlesion es og met sees made (PsameHistieHOrgemastenHDetes -
Y O E L *L Uo E' ol %*** N E "
, SAFEGUARDS INFORMATION 45 Approved: August 29, 1984
. . .i PUBLICATION OF TECHNICAL REFORTS PREPARED BY -
NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS ..-
).5 EXHIBIT 21 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING '
UNCLASSlFIED SAFEGUARDS INFORMATION
.~
~
a SAFEGUARDS INFORMATION NUREGICR XXXX (SG)
Title Subtitle and Type of Report Et,77%L""i"a'*4 er "a'0:L Ei*f.id'*' 0 s /'
ve,i e g.gug commi.. ion l
l l
l i
l SAFEGUARDS INFORMATION
^!
l Approved: August 29, 1984 46 l
', 4, .
i PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Anoendix 3202
/~'N UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V EXHIBIT 22 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION a
SAFEGUARDS INFORMATION
,I l\s SAFEGUARDS INFORMATION a
- i -
47 Approved: August 29, 1984
~
PUBLICATION OF TECHNICAL REPORTS PREPARED BY '
- NRC App;ndix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 23 COVER SHEET FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION .
.),
d.N su ,
P _
~ ' ~
M_I. SAFEGUARDS INFORMATION ~p: s
.q .
.a, 3 ,
}
i
,r s< ,
TH!S DOCUMENT CONTAINS INFORMATION WHICH MUST BE PROTECTED FROM g~ ; '}
r ,
UNAUTHORIZED DISCLOSURE.10 CFR 73.21 AND SECTION 147, ATOMIC ENERGY -
( ACT OF 1954 APPLY. VIOLATIONS ARE SUBJECT TO CIVIL.OR CRIMINAL PENALTIES. i h
y, THIS DOCUMENT IS NOT TO BE LEFT UNATTENDED OR ACCESSIBLE TO UNAUTHORIZED PERSONS. WHEN NOT IN USE, IT MUST BE STORED IN A LOCKED SECURITY STORAGE e ,
f) CONTAINER.
l IT IS YOUR RESPONSIBILITY TO PROTECT THE INFORMATION CONTAINED IN THIS l DOCUMENT FROM COMPROMISE, THEL-T OR UNAUTHORIZED DISCLOSURE.
l ,
! t l
I .
\ .
l 1
.' SAFEGUARDS INFORMATION -
l
&_$ V .f.
. w >
hxxv.orvo . M w
W. -
1 0 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED
\ UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202
&( J PART VI HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE _
' ' PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS ~ ~~
AND WITH U.S. INDUSTRY .
The Nuclear Regulatory Commission has requested that its Program Offices establish, to the extent feasible, cooperative nuclear safety research programs that involve either or both U.S. industry and foreign governments and orga-nizations . Such involvement includes monetary contributions , information exchange, and comments on program plans and results. This is authorized in 42 U.S.C. 5801. To this end, international and U.S. industry agreements have been signed that provide for transmitting unclassified information from NRC to participants. These procedures apply only to NRC-managed work not programatically funded by DOE.
l The interests of all NRC cooperative nuclear safety research program partici-pants are served best by early, rapid dissemination for comment of informa-tion on these programs developed for NRC by NRC contractors. This can be accomplished by distribution of " Draft Preliminary Reports (or Codes)" for
,/ s comment for a specified period of time, followed by issue as formal NUREG/CR A' reports , with the concurrence of the participants. Specific procedures for accomplishing these goals and for transmitting information prepared by the NRC and DOE facilities and contractors and their subcontractors working on these programs are presented in the following sections. The procedures de-tailed here have been agreed to by DOE and have been provided to the responsible DOE Operatione Officers and NRC Program and Project Managers -
as guidance.
A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT '
The first issuance of information by a contractor shall be designated
" Draft Preliminary Report (or Code)," and shall include the cover sheet shown in Exhibit 24.
The following notice is to be printed on the bottom of the cover sheet (Exhibit 24):
NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM
- This report was prepared in contemplation of Commission action . It has not have received patent review and may con-tain information received in confidence. Therefore, the con-
, tents of this report should neither be disclosed to others nor
]4 ./ reproduced, wholly or partially, unless written permission to do so has been obtained from the appropriate USNRC office.
The recipient is requested to take the necessary action to ensure the protection of this report.
49 Approved: August 29, 1984
.4 PUBLICATION OF TECHNICAL REPORTS PREPARED BY
- NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS This notice has been agreed to by the legal staffs of both NRC and DOE s' and is not to be added to or changed. Any problem in this regard shall be brought to the attention of the NRC project manager, who will consult .
with the NRC legal staff.
