ML20237L452

Contract: Specialized Technical Training in PWR Training, Awarded to Resource Technical Svcs,Inc

ML20237L452
Person / Time
Issue date:	08/18/1987
From:	Felthous R, Thompson R NRC OFFICE OF ADMINISTRATION & RESOURCES MANAGEMENT (ARM), RESOURCE TECHNICAL SERVICES, INC.
To:
Shared Package
ML20237L432	List: ML20237L430 ML20237L452
References
CON-FIN-B-8798, CON-NRC-26-87-417 NUDOCS 8709080407
Download: ML20237L452 (105)

Text

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^C E D ORDER t

AWARD / CONTRACT 1 TNER S (,T t$

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g CON T P ACT (Proc. Anst. A4a t.) NO.

3. EF F ECT IVE DAT E

e. REGUISIT ION /PURCHA$4. R EQUEST/ PROJECT NO.

NRC-26-87 417 Auoust 20. 1987

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s. issued ev CODE CODE U.S. Nuclear Regulatory Commission l

Division of Contracts Washington, DC 20555

7. NAME AND ADDRESS OF CONT R ACTOR (No., street, city. coun ty. State and ZIP Code)

8. DELI VE R Y Resource Technical Services, Inc.

ROB ORIGIN D OTHER (see 6elow)

Attn: Bob Profeta

9. DISCOUNT FOR PROMPT PAYMENT 4690 West Bancroft Toledo, Ohio 43616 Net 1

{Tm

10. SUBMIT INVOICES tt copies unsen other-wke specified) TO THE Block 12 CODE

! FAClllTY CODE ADDRESS SHOWN IN:

]

11. 5H14 T O/M ARK F O R

12. PAYMLNT WILL BE MADE BY

_J U.S. Nuclear Regulatory Commission, U1 vision of See Section F.4 Accounting & Finance, Attn: GOV /COM Accounts Section, Washington, DC 20555

[3. AUTHORITY FOR U$1NG OTHER THAN FULL AND OPEN COMPfTI-

14. ACCOUN11NG AND APPROPHI ATION DAT A B&R No. 82-19-03 FIN No.: B8796 g o u.S C. 2ssicH /o )

APPN No. 31X0200.827 AMOUNT:

$30,000.00 0 io U.S C. 2304ien i

15A. ITEM NO.

158. SUPPLIES /SE RVICES 15C. QU ANTITY 150. UNIT 15E. UNIT PRICE 15F. AMOUNT The U.S. luclear Regulatory Commission hereby accepts Resource Techn ical Services, Inc.

proposal Jated March 19, 1987 as revised May 2 ), 1987 and Jun a 11, 1 987 in respo :ise to RFP RS-01 E-87-125 which are incorporated into this contract by refer ence, to per form the effort he ein. Refer to attached page for inc )rporation of a dminist ative Chw es.

B7090[B0407 B7001B This is a Cost Plus Fixsd Fee Contract.

g h 417 PDR sou. TOTAL AMOUNT OF CONTRACT > $ 207,211.02

16. TABLE OF CONTENTS W l$EC. l DESCRIPTION lPAGE(S)

VI lSEC. l DESCRIPTION lPAGE(S)

PART I-THE SCHEDULE PART il - CONT R ACT CLAU$CS y

A SOLICITATION / CONTRACT FORM i

Xl 1 l CONTR ACT CLAUSES l

2l y

D SUPPLIES OR SERVICES AND PRICES / COSTS 2

PART iH - LtST OF DOCUMENTS. EXHtBITS AND OTHER ATTACH.

y C

DESCRIPTION / SPECS / WORK ST ATEME N T 3

XlJ l LIST OF ATTACHMENTS l

24 y

D PACKAGING AND MARKING 6

PART 8V - REPRESENTATIONS AND INSTRUCTIONS E

INSPECTION AND ACCEPTANCE 6

K REPRESENTATIONS. CERTIFICATIONS AND y

OTHER STATEMENT 9 OF OFFERORS F

DELIVERIES OR PERFORMANCE 6

'Y G

CONTRACT ADMINISTRATION DATA R

L INSTRS.CONDS.. AND NOTICES TO OF F E RORS y

H SPECI AL CONT R ACT REQUIREMENTS 17 M

EVALUATION F ACTORS FOR AWARD y

CONTRACTING OfflCER Wili COMPL ETE ITEM 17 OR 18 AS APPLICABL E 12.

CONT RACTOR'S NEGOTIATED REEMENT (Contractor k re-18.

