ML20234A917
| ML20234A917 | |
| Person / Time | |
|---|---|
| Issue date: | 08/25/1987 |
| From: | Chatten R, Thompson R NRC OFFICE OF ADMINISTRATION & RESOURCES MANAGEMENT (ARM), SOUTHWEST RESEARCH INSTITUTE |
| To: | |
| Shared Package | |
| ML20234A889 | List: |
| References | |
| CON-FIN-D-1769, CON-NRC-03-87-119, CON-NRC-03-87-119-0, CON-NRC-3-87-119 NUDOCS 8709180190 | |
| Download: ML20234A917 (84) | |
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- 3. E F F E G16V L DAT E W 87-Il9-02 August 28, 1987 RS-0!E-87-ll9 I
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coot COOT V.S. Nuclear Regulatory Commission Division of Contracts Washington, DC 20555 L N AME AND AOOR E55 OF CONT k Ac t OH (Ao. s tnet. cer). coun tv. State end glP Code)
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Attn: Mr. Robert E. Chatten, Director
- 9. DISCOUNT rOR PROuaT PAvuENT Business Operations 6220 Culebra Road San Antonio, TX 78238 (See Remittance Address - G.7)
,$ $8",',7),N O CES lMEM
=", ePeedtwd) TO THE Block l2 CODE F ACilITY CODE ADORESS SHOWN IN.
- 12. PAYMENT wtLL BE MADE SY i
- 11. ship 1O/M ARK F Ok i
U.S. Nuclear Regulatory Commission Division of Accounting and Finance Ref: Section F.5 GOV /COMM ACCTS. Washinaton. DC 20555 T3 AUTHO AiT y F OR U$tNG OT HE A T H AN F ULL AND OPE N COMDETI-
- 14. ACCOUN TING ANO App AODRI AT 40N DAT A B&R: 20-19-50-12-2 FIN: 0-1769 APPN: 31X0200.?07 AMT. OBL: $ 39,000.00 O u u s C 25wn O to u s C nceu i
15A ITEV Ni t'E SUPF LIES /SERvcCES 15C OVANTITY 150 UNIT 15E UNIT PRICE 15F AMOUNT Services to perfom " Technical Assistance in Developing and Funding will be im pl a'n e n t i na Prograns and Procedures for Reactors Requiring specified in Special Inspection Resources" in accordance with the Statement each individual of Work herein and as further implemented by Southwest Research task order Institutes' Technical and Cost Proposal No. 17-5403 dated issued.
March 18,1987, and as amended by revision dated Ma y 19,1 987, which are incorporated herein by reference.
ESTIMATE D Lost-Flus-Fixeo-Fee Task Orderina Type Contract 15G. TOTAL AMOUNT OF CONTRACT > $ 3.005.7 65.03
- 16. TABLE OF CONTENTS V) lSEC l DESCRIPTION lPAGE(Si V) lSEC l DESCRIPTION lPAGE(S)
PART l ~ THE SCHEOULE PART ll-CONT R ACT CLAUSES A
SOLICITATION!CONTR ACT FORM I
l 1 l CONTR ACT CLAUSES l ED*AD 8
SUPPLIES OR SE RVICES ANO PRICES / COSTS 2
P ART iH - LIST OF OOCUMENTS. EXHIGITS AND OTHE R ATT ACH.
C DESCRIPTION / SPECS / WORK ST ATEMENT 3-5 lJ l LIST OF ATTACHMENTS l
40 0
PACK AGING AND MARKINc 5
Paat iv - REPatsENTAviONS ANO INSTRUCTIONS E
INSPECTION AND ACCEPT ANCE 6
K REPRESENTATIONS.CE RTIFICATIONS AND OTHER ST ATEMENT9 OF OFFERORS F
DE Live RIES OR PE RFORM ANCE 6 _
G CONTR ACT ADMINIST R ATION D AT A
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INSTRS. CONOS. ANO NOTICES TO OF F E RORS H
SPECI AL CONTR ACT REQUIREMENTS 18-24 M
EVALU ATION F ACTORS FOR AWARD CONTRACTING OfflCER Will COMPL ETE ITEM 110R 18 AS APPLICABL E 17 CON T R AC T O R 'S N EGO T I A T E D AG R E E M E N T (Con tmedor u n-18.
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,ye,oefp nology Division Ronald D. Thompson COee 8NTIEG - T 19C. DATE $4GNEO 240, UNtTK O ST ATES OF AME RIC A 20C. D A T E S4GN ED 98 r
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STANDA.RD FORM 26 (REY. 4 05) 26 107 NSN 1,S40-01 162 4069 C '
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Porv nt et FnlTION UNUSABLE 8709180190 870825
- GPO e 1985 0 - 441-M5 (410)
Additionally, the following sections are completed and revised as follows:
1.
Paragraph B.2 Consideration and Obligation a.
The total estimated amount of this contract (ceiling) for the j
products / services ordered, delivered, and accepted under this contract is $3,005,765.00 b.
The amount presently obligated with respect to this contract is
$39,000.00 I
2.
Paragraph F.5 Place of Delivery, Paragraph F.5.a, Project Of ficer and 5.5.b, Contracting Officer is completed as follows:
r a.
Project Officer (1 copy)
"U.S. Nuclear Regtrlatory Commission Contract Number:
NRC-03-87-119-02 Office of Nuclear Reactor Regulation Mail.Stop:
Phillips Bldg - 522 Washington, DC 20555 b.
Contracting Officer (1 copy)
U.S. Nuclear Regulatory Commission Contract Number:
NRC-03-87-119-02 Office of Administration and Resources Management Mail Stop:
AR-2223 Washington, DC 20555 3.
Paragraph F.6 Duration of Contract Period The ordering period for this contract shall be effective on August 28, 1987 and will expire on August 27, 1990.
4.
Paragraph 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:
i Category Rate %
Cost Base Applicable period 1
Overhead 116%
Total Direct Labor 8/28/87 - 8/27/90 i
Cost (TOLC)*
Fringe Benefits 39%
Direct Labor 8/28/87 - 8/27/90 G&A (included in OH)
N/A Other:
N/A
- TOLC - includes Fringe Benefits l
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h 5.
Paragraph G.2 Project Officer Authority t
The Contracting Officer's authorized representative hereinafter a.
referred to as the Project Officer for this contract is:
Name:
James B. Henderson
. Address:
Office of Nuclear Reactor Regulation-Telephone:
(301) 492-8425 6.
Paragraph G.3 Travel Reimbursement.
"a.
total expenditure for domestic travel shall not exceed $300,000.00 i
without the prior approval of the Contracting Officer."
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4 7.
Paragraph H.1 Key Personnel "a.
The following individuals are considered to be essential to the successful performance of the work hereunder."
1 Mr. Amos Holt Mr. Allen Whiting Or. Prasad K. Nair l
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ole-87-119 PAGE 2 3ection B - Supplies or Services and Prices / Costs 8.1 Brief Description of Work Technical Assistance to the NRC Regional and Headquarters Staff in developing and Implementing Programs end Procedures for Reactcrs with Unusual Problems During Design, Construction or Operation Including Unplanned Outages. lh15 is a task crder type contract in which the contractor will provide, occasionally on a rapid response basis, qualified personnel in the mechanical, electrical, instrumentation, l
civil structural, geological, chemical, metallurgical, welding, nondestructive examination, health physics /radiatien monitoring and sateguards/ security, disciplines during design, manufacturing, construction, inspection, testing, operations and maintenance phases.
'ask orders will be placed related to nuclear facilities having unusual problems and will include activities requiring:
1)
Inforn.ation gathering and analysis of problems, 2) Data analysis and planning of inspection, 3) Augmenting NRC Inspections, and 4)
Verification of corrective actions.
B.2 Consideration and Obligation.
a.
The total estimated aircunt of this centract (cciling) for the products / services ordered, delivered, ar.d accepted under this The Contracting Officer may centract is unilaterally increase this amount as necessary for completion of orders placed with the Centractor 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 The Contracting Officer or other individuals specifically authorired under this contract may issue orders for werk 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 ceiling as specified in paragraph a above. When and if the aniount(s) pt.id and payable to the Contractor hereunder shall equal the obligation amount, the Contractor shall not be obligated to continue perfemance cf the work unless and until the Contracting Officer shall increase the amount obligated with respect to this contract. Any work
_ur.dertaken by the Contractor in excess of the obligation amount specified above is done so at the Contractor's sole risk.
c.
A total estimated cost and fee, if any, will be negotiatec for each task order and will be incorporated as a ceiling in the resultant task order.
Tbc Contractor shall corrply 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.
- To be incorporated into any resultant contract.
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f av i A ;,f, s 01E-87-119 L
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PAGE 3 4 4g _p'
\\y Section 0 - Description /Sp$cifications/WorkItatement
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C.1 Statement of Work
'I C.1.1
Background
',3 s
]
The'NRChasacontNnsingneed'thexamineprogramsandpolicyand provide measu*es to enhance ib. primary mission to protect public health and safety,. safeguards nuclear materipls, and maintain i
environmental quality as related to peacefuT uses of atomic. energy by
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organizations over> which the-NRC has, jurisdiction. Because of the J
significance of safety aspects of activities of licensees related to I
unusual problems during construction or operation (such as significant genstrtiction ennts or problems and unalanned outages),
the NRC nest canifully imnitor and inspect the warCinvolved with the l
resolution t,120:h prcblemsl. The Codi of Fek ra1' Regulations 10, Part 50
" Domestic Licensing of, Production and Utilization Faciltties," is'spplicehts, particularly the following sections, g
10 CFR 50.47 - Emergency plans 10 CFR 50.04 - Conditions of licensed 10 CFL 50;55 - Conditions of operating license 10 CFR'50,R - Isstance of operating license.
l 10 CFR 50.59 - Changes, tests and experiments 10 CFR 50,S0 k Application for amendment of license or construction u.mit 10 CFR 50;, Appendf1 A - General Dasign Crite~f a for Nuclear Power Plants' 10 CFR 50,' Appendix B - Quality Acaurance Criteria for.Fuclear
'l Power Plantr.
(flote: These criteria are applicable
/to'both construction and operation of nuclear power i
epitnts.)
i 10 CFR 50, /;piendix E, - Emegency Planning and Preparedness for roduction and Utilization Facilities a
C.1.2 ContractO'bjective On a Task Or:hr basis, the conWacter shall provide the NRC with specialized: technical assistance for activities related to significant problems during design, construction or operation, including outage n Thisacay include providing engineering / scientific services to support Region and Headquarters specialized reviews and inspections at ryclear power plaats.
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4 01E-87-119 PAGE 4 C.1.3
' Scope of Wor'k This is a Task Order contra'ct under which all Task Orders will be issued.by the NRC Contracting Officer.
Task orders require varying numbers.and disciplines of engineering / scientific services and can potentially be performed at-any nuclear power site in tne United States.
. Specific technical reporting. requirements and delivery schedule will be identified in each task order. Minimum reporting requirements' will generally be a letter report upon comoletion of the task.
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The contractor shall furnish the necessary qualified personnel, facilities, test / inspection equipment, materials,. and services to perform such tasks as follows:
l (1)
Provide technical assistance on rapid-response basis.(when required) to NRC Regional Offices to support specialized inspections related to significant problems during construction or operation, including unplanned outages.
(2)
Provide technical assistance to NRC in the development / compilation of information and technical data (including inspections, meetings-and document reviews at operating)nuclearplants,constructionsitesandother locations pertaining to, significant problems during construction or operation.
'(3)
Provide technical assistance to NRC in the development of requirements and criteria for NRC programs and procedures for I
specialized reviews and inspections pertaining to significant problems.
l (4)
Provide technical assistance to NRC in developing and/or i
conducting special orientation programs to aporise inspectors of specialized procedures and methods for perfor:ning NRC activities related to significant problems.
(5)
Provide technical assistance in conducting studies and ' review of licensee procedures to be employed on significant problems, and of licensee plans, procedures and techniques for specific problems during construction or operation, j
(6)
Provide technical assistance for performing inspections and analyses to detennine the cause of significant problems and evaluating actions taken by licensee to avoid recurrence.
-(7)
Provide technical assistance for performing and/or observing technical tests and analyses, as required.
(8)
Provide expert testimony and related documents as required by the NRC.
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OIE-87-119 PAGE 5 C.1.4 Level of Effort The exact number and scheduling of projects cannot be determined.
The contractor will'be compensated only for work actually ordered and performed.
If such requirements fail to materialize in the number estimated below. such failure shall not constitute grounds for an equitable adjustment hereunder.
The most likely level of effort is estimated to be 60 staff years, or 124,800 hours0.00926 days <br />0.222 hours <br />0.00132 weeks <br />3.044e-4 months <br /> of professional labor.
Please base your cost estimate on these hours.
Please note that in order to put all offerors on an equal basis, you are also to compute your non-professional effort based on 4,000 hours0 days <br />0 hours <br />0 weeks <br />0 months <br /> of effort. Your cost proposal (See Section L.5) is to be based on this total level of effort.
C.2 Travel a.
All domestic travel requires the prior approval of the Project Officer.
b.
All foreign travel must be approved in advance by the NRC on NRC Form 445 and shall be in compliance with 52.247-63 Preference For
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U.S. Flag Air Carriers (APR 1984).
Each Task Order will specify any required travel to nuclear power plant sites throughout the United States, NRC offices in Bethesda, Maryland, NRC Regional Offices, and any other location as required for performance of work detailed in each Task Order.
In addition, it is anticipated that a least two oral briefings per year will be held at NRC Headquarters in Bethesda, Maryland to review contractor performance and progress.
Section D - Packaging and Marking D.1 Packaging and Marking When Delivering a Product The Contractor shall package material for shipment to the NRC in such a manner that will insure acceptance by common carrier and safe delivery at destination. Containers and closures shall comply with the Interstate Commerce Connission Regulations Unifonn Freight Classification Rules, or regulations of other carriers as a)plicable to l
l the mode of transportation. On the front of the package, t1e Contractor shall clearly identify the contract number under which the product is being provided.
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OIE-87-119 PAGE 6 a.
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Section E - Inspection and Acceptance i
E.1 Place of Inspection and Acceptance Inspection and acceptance of the deliverable items to be furnished hereunder shall be made by the Project Officer at the destination.
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Section F - Deliveries and Perfomance i
F.1 Reports, Documentation and Othe'r Deliverable End Items,
All technical reports required by Section C and all Technical Progress j
Reports re' quired by Section F are to be prepared in accordance with the i
attached NRC Manual Chapter 3202. NRC Manual Chapter 3202 is not j
applicable to the Spe.nding Plan and the Financial Status Report.
j F.2 Technical Progress Report j
i The Contractor shall provide a monthly Technical Progress Report to the 1
Project Officer and the Contracting Officer. The report is due within 1
15 calendar days after the end of the report period and shall identify
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the title of the project, the contract number, project manager and/or.
j principal investigator, the contract period of performance, and the j
period covered by the report. Each report shall include the following:
a.
A listing of each task order completed during the period;
- j milestones reached or, if missed, an explanation provided; j
l b.
Any problems or delays encountered or anticipated and i
recommendations for resolution; (if the recommended resolution requirements, level of effort (cost)g., change in work involves a contract modification, e.
or schedule delay, the l
Contractor shall submit a separate letter to the Contracting
)
Officer identifying the required change and estimated cost
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impact).
c.
A summary of progress to date; and
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i d.
Plans for the next reporting period, i
F.3 Financial Status Report The Contractor shall provide a monthly Financial St_atus Report to the l
Project Officer and the Contracting Officer. The report is due within 15 calendar days after the end of the report period and shall identify the title of the project, the contract number, project manager and/or principal investigator, the contract period of performance, and the period covered by the report.
Each report shall include the following for each discrete task:
a.
Provide the total estimated cost (value) of the project and each 1
task order 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:
OIE-87-119 PAGE 7 1
1 Total Estimated Contract Amount.
2 Total Funds Obligated To Date.
3 Total Costs Incurred This Reporting Period, i
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.
c.
Update of the approved Spending Plan.
4 F.4 Fee Recovery Cost Status Section Pursuant to the provisions of NRC Regulation 10 CFR 170, provide the j
total amount of funds expended (costed) during the period and cumulative to date for each task (e.g., by facility, by Division or Report), and report them on a separate page as part of this report in the fonnat on the following page:
FIN:
TITLE:
PERIOD:
Planned Accomplish-Costs l
Facility Name/
Docket ment per Cumulative Costs Report Title Number Number Period This Fiscal Year Task 1
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l Task NOTE:
If there exists a task under this project that is relevant and i
I connon* to several other tasks and the effort is required in order to perform the reviews, the costs for the common effort must be prorated to each review to which it applies.
- Common costs, i.e., fee-recoverable costs for services necessary for overall task performance that benefit all similar licensees within a i
single task, will be reported in the monthly letter status report as a single line item for each task and accrued on a monthly basis.
Common costs include the following: preparatory or startup efforts l
to interpret and reach agreement on methodology, approach, acceptance l
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o 01E-87-119 PAGE 8 criteria, regulatory position, or TER fonnat; efforts associated with the " lead plant" concept that might be involved during the first one or two plant reviews as estimated by the contractor; meetings / discussions involving the above efforts to provide orientation, background knowledge, or guidance at the beginning or during the performance of work; and any technical effort applied to a category of facilities, e.g., reactor analyses or all BWR facilities.
At task completion or the end of the fiscal year, whichever occurs l
first, cumulative common costs are to be apportioned by the j
either of the following methods:
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contractor to affected licensee by(2) in proportion to costs incurred (1) equally to all licensees, or during the apportioning period. The specific method will be determined by the NRR Technical Assistance Project Officer.
F.5 Place of Delivery.
The items t'o be furnished hereunder shall be delivered, with all charges paid by the Contractor, to:
i a.
Project Officer (3 copies)
U.S. Nuclear Regulatory Commission Contract Number:
Office of
- Division of
- Mail Stop:
Washington, D.C.
20555 b.
ContractingOfficer(1 copy)
U.S. Nuclear Regulatory Comission Contract Number:
- Office of Administration Division of Contracts Contract Administration Branch Mail Stop: AR-2223 Washington, D.C.
20555
- To be incorporated into any resultant contract.
I F.6 Duration of Contract Period.
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The ordering period for this contract shall comence on the effective date reflected in block 3 of the SF 26 and will expire months thereafter. Any orders issued during this period shall be completed within the time specified in the order, unless otherwise specified herein.
(See 52.216 Ordering (APR1984)).
- To be incorporated into any resultant contract.
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OIE-87-119 PAGE 9 F.7 FAR Citations 52.216-18 ORDERING.
(APR 1984) 1 (a) Any supplies and services to be furnished under this contract shall be ordered by issuance of delivery orders by the individuals or activities designated in the Schedule. Such orders may be issued from the effective'date of the contract through 36 months thereafter.
i (b) All delivery orders are subject to the terms and conditions of tids i
contract.