The " Draft Preliminary Report (or Code)" shall be submitted by first class or express mail by the contractor to the NRC project manager, -
with the letter shown in Exhibit 25, in the number of copies specified by 1 the project manager (in most instances this will be fewer than 20 copies). ,
The contractor (DOE facility, contractor or subcontractor or other con-tractor) may retain copies only for internal use. DOE facilities and contractors and their subcontractors shall not distribute copies of this draft report to DOE /TIDC. Draft reports may be distributed to interested DOE program offices. Subsequent issues of the information shall also be designated " Draft Preliminary Report (or Code)" until the NRC project manager authorizes preparation of a NUREG/CR report.
"Draf t Preliminary Repcrts (or Codes)" shall not be identified as NUREG/CR reports or carry any contractor report number or NRC dis-tribution codes.
B. DISTRIBUTION BY NRC PROJECT MANAGERS The NRC project manager will distribute the copies received only to (1) the participants in the program, (2) the NRC staff with a need-to-know, and (3) others authorized by the program or project manager. Trans-mittal to participants shall be by first class or express mail, including >))
air mail to foreign participants. If premium cost mail services are to be used, a Division Director or comparable or higher authority must certify to the need on NRC Form 420, " Request for Premium Cost Mail -
Service." Premium cost mail is:
- 1. Express Mail, Priority Mail (First Class weighing more than 12 ounces)
- 2. International Express Mail (Air Mail weighing more than 10 ounces)
(See Chapter NRC-0255-058 and NRC Appendix 0255, Part V, Annex A)
C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT A minimum of six months will be allowed for comments and resolution of comments . At the end of the comment period, the NRC project manager shall, with the concurrence of the participants, authorize the contractor to issue the information as a NUREG/CR report in accordance with the provisions of this Chapter.
D. REPORT IDENTIFIERS The "Draf t Preliminary Reports (or Codes)" will be uniquely identified i
/
only by the Financial Identification Number (FIN) assigned by NRC and Approved: August 29, 1984 50
PUBLICATION OF TECHNICAL REPORTS. PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI (N
the appropriate periodic notation, if any, included in the title (Ex-hibit 24). They shall not be given standard report nomenclature until the NRC project manager authorizes publication as a NUREG/CR report.
At that time , the contractor may add its own designation below the
' NUREG/CR- number, as shown in Exhibits 3 and 4.
~
E. ,. MAILING TO PROGRAM PARTICIPANTS _ .._ .- -
~ ~
The physical transmission of reports from NRC to program participants )
shall be handled by the Document Management Branch (DMB), Division of ,
Technical ~ Information and Document Control (TIDC), based on address '
labels of participants supplied by the project manager. The transmittal sheet shown in Exhibit 26 shall be used to transmit the documents and the labels to DMB.
F. SECURITY If information included in the report or code has been determined to be sensitive unclassified or classified information (see statement of work) the procedures of Part V also apply. The report (or code) may not be classified solely for the purpose of limiting distribution to the partici-pants.
~
(('
'W s
,/
f.4 Ar.y.ngath 4%MruaL20 1984
- e.
k PUBLICATION OF TECHNICAL REPORTS PREPARED BY ,
NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHlBIT 24 SAMPLE COVER FOR A. DRAFT PRELIMINARY REPORT (CODE)
FOR COMMENT
'0 RAFT PRELIMINARY REPORT (CODE) FOR COMMENT
_ e
- ... FIN NO.. - -
Title of Program Subtitle for This Report, Including Appropriate Periodic Notation, If Any (e.g., First Quarter, Issue No. 1) w
~
Prepared by (Name of 00E Facility, Contractor and/or Subcontractors, if any) for U.S. Nuclear Regulatory Commission NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of Commission action. It has not received patent review and may contain information received in confiden:e.
Therefore, the contents of this report should neither be disclosed to others nor reproduced, wholly or partially, unless written permission to do so has been obtained from the appropriate USNRC office. The recipient is requested to take the necessary action to ensure the protection of this report. )
Approved: August 29, 1984 52
t o PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202
, .3 UNDER OR PURSUANT TO IN ?ERAGENCY AGREEMENTS Part VI I 8
( '
EXHIBIT 25
~
TRANSMITTAL LETTER FROM CONTRACTOR TO NRC PROJECT MANAGER FOR DRAFT PRELIMINARY REPORT e .
~,
TO: NRC, Project Manager. -
SUBJECT:
DRAFT PRELIMINARY REPORT (CODE) ON (PROGRAM TITLE) FOR COMENT The enclosed " Draft Preliminary Report (Code)" is being submitted for comment.