AWARD (Contractor is not required to sitn tMe document.) Your Nn5eac' tor rNs tN$uInSs*n"a att sterns or per orrn'ai$ Se vec s b Yo too sYe'hEges rnaos by you whech aooitsons or changes de n

no heet's. ThYs e ns dNa a c u

ates h con rac wh c con s ed her n The r ghts and be eor of the o s to th 5 on a y to a vat n uchpov$st ard7co se te of f a a

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s war na ct.

u f utt e con tact a u e t es r es et i ee ec at n 6f y nd c O'en".'Or*en' W,,'a=f.3"e'a Ur 'T!f"*"" '"'" '" ""

ren t) 20A. NAME OF CC$NT RACTING OF F 6CER 19A. NAME AND T4TLE OF $1GNSERNpe orOM7

~ 2 0 G d x?. A.

Qgggg y D. Thompson, Contracting Officer 198. h F CONT R ACT 19C.DATE ssGNED 700. UNIT E STATE 5 0F RIC A 20C. DATE 54GN ED M

BY

_LTSf ture of person authorised to alen)

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y l (Signefure of Congreethypl%eer) q BY NSN 7S40-01 152 4069 26 107 STANDARD FORM 26 (RE". A-8S)

PREVIOUS EDITION UNU$AOLE gr[gdyY, g

• GPO 1905 0 - 461-275 (418)

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Additionally, the following sections are completed and revised as follows:

1

~1.

. Paragraph B.2 Consideration and Obligation.

a.

Thetotalestimatedamountofthiscontract(ceiling)forthe products / services' ordered,' delivered,'and accepted under this contract is.$207,211'02.

j b.

The amount' presently obligated with' respect to'this contract is

$30,000.00.

2.

Paragraph F.2 Technical. Progress Report F.2.c. and F.2.d. are revised to read:

' The Contractor.shall provide a monihly Technical Progress Report to the:

"c. : Director, Division of Operational Assessment, AE0D and d.

Director, Technical ~ Training Center, Division of Operational Assessment, AE00."

3.

Paragraph F.3 Financial; Status Report.

F.3.c. and F.3.d. are revised to read:

The Contracter shall provide a monthly Financial Status Report to'the:

"c.

Director, Division of Operational Assessment, AEOD and d.

Director.

Technical Training Center, Division of Operational Assessment, AEOD."

4..

Paragraph F.4 Place of Delivery, Paragraph F.4.a. Project Officer and 5.4.b.- Contracting Officer is completed as follows:

a.

Project Officer (1 copy)

"U.S. Nuclear Regulatory Commission Contract Number: NRC-26-87-417 Office. for Analysis and Evaluation of Operational Data Division of Operational Assessment Technical Training Center Osborne Office, Suite 200 Chattanooga, TN 37411" b.

Contracting Officer (1 copy)

"U.S. Nuclear Regulatory Commission Contract Number: -NRC-26-87-417 Office of Administration and Resources Management i

Division of Contracts Contract Administration Branch Mail Stop: AR-2223 Washington, DC 20555" I

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5.

Paragraph F.5 Duration of Contract Period.

The ordering period for this contract shall be effective on August _20,1987 and will. expire on August. 20, 1990.

6.

Paragraph G.1 Indirect Rates 1

a.

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

" Category Rate (%)

Cost Base Applicable Period Overhead 33.16% Total Direct Costs 8/ 2787 - 8/ 2y90 i

Fringe Benefits 20.5%

Direct Labor 8/ 2y87 - 8/ 2790 i

G&A 8.48% Total Direct Costs 8/2787 - 8/2490 7.

Paragraph G.2 Project Officer Authority.

a.-

The Contracting Officer's authorized representative hereinafter referred to as the Project Officer for this contract is:

"Name:

Steven K. Showe Address:

U.S. Nuclear Reguli: tory Commission Technical Training Center Osborne Office, Suite 200 Chattanooga, TN 37411 Telephone Number:

(615) 899-5454" 8.

Paragraph G.3 Travel Reimbursement.

"a.

Total expenditure for domestic travel shall not exceed $14,500.00 without the prior approval of the Contracting Officer."

9.

' Paragraph H.1 Key Personnel.

"a.

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

Roger A. Felthous, President / Project Manager slames A. McCrary, Vice President Robert G. Profeta, Director, Engineering / Training Thomas E. Grinnell, Manager, Training

i 5

OIE-87-125

.PAGE 3' l

Section C - Description / Specifications / Work Statement j

i C.1 Statement of Work i

C.1.1

Background

The Nuclear Regulatory Comission licenses and inspects power reactor facilities to insure compliance with applicable codes and standards curing all phases of construction, testing and operation in order to identify _ conditions which may adversely affect the health and safety of the public.

Iri support of this mission, the NRC's Office of Inspection anc Bforcement provides a program of training for NRC Inspectors and other NRC personnel.