In the event of conflict between a delivery order and this contract,
.I the contract shall control.
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(c) If mailed, a delivery order is considered " issued" when the Goverr. ment j
deposits the order in the mail. Orders may be issued orally or by written j
telecommunications only if authorized in the Schedule.
1 (Endofclause) j (R7-11011968JUN) q 52.216-22 INDEFINITE QUANTITY.
(APR1984) l l
(a) This is an indefinite-quantity contract for the supplies or services i
specified, and effective for the period stated, in the Schedule. The quantities of supplies and services specified in the Schedule are estimates 1
only and are not purchased by this contract.
j (b) Delivery or performance shall be made only as authorized by orders issued in accordance with the Ordering clause. The Contractor shall furnish to the Government, when and if ordered, the supplies or services specified in the Schedule up to and including the quantity designated in the Schedule as the i
" maximum." The Government shall order at least the quantity of supplies or services designated in the Schedule as the " minimum."
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01E-87-119 PAGE 10 B
(c)
Except for any limitations on quantities in the Delivery-Order Limitations clause or in the Schedule, there is no limit on the number of orders that may be issued. The Government may issue orders requiring delivery to multiple destinations or performance at multiple locations.
(d) Any order issued during the effective period of this contract and not completed within that period shall be completed by the Contractor within the
- time specified in the order. The contract shall govern the Contractor's and Government's rights and obligations with respect to that order to the same extent as if the order were completed during the contract's effective period; provided, that the Contractor shall not be required to make any deliveries under this contract after 60 months after the effective date of the contract.
(Endofclause)
(R 7-1102.3(b) 1965 AUG) i
" Minimum and Maximum Contract Amount" During the life of this contract, the Government shall place orders totaling a minimumofsix(6)staffyearsofeffort. Total orders placed during the life of the contract shall not exceed seventy-five (75) staff years of effort.
For the purposes of this contract, a staff year is defined as 2080 hours0.0241 days <br />0.578 hours <br />0.00344 weeks <br />7.9144e-4 months <br /> p.er year of both professional and non-professional labor.
Section G - Contract Administration Data G.1 Indirect Rates j
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:
O d
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PAGE 11 Category Rate (%)
Cost Base Applicable Period i
Overhead Fringe Benefits G&A Other:
b.
The Contracting Officer may adjust the above rates as appropriate during the tenn of the contract upon acceptance of any revisions i
proposed by the Contractor.
It is the Contractor's responsibility
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to notify the Contracting Officer in accordance with 52.232 ;
LimitationofCost((APR1984)or52.232 Limitation of Funds 4
(APR 1984), as applicable, if such change (s) affect (s) perfonnance l
of work within the established cost or funding limitations.
G2
_ Project Officer Authority.
a.
The Contracting Officer's authorized representative hereinafter i
referred to as the Project Officer for this contract is:
Name:
- Address:
Telephone Number:
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:
i
.1).
Technical direction to the Contractor which shifts work emahasis between areas of work o rtasks, fills in details or otlerwise serves to accomplish the contractual statement of work.
2). Providing advice and guidance to the Contractor in the l
preparation of drawings, specifications or technical portions l
of the work description.
3). Review and, where required by the contract, approval of l
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 t.
stated in the contract. The Project Officer does not have the j
authority to and may not issue any technical direction which:
1). Constitutes an assignment of additional work outside the l
general scope of the contract.
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4 OIE-87-119 PAGE 12 1
2).
Constitutes a change as defined in the " Changes" clause of I
this contract.
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3).
In any way causes an increase or decrease in the total estimated contract cost, the fixed fee, if any, or the time 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.
l e.
The Contractor shall proceed promptly with the performance of technical directions duly issued by the Project Officer in the manner prescribed by this clause and within such person's authority under the provisions of this clause.
f.
If, in the opinion of the Contractor, any instruction or direction issued by the Project Officer is within one of the categories as defined in c above, the Contractor shall not proceed but shall notify the Contracting Officer in writing within five (5) working days after the receipt of any such instruction or direction and shall request the Contracting Officer to modify the contract accordingly, l'pon receiving such notification from the Contractor, the Contracting Officer shall issue an appropriate contract modification or advise the Contractor in writing that, in the Contracting Officer's opinion, the technical direction is within the scope of this article and does not constitute a change under the Changes Clause.
g.
Any unauthorized commitment 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 (APR1984).
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01E-87-119 PAGE 13' a
3 1.
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 recommending to the Contracting Officer changes in requirements.
2). Assisting the Contractor in the resolution of technical problems encountered during performance.
3). Reviewing all costs requested for reimbursement by Contractor and submitting to the Contracting Officer recommendations for approval, disapproval, or suspension for supplies and 1
services required under this contract.
To be incorporated into any resultant contract.
G.3 Travel Reimbursement.
l a.
Total expenditure for domestic travel shall.not exceed $
without the prior approval of the Contracting Officer.
b.
The Contractor will be reimbursed for reasonable domestic travel i
costs incurred directly and specifically in the perfomance of this contract. The cost limitations for travel costs are determined by the Federal Travel Regulations that are in effect on 1
the date of the trip. These Regulations specify the daily maximum l
per diem rates for specific localities within the Conterminous United States (CONUS), the standard CONUS rate, the allowance for.
meals and incidental expenses (M&IE), the cost of travel by l
privately owned automobile, and the items which require receipts.
The Contractor can obtain the Regulations from the Superintendent of Documents, Government Printing Office, Washington, DC 20402.
c.
When the Government changes the Federal Travel Regulations, it is the responsibility of the Contractor to notify the Contracting Officer in accordance with the Limitation of Cost clause of this contract if the Contractor will be unable to make all of the a) proved trips and remain within the cost and fee limitations of l
t11s contract.
d.
The rates for any NRC approved foreign travel under this contract are established by the U. S. Department of State and are listed in 1
a publication entitled " Maximum Travel Per Diem Allowances For l
Foreign. Areas".- Copies of this publication may be obtained from g
U. S. Government Printing Office, Washington, D.C.
20402 l
To be incorporated into any resultant contract.
j i
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OIE-87-119 PAGE 14 a
5
-G.4-Method of Payment a.
Payment under this contract will be made by wire transfer throuch 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.
l l
1). Name and address of organization.
l l
2). Contact person and telephone' number, j
3). Name and address of financial institution.
4). Contractor's Financial institution's 9-digit ABA. identifying i
number for routing transfer of funds.
l 5). Telegraphic. abbreviation of Contractor's financial institution.
6). Account number at Contractor's financial institution.
7). Signature and title of person supplying this information.
l c.
In the event the Contractor's financial institution does not have l
access to the Federal Reserve Communications System, the I
Contractor shall forward the following infomation with regard to a correspondent or alternate financial institution. The infomation shall be in writing and submitted to the Contracting Officer within seven days after the effective date of the j
contract.
1). Name and address of organization.
2). Contact person and telephone number.
j 3). thme and address of financial institution.
1 4). Telegraphic abbreviation of Contractor's financial institution.
l 5). Account number at Contractor's financial institution.
6). Name and address of the correspondent financial institution that has access to the Federal Reserve Communications System.
j
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PAGE 15 l
7). Correspondent financial ins'titution 9-digit ABA identifying.
number for routing transfer of funds.
8). Telegraphic abbreviation of correspondent financial l
institution.
9). Signature and title of person supplying this information.
d.
Any changes to the infomation 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 j
the later of:
j 1)
The date of actual receipt of a proper invoice in i) accordance with the attached " Billing Instructions", or 2)
The date the final deliverable product / service is accepted by.
the Government.
l 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 tenns of the I
contract.
c.
If the final product / service is rejected for failure to conform to
)
the technical requirements of the contract, the provisions in j
paragraph b of this clause will apply to the new delivery of the j
final product / service.
l
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d.
The date of payment by wire transfer through the Treasury Financial Communications System shall be considered the date payment is made for individual payments exceeding $25,000. The date a check is issued shall be considered the date payment is made for individual payments of $25,000 or less.
G.6 Interest on Overdue Payments.
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 l
on overdue payments of the expiration invoice or improperly taken discounts.
y l
o 01E-87-119 PAGE 16 t
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
-1982.
Among.other considerations, 0MB 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.
i 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 paymont dete.
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 o* fined as a claim submitted for costs incurred for performance through the expiration date of a Cost Type contract.
G.7 Remittance Address 1
If item 15c. of the Standard Form 33 has been checked, entar the remittance address below.
Name:
Address:
G.8 Task Order Procedures a.
Task Order Request for Proposal When a requirement within the scope of work for this contract is identified, the Contracting Officer will transmit to the Contractor a Task Order Request for Proposal which will include the following, as appropriate:
1.
Scope of Work / Meetings / Travel and Deliverables.
2.
Reporting Requirements.
3.
Period of Performance - Place of performance.
l.
4.
Applicable Special Provisions.
5.
Technical Skills Required.
l 6.
Estimated Level of Effort.
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o' a
OIE-87-119 PAGE 17 b.
Task Order Proposal.
By 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 Content.
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.- Also verify that no conflict of interest exists.
3 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 number of staff hours that will be committed to completion of work on the Task Order.
2). Cost Proposal The Contractor's cost proposal for each Task Order shall be prepared using the Standard Fom 1411, Contract Pricing l
Proposal cover sheet. A copy of the fom and instructions are attached to this contract. Each Task Order cost proposal l
shall be fully supported by cost and pricing data adequate to establish the reasonableness of the proposed amounts. When the Contractor's estimated cost for the proposed Task Order exceeds $100,000 and the period of performance exceeds 6 months, the Contractor is required to submit a Spending Plan as part of its cost proposal.
Guidance for completing the i
Spending Plan will be provided with the Task Order Request for Proposal.
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<o-OIE-87-119 i
PAGE.18
.. i s -
c.
Task Order Award
.The Contractor shall perform all work described in definitized Task Orders issued by the Contracting Officer. Definitized Task-Orders will include the following:
1.
Statement of Work,/ Meetings / Travel and Deliverables.
2.
Reporting Requirements.
3.
Period of. Performance.
4.
Key Personnel.
5.
Applicable Special Provisions.
6.
Total Task Order amount.
G.9 Accelerated Task Order Procedures a.
The NRC may require the Contractor to commence work before receipt of a definitized Task Order from the Contracting' Officer.
Accordingly, when the Contracting Officer verbally authorizes, the Contractor shall proceed with performance of the Task subject to monetary limitation established for the Task Order by the Contracting Officer.
-b.
When this accelerated procedure is employed by the NRC, the Contractor agrees to begin promptly negotiating with the
. Contracting Officer the terms of a definitive Task Order and agrees to submit a cost proposal with su) porting cost or pricing data.
If. agreement on.a definitized Tas c Order is not reached by the target date mutually agreed upon by the Contractor and i
Contracting Officer or within any extension of it granted by the Contracting Officer, the Contracting Officer may determine a reasonable price and/or fee in accordance with Subpart 15.8 and Part 31 of the FAR, subject to Contractor appeal as provided in 52.233 Disputes (APR1984).
In any event, the Contractor shall proceed with completion of the Task Order, subject only to the monetary limitation established by the Contracting Officer and the terms and conditions of the basic contract.
Section H - Special Contract Requirements
]
H.1 Key Personnel a.
The following individuals are considered to be essential to the successful performance of the work hereunder.
I
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The Contractor agrees that such personnel shall not be removed from the contract work or replaced without compliance with paragraphs b and c hereof.
)
4 OfE-87-119 PAGE 19 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 immediately notify the Contracting Officer and shall, subject to the concurrence of the Contracting Officer, promptly. replace such personnel with personnel of at least substantially equal ability and qualifications, c.
All requests for approval of* substitutions hereunder must be in writing and provide a detailed explanation of the circumstances necessitating the proposed substitutions. They must contain a complete resume for the proposed substitute, and other information requested by the Contracting Officer to approve or disapprove the proposed substitution. The Contracting Officer will evaluate such requests and promptly notify the Contractor of his/her approval or disapproval thereof in writing.
d.
If the Contracting Officer determines that suitable and timely replacement of key personnel who have been reassigned, tenninated or have otherwise become unavailable for the contract. work is not.
reasonably forthcoming or that the resultant reduction of productive effort would be so substantial as to impair the successful completion of the contract or the service order, the contract may be terminated by the Contracting Officer for default or for the convenience of the Government, as appropriate, or, at
- ~
the discretion of the Contracting Officer if he/she finds the Contractor at fault for the condition, the contract price or fixed fee may be equitably adjusted downward to compensate the Government for any resultant delay, loss or dainage.
- To be incorporated into any resultant contract 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 applicable health, safety, and fire protection regulations and requirements (including reporting requirements) of the Commission and the Department of Labor.
In the event that the Contractor fails to comp'ly with said regulations or requirements, the Contracting Officer may, without prejudice to any other legal or contractual rights of the Connission, l
issue an order stopping all or any part of the work; thereafter, a start order for resumption of work may be issued at the discretion of the Contracting Officer. The Contractor shall make no claim for an extension of time or for compensation or damages by reason of or in connection with such work stoppage.
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3 OIE-8b119
-l PAGE 20
-l H.3
- Dissemination of Contract Information.
The Contractor shall comply with the requirement of NRC 4tanual Chapters l
3202 and 3206 regarding publication or dissemination to the public of I
any information, oral or written, concerning the work perfomed under i
this contract.
Failure to comply with this clause.shall be grounds for temination of this contract.
H.4 Private Use of Contract Information and Data.
l Except as specifically authorized by this contract, or as otherwise-approved by the Contracting Officer, information and other data developed or acquired by or furnished the Contractor in the performance o
of this contract, shall be used only-in connection with the work ur. der I
this contract.
]
y H.5 Drawings, Designs, and Specifications.
]
All drawings, sketches, designs, design data, specifications, notebooks, technical and scientific data, and all photographs,
{
negatives, reports, findings, recommendations, data and memoranda of i
every description relating thereto, as well as all cosies of the q
foregoing' relating to the work or any part thereto, s1all be subject to inspection by the Commission at all reasonable times (for which inspection the proper facilities shall be afforded the Commission by.
the Contractor and its subcontractors), shall be the property.of the Government and may be used by the Government for any purpose whatsoever without any claim on the part of the Contractor and its subcontractors and vendors for additional compensation and shall, subject to the right of the' Contractor to retain a copy of said material for its own use, be delivered to the Government, or othemise 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.
j a.
Security / Classification Requirements Form. The attached NRC Form 187 furnishes the basis for providing security and classification requirements to prime Contractors, subcontractors or others (e.g.,
bidders) who have or may have an NRC contractual relationship which requires access to classified information or matter, access on a continuing basis (in excess of 30 days) to NRC Headquarters controlled buildings or otherwise requires NRC photo identification or card-key badges.
i I
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i
-OIE-87-119 PAGE 21 b.
It is the Contractor's ' duty to safeguard Restricted Data, Fomerly
'l Restricted Data, and other classified information. The Contractor l
-shall. in accordance with the Comission's security-regulations I
and requirements be responsible for safeguarding Restricted Data, j
Formerly Restricted Data, and other classified infomation and' i
protecting against sabotage, espionage, loss and theft, the classified documents and material in the Contractor's possession l
L in connection with the performance of work under this contract.
I Except as otherwise expressly provided in this contract, the I
contractor shall, upon completion or termination of this contract, transmit to the Comission any classified matter 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 temination of the contract and i
such retention is approved by the Contracting Officer, the Contractor will complete a certificate of possession to be furnished to the Comission specifying the classified matter to be retained. The certification shall identify the items and types or I
categories of matter retained, the conditions governing the If the retention is approved by the Contracting Officer, the
{
retention of the matter and their period of retention, if known.
security provisions of the contract will_ continue to be applicable l
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,proprietarydata(tradesecrets)orconfidentialor l
privileged technical, business, or financial infomation, including Comission plans, policies, reports, financial plans, 4
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 detemined by the Commission to be otherwise exempt from disclosure to the public. Contractor agrees to hold such 3
.information in confidence and not to directly or indirectly duplicate, disseminate, or disclose such infomation in whole or in part to any other person or organization except as may be necessary to perform the work under this contract. Contractor agrees to return such information to the Comission or otherwise dispose of it either as the Contracting Officer may from time to time direct during the progress of the work or in any event as the Contracting Officer shall direct upon completion or termination of this contract.
Failure to comply with this clause shall be grounds for temination of this contract.
d.
Regulations. The Contractor agrees to confom to all security regulations and requirements of the Comission.
h
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01E-87-119 PAGE 22 e.
Definition of Restricted Data.
I t
The tenn " Restricted Data." as used in this clause, means all data concerning (1) design, manufacture, or utilization of atomic weapons; (2)-the production of special nuclear. material; or (3) the use of special nuclear material in the production of energy, but shall not include data l
declassified or removed frcm the Restricted Data category pursuant to.section 142 of the Atomic Energy Act of 1954, as amended.
l f.
Definition of Formerly Restricted Data. The term "Formerly l
Restricted Data." as used in this clause, means all data removed i
from 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 i
individual to have access to Restricted Data, Formerly Restricted Data, or.other classified infonnation, except in accordance with the Atomic Energy Act of 1954, as amended, and the Commission's regulations or requirements applicable to the particular type or category of classified information to which access is required.
t 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 i
Restricted Data, Formerly Restricted Data, or any other classified matter that may come to the Contractor or any person under the.
l 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 i
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.)
i.
Subcontracts and Purchase Orders. Except as otheivise 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 Commission. Every subcontract and
~
purchase order issued hereunder involving the origination or i
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.
1
i OIE-87-119 PAGE 23 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 Contractor-1).
Is not placed on a conflicting role because of current or i
planned interest (financial, contractual, organizational, or j
otherwise) which relate to the work untier this contract, and j
i 2). Does not obtain an unfair competitive advantage over other parties by virtue of its perfomance 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 I
contract, during the tem of this contract, the Contractor agrees to forgo entering into consulting, er other contractual i
arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work.
i being perfomed under this contract. The Contractor shall ensure j
that all employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause.
If the Contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any fim or organization may involve a potential conflict of interest, the
. Contractor shall obtain the written approval of the Contracting Officer prior to execution of such contractual arrangement.
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 i
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 i
l 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.
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'OIE-87-119 PAGE 24 e.
Access to and use of infomation.
j 1).
If the Contractor in the perfomance 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 Centractor agrees not to:
(i) Use such infomation for any private purpose until the information has been released to the publici (ii) Compete for work for the Connission based on such i
information for a period of six (6) months after either j
the completion of this contract or the release of such information to the public, whichever is first; l
l (iii) Submit an unsolicited proposal to the Government based j
on such information until one year after the release of l
such information to the public, or (iv) Release the infomation without prior written approval i
by the Contracting Officer unless such infomation has l
previously beer, 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 i
financial information under this contract, the Contractor j
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 l
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 th'is 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 l
i such erroneous representations as necessarily imply bad faith, the 1
Government may terminate the contract for default, disqualify the I
Contractor from subsequent contractual efforts, and pursue other
)
remedies as may be permitted by law or this contract, i
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OIE-87-119 PAGE 25
-.4, I
h.