It is our understanding that the comment period shall extend six months from the date of mailing of the draft to the participants. Upon resolution of the comments after that period and with concurrence of the cooperative program
.s participants, the NRC Program Manag?r will authorize publication of this report in the NUREG/CR series under the provisions of NRC Manual Chapter 1102 or 3202.
DOE Facility or Contractor Representative 4
1 L.
53 Approved: August 29, 1984
- , .F t
PUBLICATION OF TECHNICAL REPORTS PREPARED BY %
NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI EXHIBIT 26 ,
TRANSMITTAL SHEET FOR REQUESTING
. MAILING TO COOPERATIVE PROGRAM .
PARTICIPANTS Recipients: Addresses on attached labels -
Method of Mailing:
~
/ / First Class Postal Service to U. S. addresses
// Express man to U. S. addresses *
/~/ Air mail to foreign addresses *
// Surface mail to foreign addresses (may require up to three (3) months)
THIS MAILING CONTAINS NO PROPRIETARY INFORMATION- OR OTHER SENSITIVE UNCLASSIFIED INFORMATION Special Instructions:
Individual Requesting Mailing:
Project Manager or High Authority
Enclosures:
- 1. Address labels
- 2. Documents to be maUed
- If premium cost mail services are to be used, a Division Director or compar-able or higher authority must certify to the need on NRC Form 420, " Request for Premium Cost Mail Service," Premium cost mail is:
.. Express Mail, Priority Mail (First Class weighing more than 12 ounces)
- 2. International Express Mail ( Air Mail weighing more than 10 ounces)
(See Chapter NRC 0255-058 and NRC Appendix 0255, Part V, Annex A)
}
54 Approved: August 29, 1984
.-- - - - - - _ __. _. ~ -. . _ _ , . . -
. 7.%
,' NRC e ORM 187 U.S. NUCLE AR REGULATOR Y COMMISSION o IT Y g (u7
- (4 80)
NRCM 2101, NRC 5ecurity Program.
N mC*A 2101 apply to performance of this contract, subcnntract or other activity.
SECURITY / CLASSIFICATION REQUIREMENTS COMPL ETE CLASS /F/ED / TEMS BY SEPA RA TE CORRESPONDENCE
- 1. REASON FOR CONTRACT NUM8E.R OR OTHER IDEN. P ROJECTE D 2. THIS SU8 MISSION IS: i REQUIREMENT flFYING NUMBER IPrenecone crnecew COMPLETION EFFECTIVE l m at 6, a own for en a,6coerrects/ DATE /S** ao= 6*o*8 DATE ;
, PRIME CONTRACT R E V IS E D
~. -:
s - ,, s
- 'L e,
SueCDNTRACT ' " ** seemsmst*~ ~
~
7
~
- 0. OTHE R ISeerofyl c. OTHER ISpecotri
- 3. FOR FOLLOW.ON CONTR ACT, ENTER PRECEDING CONTRACT NUMBER AND DATE COMPLETED. D DOES NOT APPLY CONTRACT NUMSER DATE COMPLETED 1
I ,
4a,N AME OF PRIME CONTR ACTOR, OF FE ROR, OTHE R iSases/yl b. N AME OF RESPONS18LE SECURITY OFFICE
- STREET ADDRESS STREET AUDRESS ClTY STATE ZIP CODE CITY STATE ZIP CODE I
Sa.N AME OF SU5 CONTRACTOR (Spec,fy/ b. NAME OF RESPONSIBLE SECURITY OFFICE STREET ADDRESS STREET ADDRESS ;
CITY STATE ZIP CODE CITY STATE ZIP CODE
- 4. PROJECT TITLE AND OTHER IDEN?lFYING INFORMATION
- NRC ADP System Development
. 7. PERFORMANCE VVILL REQUIRE YES NO TS S C NSI RD
- a. ACCESS TO NRC F ACILITIES ONLY.
X q
j b. ACCESS TO CLASSIFIED MATTE R OR OTHER CLASSIFIED INFORMAtlDN. X X X r
- c. RECEIPT, STOR AGE, OR OTHE R SAFEGUARDING OF CLAS$1FIED DOCUMENTS. X
- d. GENERATION OF CL ASSIFIED DOCUMENTS.
.. X
- e. ACCESS TO CLASSIPIED COMSEC MATERIAL OR OTHER CLASSIFIED COMSEC INFORM ATlON. X
! f. ACCESS TO CLASSIFIED M ATTE R OR CLASSlFIED INFORM ATION POSSESSED BY ANOTHER AGENCY. X 1
- g. USE OF AN AUTOM ATIC D ATA PROCESSING SYSTEM.
, M. ACCESS TO NRC HE ADOU ARTE RS, POSSESSION OF NRC PHOTO IDENTIFICATION OR CARD KEY BADGES. X
- 1. OTHER ILwatyl
]
j s. INFORMATION PERTAINING TO THESE REQUIREMENTS OR THIS PROJECT, E EN THOUGH SUCH INFORMA-TION IS CONSIDERED UNCLASSIFIED,SHALL NOT BE RELEAS INA XCEPT AS APPROVED BY: - f/ j
]
nn L Vf NAME Isipwanel C dTUG OF CMrs ant
,.~___._,___.._,_ _ _ , _ , _ _ . , _ _ . - . . . _ , . _ _ . . , , , . _ . . _ _ _ . _ _ , _ _ . _ . . _ , _ _ _ _ _ _ . . . _ _ , _ __ . _ .
C
,' 9. SICURITY CLASSIFICATION C.ErU 'M E NTS
- a GulOANCE F UZNISHE D IN WFs. .NG SY AUTHORIZED CLASSIFIE A AND ATTACAJ OA AS STATED IN 9c BELOW.
- b. '
GUIDANCE FURNISHED IN WRlTING BY OlVISION OF SECURITY AND ATTACHED OR AS STATED IN 9c BELOW.
- c. NATUHE OF CLAS y v,.o e,e m .me -, SlF ICAT ION G UlOANC E Contractor will require access to considerable volumes of data: including sensitive data, some of which may potentially be classified. The computer system is not classified and will not contain classified; however, there is significant potential for inadvertent access to classified information while working on this contract. Contractor must comply with all NRC Security Regulations, to include NRC 2101 Part VI requiring eligibility of contractor employees for NRC "L" access authorization.
- s
- 10. CLASSIFICATION REVIEVf OF CONTRACTOR /SU8 CONTRACTOR REPORT (S) AND OTHER DOCUMENTS WILL BE CONDUCT NAME OF AND TITLE OF POSITION OF AUTHORIZED CLASSlFIER O
G oivi$ ION OF SECURiTv
- 11. REQUIRED DISTRIBUTION OF NRC FORM 187 (Chet A sosirorvia.e tosses //
SPONSORING NRC OF FICE OR OlVISION t/ rem 124) PRIME CONTR ACTOR tirem das y OlVISION OF SECURITY (stem 12e/ SU8CONTR ACTOR tirem sal y DIVISION OF CONTRACTS (stem 12c/ RESPONSIBLE SECURITY OFFICE strems de e,id 5bl X
SECURITY / CLASSIFICATION REOUIREMENTS FOR SU8 CONTRACTS RESULTING FROM THIS CONTRACT WILL BE APPROVED dY THE OFFICIALS NAMED IN ITEMS 12b AND 12c BELOW.
- 12. THE SECURITY / CLASSIFICATION REOUIREMENTS AND ATTACHMENTS REFERENCED HEREIN HAVE BEEN j .
APPROVED BY THE OFFICIALS NAMED IN 12a AND b BELOW. FINAL CONTRACTING APPROVAL BY THE DIRECTOR, DIVISION OF CONTRACTS OR HIS REPRESENTATIVE IS TO BE INCLUDED IN 12C BELOWl NAME SIGNATURE DATE
- a. DIRECTOR, OFFICE OR OlVISION Lee Hiller, RM/D -L ' b
- b. DIRECTOR, OlVISION OF SECURITY ,
Raymond J. Brady, ADM/S A
- c. DIRECTOR. DIVISION OF CONTRACIS I '
~
/# 7 Edward L. Halman, AD h e M
--S 7 py _ q c.. ......
I
It07CS '
. . CJ.DEPARTME%T OF LAllOM til-();0 EMPt.ovuCT 5T ANDARD5 CDMINiSTCATION ". ;;e 1 of 5
- 1 i
, WAGE AND HOUR DIVI 5 EON *~*r wA5HiNcioN.o.c. 2ea to seaser .JIstrIct c.s1. I.8 a -i aryl.ind - PIrciali uc.
..f
= REGISTER OF WAGE DETERMINATIONS UNDER i .: . -
Id , THE SERVICE CONTRACI ACf ^*: it n .Lalin:rt (*19,1;h. ort. s (017' , ya s ^, ey asuection of the Seceetaev of Latso, LOCALIT Y i.uest;;.. w*ry ('111) , *r : .te a:c..rges (OT P ,
z . :onal *:t . :.ary 'r. ('13 7) c.n. it i .
u .