Waiver. A request for waiver under this clause shall be directed in writing through the Contracting Officer to the Executive Director for Operations (EDO) in accordance with the procedures outlined in $20-1.5411.
PART II - CONTRACT CLAUSES i
Section I - Contract Clauses 52.222-2 PAYMENT FOR OVERTIME PREMIUMS.
(APR1984)
(a) The use of overtime is authorized under this contract if the overtime l
premium cost does not exceed.
In addition to this dollar ceiling, overtime is permitted only for work--
(1) Necessary to cope with emergencies such as those resulting from accidents, natural disasters, breakdowns of production equipment, or occasionri production bottlenecks of a sporadic nature; (2) By indirect-labor employees such as those perfoming duties in connection with administration, protection, transportation, maintenance, standby plant protection, operation of utilities, or accounting; i
(3) To perform tests, industrial processes, laboratory procedures, loading or unloading of transportation conveyances, and operations in flight or '
afloat that are continuous in nature and cannot reasonably be interrupted or completed otherwise; or (4) That will result in lower overall costs to the Government.
(b) Any request for estimated overtime premiums that exceeds the amount specified above shall include all estimated overtime for contract completion and shall--
.(1)Identifytheworkunit;e.g., department'orsectioninwhichthe requested. overtime will be used, together with present workload, staffing, and other data of the affected unit sufficient to permit the Contracting Officer to evaluate the necessity for the overtime; (2) Demonstrate the effect that denial of the request will have on the contract delivery or performance schedule; (3) Identify the extent to which ap)roval of overtime would affect the perfomance or payments in connection with otler Government contracts, together (4)Providereasonswhytherecuiredworkcannotbeperformedbyusing with identification of each affected contract; and multishift operations or by employing adcitional personnel.
(Endofclause)
(R 7-203.271967 JUN) l
)
01E-87-119 PAGE 26 52.233-3 PROTEST AFTER AWARD (JUN 1985)--Alternate I (JUN 1985)
(a) Upon receipt of a notice of protest (as defined in 33.101-of the FAR) l the Contracting Officer may, by written order to the Contractor, direct the Contractor to stop performance of the work called for by this contract. The order shall be specifically identified as a stop-work order issued under this clause. Upon receipt of the order, the Contractor shall immediately comply with its terms and take all reasonable steps to minimize the incurrence of costs allocable to the work covered by the order during the pcriod of work stoppage.
Upon receipt of the final decision in the protest, the Contracting Officer shall either--
(1) Cancel the stop-work order; or (2) Terminate the work covered by the order as provided in the Termination clause of this contract.
(b) If a stop-work order issued under this clause is canceled either before or after a final decision in the protest, the Contractor shall resume work. The Contracting Officer shall make an equitable adjustment in the delivery schedule, the estimated cost, the fee, or a combination thereof, and in any other terms of the contract that may be affected, and the contract shall be modified, in writing, accordingly, if--
(1) The stop-work order results in an increase ir the time required for, or in the Contractor's cost properly allocable to, the performance of any part of this contract; and (2) The Contractor requests an adjustment within 30 days after the end of the period of work stoppage; provided, that if the Contracting Officer decides the facts justify the action, the Contracting Officer may receive and act upon the request at any tire before final payment under this contract.
(c) If a stop-work order is not canceled and the work covered by the order is terminated for the convenience of the Government, the Contracting Officer shall allow reasonable costs resulting from the stop-work order in arriving at the termination settlement.
(d) If a stop-work order is not canceled and the work covered by the order is terminated for default, the Contracting Officer shall allow, by equitable adjustment or otherwise, reasonable costs resulting from the stop-work order.
(e) The Government's rights to terminate this contract at any time are not affected by action taken under this clause.
(EndofClause) 1 e
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OIE-87-119 PAGE 27 52.252-2 CLAUSES INCORPORATED BY REFERENCE.
(APR1984)
This contract incor3erates the following clauses by reference, with the same
.force and effect as if t1ey were given in full text. Upon request, the Contracting Officer will make their full text available.
I.FEDERALACQUISITIONREGULATION(48CFRCHAPTER1) CLAUSES l
Section E 52.246-5 INSPECTION OF SERVICES--COST-REIMBURSEMENT.
(APR1984)
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.
(APR1984) 52.203-3 GRATUITIES.
(APR1984) 52.203-5 COVENANT AGAINST CONTINGENT FEES.
(APR1984) 52.203-6 RESTRICTIONS ON SUBCONTRACTOR SALES TO THE GOVERNMENT (JUL1985) 52.215-1 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL.
(APR1984) 52.215-2 AUDIT--NEGOTIATION.
(APR1984) 52.215-22 PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA.
(APR 1984)
-52.215-24 SUBCONTRACTOR COST OR PRICING DATA.
(APR 1985) 52.215-25 SUBCONTRACTOR COST OR PRICING DATA--MODIFICATIONS.
(APR 1985)
(APR1984)(APR1984) 52.215-30 FACILITIES CAPITAL COST OF MONEY.
52.215-31 WAIVER OF FACILITIES CAPITAL COST OF MONEY.
52.215-33 ORDER OF PRECEDENCE.
(JAN 1986) 52.216-7 ALLOWABLE COST AND PAYMENT.
(APR1984) 52.216-8 FIXED FEE.
(APR1984) 52.219-8 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL DISADVANTAGED BUSINESS CONCERNS.
(JUN 1985) 52.219-9 SMALL BUSINESS AND SMALL DISADVANTAGED BUSINESS SUBCONTRACTING PLAN.
(APR 1984) 52.219-13 UTILIZATION OF WOMEN-0WNED SMALL BUSINESSES.
(AUG1986) 52.220-2 NOTICE OF TOTAL LABOR SURPLUS AREA SET-ASIDE.
(APR1984) 52.220-3 UTILIZATION OF LABOR SURPLUS AREA CONCERNS.
(APR1984) 52.220-4 LABOR SURPLUS AREA SUBCONTRACTING PROGRAM.
(APR1984) 52.222-1 NOTICE TO THE GOVERNMENT OF LABOR DISPUTES.
(APR1984) 52.222-3 CONVICT LABOR.
(APR1984)
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52.222-26 EQUAL OPPORTUNITY.
(APR1984) l 52.222-28 EQUAL OPPORTUNITY PREAWARD CLEARANCE OF SUBCONTRACTS.
(APR l
1984) 52.222-35 AFFIRMATIVE ACTION FOR SPECIAL DISABLED AND VIETNAM ERA VETERANS (APR 1984) u
.c OIE-87-119 PAGE 28 52.222 AFFIRMATIVEACTION'FORHANDICAPPEDWORKERS(APR1984) 52.223-2 CLEAN AIR AND WATER.
(APR 1984) i 52.227-1 AUTHORIZATION AND CONSENT.
(APR 1984) 52.227-2 NOTICE AND ASSISTANCE, REGARDING PATENT AND COPYRIGHT i
INFRINGEMENT. -(APR 1984) 52.227-11 PATENT RIGHTS--RETENTION BY THE CONTRACTOR (SHORT FORM).
l 4
(APR 1984) 52.228-7 INSURANCE LIABILITY TO THIRD PERSONS.- (APR 1984) 52.230-3 COST ACCOUNTING STANDARDS.
(AUG1986) 52.230-4 ADMINISTRATION OF COST ACCOUNTING STANDARDS.
(APR1984) 52.230-5 DISCLOSURE AND CONSISTENCY OF COST ACCOUNTING PRACTICES.
(AUG 1986)
(APR1984)(APR1984))
52.232-17 INTEREST.
52.232-20 LIMITATION OF COST.
(JAN1986 52.232-23 ASSIGNMENT OF CLAIMS.
52.233-1 DISPUTES.
(APR 1984) 52.242 NOTICE OF INTENT TO DISALLOW COSTS.
(APR1984) 52.243-2 CHANGES--COST-REIMBURSEMENT.
(APR1984)--AlternateI.
(APR-1984) 52.244-2 SUBCONTRACTS (C0ST-REIMBURSEMENT AND LETTER CONTRACTS)
(JUL 1985) l 52.244-5 COMPETITION IN SUBCONTRACTING.
(APR 1984) 52.245-5 GOVERNMENT PROPERTY (COST-REIMBURSEMENT, TIME-AND-MATERIAL, ORLABOR-HOURCONTRACTS).
(JAN 1986) 52.245-5 GOVERNMENT PROPERTY (COST-REIMBURSEMENT, TIME-AND-MATERIAL, ORLABOR-HOURCONTRACTS).
(JAN1986)--AlternateI.
(JUL 1985) 52.246-25 LIMITATION OF LIABILITY--SERVICES.
(APR 1984) 52.247-63 PREFERENCE FOR U.S.-FLAG AIR CARRIERS.
(APR1984) 52.249-6 TERMINATION (COST-REIMBURSEMENT).
(MAY1986) 52.249-14 EXCUSABLE DELAYS.
(APR1984)
PART III - LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS l
Section J - List of Attachments J1 Attachments
)
Attachment Number Title 1
NRC Contractor Organizational Conflicts of Interest (41 CFR Part 20) 2 Billing Instructions 3
. Standard Form 1411 with Instructions 5
Spending Plan Instructions 6
Subcontracting Plan Format L--_ _ _ __
l-ATTACHMENT /
PART 20-1 -- GENERAL j
e r
Subpart 20-1.64--Contractor' Organizational Conflicts of Interest
'Sec..
Scope and policy.
20-1.5401 20-1.5402 De.finitions.
20-1.5403 Criteria for recognizing contractor organizational sonflicts of interest.
~
20-1.5404 Representation, j
20-1.5405 Contract clauses.
20-1.5405-1 General contract clause.
20-1.5405-2 Special contract provisions.
20-1.5406 Evaluation, findings, and contract award..
20-1.5407 Conflicts identified after award.
20-1.5408 (Reserved) 20-1.5409 (Reserved) 20-1.5410 Subcontractors.
20-1.5411 Waiver.
20-1.5412 Remedies.
j AUTHORITY:
Sec. 8, Pub. L.45-601, 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
(
1 (NRC)(a) It is the policy of the U.S. Nuclear Regulatory Commission of interest. The NRC achieves this objective by requirir/J all prospective contractors to submit information describing relationships', if any, with organizations or persons (including those regulated by NRC) which may give rise to actual or potential conflicts of interest ih the event of 4
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 prescr,ibe 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 ar.d 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, i
or where it may have an unfair competitive advantage?
(c)
The conflict of interest rule contained in this subpart applies to contractors and offerors only.
Individuals or fir 1ns who have other relationships 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,
7590-01 agreement: with other government agencies, international organizations.
or state, local or foreign governments; separata procedures for avoiding conflicts of interest will be employed in such agreements, as appropriate.
520-1.5402 Definitions (a)
" Organizational conflicts of interest" means that a relationship exists whereby a contractor or prospective contractor has present or planned interests related to the work to be perfomed under an NRC contract which:
(1) May diminish its capacity to give impartial, technically sound, objective assistance and advice or may otherwise result in a biased work product, or (2) may result in its being given an unfair competitive advantage.
(b)
"Research" means any scientific or technical work involving theoretical analysis, exploration, or experimentation.
l (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, fim, unincorporated association, joint venture, co-spontgor, partnership, corporation, affiliates thereof, or their successors in interest, including their chief executives, 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" means any person, firm, unincorporated association, joint venture, partnership, corporation, or affiliates thereof, including its chief executive, directors, key personnel (identified in the proposal), proposed consultants, or subcoritractors, submitting a bid or proposal, solicited or unsolicited, to the NRC to obtain a contract. l i
i
7590-01 s
(j)
" Potential conflict of interest" means that a factual situation j
exists that suggests (indicates) that an actual conflict of interest may
]
arise from award of a proposed contract. oThe term " potential cor.flict of interest" is used to signify those situations which merit investigation prior to contract award in order totascertain whether award would give rise to an actual conflict or which must be. reported to the contracting officer for investigation if t. hey arise during contract performance.
]
5 20-1.5403 Criteria' for reognizing contractor organizat.ional conflicts of interest (a) General.
Two questi ns will be asked in' determining whether actual or potential teganizational <onflict;s ef interest exist:
(1)Are there conflicting roles which m0ght bias a contractor's judgment in relation to its work' for the NPCI.(2) Nay the contrat. tor be given an i
unfair competitive advantage beded on the' performance of the contract?
The ultimate determination by NRC as t? whetner organizational conflicts of interest exist will be made 1011ghlt' ef connon,ranw and good business judgment based upch :che~ relevant facts disclosed and the work to be performeo.
While it 1s4fficult to identify and to prescribe in advance a specific metho6 for: avoiding all of. the itarious situotions or rel.ations' nips' which might involve potential organita.tional conflicts of interest, NRC personnel will say pacticular attention to proposed contractual. requirements which call:fs the 'reridering of advic% c.oniultation er evalutuon activities, cir sivlar activities that lay direct groundwork for the NRC's decisions on regulatorj cctivitips, future procurement, and research programs.
L i',-
(b). situat; ions or ivlationships wh@h may give rise to organizational conflicts of.faterest'.,(1b The'offavor o'r contractor shall disclose infomation'concerning relationships which may. gin rise to organizational conflicts of interest under the following circumstances:
(i) lWNere the offeror er contractor provides advice and recournendations to thi ilRC'in a tnchnical area hi which it is also providing consulting assistarce in vae same, arec to asy organization regulated by che NRC.
.(ii) Whdre the offeror or'contracter provfdes advice to the NRC on i
the same or Mmilar matter in which it is also proriding assistance to any organi,zatien regulated by Se NRC.
,(iii) Where th) offeror or contractor evaluates its own products or services, cr. the products or Services of another nntity where the offeror er contractor has reeen substjdtially involved in their development or narketing; p
i t
(N) Whoc,e the ward of Ocontract wchid otherwise result in placing the offeror oricontractor in a conflicting role in which its judgment' mas te btased in re14 tion to its work for the NRC o:- may otherwise resvit in an 'urifair torpWtin advantage for the efferor or contractor.
-?-
)
I ii i
( 1..
7590-01 (2) The contracting officer may request specific information from an offeror or contractor or may require special contract provisions such as provided in i20-1.5405-2 in the following circumstances:
(1) Where the offeror or contractor prepares specifications which are to be used in competitive procurement of products or services covered by such specifications.
(ii) Where the offeror or contractor prepares plans for specific approaches or methodologies that are to be incorporated into competitive procurement using such approaches or methodologies.
(iii) Where the offeror or contractor is granted access to infomation not available to the public concerning NRC plans, policies, or programs which could form the basis for a later procurement action.
+
(iv) Where the offeror or contractor is granted access to proprietary information of its competitors.
(v) Where the award of a contract might 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.
(c)
Policy application guidance.
The following examples are illustrative only and are not intended to identify and resolve all contractor organizational conflict of interest situations.
(1) Example.
The XYZ Corp., in response to a request for proposal (RFP), proposes to undertake certain analyses of a reactor component as called for in the RFP.
The XYZ Corp. is one of several companies considered to be technica11y' 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 nomally would not be. awarded to the XYZ Corp. because it would be placed in a position in'which its judgment could be biased in relationship to its work for NRC. Since there are other well-qualified companies available, there would be no reason for considering a waiver of the policy.
(2) Example. The ABC Corp., in response to a RFP, proposes to perform certain analyses of a reactor component which are unique to one type of advanced reactor. As is the case with other technically qualified companies responding to the RFP, the ABC Corp. is performing various l-projects for several different utility clients.
None of the ABC Corp.
{
l 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.
- i 6
7590-01 j
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 I
l the contract to preclude the ABC Corp. from subsequently contracting for work during the performance of the NRC contract with the private sector l
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 plant.
Consequently, that company is the only one with whom NRC can contract which can develop and conduct the testing programs required to obtain the data in reasonable time.
That company has a definite interest in any NRC decisions that might result from the data produced because those decisions affect the reactor's design and thus the company's costs.
Guidance. This situation would place the manufacturer in a role in which its judgment could be biased in relationship to its work for NRC.
Since the nature of the work required is vitally important in tems of NRC's responsibilities and no reasonable alternative exists, a waiver of the policy may be warranted.
Any such waiver shall be fully documented and coordinated in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms to guard against bias.
(4)
Example.
The ABC Co. submits a proposal for a new system for evaluating a specific reactor component's perfomance for the purpose of developing standards that are important to the NRC program. The ABC Co.
has advised' NRC that it intends to sell the new system to industry once its practicability has been demonstrated.
Other companies in this business are using older systems for evaluation of the specific reactor component.
Guidance. A contract could be awarded to the ABC Co. provided that the contract stipulates that no information produced under the contract will be used in the contractor's private activities unless such information has been reported to NRC. Information which 's reported to NRC by contractors will normally be disseminated by NRC to others 'so as to preclude an unfair competitive advantage that might otherwise accrue. When NRC furnishes infomation to the contractor for the performance of contract work, it shall not be used in the contractor's private activities unless such information is generally available to others.'
Further, the contract will stipulate that the contractor will infom the NRC contracting officer of all situations in which the information developed under the contract is proposed to be used. -
l 7590-01 l
(5)
Example. The ABC Corp., in response to a RFP proposes to assemble a map showing certain seismological features t.,f the Appalachian q
fold belt.
In accordance with the representation in the RFP and i
120-1.5403(b)(1)(1), ABC Corp. infoms the NRC that it is presently doing seismological studies for several utilities in the Eastern United States but none of the sites are within the geographic area contemplated by the NRC study.
Guidance. The contracting officer would nomally 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 $ 20-1.5405-1 c( ) would preclude ABC Corp. from accepting work during the tem 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 l
conflicts arising from the perfomance of a contract is not relevant to a determination of the existence of.such conflicts prior to the award of j
a contract.
i (2)
It.is not relevant that the contractor has the professional f
reputation of being able to resist temptations which arise from organizational l
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.
i 520-1.5404 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 include ~d in' all solicitations and unsolicited proposals for:
(1) Evaluation services or activities; (2) technical consulting and management support services; (3) research; and (4) other contractual situations where special organizational conflicts of interest provisions are noted in the solicitation and would be included in toe resulting contract.
This representation requirement shall also apply to all modifications for additional effort under the contract except those issued under the " changes" clause.
Where, however, a statement of the type required by the organizational conflicts of interest representation provision has previously been submitted with regard to the contract being modified, only an updating of such statement shall be required.
. l 1
4 4
't 7590-01
-t 1-ORGANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION I represent to the best of my knowledge and belief that:
The award to of a contract or the modification of an existing contract does ( ) or does not ( ) involve situations or re.lationships of the type set forth in 41 CFR I20-1.5403(b)(1).
(c). Instructions to offerers.
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 320-1.5403(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) Impose appropriate conditions which avoid such conflicts, (ii) disqualify the offeror, or.