VA : 5/
- C -
a pt+ W. M. Otter Administseese
.g f '
wage determanaison s. umbers ::0-1.34 (l;..s . 17 ) Date: g 3_ y y_sy 4
\ . ;* y Fr. age benelet povestones %,
Clast of service employee howstY Walth & g wage welfare - .;y .
- 1. Secretary V Sil.74 2: Secretary IV 9.62 ,
- 3. Secretary III 9.29
- 4. Secretary'II H.44
- 5. Secretary I 7.68
- 6. Stenographer II 10.24
- 7. Stenographer I 9.13
- 8. Transcritsing-seachine typist 8.76
- 9. Typist II C.93
- 10. Typi s t I 6.33 '
- 11. File clerk III
-12. File clerk II
~
7.37 5.55 8
- 13. eJ!c clerk I 5. 2;I
- 14. tieshenger , 6.45
~
j
- 15. Aitcht.oard operator '6.36
- 16. Sinitchboard operator-receptionist ,6.66 i
- 17. Order clerk 11- 7.09 i
- _ 18. Dr.ler clerk 1 6.42 .
- 19. Accountinr. clerk IV 9.14
- 20. Acco nting clerk III '
7.19 -
- 21. Accountine, clerk 11 '
7.I1 -
- 22. Accounting clerk 1 5.78
- 23. Payroll clerk '
7.20 I
i 24. l'ey entry operator II 7,24
- 25. Key entry operator 1 6.16 _
T . -- . . . . . , .
.#r.1* L. * * .e e .
I.
' * * " " ~ '
i 'l .
. . r- -
a I
,. g U.S. DEPARTMENT OF LABOR 9
EMPLOYMENT ST ANDAllDS ADMiNIST RATI'ON e
- pa g.,e 2 e.{ S WAGE AND HOUR DIVISION l WAjHINGTON D.C. 20210 -
Stater ;'i;t ric t . f :..) .i
- 'e i .2 - ; o ryl in.1 - V i r,- i n i .. o ,-
- REGISTER OF WAGE DETERMINATIONS UNDEll -
.ns -
Tl4E SER' VICE CONTRACT ACT ^ "* : sus: ;.sive re (00"), citarl es (OI7).
t or direction of the Seceetary of Labor s L OC AL'T Y lion s ; * .."ry e
(011)a Prleice Generg;eg (011$,
8 ami.I ':t. . ary*s (')U) :;o. int I c:
I W. M. Otter Administeetar "n: 2/
wage determination e. umber: ( p i ..f , ]7 )
- t o - 3 2 n.*.
, Da t s' 11 'Z-R4 Minemum Frmge tienefit payments
, j Class of service employe* - hour'y ..
n,aith s' waqo Wel f a.e vacation Holiday Ot ne.
- 26. Computer programmer III 1/ $ i 3. 7.1
- 27. Coisputer progravimer II If 1I.89
- 28. Com mter progras.mer I I/ .
I I . 3 31
. 2 't. Computer oper.itor III -
10.47
- 30. Computer operator II B.79
- 31. Comemter op. rator 1 0.59
- 32. "cripheral e,piip..ent operator 7.72 ~
- 33. Computer data IIbrarian '
7.89 34 Pre f ter V *
- 12. 4 fl f8 33. Dra f ter IV 10.1I 34 Draf ter III 11 . 0 1
- 37. Drafter II 6.90 38., Dra f t er 1 5. Il 1
~
! 3 ') . T>chnieIasi 111 l 2. F16 )
. 40. Technician It 10.23 i 41. Technician I G.73
' * . i.o. .n t c - .;. ;t n. : ais,i ty.: t i11
- / 16.16
' 1. e;. . u s .
-:;..:i en.: .in.i ' y:: 11 7/ I3.77
/ '. . ;. e .ie: e r + 7 :1. .rs :- .ui.n l y :t i Y,*
- 10. Illi
'. " . i. i ' r.e - I ..n ') . 6 2
'. 6 : i t.r.o r - ocet er '
7D
- 7. Pi ... . r $ .... .Ie'r b7I
- t. . ~ . ., * . . . ' s . 1 11 Iso :t r. e on- -
IU 2 I
- . *lypini-filt? clerk
'O. 11 erit s w 1 y unwisiew' eg a r.it s.r _
- '. t'.esIe=si.ydeis- te ionis i.iii
. "*"I
. , . , Ms <l I s e = i :n :::: :
18 . D 'i
's 1. H 1 cl pa e = i=::::e Dr I 8* . II 4 "e4. 'lle e i 3.t ji .e.i .;t ,
_ , f 18
w i '- e t
- e U.S. DEPARTMENT OF LABOR pa.ge,3 og 5 CMPLOYMENT ST ANDARDS ADMIN 85ift ATinN WAGE AND HOUR DIVISION -
WA5tilNGTON.D.C. 20210 . .