(iii) determine that it is otherwise in the best interest of the United j
States to seek award of the contract under the waiver provisions of
-5 20-1.5411.
(2) The refusal to provide the representation required by 5 20-1.5404(b) or upon request of the contracting officer the facts required by '520-1.5404(c), shall result in disqualification of the offeror for i
award.
The nondisclosure or misrepresentation of any relevant interest may also result in the disqualification of the offeror for award; or if such nondisclosure or misrepresentation is discovered after award, the resulting contract may be terminated.
The offeror may also be disqualified from subsequent related NRC contracts and be subject to such other remedial actions provi.ded by law or the resulting contract.
l (d)
The offeror may, because of actual or potential organizational j
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 exclu'sion.
Any such proposed exclusion by an offeror j
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.
7'
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(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.
i 20-1.5405 Contract clauses n 20 1.5405-1 General contract clause
7590-01 All contracts of the types set forth in I20-1.5404(b) shall include the following clauses:
1 (a)
Purpose.
The primary (purpose of this clause is to aid in1) Is not plac ensuring that the contractor:
because of current or planned interest (financial, contractual, organizational, or othemise) which relate to the work under this contract, and (2) does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract.
(b)
Scope.
The restrictions described herein shall apply to performance or participation by the contractor as defined in 41 CFR I 20-1.5402(f) in the actitities covered by this clause.
(c) Work for others.
Notwithstanding any other provision of this contract, during the term of this contract, the contractor agrees to 1
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 l
time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause.
If the contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any fim or organization may involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting officer prior to execution of such contractual arrangement.
(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.
l This statement shall include a description of the action which the contracter has taken or proposes to take to avoid or mitigate such conflicts.
The NRC may, however, teminate the contract for convenience if it deems such temination to be in the best interests of the government.
(e)
Access to and use of infomation.
(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 Comission based,
L_____________.
-j 7590-01
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e 4
on such information for a period of six (6) months after either the completion of this contract or the release of such infonnation 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 suc.h information to the public' or (iv) release the information without.
1 prior written approval by the contracting officer unless such information
{
I has previously been released to the public by the NRC.
(2)
In addition, the contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the
{
Privacy Act of 1974 (Pub. L.93-579), or other confidential or privileged technical, business, or financial information under this contract, the contractor shall treat such 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 t
of this contract have been met.
(f)
Subcontracts.
Except as provided in 41 CFR 920-1.5402(h):, the contractor shall include this clause, including.this paragraph, in subcontracts of any tier.
The terms " contract," " contractor," and
" contracting officer," shall be appropriately modified to preserve the government's rights.
(g)
Remedies.
For breach of any of the above proscriptions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous i
representations as necessarily imply bad faith, the government may terminate the contract for default, disqualify the contractor from subsequent contractual efforts, and pursue other remedies as may be
, permitted by law or this contract.
(h)
Waiver.
A request for waiver under this clause shall be directed in writing through the contracting officer to the Executive Director for Operations (ED0) in accordance with the procedures outlined
.in i20-1.5411.
i 520-1.5405-2 Special contract provisions.
(a). If it is determined from the nature of the proposed contract
- -that organizational conflicts of interest exist, the contracting officer 7
a 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 negotiate the tenns and conditions of these clauses, including the l
extent and time period of any such restriction. These provisions include i
but are not limited to:
i
-g.
I
7590:-7i y
(1)
Hardware exclusion clauses which prohibit the acceptance of
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proouction contracts following a related nonproduction contract previously performed by the contractor-(2)
Software exclusion clauses; (3)
Clauses which require the contractor.(and certain of his Eey personnel) to avoid certain organizational conflicts of interest; and (4)
Clauses which provide for protection of confidential data and guard against its unauthorized use.
(b)
The following additional contract clause may be included as section (1) in the clause set forth in: 20-1.5405-1 when it is determined that award of a follow-on contract would constitute an organizational conflict of interest.
(i)
Follow-on effort.
(1) The contractor shall be ineligible to participate in NRC contracts, subcontracts, or proposals therefor (solicited l
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 I
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 effort which is based on such statement of work or specifications.
The contractor shall not incorporate its products or services in such statement of work or specifications unless so directed in writing by the contracting officer, in which case the restriction in this subparagraph shall not apply.
I (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 120-1.5404(b) and other relevant information.
After evaluating this information against tne criteria of 120-1.5403, a finding will be made by the contracting officer whether organizational conflicts of interest exist with respect to a particular offeror.
If it nas oeen determined tnat conflicts of
^
interest exist, then the contracting officer shall eitner:
(a)
Disqualify the offeror from award, -
my
.?
l 7590-01 L
(b)
Avoid or eliminate such conflicts by appropriate measures; or (c)
Award the contract under the waiver provision of I20-1. 5411.
120-1.5407 Conflicts identified after award.
If potential organizational conflicts of interest are identified after award _with respect to a particular contractor, the contracting officer determines that such conflicts do, in fact, exist and that it would not be in the best interests of the government to terminate the-contract as provided in the clausds required by. 520-1.5405, the contracting officer will take every reasonable action to avoid, eliminate, or, after obtaining a waiver in-accordance with 120-1.5411, neutralize the effects of the identified conflict.
520-1.5408 (Reserved) s20-1.5409 (Reserved) 520-1.5410 Subcontracts The contracting officer shall require offerors and contractors to submit a representation statement in accordance with I20-1.5404(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 tander a prime contract covered by this subsection.
I20-1.5411 Waiver In the first instarice, determination with respect to the need to l
seek a waiver for specific contract awards shall be made by the contracting l
officer with the advice and concurrence of the program office director i
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 EDO may waive the policy in specific cases if he determines that it is in the best interest of the United States to do
.s o.
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'$'5uch 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 perfomed except by a contractor
.whose. interests give rise to a question of conflict of interest; and (3)
' con'tractual and/or technical review and supervision methods can be employed by NRC to neutralize the conflict.
For any such waivers, the justification and approval occuments shall be placed in the Public Document Room. --
7590-01 820-1. 5412 Remedies 1
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 i
intentional misrepresentation or intentional nondisclosure of any relevant interest required to be provided for this section, the NRC may debar the contractor from subsequent NRC contracts.
i Dated at Washinaton D.C this 27th day of March 1979...
For the Nuclear Regulatory Commission Ce.uu d \\ b:hIA Samuel J. Chilk
' ~
Secretary of the Commission 4
o
--.. m We d
l ATTACHMENT
- 2, 1
1
~
(REVISED-6/84)
BILLING INSTRUCTIONS FOR NRC COST-TYPE CONTRACTS I
)
General.
The contractor shall submit vouchers for cost-reintursement in the manner and format described herein and as illustrated in the sample voucher.
Number of Copies..
An original and two copies should be mailed to the NRC office identified below.
Frequency.
The contractor shall subenit claims for reimbursement once each month unless otherwise authorized by the Contracting Officer.
Form.
Claims shall be submitted on the Form DC-3 " Voucher for Purchases and Services Other Than Personal." These forms are available from the Contracting Officer.
(The instructions for preparation and itemization of the voucher are shown on the fors.)
Billing of Costs Afte'r Expiration of Contract.
If costs are incurred during the contract period and claimed after the contract has expired, the period during which these costs were inc~urred must be cited.
Currency.
Billings may be expressed in the currency normally used by the contractor in maintaining his accounting records; payments will be made.in that currency. However, the U. S. dollar equivalent for all
. invoices paid under the contract may not exceed the total U. S. dollars
.. authorized in the contract.
. Supersession.
These instructions supersede all previous billing instructions.
(
D
a l
All costs associated with each trip must be shown in the following
)
format :. (Unless the organization's travel policy has inen. negotiated.
]
and. approved by HRC) q i
Date Traveler Destination Purpose Cost To,
)
From lo From o
o 1.
Airfare 2.
Rental Car 3.
Local TWssu!I 4.
Per Die Days 9
]
j 5.
Meals :
Date Breakfast Lunch Dinner l
k If not included in Per Diem.
l 6.
Tips, Misc.
(Itemize if more than 510,0; (8) Subcontracts - Include all costs paid to approved subcontractors decir
)
billing period. This includes the details of the subcontract terms (i.<.
l cost-plus-fixed-fee, direct labor, indirect costs, travel, profit, ete-)
(9) Other - List all other direct costs.by cost elements and dollar ameent sepa ra tely.
(i)
Indirect Costs--0verhead - Cite the formula (rate and base) in effect de~in 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 1
cost elements, adjustment, and adjusted amounts for the period.
I-o
"~
cumulativeamountsbilledfhrthemajorcostelementsandaijdted~
amounts clated during this c:ntract.
(a)
Total Amounts Clated - Insert the total amounts clained for the current and cumulative periods.
l l
(n)
Adjustments - This includes amounts conceded by the contractor, outstand-ing suspensions, and disapprovals subject to appeal.
(o)
Grand Totals e
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I l
VUUCHER$ [0R PURCl(ASLS AND SLRVICES OTHER 1HAN PERSONAL
~
SAMPLE VOUCHER Payor's Name and Address (a) Contract Nuder NRC-10-81-624 j
The U.S. Nuclear Regulatory Comission Division of Accounting and Finance
(
dP
" Study of Nuclear Waste. !
Office of Resource Management Concepts,,
i Attention: GOV /COM Acets Section Washington, D.C.
20555 (c) Voucher Nueer 003
,J Payee's Name and Address MC CWPONION The National Bank, (d) Date Voucher P 'epared 10/18/82 i
i 100 Main Street or Anp here. U.S.A (e) ictal Cstinsted Cost of Contract i
l An phere U.S.A.
Assignee for ABC CORP.
l Anphere, U.S. A.
S350.000.00 (When Payments Assigned) (f) Total Fixed-Fee i
Indiividual to Contract
}
4
$17,500.00 Regarding This Voucher.
,Neme:
Harry Murphy
- Tel. No.: 215-321-8654 l
l(g) This voucher represents reimbursable costs from 3/1/82 thru 3/ 30/82
}
I Amount. Billed (k) Current Period l
(1)
Inception to Date '
l(h) Direct Costs (1) Direct Labor *
$2.400 56.800 (2) Fringe Benefits 916.5 '..
1.200 l
(if comnuted as percentace) 600 r
(3) Direct Eoutpmene
- 5.000 8.000 t
(c) tiaterials. Supplies and Other Expendable items
- 2.000 4.000 (5) kremium Pay 100 150
~
(6) Consultants
- 100 100 (7) Travel - Domestic
- 200 200 l) 2 1
Foreton
- i (8) Subcontract
- 200 200 (9) Other Costs
- 3.000 9,000 5**
l (i)
INDIRECT COSTS i
A) Overneac700 '. of ' Total Direct Costs
$13,600
$29.650 (Indicate Base) l Subtotal
$27.200
$59.300 B) General A Administrative Expense 3.264
- 6. Min 12 ' of Cost Elements Nos.1-9. A Total Costs
$30.464
$65.750 (j) FIXE 0-FEE EARNED (Fonnula) 1.523 3.400 531.987 SH.150 (m) Total Amounts Claimed (n) Adjustments 1.700 1.700 Outstanding Suspensions.
$30 287 f('I M'd (o) Grand intale, l
- (RI QUIRES SUITOR 1ING INf 0RMA110N. )
(SCC A1TACHED.)
/K' 00 3 f I
SAMPLE SUPPORTING INFORMATION
'1) Direct Labor - $2400 Labor Labor Hours Hours Cumulative Category Negotia ted Billed Rate Total Hours Billed I
Senior Engineer I 2400 100
$14.00
$1400 975 Engineer 1500 50
$10.00
$500 465
. [_
Computer Analyst 700 100
$5.00
$500 320 i
58 %
\\
- 3) Direct Equipment
]
Spectrometer - General Electric (as approved in Prope'rty Schedule) $5,000
- 4) Materials, Supplies & Other Exoendable Items l
i 10 Radon Tubes 9 $110.00
$1100.00
=
6 Pairs Electrostatic Gloves,8 $150.00
$900.00_
=
32000.00
- 5). Premium Pay Walter Murphy - 10 hours1.157407e-4 days <br />0.00278 hours <br />1.653439e-5 weeks <br />3.805e-6 months <br /> 9 $10.00 Per Hour = $100 (This was appmved by NRC in letter dated 3/6/82.)
~
- 6) Consultants' Fee Dr. Carney - 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br /> 9 $100
= $100
- 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 Officer
- 4) Per Diem - 2 Days 9 $50.00 = $100.00
- 6) Tips, Misc. 55.00 TOTAL:
$200 i
i
- 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 a $1600.00
$800.00 0/H 9 50%
=
$400.00 i
Travel - 2 Trips - Wash., DC 9 $200
=
to Boston, MA Profit 9 7% _
$200.00
=
TOTAL:
53000.00 (j)Flyed-FeeJormula)
(5%)
$350,000 X 5% = $17,503. Total Fixed Fee for this Contract
$27,200 X 5% = $1360 Fee Billed for this Period I
(n) Adjustments
$1700 - Indicates amount withheld from voucher f001, now approved by Contracting Officer letter 3/10/82.
l 6
i
)
~
1 1
I i j
o NciC h.n 1c 11 -/ 3 Form NRC 489 (1 76)
U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL TRANSMITTAL NOTICE
~
q l
C m s. NRC-3202 PUBLICATION OF TECHNICAL REPORPS PEPARED BY NRC C0hTRACTORS, INCWDING EPORTS PEPAED UNER OR PURSUAh? TO INTERAGENCY AGEEMENPS
]
SUPERSEDED:
TRANSMITTED:
I
-N umber Date Number Date TN 3200-21
.Cha pter NRC-3202 4/29/82 Chapter NRC-3202 BM/M Page Page Appendix NRC-3202 4/29/82 Appendix NRC-3202 8/29/k REMARKS:
This revision of Chapter 3202 expands the chapter from coverage of unclassified reports to include the trarkirs and handling of sensitive unclassified infomation (Official Use Only and Limited Official Use Infomation, Safeguards Inforsmtion, Pmprietary Infortnation) and classified infortnation (Top Secret, Secret, and Confidential). A section has also been added to set forth procedures for the handling of unclassified reports on NRC cooperative pmgrams with foreign governments and orli;anizations and with U.S. irdustry.
9 e.-
e e
\\
3
0-t U.S. NUCLEAR REGULATORY COMMISSION NRC MANUAL Volume:
3000 Information and Foreign Activities Part :
3200 Technical Information and Document Control AOM CH APTER 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.
I 3203-02 OBJECTIVES 021 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 and Divisions and Regional Administrators, NRC standards, proce-dures and guides for the production and dissemination of technical t
contractor reports.
Approved: August 29, 1984
PUBLICATION OF TECHNICAL REPORTS. PREPARED BY NRC CONTRACTORS, INCLUDING REPOR_TS PREP' RED
~ ' '
NRC-3202-032 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS i
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.
l 032 The Director. Division of Technical Information and Document 1
Control:
develops and administers a central report control system for identi-a.
fying, printing and distributing contractor reports and responding to requests for unclassified reports.
)
b.
' develops and maintains guides and standards for the documentation, formatting, printing, dissemination, and public sale of unclassified contractor reports.
i c.
assures that a system exists for review of unclassified contractor i
reports for adherence to patent, copyright and disclosure policies l
prior to dissemination, d.
establishes and administers interagency agreements necessary for the dissemination and public sale of unclassified contractor reports and controls duplication and printing of contractor reports to assure adherence to the Government Printing and Binding Regulations issued by the Joint Committee on Printing (JCP), Congress of the United States.
e.
in response to requests of Directors of Offices and Regional Administrators, establishes distribution data banks, maintains official standard distribution lists for automatic distribution of unclassified contractor reports,. and controls distribution to assure adherence to the Government Printing and Binding Regulations, the Privacy Act, and the Freedom of Information Act.
l 033 Directors of Offices and Regional Administrators:
a.
establish the contract or Standard Order for Work
- provisions,
including those required by this chapter and its appendix; Chapter NRC-3203, Distribution of Unclassified NRC Staff-and Contractor-Generated Documents and its appendix; Chapter NRC-0260, Print-1 in g, Copying, Graphics and Photography and its appendix: and
{
Chapter NRC-1102, Procedures for Placement of Work with the
]
Department of Energy. In the Statement of Work:
)
(1) specify what reports will be reviewed for policy, management, and legal issues by NRC staff in draft prior to printing and distribution. If the report is to be reviewed by NRC staff.
1 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-tion to the standard government disclaimer (see Exhibit 6).
"In the case of DOE work, this is NRC Form 173, Standard Order for DOE Work. See Chapter NRC-1102.
Approved: August 29, 1984
l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED 1
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 i
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, designate the cc.itractor 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 shat! 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, recommend standard distribution category (ies) for contractor reports c
to the Division of Technical Information and Document Control.
d.
provide changes to th'e official standard distribution lists to the Division of Technical Information and Document Control.
establish procedures for review of contractor's proposed press and e.
other media releases.
034 The Office o f' the Im:a1 Director provides legal review and advice to NRC staff. Executiveon questions regarding inventions, proprietary information, use of copyrighted material, national security, and 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.
Approved: August 29, 1984
- _z___-_______-__
)
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED--._
NRC-3202-036 UNDER OR PURSUANT TO INTERAGENCY, AGREEMENTS I
036 The Director, Division of Security:
administers the overall in' formation security program which includes a.
management of the security classification program and other programs for the protection of sensitive unclassified infonnation.
b.
advises staff of NRC Offices and Regions on the preparation and 4
handling of reports containing classified, proprietary and other sen-sitive unclassified infonnation.
037 The Director, Division of Contracts:
1 a.
coordinates the flow of all reports to and from contractors (other i
than DOE contractors) where such reports may result in alterations
)
in the terms and conditions of applicabic conti acts as they pertain j
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 a
contract.
{
c.
provides contractor with copies of NRC Chapters 0260, 3202, 3203, 3207, and 3210, when appropriate.
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
- 0 41 camera-ready copy - pages ready for printing by the offset printing process. This is a colloquial term used even though the printing process may not involve the so-called copy camera (see also reproducible masters).
042 central report control system - means for developing and maintaining the policies, procedures and guides needed to identify and p'oduce regulatory and technical reports and to assure adherence to requirements and standards for documentation, formatting, printing and distribution.
record of work done (a report) prepared in 043 contractor report accordance with the provisions of a contract or under or pursuant to an interagency agreement.
- Words underscored in definitions are also defined in list.
j Approved: August 29, 1984
=)
)
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS N RC-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 publication of reports and make then-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 draf t or final material for inclusion in " Safety Evaluation Reports" written material requested for input to or " Environmental Statements" (ES)
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 compilation of information. This product is a investigation, or a significant 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.
examination by legal staff to assure protection 0411 patent review rights in inventions.
0412 proprietary informatio_n - 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 deterinined to be unclassified by the NRC.
0413 publicly available documents - information (reports and references) which is available in the NRC Public Document Room (PDR) for public inspec-tion and copying or available in the public domain.
Approved: August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY
)
NRC CONTRACTORS, INCLUDING REPORTS PREPARED l
NRC-3202-0414 UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS.. _____._
0414 reproducible masters - camers-ready copy which includes (1) origi-l 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 l
abstract, or (4) other forms of the materials listed in (1), (2) and (3) that a printer can reproduce, l
~
0415 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 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 technical work is review and eval-uation of work of others or work to be used by the staff in the licensing and i
regulation process.
Interim letter reports may include, but are not limited j
to, informal (interim) progress reports, qui'ck-look reports, data reports, status summary reports, project descriptions, pre-tested predictions, model verifications, experiment safety analyses, experiment operating procedures, i
facility certification reports, and test result reports.
0417 unique identification - NRC identification used on a report and its attachments, revisions, and supplements that is not used on any other report.
3202-05 B ASIC REQUIREMENTS 1
0 51 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 l
wide public dissemination.
t 052 Fonns. 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 i
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 I
i
o
\\
s PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED I
UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-054 054 Preparation Requirements Reports to be Printed by NRC. All contractor reports to b'e printed a.
by NRC shall be prepared according to Appendix 3202. The repro-I ducible masters for the requisite distribution shall be transmitted to j
the Division of Technical Information and Document Control accom-panied by completed NRC Form 426A and NRC Form 335.
l l
b.
Reports Printed by Authorized Federal Printing Plants. All contrac-I 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, l
accompanied by completed NRC Fonn 426A, signed by the authorized
(
contractor official. Each such report shall include, as the last pane, j
a completed NRC Form 335.
055 References. The. NRC chapters referenced and NUREG-0794 (ref. j),
and NUREG-0650 (ref. i) are available from the Division of Technical Informa-tion and Document Control. The other publications are available from the Government Printing Office.
Chapter NRC-0260. " Printing, Copying, Graphics and Photography."
a.
b.
Chapter and Appendix NRC-2101, "NRC Security Program."
c.
Chapter NRC-3203, " Distribution of Unclassified NRC Staff-and Contractor-Generated Documents."
d.
Chapter NRC-Il02, " Procedures for Placement of Work with the Department of Energy."
Chapter NRC-3206, "NRC Contracter Speeches, Papers and Journal e.
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 S.
U.S.
Code, " Government Organization and Employees,"
Government Printing Office.
Apptzved:
August 29, 1984
1 PUBLICATION dF TECHNICAL REPORTS PREPARED BY I
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, f
February 1982.
j k.
" Protection of Unclassified Safeguards Infomation," D. J. Kasun, USNRC Report NUREG-0794, October 1981.
i 1.
Chapter NRC-0255, " Mail Management," and Appendix 0255, Part V, Annex A.
i l
l 1
l i
1 l
l l
Approved: August 29, 1984 O
l 3
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED '
UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 j
CONTENTS 1
PAGE 1
PART I PREPARATION OF REPORTING-REQUIREMENTS PORTIONS OF STATEMENTS j
OF WORK FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR DOE WORK J
A.
LIST OF TECHNICAL REPORT REQUIREMENTS.........................
1 B.
REQUIREMENTS FOR FORMAL REP 0RTS...............................
2 C.
REQUIREMENTS FOR DRAFT REP 0RTS................................
2 D.
PUBLISHING UNCLASSIFIED, NON-SENSITIVE INFORMATION 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.
WRITING AND PUBLISHING UNCLASSIFIED B00KS.....................
5 i
I.
DISTRIBUTION OF REPORTS TO CONTRACTORS........................
5 J.
COORDINATION OF PRESS OR OTHER MEDIA RELEASES OF UNCLASSIFIED INFORMATION...................................
S l
PART II UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC...
7 i
7 A.
DOCUMENTATION.................................................
7 l
1.
Applica,bility............................................
2.
Front cover and Title Page...............................
7 i
3.
Availability Information.................................
9 i
4.
Disclaimer...............................................
9 i
5.
Previous Reports in Series...............................
9
)
9 6.
Abstract.................................................
7.
References and Bibliographies............................
9 10 8.
Bibliographic Data Sheet....................
B.
PATENT AND SECURITY REVIEWS...................................
10 1
1.
Patent Review............................................
10 10 2.
Security Review..........................................
r-i Approved: August 29, 1984
q
)
PUBLICATION OF TECHNICAL REPORTG PREPARED BY I
~~
(
NRC CONTRACTORS, INCLUDING REPORTS; PREPA. RED..;
NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS I
1 CONTENTS (Continued)
P AGC -~~ ~
C.
PROCEDURES FOR PRINTING AND DISTRIBUTING......................
11 '
1.
P r i n t i ng.............................................. ;...
11 j
2.
Reprinting.............................................,..
11 3,.
Distribution of Reports..................................
11
___,3 EXHIBITS i
~
1 1.
Sample Cover for Unclassified Formal Contractor-Prepared Reports.
)
Excluding Those Printed by DOE Laboratories with JCP Authorized Federal Printing P1 ants............................................
13 l
2.
Sample Title Page for Unclassified Formal Contracto'r-Prepared Reports, Excluding Those Printed by DOE Laboratories with JCP Authorized Federal Printing P1 ants................................
14 3.
Sample Cover for Unclassified Formal Reports Printed by DOE l
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 P1 ants............................................................
16 4
1 i
5.
NRC Fors 426A, Publications Release...............................
17 l
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 I
1.
Applicability...........................................
21 l
2.
R e q u i r eme n t s................................. '. T..... '....
21 B.
PATENT AND SECURITY REVIEWS.................................
21 1.
Patent Review..........................................
21 2.
Secur,ity Review........................................
22 PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE OFFICE 0F NUCLEAR REGULATORY RESEARCH BY 00E LABORATORIES WITH JCP-AUTHORIZE 0 FEDERAL PRINTING PLANTS...,..................
23 A.
00 CEMENTATION..........'.....................................
23 l
1.
Applicability....................................
23 2.
Front Cover and Title Page.................,
23 Approved: August 29, 1984 11 1
i
l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 CONTENTS (Continued) 1 PAGE l
3.
Availability and Price Information.....................
25 4
Disclaimer.............................................
25 5.
Previous Reports in Series.............................
25 6.
Abstract...............................................
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 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 B.
OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION......
29 C.
PROPRIETARY INFORMATION.....................................
30 D.
SAFEGUARDS INFORMATION......................................
31 E.
CLASSIFIED INFORMATION......................'................
31 EXHIBITS 8.
Sample Cover for a Contractor Report Containing Official Use 33 Only Information..................................................
9.
Sam'ple Title Page for a Contractor Report Containing Official 34 Use Only Information..............................................
10.
Sample Back Cover for a Contractor Report Containing Official 35
(
' ~
Osi Only Information..............................................
11.
Sample Cover for a Contractor Report Containing Limited 36 Official Use Information......................................
12.
Sample Title Page for a Contractor Report Containing Limited 37 Official Use Information..........................................
iii Approved:
August 29, 1984
.. n...
,,,3;
(f \\
J
,,\\ ;' c b ~ si
',i \\ 'l (, PUBI'iC4 TION OF TECHNICAL REPORTS S PREPARED BY MRC@NTRACTORS, INCLUDING REPORTS PREPARED 3
NRC Appendic 3202 *;v 0NDE.PJ oh PURSUANT TO INTERAGENCY AGREEMENTS ------
r CONTEF71 R n_tinued) vi
,y,
- ,J P. AG.E i.'
i 13.
Sample. Bach Cover fac'.a Contractor hepart CentaiMng Limned Official #seInformation.....j;......,.u............................
38
!\\ s '
14.
Sample Cover for..a Centrr.: tar Raport Contdning' Proprietary i
Inf ormati on '0bta i ned fr6s a' U. S. Org.sni z a t. ion......................
39
\\
15.
Sample Cover Pr.9.0 for a Cont ractor Report Containing Proprietary Irif ot aation Ob.ained f rom a Foreign Sourca........,...
40 t
ci 16.
Sample Title Page for a Contractoq Renort Containing Proprietary Informatio'n Obtained f rom 'a U. S. Organiz.itf on........
41.
l 17.
SampleTitlePag'eforaContractortkeportContLinird Proprietary InMrmation Obr.ained f rom n' Foreign.%urce........
42 a
18.
Sample Back Cover 'fkr a' Contractor Report Containing P rop r i e ta ry I n foniat1i on................,........................
43 i
19.
Cover Sheet for Reports Contrinind Proorie' aiy Information.......
44 20.
Sample Cover for a Cor.tracto1 Report.. ContM ning Unclassified Safeguerdr., Information...
45 1;
21.
Sample Title Page for r Contractor Report Containing Unclassified Safeguards Information.....
46
! t 22.
Sample Back'Covebfer a Contractor Repori Containing Unclassified Saffgaards Information.....
47 i
'2 3.
Cover Sheet for-a Contractor RJport Centaining Unclassified S a f e g u a r d s I n f o rma t i o n. -.. '...................................
48 PART "I, MANDLING OF' UNCLASSIFIED INFORMATION ON NRC COOPERATIVE PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH INDUSTRY.......,.....................
49 j
A.
PREPARATION OF DRAFT PRELIMINARY REPORTS FOR C0 AMENT.......
49 B.
DISTRIBUTION SY 'NSL PROJECT MANAGERS................
50 C.
COMMENT PERIOD AND 15.tVANCE OF NUREG/CR REPORT...
50 REPORT IDENTIFILR!.. ;,...........................
D.
50
\\
E.
MAILING TO PROGRAM PMTICIPANTS........
51 1
F.'
' SECURITY.........../...........
51
,l:
~i g
Approved:
August 29,,1954.
is c
I
L
-i a
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202.
CONTENTS (Continued)
. PAGE EXHIBITS 24.
Sample Cover for a Draft Preliminary Report (Code) for Comment...
52 25.
Transmittal Letter from Contractor to NRC Project Manager for Draft Preliminary Report (Code)...................................
53 2 f..
Transmittal Sheet for Requesting Mailing to Cooperative Program Participants......................................................
54 J
I v
Approved: August 29, 1984
a PUBLICATION OF TECHNICAL REPORTS PREP RED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PARTI PREPARATION OF REPORTING REQUIREMENT PORTIONS OF STATEMENTS OF WORK FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR DOE WORK A.
LIST OF TECHNICAL REPORT REQUIREMENTS List the technical reports.r? quired 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 unclassified, 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, draf t or final formal technical reports for pubTaation in the NUREG/CR or '
draf t or final aterial for inclusion in SERs NUREG/CP se ries, or m
or ESs (see definitions below).
technical letter reports (also called technical evaluation reports) interun or final letters that provide information on the technical 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 speciTied 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 reports 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, expe,riment 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.
fonnal technical reports - the final product of research, an original investigation, or a significant compilation of information. This pro-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 for comment prior to preparation of the camera-ready copy.
l f
1 Approved:
August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED'-"-
Part 1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS draft or final material for publication or inclusion in SERs, ESs, 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 technical letter report addressed to the project manager and identified by the FIN
. number.
For purposes of this Part, contractor means a private contractor, con-sultant, grantee, another State or Federal Agency working under an I
interagency agreement, or a DOE / facility or National Laboratory (con-tractor) and subcontractors.
j 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 i
for the Office of Nuclear Regulatory Research by a DOE facility or l
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 !! and V (for contractors other* than DOE contractors), or Parts IV and V.of this appendix and Chapter 1102 (for DOE contrac-tors).
A style guide. is also available free, upon request (NUREG-i 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 TechnicalInformation 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.
Unclassified reports printed for the Office of Nuclear Regulatory Research j
should be handled in accordance with Parts IV and V of this appendix and/or Chapter 1102.
C.
REQUIREMENTS FOR DRAFT REPORTS j
l If a draft is desired prior to completion of a final technical letter report, formal technical report, final material for inclusion in an SER or ES, or for comment by participants in cooperative programs with foreign gov-l l
ernments and organizations and with U.S. industry, state that require-i ment and the time frame for delivering the final camera-ready copy af ter receiving NRC and/or participant comments on the draft: State that all draft material should be submitted to the cognizant project manager.
f 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 if it is a letter report or input to an SER or ES, or to the
- manager, Director, Division of Technical Information and Document Control, if it is t
Approved:
August 29, 1984 2
i e
x l
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED
. NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part i I
I e
-camera-ready copy for printing and distribution. This is to be done to i
assure proper publication, handling, and distribution and, among other things, to preclude further changes that might nullify the agreement.. If i
-caveats were agreed to pnd the project manager wishes to check the final docament for their presence, he/she should inform TIDC of that desire.
In that case,l upon receipt of the camera-ready copy by TIDC, the project manager will be ' informed and requested to prepare and sign the NRC Form 426 A.
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 i
in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" to the addition of a preface setting forth the NRC. opinion-or footnotes at appropriate locations within the text.
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
{
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 then free to publish without ' NRC identification 'of the. report.
Project i
manager or higher level decisions may be appealed to the NRC Executive Director for Operations.
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 in the open literature instead of submitting a final report and/or present papers at public or association meetings at interi.n stages of the work, I
if the project manager wants to review the paper or journal article prior to presentation or submission for publication, state this in the Statement 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-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
- m -
3 Approved: August 29, 1984 l
l PUBLICATION OF TECHNICAL REPORTS PREPA' RED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTjS_ PREPARED....
...i-Part I UNDER OR ~ PURSUANT TO INTERAGENCY AGREEMENTS - -
l l
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.
i Nuclear Regulatory Commission," 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-ture and/or presentation of papers.
'.T.'~
In the latter case, NRC' will inform the contractor of the decision, f as' -
stated above for formal reports (see Section C, paragraphs 3 and ~ 4)'l 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 bg 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 upon or which has been disapproved.
(See Chapter 3206 for provisions relating to payment of page enarges and travel costs for presentation of papers.)
E.
TYPOGRAPHY The text of reports must be single spaced on 8\\ x 11-in. paper, unless otherwise specifically authorized. Occasionally, reports with many sym-bols 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 Informa tion.,
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 j
WORKSHOPS 1
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
]
S
1 4
1 1
4 l
i PUBLICATION-OF TECHNICAL ~ REPORTS PREPARED 'BY l
NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 f
UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 1 j
participates as a sponsor or cosponsor. Chapter NRC-3207 " Conferences and Conference. Proceedings," provides general information and guidance for this.
More detailed guidance is available from TIDC upon request.
f H.
WRITING. AND PUBLISHING UNCLASS!FIED BOOKS I
i NRC. may, under certain circumstances, publish books prepared by j
grantees or contractors.
For general information and guidance on book publishing, see Chapter NRC-3210, " Book Writing and Publishing."
j l
-1.
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 h*RC for internal use, j
If fewer than 50 copies are needed,' indicate the desired quantity on NRC J
Form 426A.
Single copies. for specific individuals in organizations other
(
than the contractor's organization who are not included in the distribution i
requested by the NRC project manager may be requested on a project i
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 i
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-4 fied reports wlL1 be made by the project manager on a case-by-case basis.
J.
COORDINATION OF PRESS OR OTHER MEDIA RELEASES OF UNCLASS!-
FIED INFORMATION I
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 l
delays in handling by the project manager may be appealed to the NRC Executive Director for Operations.
l rr-re:
..r.:
5 Approved: August 29, 1984
o PUBLICATION OF TECHNICAL REPORTS PREP'ARED BY i
NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART!!
4 UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC A.
DOCUMENTATION 1.
Applicability The requirements of this part apply to contractor and inter-a.
agency agreement 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 Nucl. ar Regulatory Research, q
(
b.
With respect to sensitive unclassified and classified reports, j
the requirements set forth in Part V' of this appendix shall be.
used in conjunction with NRC Appendix 2101.
1 c.
The requirements of this part do not apply to consultants and q
contractors of the NRC boards, panels, and advisory commit-tees which report directly to the Commission.
2.
Front Cover and Title Page l
4 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 l
may be obtained by calling the Division of Technical Infor-i 7
~
' ' ~
mation and Document Control or by submitting a copy of
' '-~
NRC Form 426A (Exhibit 5) with a request for a number.
l
- Reproducible copy of the cover of the performing organization may be sub-mitted; however, the data elements shown in Exhibit 1 must be included.
4 "These requirements meet the specifications of American National Standard ANSI Z39.18-1974, Guidelines for Format and Production of Scientific and Technical Reports, and ANSI Z39.23-1974, Technical Report Numbers.
7 Approved: August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY-l NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPAR_ED Part II UNDER OR PURSUANT TO INTER AGENCY AGREEMENT 5'__.'_.".. '
s
]
The NRC identification number will have the form:
NUREG/CR-XXXX or NUREG/CP-XXLX -
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 m' ore than one volume or bind-l ing or is issued in more than one edition, an appropriate j
volume, supplement, part or revision designation shall
}
appear immediately below the report number.
l (2) Title and Subtitle 1
i (a) Use a brief title that indicates clearly the subject matter covered in the report.
l (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..
j annual report, final report, thesis. etc. ) and the period covered as part of the subtitle.
(3) Personal Author (s)' Name(s)
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-l butions are as editors, compilers, etc.. so indicate on the title page following the names, in addition, list affiliation of each author only if affiliated with an organization other than the organization generating the document.
j (4) Organization Identification j
q On the title page and cover, provide information of the
]
type illustrated in Exhibits 1 through 4.
j 1
(5) Basis for Report Date(s)
]
i (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.
l (b) More than one date, with the basis for each, may be shown where this is necessary.
Approved: August 29, 1984 8
l O
l
s O
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 l
UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 11 i
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.
4.
Disclaimer The following notice will be added during the printing step on the inside front cover (Exhibit 6):. "This report was prepared as an account of work sponsored by an agency of the United States Governmen t.
Neither the United States Government nor any agency thereof, or any cf 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, appa ra tu s, product or process disclosed in this report, or repre-sents that its use by such third party would not infringe privately owned righ t s. " 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 1.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 issu-ance 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.*
7.
References end 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 t
be made to personal communications and interviews, unpublished 1
This preferred positioning of the abstract in the report need not be followed i
if the style manual of the originating organization requires a different j
location.
(
j l
9 Approved:
August 29, 1984
--_l- - _ _ _ -. _ - - - _ _ _ -
I i
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 unretrievable information is important and unrestricted, it can be l
quoted in the text, in footnotes, or in appendixes. If credit is due I
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,"
published in November 1979-(see Appendix A, pp.' 19f23, E for.
specific guidance) and Supplement 1 dated February 1982.
8.
Bibliographic Data Sh'eet
~
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 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 (Exhtbit 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 the patent implications.
If there is no need for patent review j
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 disclosure of developments of an inventive nature, the contracting officer shall request assistance from the NRC Patent Counsel, Office of the Executive Legal Director.
I 2.
Security Review 1
In most cases, contractor reports will be unclassified.