State: gg-District of Columbia.Maryl.ino-Vir.J ini.
l REGISTER OF WAGE DE TERMINAT.ONS tlNDLit Jl
. ~ . .
Mn_
Tile SERVICE CONTRACI ACI ^'** MD: ,' ,g oy deensiwi or one sneeterv as s. ho, s.oc As.s r y Calvert (009), Charle; (OI7),
Hontgomery (01I), Prinee (;. oregen (033), and St. Mary'n ( r: 17 ) ca un e s , .s C. M. Os see M
- VA: ~5 / ',.
Ailenenessentee -'
y __
~
Wave detesmiaation aumlier: 80-1294 .(Itev. 17 ), ,_
p.s t e 11
, _ ,, ,, ~',7. ,8 4_
Me.nsenuen Freesa pe tsestefei sear a nwell Csass of Seevice emsitoyee ._._ _
hou'Ir .. ese,etti s' wese ;weira e v at. e ws.esay ottice
- 55. Exhibits Specialist III S12.48 3.- -
- 56. P.xhibits Specialist il 10.11 57 Exhibits Specialist I
~'
11 . 11 1 SH. I l l us t ra tor III 12. 4 FI
~
- 59. Illeistrator li 60 10.I1 .'
IIliestrator I 11. ti l :,
- 61. Photographer iII ] ? . 411 ;.-'
- 67. Photographer II 10.II
- 63. Photorirapher I 11. It 1 4
- 64. Teichnical Informatinn Speci.1ini iii '- '
I ? . 4 81 .
65 Technica1 Information Sp.ci.iiini Ii 10.Ii ..-
66 Technical In formal: ion Spe c i.il i n s I II . Il I . '
g ..
"o y ,
Y,.
I
(% '
4 t 1.~.
1, .
. I '
. s
' . . 3, .
- I l
E .
l .' w lt. 3.* ': *:
l:.
% '\ .N N j y
- % 'O.
M m
L .* i .. +
3 i ? * .S t - . * , .
. C)
- "1 *~
f* : #* gye it I : : - E
- ** *: 9
.. *J L 1 : *3 ,. .J % M #3 M 's
- * '.8 'J d L it S H F F : O L - * .1n O E, N i 4 -
gHM Q J" % *: : .. . m4 .,
- M" O L . ': r. h * , -
g .c 1 ** "A N : L
,1 M. :" -.
O"**O gC mm >q$mM z 2 . ~- 2 r. c p. : n s1 s 4 -
-i g, m . e 3
-* 4
. . :. - 2 *g
- n - = h* - .. - :: '"'t 3 *s
. n c' n ( te k "'i , , ,
2 s 3 e-
- a : :.
? .3 L **
. . r ,,, ,
- t; cs a- =-- :. 2
.1 3 <C 2> x>v-e 3 -
1 C* 1 *:
u .4. .'g-LM :. u . -
22
- s.J*
. *: :. . E .s
.% 1 r:
=:
r) . .-g O *n O o >z d== ==
1 1 L N. ":; .: W
< -.1 1. C- : -* - ..a * .. * . r")O-.
O. n .70 O o3 ym E 3 =
n sa
=
-1.. -< b N
=
-S nn
= ;
0 -,
- c 2
.:co
- =5 .
n Ca Ce M
=
w L .* s. .L e. O. .r% O t- & . .
.. . . ~ * - - -
- 4= (4 C > 0, 3 r * - *
- C# .:,
-==i
-e
~ L
/e
- 1: ,-
-1 L =
su e =
'4"
.-g z gr
< 's _ .g_o-1 - t .. - .. 4 .. O * .
-1
- c. e i e =*n2 %e- >
.5 *== *: 1. * .1 .; " 6 e r* , y - 3 2 :l:
, .L.
.s. :.: . :*
s 1 -
'. e -
- e;,
3 "f.
-g *2e-O - = =
.. . " :,, *. c. -
9 .1 ., .a. . .
O 2
.* -8 -
N! 1 L g 3
- = t "C *
. J 1
.:J ma e "2 "9
=* %4 '". == 4 @
1 1
.4 L -3* L
- s %; f h .0 l . ..4 > ,
3
. .# .. ... "*; E1 .
3 .-
g
- ** :" **- ** i -a** 9 3"
- L =
"'" 9 L .
-- -2
.2 -t L : .*
- a
- 9 r'. m 3
=
- 3 . . .~ :
- . - .
- . *.: 2 .:
C' =
.. 1 l
- J . '. *. 2 . .* *
=1 t O
% . F. : * =
=
L L' s
.% .a. . "t .% < .