Should a l
l report of sensitive unclassified or classified work be required,
however, the NRC project manager must work with the NRC 1
Division of. Security to establish the appropriate procedures and inform the contractor of such procedures through the contracting i
officer.
The standards for marking and handling such reports are given in Part V of this appendix and NRC Appendix 2101.
Approved:
August 29, 1984 10 w_______
N PUBLICATION OF TECHNICAL REPORTS PREPARED-BY
.NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part !!
C.
PROCEDURES FOR PRINTING AND DISTRIBUTING l'.
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 project manager or a contractor official authorized by the project. manager.
Such authorization shall be reported in writing to TIDC.
The Division of Technical Information and Document Control will review the masters for adherence to the standards set forth in this chapter and appendix and will arrange for printing and distributing l
the report.
Unsatisfactory ' masters will be reported to the NRC project manager for appropriate contractual action by the contract-i 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-i
. ing require approval of the Division of Technical Information an.d 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 j
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.
11 Approved: August 29, 1984
i l
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 1 SAMPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT.TO INTERAGENCY AGREEMENTS l
NUREG/CR 1676 NRC Report No.
NUSAC 566 Contractor Report No. (if any)
Vd.1 Vol., Part, Rev., etc. (if any)
Using Advanced Process Monitorincj T,ti.
to improve Material Control Subtitle and Type of Report Final Report (Annual, Topical, etc.)
September 1979 September 1980 Authorh) preo.o av m L. Mwes. A. L. Lvnen. R. 7. Lume e
Contractor NU SAC incorpeested
- NRC gg,, *,,,v cu- =
1 u - --
13 Approved: August 29, 1984 '
d i
PUBLICATION 0F TECHNICAL REPORTS PREPARED BY NRC Appendix 3202, NRC CONTRACTORS, INCLUDING REPORTS PREPARED
'Part 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS..
EXHIBIT 2 SAMPLE TITLE PAGE FOR UNCLAS$1FIED FORMAL CONTRACTOR.
PREPARED DOCUMENTS, EXCLUDING THOSE PREPAREO UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC REPORT No.
NUREGICA 1676 Contractor Report No. (if any)
NUSAC 566 Vol.1 Vol., Pert, Rev., etc. (if any)
Distribution Category No. (if any)
Using Advanced Process Monitoring we to improve Material Control i
f Subtitle and Type of Report Anal Mooort
( Annual, Topical, etc.)
September 1979. September 1900 Report Dates and Bases isso Author (s), Editor (s),
w.,
Compiler (s), etc.
Contractor Name u ue g
and Address w
- v. wa, NRC 3ponsorship g
so, Us* Nut i
R u o m u on ERcN*e"d N RC Contract No.
Approved: August 29, 1984 14 i
\\
J
e PUBLICATION OF TECHNICAL REPORTS PREPARED BY
. NRC CONTRACTORS, INCLUDING REPORTS PREPARED NBr Annanriiv 3?n?
UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part. It i
EXHIBIT 3 SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS i
NRC Report No.
NUREG/CR 1952 contractor Report No.
SAND 810151 Vol., Part, Rev., etc.
)
LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks independent Verification Testing Program Type of Report Independent Verification Test 1 or Subtitle
- # # #
- 0"' 5" Author (:), E ditor(s)
- '" "' Mn ',*"$,*,a "a 's"O,,' u5 c I
Contraetor s
$. u.i,w m.,...,,
Sponsorship
., n
,vi,i.,,
l l
i i
15 Approved: August 29, 1981
(
]
l PUBLICATION' OF TECHNICAL REPORTS PREPARED BY 2:
' NRC Apnindix 3202 NRC CONTRACTORS. INCLUDING REPORTS,.EREPARED
.i
t Part -!!
UNDER OR PURSU ANT TO INTER AGENCY' AGREEMENT 5~ ~
"2 EXHIBIT 4 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS I
l-NRC Report No.
Contractor's Report No.
l vei., Port. Rev., etc.
g, S AND610151 l
Distribution R4 Category LOCA-Simulation Thermbl-Shock me Test of Sliding-Link Terminal Blocks
- Subtitle independent veriW.ation Testing Program indepenoont Verificate Test.1 Report Dates y,imi Author (s), Editor (s)
,,,,, _,, c_ 5 %
Contractor's F _""* y,4 7,* "
Name and Address NRC Sponsorship gj,(
8"ita"r"L'O /'a=0' NRC FIN No, a N Y iet Approved:
Augu st 29, 1984 16
10 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRr' Appendix 3202 UNDER OR PURSU ANT TO INTERAGENCY' AGREEMENTS Part II EXHIBIT 5 NRC FORM 426A, PUBLICATIONS RELEASE FOR UNCLASSIFIED NRC CONTRACTOR AND CONSULTANT REPORTS 1
,.=
28 sv.i PUSLICATlONS RELEASE FOR UNCLAS$1Ff E0
...........c..<,o...o j
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j NRC CONTRACTOR AND CONSULTANT REPORTS
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17 Approved:
August 29, 1984 l
j PUBLICATION OF TECHNICAL REPORTS PREPARED BY l
NRC Appindix 3202 NRC CONTRACTORS INCLUDING REPORTS PREPARED;..
t Part !!
UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT S DISCLAIMER AND AVAILABILITY STATEMENTS
. (SACK OF COVER) metics Thle saport um psessed a se casase of assh essessed by en assesy of to UWeed humus Gem Malmer as Ussend Sesaus Generseesse ser any aguay tensest, or esy of emir eastevese, mehas say servessy. eessessed er husesse, er enomene essy legal listeley of so-sannstely ter ser est party's ans, er the pensets of auds aus, of eer huloruellen, espeson,
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aredem er poses massened in ene resort. er ressines met la ese by ass > med Revy seide 844 outresgo peessey sesud ripes, l
NOTICE Aeollahdety of Retuouse hissenets Dead in NRC Puheemalens haast desumenes seted in NRC puttuudere edit he seentehte from era of me % emureau
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- 1. The NRC Putois Domununt Aeom,1717 N Seest. N.W.
Wesesnesen.DC 2EMAS
- 2. The NRC/GPO Sense Preysm, U1 Nuotest Repletery * -._
Washmgion, DC 31586
- 3. The Notenal Tessmael Mfornemen Semes. Sonnynsed. V A 22161 AMhough the listing that foGous represent the mesenty of desummin ested in NRC putteettere.
et a not meended to be enheisease.
Referenced essumenes suudette for inneesten and seeywie for e fee from the NRC PuWe Jesu-ment Room maksde NRC serrespondense end intemel NRC momerende; NRC Omee of irusassum end Entereement tuustwo, cirtalers, informeten notees, insporten eruf wwertsytien notees; Liesnese Event Reseru; weiser reseru oral corremoneerse; Cervenessen pasere; and essement end laessene assunenes and earresendenes.
The foneumg desumens an the NUREG eries are enmielde for purchase from the N RC/GPO Seems Proyem: formel NRC suff and eenretter reseru, NRCepensored senterense pressedengs, and NRC toehtou eral brochures. Anse seedeWe are Repisters Guidas. NRC repleteers an the Cost of Festref Regudseems, and Ansegner Aspdorwy Ceemsassen temassant Deaunene sedette fresa the feetlenst Teshneet latermanen $sreue include NUREG ennes
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repers erW teshnmal repens prwered by other fedrei egeness and roomru presered by the Atomes Enugy Canonsulen, torenanner esswy to the ptustest Repteesty Commamen.
Desumenes seesleWe from pubine end spesial techneel lehrenes include eel egen latereture eterve, I
asch es beehe, jeumal and partedeel artiste, and transeestens Federet Asseeur noties, federse end
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.s,e is,u.seen. o,W oen,s es
,s rei sen u sy ne e sr.d frown ths. i.,ense.
Desumenes paen es.teses, dessneteens, foreign resers ersi treretetiere, ense neMtRC comierense presseengs ese ensuetes for purchase from the orgermastnen toonsoneg the ps44 setsen siteel.
.Sge copset of pois drott reseru are areelsene tres, to tne entent of supo6v. ween nretten rowest to the Dogsso of Tenhamel f.neermetion end Document Control. U S. Musteer Repletory Com-trueson, wenhenyan, DC 20t46.
Coosse of industry codes mi suerstere used in a mAstentne mermer in ttw NRC repletary process ero riusnesmed et the NRC Litrerv 7920 Noriet Avernas, temende hierytend, and are eve.4eene there for eveerense use by tte ouds6 e. Cose oral stondere are unselly cooyngnted eres mey be surehemsel from the engmetes ergernession er, if they am Amarean Noterol Storenste, from tte Arneneen Notense Sendere iretrevue,1430 trossiev. Peser Yort. NY 10018.
I cao a-c sv s.
I 1
Approved :
August 29, 1981 18 i
a
T o
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Aonendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part II 1
EXHlBIT 7 '
NRC FORM 336. BIBLIOGRAPHIC DATA SHEET C*;;.7 sinuoonAPHK: oATA sMerT
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l 19 Approved : August 29, 1984 J
PUBLICATION OF TECHNICAL REPORTS PREPARED B.Y NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part II UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS i
EXHlBIT 7 (Continued)
BACK OF NRC FORM 335 I
- DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT iNefnucTi0ese NRC 708e8 330. SiOLIOGRAPWC OATA SMEET. IS SA8SO Oss Out0 glint 3 804 #0RWAT ANO **00VCfl0N 08 ScitNfl8lC ANO f tCMsHCAL REPOATS. A8e84 239.18-1974 AVAILASL$ 84048 AWERICAN N ATIONAL ST AN04805 'N5fifvit 'e30 em0A0WAY.NEW YOAct. NY 10018. SACM $$PARAT8LY $0U40 REPORT 80m EMAW8Lt. E ACM vokuwt iN A Mv6 tv0Lvut f
stT-SMALLMAvt IT$ uNieut Stekt00A APHIC OATA SM087 t.
AGPOST Nute18R. faen inetweewe#v towns resort emess to. Sp0Neomiteo Om0 ANi!AfiON L it N aC 3.....ea 0" u.
serry a ea ewe eisaeavsaare esee'etion INVRGG) ecogaes V $. Nwtieet Regwistory Co**>se e* asia.ag'ea DC 2MS$
ev tae O. vision of Tacnascal laformetapa one Oeewmeat CeareL A0el, la esserenase estea Aaserisen Neeseems it, e6 TYPS OP R tPOAT. Steu eret. #,aei. e,eisen. aery. ios,<es.
t Steaesse AN64 Z39 23-1974 Teenassef Resort Nusator
'ecaa.w. *eewieteev o verv, s 'e saa i seeeste t$f RNL use esseeresse istiere. Areens a raeress, saanNo. ene
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- 12. SUPPLEWENT AR Y N0f ts t aie<.a'e<*er.ca act arweee ideatif estina a ment lif anyl asesse N9804 aveneer, es.,
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swatitie e tae meia litie Wasa e resort is procered in saere
- 13. A BST R ACT. laciwee a se e' Do aves o ein. 'ur.e if taea eas selwane, resset lae oremary titie, esis volufas awmeer
- ' et y of tae mess e.ga.f. cent,a'e"a ei ea (saie aea >a '*e end inetues awetitle for tae sessific veivme. Use wooer and recost 18 tae recort coate.as e i saa ceae o-coogeson, se towser case lettere eut geoitaties remowest rose atraes. Os i tereivre sw we, ce m it.ose O'w*ei
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- 14. 00CVeetNT ANALYSIS 3.
L E AVE OLANat.
8 Mtv orcaOS/OtsCainfons se.ce v e t..,
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AUTMontt). G.we aemetal in eenweatiense ereer le e. Jean no wies se.aees eatnes 'ee utsieg.a, 4 Dee. 4. Reeert oset List sweaer's ef felei ea 8 it 's eit'er.
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a.10tNf tfilm$ AND OPles (Noto 7t AWB vie seati.
t'ere 908 protect me*es tece aemet. eew.0*eaf " Jet Gaste't.
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f orm (1449 for taen sucioces f or.a.ca ao seece.ovee es ste ia tae latesw ws s
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PtRP0stesame 044AaH3AT 0es asAmes Ase0 esAILiese ll. AV AIL AtiLif v 5' Af tMENT. Osae e own..e.e seisome, A00Rtm G we name, street, city. stove sas Ilp case.,
List no more vaea two tevee et e ortenuatieael aereren.
'er eumew w na tee, se
'm e t.ea io, eenoas siae, a
v O sessy tag aeme of tae ergspisetsen eastify te fellows:
taea netwnty
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O'visiesi. Oef.ee. Orgen set.ea er Gewerament sceney. me
- eeeeees,
- 14. SECU Alf Y CL AS$i8'C A?'ON E - e 5
Sn.<., O eis t.
ue.ca ia acto, eu
..t. v s su,,.,,
a,,.4,ea, oe.
t ea04eCfn ASumons useif Nvuef n. ves tae e,eiset.
w c'eia1eeos a
is.e eae.e,e wa., aumeere vaeor.aica iae rogori.es
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if. Nueestn oe Pacts Lem o,eae. a oe e o, N n si s
I e.
eiN On onANT Nousen iasen me sin or,,eai a mee, is. rRict Lem es.ae (a eee e, Nnsi w
-,.aea,.ee,t.e4 -se.
Approved: Augu st 29, 1984 20 l
t a
g
l T
j PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS,-lNCLUDING REPORTS PREPARED f
UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 l
t PART Ill UNCLASSIFIED TECHNICAL LETTER REPORTS A.
FORMAT 1.
Applicability 7
The requirements of this part apply t'o unclassified contractor a.
technical letter reports. (See Part 1. A for definition.)
b.
The requirements of this part do not apply to consultants and contractors to the NRC boards, panels, and advisory commit-l 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 l
contract or in the Standard Order for DOE Work. Each such report mu s t be identified with the financial number (FIN) assigned to the l
project.
The number of copies to be prepared and the distribution 1
of those copies will be specified by the project manager. If unclas-sifted and non-sensitive, the NRC project manager is responsible for making such reports available in the NRC Public Document Room i
(PDR) by sending them to the PDR through the NRC Document Contrcl System.
B PATENT AND SECURITY REVIEWS Pater. Review Patent implications shall be considered prior to approval of reports for pubbe release so that disclosure wiu not adversely affect the j
l patent rights of NRC. If the. work being reported is contractuauy
]
I' managed th' rough another government agency (e.g., DOE labora-l tories ),
that government agency should be requested by the con-tractor to perform the patent review.
{
l l
If NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the government agency administer-j ing the contract, the responsible NRC contracting officer shad be g
con sulted, and the responsible NRC project manager shan consider the patent implications.
j l
If there is a possibility that there is disclosure of developments of l
an inventive nature, the NRC contracting officer shall request
(
assistance from the NRC Patent Counsel, Office of the Executive
{
Legal Director.
i i
I 21 Approved: August 29, 1984 L -- - --
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part III UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 2.
Security Review In most cases, contractor technical letter reports will be unclassi-fled. 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 the contractor of such procedures.
The standards for marking and handling such reports are given in Part V of this appendix and NRC Appendix 2101.
i i
l Approved: August 29, 1984 22
)
_________a
y PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202
(
i PART IV I
UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE NRC OFFICE OF NUCLEAR REGULATORY RESEARCH BY DOE LABOR ATORIES 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 classified reports the requirements set forth in Part V of this appendix shall be used in conjunction with NRC Appendix 2101.
The requirements of this part do not apply to consultants and c.
contractors to the NRC boards, panels and advisory committees which report directly to the Commission.
2 Front Cover and Title Page Separate covers (of different paper than that of the text) and a.
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-p ria te. ** While layouts and typefaces need not be exactly the 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.
the specifications of American National Standard
- e These requirements meet ANSI Z39.18-1974, " Guidelines for Format and Production of Scientific and Technical Reports," and ANSI Z39.23-1974, " Technical Report Numbers. "
l 23 Approved: August 29, 1984 f
l
1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part IV UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS f
be obtained by calling the Division of Technical Informa-I 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 forun NUREG/CR-XXXX or NUREG/CP-XXXX The contractor's report number, if any, will be inserted below the NUhEG 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, p art, or revision designation shall appear immediately below the report number ( s ).
NRC report numbers on covers and title pages shall be shown entirely on one line to facilitate computer p roces sing.
(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, f
repeat the primary title on each volume.
I l
(c) If appropriate, show the type of report (e.g.,
annual report, final report, etc. ) and the period covered as part of the subtitle.
(3) Personal Author (s)' Name(s)
(a) Authors' names should be given on the title page and cover unless this is impractical, as in the case of annual reports which have many contributors. If au thors' contributions are as editors, compilers,
etc., so indicate on title page and cover following the names. In addition, list affiliation of each author only if affiliated with an organization other than the organization generating the report.
(b) Authors may be identified on backstrips (spines) of bound volumes.
(4) Organization ider.tification (a) On the cover, provide the name of the contractor responsible for preparing the report, followed by
" Prepared for the U.S.
Nuclear Regulatory Commis sion. "
Approved: August 29, 1984 24 f
,)
LN PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV (b) On the title page, pr' ovide 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. 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.
3.
Availability and Price Information AU formal reports wiu 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.
Disclair The foUowing notice shall be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by the United States Government.
Neither the United States Government nor any agency thereof, or any of their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any information, apparatus,
product or process disclosed, or represents that its use by such third party would not infringe privately owned rights." The foUow-ing additional statement, "The views expressed in this report are not necessarUy those of the U.S. Nuclear Regulatory Commission" wiu be printed below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed (see Part I.C.,
Requirements for Draf t Reports).
5.
Previous Reports in Series lf the report being prepared is one in an ongoing series, list au previous reports in the series. Include report numbers and issuance dates. Place this list on the back of the title page.
l 6.
Abstract l
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.*
- This preferred positioning of the abstract in the document need not be fol-j j
lowed if the style manual of the originating organization requires a different l
loc ation.
i 25 Approved: August 29, 1984 l
L_
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 j
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 infonnation and information with restricted distribution (e.g.,
proprietary, national secu rity, 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-1 ledgement section.
Availability may be stated collectively for all entries (see Exhibit 6).
Guidelines for developing and presenting reference material are provided in NUREG-0650, " Technical Writing Style Guide." pub-lished in November 1979 (see Appendix A, pp. 19-23. for spectfic l
guidance) and Supplement 1 dated February 1982.
i 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 1.
Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor. The DOE Operations Office 4
responsible for the contractor should perform the patent review.
The results of such review shall be reported by the contractor on NRC Fonn 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 contractor.
The standards for marking and handling such reports are given in Part V of this appendix and NRC Appendix 2101.
Approved: August 29, 1984 26
)
l y
i l
n PUBLICATION OF TECHNICAL. REPORTS PREPARED BY'
)
NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202
)
UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Part IV j
/
C.
PROCEDURES FOR PRINTING AND DISTRIBUTING 1.