'. O : *
-= : l 1" =.
- I,
."% .% ..L .m
- r" a.
== = =m : u =: .
- f *
- i
- . .:ri<
s** .: :=
c-L* N
- f.
1l > i
- " 'A e .: m. i ;T f.
L.
- -. O .t 2
. x. J :
f t l3
.- . ;: .. . t ,
g
,L y *.! J ;* O .*.. -:
) Q g
.. r=
.1 e.*,. ,
> y.
.%^ J *
- T .1 g 1 . ; h P. -= ..J. ; 1 *** . r=
Y.E _= = e. 4
- m
- L = m e -.
- t 3 9 3 t
..A .d * --
7 :* ** w.e C ? I* '$*
,s s *
.t L
I'43 s E e
,. - l.. 1
. ' ; .= . t g
i - .
J t ta -L .3E'..- L .. .. i i
- .i. o 3 -
L : :. '
- " le :. * :-L..,
9
= -
- J. j . .,.,.3,..*.*.4".f .C.
2 . .. A. 4.*3. ;- e, 3 O.-t . v...< . -= :..r . . -i t. c.
- . .; ., .- 1- N. .:
'.s#' .:' *. '. '-* * *
- g, C 3 -
L, "I. , M 7. . *, et
- r" < r*
=8 a= .
- e '89 $ n g '
II .sia ) .* * '3
== * .. .* 2" 9 - jpg 19. N M * "t :
.3 c: n '. - -
7.1 9 % .= .4' e a n .*
l
~
- r. J* ~ m n
y L
n
~~
- P. "
2
^ 1.*. ~
- p. . .'.3 .Z. ., ;; A .'l
- 11 . ** ^
- -..~.=: * .'O *
< == a't -e "3
' - - J - n 9 7 . .': 2 : L
! n" == f '.: .h.
. 1 < M. ecs %,
z .a .
, = 0 . e 1 L = L- - =
L =.a= . C. .
- ='s . e
! ^ *
< - :s .ns.
- i. 3 : 1 .
-i ..
- e. -
- . .% .,, l t
- -= :: . J l
- ="* *
- i '! ;* .- , la e,- . 4 i L ,e
== 9 : N : ,, : 1 m
. ee.
- -.4
-I!*
i ,
O 3 *4 -
! * .s :. : : . 5 -i .L i
- 4 .
M i 4 f" : a .9 i
.. - 'J a .: . . :
- t". r- : <= .s ..
4 9, e : e .-=
- 7-
,D 2
- i : -
3 a 9 0 ; . *;
j: -
- 7 ..- .* " . * - : l
? :
N -
,! - ... L -ll*
- 7 7
. .- e
= ... ,; l :.
.1 t .t a n i =- -
i 2 :-
7
- i
! e.
s
- " - a
. .g 3 3 .
~
b- ^
.** L
- l l ."
- L- - .
, 1 2
e.
,- r
.: s
.s i:-
9
,U 5 '( ! l .'# ,
i ,
e em .,,, e
{ $ .=8 i
l
.$g ;* = f .'
e e N
[1 m I i
1 e l A -
-l -
a
'4 .:
g .
r
. U.s. DEPAftTMFNT OF L AUOlt LMPLOYMENT STANDARD 5 ADMINeil RAfiON . ".. .. .. f ' . . ( 'a ._
W AGE AND Hour DIV8*. ION ,
W ASHING l oN. O.c. 20210 ,, g ,, g y ,, , ,, , _ , , , , , ,_
ltEGISTER OF WAGE DCICRMINAIIONS UNul.it Asea. H3 s
- s'si s'e r s (f)S*)) , t;'s.ir l es ('ll .') , "A TifC SERVICC CONTRAC's AC r saf ssieection os trie seceetaev os t ai .
Locatif y 1.uier u ery (011), ! risi e ::. ..r;;cs (nYl ) , l aspI ':t . ..s r y ' . '.8)~l ? ' a;... .. t i . .
g "L: }ll.
' J W. M;Ot ter Administeeton -
(.
- Wage detesmenation e.umbee: !!O-1/% (lics.._) 7 ) _, , , 0.3 t e, ) 3_3 7,.rg 4 i em9e i.enes.: payments y y,,,,,,,,,,, ,
Clan of service eensiloyee hauet y -l w th & V"'haa' ""h" 0"'"
w +ie wes t... .
.~ ..