Prin ting V
\\
Contractor reports may be printed only by a JCP-authorize'd print-
)
ing plant and then only if prepared for the NRC Office of Nuclear j
Regulatory Research. Reports printed by the contractor and one j
reproducible master shall be submitted to the Division of Technical Information' and Document Control, with cror.ipleted NRC Form 426A.
The number of copies specified by the Statement of Work for stand-identifying number (NUREG/CR _ phall be provided. The apprrspriate ard and incidental distribution
) 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 Informa tion and Document Con trol.
The request! 1 hall include a written justification and the project managers approval for the re-
~
printing, along with address labels for the recipients.
r S.
Distribution of Reports r
AU copies of unclassified formal contractor reports will b$ distrib-i uted by the Division of Technical Information 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.
If any distribution is to be made other than, or in addition to, the standard distribution established for the re' port, written justification and the project manager's approval for. printing additional copies shall accompany the i reproducible masters when submitted to the i
Division of Technical Infonnation and Document Con trol.
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 j
Office and the Depository Librat y Service.
j;j Distribution of sensitive (unclassified) and classified reports will be made by the NRC project manager on a case-by-case basis.
l i
27 Approved: August 29, 1984 j
l I
l j
1
\\
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 UNCLASSIFIED AND CLASSIFIED INFORMATION A.
APPLICABILITY These procedures and exhibits of this part apply to sensitive unclassi-fied and classified reports prepared by NRC contractors.
These reports include those designated:
1 Official Use Only Limited Official Use l
Proprietary Information Safeguards Information l
Confidential l
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.
DetaUs of the NRC Security Program and specific provisions for deter-l mining when to use the markings exhibited are contained in NRC j
Appendix 2101.
l The reports covered are defined as sensitive unclassified or classified.
Sensitive unclassified information refers to information designated Official Use Only, Limited Official Use, and Proprietary Information.
I Sensitive unclassified information also includes Safeguards Infonnation l
that must be protected from unauthorized disclosure pursuant to 10 CFR 73.21 and Section 147 of the Atomic Energy Act of 1954, as l
- 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 Da ta,
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.
1 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 and classified reports are to be sent directly to the project manager.
B.
OFFICI AL USE ONLY AND LIMITED OFFICIAL USE INFORMATION.
NRC regulations require an Official Use Only marking to be placed on a report only when the originator or other holder believes the marking is 29 Approved:
August 29, 1984
ir
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1 W PUBLICATION oF TF,CHNICAL REPORTS PREPARED BY NRC Appendix 32020 NRC CONTRACTOR $', INCLUDING REPORTS' PREPARED Part V
'WlUNDER OR PU tSUANT TO INTERAGENCY AGREEMENTS 4
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4 essential to mauti proper handling.' Reports designated Officiais Use Only will coiddin only unclassflied information originated by or furnished 1
to an.NRC contractor which,it tu be withheld from public disclosure. The report or. which" 7 he mmbg; appears mnt be reviewed at the time a j
t request for release i( re elved to determirse its releasability. The Official Use Only marking is notks of the originator's determination of the applica-buity of an exemption under the Freedos of Information Act or Privacy
)
Act or both at the tigof or!.gination.
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Official Usd Only FRC contrac' tor; riports shsll be marked a shown in I
Exhibits 8 through 10.
a Limited Official Use infctmat.!hn is information originutth by the U.S.
" i Department bi' State.
~A repoit originated by ~ an NB C contractor that contains LiMted! Official Uac inferination shan be,icarked as shmn in Exhibits 11 U} rough 13.
j Procedures Ifde reproducing, transmitting c protecting,, and handling reports containh2g Official Use Only and Limited Official Use information and remcving such reports from those categories are detailed in NRC N
Appendix 2101.
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PROPRIETARY niFORMATION
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I Proprietah information is Ia specific type of Official Use Only tnforma-tion. Proprietary 1.ifcltshion includes:
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trade secrets.
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privueged or confid'ential research, devele pment. commercial or financiaF. Information exempt from mandatory disclosure under 10 CFR Part 2,7" 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' SRC by a foreign source, which hasjbeen determined by NRC to be unclassified.
.c Unclassified N.RC contractor reports containing proprietary information shall be marked as shown in Exhibits 14 through 18.
In each instance, be select:ad/(wording that descriths the material being presented should the optional
)
If a repor contains b<th Official Use Only mfomation and proprietary information}j the front :;over shall be marked as proprietary information and may al.so be marked as ' Official Use Only information, if necessary.
Pages in the report thgt contain proprietary information may 'be marked accordingly, including 4 marginal or other indicators of the spectfic wording that is' proprietary.
Simuarily, the pages that cont.ain Of ficial Use 'Only information without. proprietary information may be marked Official Use Only Approved: August 29,19N.
'30 C_
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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V 9
Procedures for reproducing, transmitting,' protecting and handling pro-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 proprietary information.
D.
SAFEGUARDS INFORMATION Safeguards information may 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 1 through IV.
The safeguards information that is to be protected as described here is unclassmed information used in a report which specifically identifies certain licensee's or appl.icant's detailed:
1 security measures for the physical protection of special nuclear materia!
2 security measures for the physical protection and location of certain plant equipment vital to the safety of production or utilization f acihties.
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-guardt 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.
CLASSlFIED INFORMATION 1
Classified information is limited to Restricted Data, Formerly Restricted i
I Data and National Security Information.
The procedures for making i
)
classification determinations and for marking, reproducing, transmitting, l
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 l
classifiers are responsible for insuring that reports they determine to j
be classified are marked and protected in accordance with the provisions of NRC Append.x 2101.
I r
l 31 Approved: August 29, 1984 o
PUBLICATI?N OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED i
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.
1 4
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Approved: August 29, 1984 32 o
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1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENT 3 Part V EXHIBIT 8 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING J
OFFICIAL USE ONLY INFORMATION I
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OFFICIAL USE ONLY NUREG/CR XXXX (S)
Title Subtitle and Type of Report g,,,;.,y...:
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SAMPLP. TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFRCIAL USE ONLY MAEG CR XXXX 13)
Title sutmas and Type of Report 7%Yd.Y.
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OFFICIAL USE ONLY 35 Approved: August 29, 1984 j
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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 UMITED OFFICIAL USE INFORMATION UMITIO OPRCIAL USE NUREGiCA xxxx (S)
Title Subtitle and Type of Report h%1'*""'
I/E*OO me.cr em.sm MfMMOLO snow Nat< @$ctosyng I
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Approved: August 29, 1984 36 4
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NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS Pa.M V
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l uMmo omCIAL USE NUREG/CR XXXX (S) l Title summe av Type of Recon ILW&* '"
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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 13 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE 1
UMITED OFFICIAL USE Approved: August 29, 1984 38 l-
o PUBLICATION OF TECHNICAL. REPORTS PREPARED BY l
NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Pmt V l
EXHIBf714 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION t*ROPRIETARY INFORMATION NUREG/CR XXXX (P)
Title Subtitie and Type of Report Amo ts>. Iddoetsk Co6tra:to-Prepared f or V $ Nwclede Regulatory Commiulon di [a[on a a[N b abSbk P'
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NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT il SAMPLE COVER PAGE FOR A CONTRACTOR REPORT CONTAINING l
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I PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pm V 9
EXHIBIT 16 SAMPL.E TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING l
PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION l
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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS EXHIBIT 17 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION 08TAINED FROM A FOREIGN SOURCE PROPRIETARY INFORMATION NUREG/CR XXXX iP)
Title Subode and Type of Report m a.m.Y we. tearea vesenes awe.
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August 29, 1984 42 I
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l PROPRIETARY INFORMATION 43 Approved: August 29, 1984
~ PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS. PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHlBIT 19
. COVER SHEET FOR REPORT.CONTAINING PROPRIETARY INFORMATION PnoenWTARY INFORMATION l
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PUBLIC ATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annandiv 3907 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Pan v EXHIBIT 20 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SMEQUARDS INFORMATION NUREG/CR XXXX (SGI Title Subtitle and Type of Report Author (s!, Editor (s)
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45 Approved: August 29, 1984 l
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August 29, 1984 46 s
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. 47;.<,...
-Appmved: August 29, 1984 I
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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING RE.' ORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHISIT 23 COVER SHEET POR A CONTRACTOR REPORT CONTAINING UNCLASSIMED SAFEGUARDS INFORMATION l'.4. 1.
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7 THIS DOCUMENT CONTAINS INFORMATION WHICH MUST BE PROTECTED FROM ig UNAUTHORIZED DISCLOSURE.10 CFR 73.21 AND SECTION 147, ATOMIC ENERGY g" t ACT OF 1954 APPLY. VIOLATIONS ARE SUBJECT TO civil OH CRIMINAL PEN ALTIES.
3 THIS DOCUMENT IS NOT TO BE LEFT UNATTENDEO OR ACCESSIBLE TO UN AUTHORIZEO PERSONS. WHEN NOT IN USE, IT MUST BE STOREO IN A LOCKED SECURITY STOR AGE
<ip CONTAINER.
)
IT IS YOUR RESPONSIBILITY TO PROTECT THE INFORMATION CONTAINED IN THIS DOCUMENT FROM COMPROMISE. THEFT OR UNAUTHORIZED DISCLOSURE.
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l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED f
UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART VI H ANDLING 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 programmatically funded by DOE.
The interests of all NRC cooperative nuclear safety research program partici-pants are served best by early, rapid dissemination for comment of informa-ten on these programs developed for NRC by NRC contractors. This can be accomplished by distribution of " Draft Preliminary Reports (or Codes)" for comment for a specified period of time, followed by issue as formal NUREG/CR 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 Operations 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 "Draf t 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 ac tion.
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 reproduced, wholly or partially, unless written pennission 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, 1964
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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 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 wul 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 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 faculties 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 "Draf t Preliminary Report (or Code)" until the NRC project manager authorizes preparation of a NUREG/CR report, "Draf t Preliminary Reports (or Codes)" shad not be identtfied as NUREG/CR reports or carry any contractor report number or NRC dis-tribution codes.
B.
DISTRIBUTION BY NRC PROJECT MAN AGERS.
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.
T rans-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 S e rvice. " Premium cost mail is:
1.
Express Mail, Priority Mad (First Class weighing more than 12 ounces) 2.
International Express Mail ( Air Mad weighing more than 10 ounces)
(See Chapter NRC-0255-058 and NRC Appendix 0255, Part V. Annex A)
C.
COMMENT PERIOD AND ISSUANCE.0F NUREG/CR REPORT l
A minimum of six months will be allowed for comments and resolution of commen ts.
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 NUREC/CR report in accordance with the provisions of this Chapter.
D.
REPORT IDENTIFIERS The "Draf t Preliminary Reports (or Codes)" wd1 be uniquely identified only by the Financial Identification Number (FIN) assigned by NRC and l
Approved: August 29, 1984 50
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Part VI e
tite 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 tim e, the contractor may add its own designation below the NUREG/CR number, as shown in Exhibits 3 and 4.
1 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 i
labels of participants supplied by the project manager.
The transmittal i
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 ser.s:tive unclassified or classified information (see statement of work) the procedures of Part V also apply.
The report (or code) may not be c la s < if:e d solely for the purpose of limiting distribution to the partici-p a r. t t.
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" Approve' : August 29, 1984
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PUBLICATION OF TECHNICAL R'EPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 24 SAMPLE COVER FOR A DRAFT PRELIMINARY REPORT (CODE!
FOR COMMENT ORAFT PRELIMINARY REPORT (CODE) FOR COMMENT FIN NO.
1 l
Title of Program l
Subtitle for This Report, Including l
Appropriate Periodic Notation If Any (e.g., First Quarter, Issue No. 1) l l
l l
l Prepared by (Name of 00E Facility, Contractor and/or Subcontractors, if any) for U.S. Nuclear Regulatory Commission NOTICE THIS ORAFT PRELIMINARY REPORT IS ISSUE 0 CNLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE Pc0 GRAM This report was prepared in contemplation of CC.missicn action.
It has not received patent review and may contain information received in c:nf Heace.
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 s
7_
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l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPAR Part t~
EXHIBIT 25 TR.? NSMITTAL LETTER FROM CONTRACTOR TO N MANAGER FOR DRAFT PRELIMINARY REPORT l
TO:
HR0 Project Manager DRAFT PRELIMINARY REPORT (CODE) ON
SUBJECT:
(PROGRAM TITLE) FOR C0fHENT The enclosed "Draf t Preliminary Report (Code)" is being submitted for c It is ou understanding that the coment period shall extend six months fro Upon resolution of the f mailing of the draft to the participants.
the datt O comments af ter that period and with concurrence of the cooperative program participa-ts, the NRC Program Manager will authorize publication of th 1102 repcrt in the NUREG/CR series under the provisions of HRC Manual Chap cr 3:C2.
t I
DOE Facility or Contractor Representative Approved: August 29, 1984 53
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 l
M e t ho d of Malun g L_._ _,- ---.~. ~..., __.... _.. _.,__,, _,,,,
C/ First Class Postal Service to U. S. addresses
(
C/ Express mail to U. S. addresses
- C/ Air mail to foreign addresses
- C/ 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:
l Individual Requesting Mailing:
Project Manager or Htgh Au;ncrity j
1
Enclosures:
1 1.
Address labels l
2.
Documents to be mailed l
l
- 1f 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 400, " Request for Premium Cost Mail Service," Premium cost mail is:
1.
Express Mail, Priority Mail (First Class weighir.g 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 App roved:
Au gust 29, 1334
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AM L ANL AGR E L65 O F OF F E RQ R (Jarvuee JJr Codes 3A. NAME ANO TITLE OF OrrEROR 5 POINT
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- 7. PwAC Et6) ANO PE k sOotti OF PE R 80 A M ANC E 8 List sad reie'ence the identification. owa6tsrv end total price prooosed for each contractline item. A line lium cost tireekdowl mepoorting this recac is re-cuirec unsess othewse spee ' e5 try the Conteneting Oflicer. (Cearsawa ea reverse. and anen en sama paper,1/ nesemary. Uee esme headian J A LINE ITEV NC 8 IDENTIFICATION C. QU ANTITY O' TOT AL PRICE E r,E' I
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- ~
10 *.I. vCME PlR P OEM ANCE 08 T wil wo Rn'(If "Yes," asentity)
MENT CONT R ACT FIN ANCING IN TO PE RFORM TMis PROPOSEO Aggg pq 3 sig*
CON C T F (t/ "Yes," eempar er PAYMENTS PAYMEN.
]vEs [NC CYES ]NO C GUAR ANTEEO LOAN'
- 12. M A v E V Qv SC E N A* h R DE O AN Y CONT R ACTS OR SV0 CONT R ACT5 13. 45 TMill'RO*OSAL CON 5 5 TENT wiTM VOvR EST Atwi&MED Ek I FOR THE S AVE 08 Stu. AR ITEMS WITMIN THE 8AST 3 YE AR$t
' WATING ANO ACCOUNTING PR ACTICES ANO *ROCEDU ALS ANO
(#1 "Y es." idenn/> ane mies, f ueromertal and epaireet numberfeJJ P AR PART al COST PRINCIPLE 4 7 (if "No,"espidi4J vEs ]NC
] YES NC 14 COST ACCOUNTING ST ANDARO$ 80ARO (CA58) OATA trubue 14e, $13 f s es emended and FAR PART 30)
A. wiw T Mib CONT R ACT AC T 6ON SE tv5 JECT TO CASS REGV6 A.
- 5. M AVE YOU 5v5M6TTED A f A55 Di3CLQ5VRE ET ATEMENT TrONs * (It "ho."esssesn sa propouJo ecAss Ds.n er sur tit"Yee.* sontry se neeeeems ele ettwo se unsen estaurerd and at deerrmaned as te edeewsRJ
[NO
]YES ONO VES C. M A v E V Ov S C E N NO TiFiE O Y NMotJ A R E O R M AY DE IN NON-E.. e5 ANY A FE CT OF TMis ruto AL 6NCON5l5 TENT wtTM vov R COMPLIANCE wtTM VOUR OaSCLys.ut $f ATEMENT OR COST DISCLOG O *st ACTICE.S OR A ICABLE COST ACCOVNTING ACCOVNTING $7 APgOA R O$'(f/ ~ yg.,* eep&e4A en proposed)
STANOA Q$ 7 (If "Yes," esp 4est in pmposel)
O ves O No YE$
NO TNS propone' is evemitted in resoonas to the RF P contract modifestion, etc. in item 1 and rehects our tiest estimenes erus/or actued costs es of this Gate
- 16. N A M E A N O T l T L E (Ty pe r
- 14. NAME OF FIRM
- 13. DATE OF 5V5MI5580N
& 7. 6.GN A T v R E NSN FMd'3M 34 g 3.g g 3 STAMOARO POMl 14f t (IH3 presersees ey OSA
- O.8. N PE3NT33G WFICS e 1984 O = 421.$34 (37)
)
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a ATTACHMENT q
STANDARD FORM 1411 WITH. INSTRUCTIONS e
1.
SF 1411 provides a vehicle for the offeror to submit to the Government a pricing proposal of estimated and/or incurred costs by contract line item with supporting information, adequately cross-referenced, suitable for detailed analysis.
A cost-element breakdown, using the applicablef format prescribed in 7A, 8, or C below, shall be attached for each proposed 'line item and must reflect any specific requirements establisheti byithe Contracting Officer. Supporting breakdowns must be furnished forbeh,' cost element, consistent with offeror's cost accounting system.
I When more than one contract line item is proposed, summary total amounts covering all line items must be furnished, for each cost element.
If agreement has been reached with Covernment representatives on use of forsard pricing rates / factors, identify the agreement, include a copy, and describe 1 its nature. Depending on offeror's system, breakdowns shall be provided for i
the following basic elements of cost, as applicable:
Materials - Provide a consolidated priced suunary of individual' material quantities included in the various tasks, ordtrs,.or contract line items being proposed and the basis for pricing (vendor quotes, invoice prices, e *. c. ).
c Subcontracted Items - Include parts, components, assemblies, and services that are to be produced or performed by others in accordance with offeror's 4
design, specifications, or direction and that are applicable only to the prime contract.
For each subcontract over $500,000, the support should provice a listing by source, item quantity, price, type of subcontract, degree of competition, and basis for establishing source and reasonableness of price, as well as the results of review and evaluation of subcontract proposals when required by FAR 15.806.
Consists of items that offeror normally Standard Connercial items fabricates, in whole or in part...and that are generally stocked in i nvento ry.
Provide an appropriate explanation of the basis for pricing.
If price is based on cost, provide a cost breakdown; if priced at other than cost, provide justification for exemption from submission of cost or pricing data, as required by FAR 15.804-3(e).
Interorganizational Transfer (at other than cost)
Explain pricing method used.
(See FAR 31.205-26).
Raw Material - Consists of material in a form or state that requires further proces sing. Provide priced quantities of items required for the proposal.
Purchased Parts - Includes material items not covered above. Provide priced quantities of items required for the proposal.
Interorganizational Transfer (at cost) - Include separate breakdown of cost by element.