NOTE: , Any class of service employee required in the performance of the contract but not listed herein shall be classifacd by the contractor s_o as to provido a reasonable relationship between such classes and those listed herein, and shall be paid such monetary wages as are determined by agreement (evidenced in writing) of the interested parties, who shall be deemed to bo the contracting agency, the contractor,. and the employees who will'. perform'on the contract or their representatives. In the absence of an agreement, the quest, ion o f
. proper conformable wage rates is to be submitted to. the Department of Labor
( - by the contracting officer for a finnt determination. (See Section 4.6(b) of Regulations, 29 CFR Part 4). -
8
- ~ .
C# :. - s
.e . s
- c. , .
.. . g u ~ -
l
- .s
%3 % 1 .-.
o.
' ~*
e
' e 5 . .g i
. . N 7 FUNCTIONS OF DATA BASE EXECUTIVES *
~
Data Administrator (DA) and Data Administration (DA) Staff
- 1. Develops and meintains an entity-relationship overview chart.
- 2. Clusters entities into subject databases.
- 3. Achieves unf formity in data definitions throughout the enterprise, !
, where possible. .
- 4. Performs data analysis, to determine what data should be in _
individual data bases. ~
- 5. ^ Sets up end-user committees to be involved 1n data" analysis, ' ~ ":
modeling and definition.** .
- 6. Collects end-users' views and systems analysts' views of what should be i
in the data base.
- 7. Performs canonical data modeling (third normal form) using an automated modeling tool.
- 8. Defines data items using an automated data dictionary.
- 9. Provides feedback of the model and dictionary output to end-user comittees to ensure that these meet present and expected future needs.
- 10. Performs stability analysis.
- 11. Identifies data-f tem synonyms and ensures their representation in the dictionary. Eliminates synonyms where practical.
Develops appropriate reports from the dictionary, includir.g cross-12.
reference lists stating which programs use which data item. When changes are proposed, the cross-referencing will show that has to be modified.
- 13. When users, programmers, or analysts require data that are not in the data base, determines how (or whether) they can be incorporated.
Assists in determining what policies govern the retention of data, for 14.
example, to comply with government regulations.**
- 15. Gives advice to progransners, systems analysts and user departments concerning the data and their logical structure. ~
- 16. Attempts to maintain a view of the future needs and applications so that the data base can be made to evolve in an appropriate manner.
, 17. Defines rules and functions to ensure validity, consistency and
- ~ accuracy of data. May determine which users are responsible for the accuracy of which data.** 1
- 18. Determines what data items or records need special security protection and may determine which users are authorized to see, create, update, or delete data, j
- 19. Plans for compatibility with existing data structures or for conversion of these structures.
- Revised from James Martin, Managing The Data-Base Environment, N.J.:
Prentice Hall, 1983. *
- NRC shall assume sole responsibfifty for this function.
l ll5
= _ . . - . _ . . _ .-. - - - - - -
Database Desioner (DBD) and Staff
- 1. Responsible for physically structuring the data and for planning the access methods,
- 2. Employs design tools such as mathematical models of the physical storage to help determine which methods of physical organization best meet the performance criteria.
- 3. Assists in the selection of which data-base hardware and software should be used and specifies any additions to data-base software that might be needed.
- 4. Assists the programmers in using the data base, generates their data descriptions from the data dictionary, and conducts " walk-throughs" of their programs to ensure that they use the data base efficiently.
- 5. Designs the means of restart and recovery after systems outages and the means of backup.
- 6. Designs the means of reconstructing data in the event of loss of records or of catastrophic destruction of entire files.
- 7. Designs the software schemas using the logical model of the data base.
- 8. Specifies the techniques for monitoring the data base performance.
- 9. Correlates actual data base performance to the predictions of the design tool models in an attempt to react to future perfomance problems before they arise.
- 10. Measures how full the file spaces are so that appropriate restructuring can be carried out when necessary.
- 11. Determines when and how the physical data base needs tuning to improve its performance.
- 12. Viewing the data base as a whole, determines what categories of security techniques should be used. Designs the detailed structures and techniques for maintaining privacy.
- 13. Designs any data base searching strategics or plans any use of inverted files or inverted lists.
- 14. Defines the rules relating to access constraints, including rules to prevent concurrent updates or interlocks, and rules to prevent excessive time-consuming search operations.
- 15. Determines the policies for deleting or dumping old data or data migration. '
- 16. Selects compaction techniques.
- 17. Provides advice to the systems analysts concerning data base techniques. .
- 18. May determine that the data model needs splitting into separate disjoint structures. These may be in the same machine or distributed machines.
- 19. If the data are to be distributed, participates in determining how
_ this should be done. _ . .;
,_ 20. Ensures.that data distribution is done or controlled in a way that.
avoids deadlocks and integrity problems.
l ,
I
- - - <