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Direct Labor - Provide a time-phased (e.g., monthly, qua rterly, etc.)
breakdown of labor hours, rates, and cost by appropriate category, and furnish bases for estimates.
Indirect Costs - Indicate how offeror has computed and applied offeror's indirect costs, including cost breakdowns, and showing trends and budgetary l
data, to provide a basis for evaluating the reasonableness of proposed rates. Indicate the rates used and provide an appropriate explanation, i
Other Costs - List all other costs not otherwise included in the categories described above (e.g... special' tooling.. travel, computer 'and-consultant services, preservation, packaging and Federal excise tax on finished articles) packing, spoilage and rework, and and provide bases for pricing.
l-Royalties - If more than $250, provide the following information on separate page fcr each separate royalty or license fee:
name and address of licensor; date of license agreement; patent numbers, patent application serial numbers, or other basis on which the royalty is payable; brief description (including any part or model numbers of each contract item or component on which the royalty is payable); percentage or dollar rate of royalty per unit; unit price of contract item; number of units; and total dollar amount of royalties.
In addition, if specifically requested by the Contracting Officer, provide a copy of the current license agreement and t
identification of applicable claims of specific p3 tents.
(See FAR 27.204 and 31.205-37).
Facilities Capital Cost of Honey When the offeror elects to claim facilities capital cost of money as an allowable cost, the offeror must submit Form CASB-CNF and show the calculation of the proposed amount (see FAR 31.205-10).
2.
As part of the specific' infonnation req' ired, the offeror must submit with u
offeror's proposal, and clearly identify as such, cost or pricing cata (that is, data that are verifiable and factual and otherwise as defined at FAR 15.801).
In addition, submit with of fero r's proposal any infor ation reasonably required to explain offeror's estimating process, including; factors applied and the mathematical or o*ner etnods a.
The judgmental used in the estimate, including those used in projecting from known data; and b.
The nature and amount of any contingencies included in the proposed price.
3.
There is a clear distinction between submitting cost or pricing data and merely making available books,
- records, and other documents without identification.
The requirement for submission of cost or pricing data is met when all accurate cost or pricing data reasonably available to the offeror have been submitted, either actually or by specific identification, to the Contracting Officer or an authorized representative.
As later j
infonnation comes into the offeror's possession, it should be promptly I
submitted to the Contracting Officer.
The requirement for submission of cost or pricing data continues to the time of final agreement on price.
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c 4.
In submitting offeror's prcposal,
offeror must. include ~ an
- indey, appropriately referenced, of all the cost or pricing ' data -cr,d'information-accompanying or identified in the proposal.
In. addition', any future l
additions and/or revisions, up to the date of agreement on ' price,.must be ~
l annotated on a supplemental index.
5.
By submitting offeror's proposal, the offeror, if selected for negotiation, grants, the Contracting Officer or an authorized representative the right to examine those books, records, documents, and other supporting data that will pemit adequate evaluation of the proposed price. J This right may bc
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f exercised at any time _before award.
i 6.
As soon as practicable after final agreement on price, bdt before the award resulting f rom the proposal, the offeror shall, un@rL the conditions stated in FAR 15.44-4 submit a Certificate of Current Cost cr Prie)ng Data.
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l 7.
Headings for Submission of Line-Itdm Sunnaries:
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A.
NewContracts(includingLetter, contracts).
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==_ amms :
Proposed Contract Proposed Contract Cost Elements Estimate-Tetil Cost Estimate-Unit Cost Reference l
,e (1)
(2))'
(3)
(4)
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t UnderColumn(1)-Er.terappropriatecostelements.
Under Column (2)
Enter those necessary and reasonable costs that in offeror's judgment will properly be incurred in efficient contract performance.
When any of the costs in this column have already been incurred (e.g., under a letter contract or" unpriced order), describe I
them on an attached supporting schedule. When reproduction or startup costs are significant, or when specifically requested to do so by the Contracting Officer, provide a full identification and explanation of them.
I Under Column (3) - Optional..unless required by the Contracting Officer.
]
Under Column (k) '- Identify 'the attachment in which the infonnation supporting the specific cost element my be found.
Attach separate pagesasnecessarg.
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8.
Change Orders (modifications).
Cost of Estimated Deleted Cost of All Work Cost Work Already Net Cost To Cost Of Net Cost Of Elements Deleted Performed Be Deleted Work Added Change Reference (1)
(2)
(3)
(4)
(5)
(6)
(7)
Under Column (1) - Enter appropriate cost elements.
Under Column (2) - Include (1) current estimates of what the cost would have been to complete deleted work not yet perfomed, and (ii) the cost of deleted work already performed.
Under Column (3) - Include the incurred cost of deleted work already perfonned, actually computed if possible.
'o r estimated in the Contractor's accounting records. - Attach a detailed inventory of work, materials,
- parts, comoonents, and hardware al ready purchased, manufactured, or perfo: ;d and deleted by the change, indicating the cost and proposed disposition of each line item.
Also, if offeror i
desires to retain these items or any portion of them, indicate the amount offered for them.
Under Column (4) - Enter the net cost to be deleted which is the estimated cost of all deleted work less the cost of deleted work already performed. Column (2) less Column (3) = column (4).
Under Column (5) - Enter the offeror's estimate for cost of work added by the change.
When nonrecurring costs are significant, or when specifically requested to do so by the Contracting Officer, provide full identification and explanation of them.
Under Column (6) - Enter the net cost of change which is the c0st of work added, less the net cost to be deleted.
When this result is negative, place the amount in parentheses. Column (4) less Column (5) =
Column (6).
Under Column (7) - Identify the attachment in which the information supporting the specific cost element may be found.
Attach separate pages as necessary.
_ -_____ __- _ _ _ _ _ a
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Price Revision / Redetermination Number of Number of Redetermine-Units Units To Be Contract tion Proposal Cutoff Date Completed Completed
. Amount Amount 01fference-(1)
(2)
(3)
(4).
(5)
'(6)
/
i Incurrea Incurred Incurred Cost-Cost-Cost-Total Estimated Cost Preproduc'-
Completed Work In Incurred Cost To Estimated Elements tion Units Process Cost Complete Total Cost Reference (7)
(S)
(9)
(10)
(11)
(12)
(13)
(14)
Under Column (1) - Enter the cutoff date required by the contract, if applicable.
Under Column (2) - Enter the number of units completed during the period fcr which experienced costs of production are being submitted.
Under Column (3) - Enter the number of units remaining to be completed undu the contract.
Under Column (4) - Enter the cumulative contract amount.
)
Under Column (5) - Enter the offeror's re' determination proposal amount.
l Under Column (6) - Enter the difference between the contract amount and tu redetermination proposal amount.
When this result is negative, place the amount in parenthesis. Column (4) less Column (5) = column (6).
Under Column (7) - Enter appropriate cost elements. When residual inventory-the final costs established under fixed-price-incentive anf
- exists, fixeo-price-redeteminable arrangements should be net of the fair market value of such. inventory.
In support of subcontract costs, submit a 11stin; of all subcontracts subject to repricing action, annotated as to their status.
Enter all costs incurred under the contract before Under Column (8) 4 starting production and other nonrecurring costs (usually referred to as startup costs) from offferor's books and records as of the cutoff date.
f.
These include such costs as reproduction engineering, special plant rearrangement, training program, and any identifiable nonrecurring costs such as initial rework, spoilage, pilot runs, etc.
In the event the amounts
)
are not segregated in or otherwise available from offeror's records, enter L
in this column offeror's best estimates.
Explain the basis for each estimate and how the costs are charged on offeror's accounting records l
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(o.g., included in production costs as ' direct engineering labor, charged to I
manufacturing overhead, etc.). Also how the costs would be allocated to the units at their various states of contract completion.
l Under Columns (9) and (10) - Enter in Column (9) the production costs from J
offeror's books and records (exclusive of reproduction costs reported in Column (8) of the units completed as of the cutoff date.
Enter in Column (10) the costs of work in process as detemined from offeror's records or inventories at the cutoff date.
When the amounts for work in process are not available in Contractor's records but reliable estimates for them can be made, enter the estimated amounts in Column (10)(exclusive of reproduction and enter in Column.(9) the differences between the total incurred costs costs) as of the cutoff date and these estimates. Explain the basis for the estimates, including identification of any provision for experienced or
)
anticipated allowances, such as shrinkage, rework, design changes, etc.
1 Furnsih ' experienced unit or lot costs (or labor hours) from inception of contract to the cutoff date, improvement curves, and any other available production cost history pertaining to the item (s) to which offeror's proposal relates.
Under Column (11) - Enter total incurred costs (Total of Columns (8), (9),
and (10)).
Under Column (12) - Enter those necessary and reasonable costs that in Contractor's judgment will properly be incurred in completing the remaining work to be perfonned under the contract with respect to the item (s) to which Contractor's proposal relates.
Under Column (13) - Enter total-estimated cost (Total of-Columns (11) and i
(12)).
l Under Column (14)
Identify the attachment in which the infor ation supporting the specific cost element may be found. Attach separate pages as neces sary.
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9 Spending Plan Instructions To be incorporated into any resultant contract l
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ATTACMENT de 5...t.L BUSINESS AND SMLL DISADVANTAGED BUS 1HESS SUBCONTRACTING PLAN IATE:
i C:2.- F# 7.F.:
AD:: CSS:
312C:~.AT22; OR C2T We"? h"J^ER.-
2 U M/5'C W 2CE:
he icilewirg, tegether with e.ny attachments, is herebf subitted as a sub:entractirg Plan to satisfy the applicable requirements of Public law 95-507 as impleranted by CFPP Policy Latter 80-2.
1.
(a) he folicwirs percentage goals (expressed in terms of a pecentage of
{
1 total pla.vwd subcontracting dollars) are applicable to the contrac-cited abve or to the contract aMed urder the solicitatico cited.
(1) Small msiness concerns:
of total plamed subcontracting dellars urrder this contract will go to sttecntracters W are sr.e11 basiness concerns.
(ii) Stau Disadvantaged ksiness Corcerns:
4 of total plannat sut=cntractirq dollars under this contract wx11 go to subccrr-tractors who axe small businesg carcerns ed ard centround by t
This
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socially and ecdncaicany disadvantaged individuals.
t pecentage is ircluded in the percentage shewn urder 1. (a)(i),
abcrve, as a subset.
(b) he feucwirg dollar values correspord to the percentage goals shewn in (a) abcue.
(i) Total dellars planned to be subcontracted to swall business j
corc ens: $
(ii) Tetal douars planned to be suteentracta$ to small disadvantagaf This dollar asuunt is business ecmcerns:
ircluded in the amount shcwn urder 1. (b)(i), ahcve, as a subset.
he total estimated Mimr value of all plamed m.tix:entractirg (to all (c) types of business cereerns) urder this centract is $
he folicwing prircipal prcducts and/or saryices will be suteentracted (d) unds; this centract, aid the distriluticri among small ard small disadvantaged business concerns is as foncws:
(Prcducts/ services planned to be setz:entracted to small basiness corcerns are ident,1fied bf *-Te small disadvantaged Wsiness comerns bl ' )
=
e (ATTAot.:ntt MA:Y BE USED IF ADDITTONAL SPACI: 15 TCU1 RED)
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tes erw sonovang petnos w:: *:v.c in devirloptrg sub:critrar.t goals (i.e.,
Statarment explainir '.. J.: t r=f act and service as to be
(
sub:entracte$ teare v id:dcf. h:w the areas to be i.ub:crstracted to j
i small and small dir.at.a.,tspod basiness cercarns teare determined, ard, hcw semil and arall disadvantaged busiress ccreerns' capabilities were l
determined', to ircitde identification of acurce lists utilin$ in makits those determinations).
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i (f) Irdirect and overhead costs (check one belcw):
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-have been
-have ret been l
included in the goals specified in 1(a) ard 1(b).
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(g) If "have been" is checked, explain the auth:d used in determining the I
pre;cetionate shazw of irdirect ard overhead cost ro be aliccated as l
subcontracts to small business.scrcarns and small disadvanp.e4 husiness ccreerns.
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the folicwirg irdivit.:a1 Vill ai,.inister the sub:entracting ;:wra.=
Nares I
l A$ dress & 'Arlephcne
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1 Titler s
This irdividual's specific duties, as they relate to the fir ='s sub:cntractirg program, are as follemet i
Canaral overall res;xr.sibility for this cer=aref's S: all Basiness Prcgram, the develcsmant, preparation aid execution ci individual shtracting plans and for renitorirg perforr..nce relative to.
cer', trac.ua.1 subcontracting requirements centained in th.is plan, J
ireltding but ret limited to:
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(a) DeveIcpirg and r.aintainirg bidders lists of sm.11 erd srall disadmstaged business concerns fre= all possible uu.rces.
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l (r t W.::! rg th p du. rem:nt peokasc.s are at.n..,orm, se pc. sit stall a.-d
- .41 dir.sd.etayad trasinese conec.ns to p.rtici ote to the s.u:ier;,:
T ir.v.* Possible.
):r/ irs 'in:1usicn of s.all ard EDs c:recras in 411 solicitations fe;
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(c) p : darts or services Which they are capable of providirg.
i Pevie in; a:.licitaticas to ren:n, state.. cats clauses, etc, vn.ich ray (d) tend to restrict or pr#.ibit SB and SD3 participation,n.
(e) Ihrt.rits pc.riedic rotation of pstentini subcontractors on, bidders lists.
-i (f) Ihre.rirs that the bid pregosal review board dacwnents its reas:ns ter l
rot selectirq 1cw bids sutr.itted by s=.all and small disadvantagai tusinest, ccree.rns.
(g) Ensarirg the establishment ard mainterarce of records of solicitations and subcontract award activity.
th) Atterdirg ce arrargirs for atterdarce of comparty ocunsellors at Business Opportunity W:rkshops, Minority 3.asiness Dsterprise Se=.inars, Trade Fairs, etc.
(i) C=nivetire or arry.rgirg for conduct qf motivational trainirg fer parche.sirg pe.rsonnel p.cs.: Ant to the intent of P.L. 9FM7.
(j) M::.itzeirs attairment of pregesed goals.
(k) Prepe.rits and suhr.ittirg pericdie sutnantractirg reports required.
(1) coc=dinatirg etntracter's activities ducirg the corduct of coupliarce reviws by Taderal agencies.
(c).oc=f.inatirg the corduct of contracter's activit.fes involvirg its s=411 ard anali disadvantaged busine.ss submontractirg program.
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(r. ) Additicr.s to (or deactions from) the duties specified alzwe are as
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fell:w::
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l Tne fcliewirg effects will be taken to assure that small ard saml1 3.
disadvantaged business corcerns will have an equitabic opportunity to coy.aete for ad:centract:
(a) Cutranch efforts will be sede at fo11cws:
-(i) contacts with aircrity and sas11 business t.rade assa:iatiens (ii) contacts with business development organi:ations (iii) Attendarce at small arE minceity business procure:v.nt cznfererees and trade fairs,
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(b) me followin 4nternal efforts will be eode t. guide and enecurage buyerse i
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(1) *1bekshops, seminars ard trainirg prograns vill be emda:ted (11) Activities will be sonitored to evaluate ecznpliarce with this 1
subcontracting plan.
(c) Sull' ard.small disadvani. aged business corrern source lists, 9Jide.s
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and other data identifying smil and smil disadvantaged busine.ss l
concerns will be maintained ard utilized by buyars in solicitirg i
subcontracts.
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(d) A$ditims to (or deletions froa) the above listed efforts are as folicws:
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he bidder (contractor) agrees that the clause antitled Utilization of Sna11 hasiness corcarns ard Sr.all Basi. ness concerns Cued ard Cont.relled by smciauy and Economically Disadvantaged Individuals will be included in all sd: contracts which offer further sutsetracting cyportun.ities, ard all sub:entractors escept small tsasiness concerns kho receive sutocntracts in excess of $500,000 win be required to adept ard cenply with a sub:::rr-tractihg plan similar to this one. Such plans will be revie as by czparirg them with the provisions of Pablic Law 95-507, ard assuri. ; that all mini:: ram regaire:nents of an accepta.ble sutumntractirq plan have been satisfied. '!he acceptability of percentage goals sha.u be date.r=ined en a ca.se-by-case basis, depending on the st pplies/ services involved, the anilability of potential sran ard arall disahantaged suteentraete.rs, ard prior experierce. Once approved and implorented, plans win he amitared thzoups ihe submissian of periodic reports, ard/or, as time ard availability of funds permit, periodic visits to subcontractors facilities to review appilcable recceda and subcontracting program pecq;ess.
5.
':he bidder (c:mtractor) agrees to sutz it such periodic re;erts and eeeparate in any studies or su veys as may be regaired by the c= racting agency or the small Basiness Administration in c:dar to determine the extent of'compliarce by the bidder with the subcentractirg plan a.-d with the clause antitted Utilization of S.sil Basiness corcerns a.-d C All Eusiness Cornerns CWned ard Controlled by Socially ard Ecc-er:.ically Did. advantaged Individuals, contained in the contract.
6.
We bidder (contractor) agrees that he will maintain at lasst the folicwing types of records to doc =ent c:cylian:e with this sub: cat.rarti.g plant (a) Stalbard 2nall disaNantaged trasiness concern sec.rce lists, guides and other data identifying 5B/S03:: verders. 1
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'(b) orgvdsatit
'cuntacted fcr cuisil arms disa eta,ed ivrirecs ame.rces.
(e) cn a cont.raet-b contract besis recorde on all the r.*: ~t f
solicit.aticns over $100,000, irdicatirg on each soliciut:=n (1) wtethe.r snail trainess cercarns were solicited, and if rea., whj ret;
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(2) wheths.r see.11 disa$eantaged hainess c:rcerns we.re solicited, ard if ret,.why ret: and (3) reasons for the failure of'sslicitud srs11 t
c= snn11 disatsantaged Wsiness ecreens to receivet t.he s.ccantract awe.rf.
(d') Tec=ds to su;r;cet other outrea:h af fcrts: Contacts with, Minstity
{
e.n:! S all bsine.ss Trade Associations, etc. Attendarce at seal.1 ard zi.-crity wsiness procurenant omferarcos and tra6e faira.
hre:rts te sqport inte=r.a.1 activitiesIo paide s.d en:o= age brfers:
(e)
W rksh:pr., seminars, t.rainirg programs, etc. Pt:r.itarirq activities to evaluate compliarc4.
.(f) On a ceritract-b/-ccntract basis, records to sgpert suteentraes swe. ret data to irclu$e name and address of sutsontractar.
(g) Fecxds to be maintained in addition to the ateve are as felicws:
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signed:
W Hr=e:
Ti tie:
Det et Plan Accepted Pf _ Contracurg 011 seer t
Dat e:
N::"E 'IO CEDW 7DC OTTICIR: tJpon ir wg4 tion of a plan into the contract indicate herein the esticated dollar value of Centract 8 j
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