The NRC Technical Training Center (TTC) has beer; able to provide quality and timely training in the areas of reactor technology by using the expertise of the TTC ste f.

The TTC staff has historically r

had little or no experience in toe areas of specialized technical training, outside the bounds of reactor technology.

Consequently, l

the method of providing such training for the last several years has been to identify a specific training need and then to start the process of creating an individual contract. Periodically, however, unique or one-time training needs arise.

In order to respond to these needs, the NRC requires a Contractor to provide these specialized technical training requirements.

In some cases, this training may be required on a relatively short notice (30 to 60 days).

C.1.2 Contract Objective The purpose of this RFP is to select a qualified Contractor to provide technical assistance to the NRC in the implementation of identified needs and/or further development of programs to meet future needs for specialized technical training of NRC inspectors in the area of Pressurized Water Reactor (PWR) training.

C.1.3 Technical Knowledge The Contractor must be able to offer the professional, administrative, and technical staff to provide consulting, training development and technical assistance services to the hRC. Specific and demonstrable competence in the following areas must be assured:

1.

Expert knowledge of nuclear power reactor technology.

2.

Expert knowledge of training programs and practices in the nuclear industry.

3.

Expert knowledge of consensus codes and standards applicable to the nuclear industry.

4 Knowledge of NRC inspection program requirements.

1 #

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4 EGAP 521-78-EIO

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4 0IE-87-125 pAGE 5 t

c.

. Approximately seven (7) hours of lecture tire 1.5 available oer day.

l d.

The contractor shall reproduce and furnish bound copies of the course' written material (manual, etc.) in appropriate sized three-ring binders. Approximately 25 copies woulo be required for each course.

e.

The contractor shall deliver all course materials for a specific course to the designated NRC training site at least two days prior to the start of each training session. The contractor shall arrive in sufficient time prior to the beginning of the first day's session to set up the training room, arrange the furniture as neces::ary, lay out student materials and prepare equipment and instructor aids without delaying the course commencement time of 8:00 a.m.

f.

The contractor shall develop and utilize formal lesson plans for course presentations, g.

The contractor may be required to modify all or any part of the training materials developed for a course at the direction of the NRC Project Officer. The contractor shall be responsible for ensuring that any such modifications are reflected in the course materials provided to the students. A specific task order will be issued for any required modifications, h.

Should the NRC determine no later than 21 days prior to the time a course session is to begin that the need is insufficient to conduct the training, the NRC may reschedule the sessicn without obligaticn to the Government.

i.

The NRC Project Officer will be responsible for the review and approval of contractor developed training aids, case' study manuals, instructor lesson plans and the course examinations, j.

The NRC reserves the right to supplement course presentations with NRC technical experts if available.

k.

The contractor shall provide a certificate, suitable for framing, for each student who satisfactorily completes a course.

C.2 Travel a.

All domestic travel requires the prior approval of the Project Officer.

b.

Each Task Order will specify the location required for performance of work. The course will be conducted at cne of the following sites:

the NRC Technical Training Center, NRC Headquarters, NRC Regional Offices or Contractor facilities.

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OIE-87-125 PAGE 4 5.

Knowledge:and experience in the systematic approaches to customized training development (ISD) including:

front-end analysis, course design,1 course developrnent, delivery and evaluation.

.C.1.4-

- Work to be Performed 1.

Scope.. This contract will involve the application of any or all of the areas. listed in C.I.3 above, to assist the NRC in the implementation of programs to supply identified needs and,in development of programs to supply future needs of the NRC in the area of specialized technical training for NP.C inspectors. The contractor shall-furnish the necessary qualified personnel materials, facilities (if required) and services to provide the requested training.

2.

Work Tasks. This is a Task Order contract under which all task orders w11F be issued at the. sole option of the NRC Contracting Officer. Refer to Section G.8 for task order procedures.

It is understood that the NRC undertakes no obligation.hereby to issue-i a task order. The provision'of this arrangement will~ govern all.

Task Orders issued hereunder.

Each Task Order for consulting and technical assistance. services will be in writing, dated, and sequentially' numbered..

3.

Training Examples.

(1) Courses on particular valve operation and maintenance, quality assurance, industrial radiography and

-fuel facilities and mills.- (2) Courses, seminars, or lectures covering topics such as the following: fluid flow and pumps;.

plant instrumentation; valves, piping, and supports; electrical theory, electrical distribution, generators, diesel generators, and AC motors;-control theory and controllers; basic nuclear

- theory; turbines; and plant chemistry.

(3) Specialized training in the form of seminars on inspection and licensing issues, industry changes and state of the art equipment.

The specialized technical training presented under the Task Orders may be conducted at various sites (the NRC Technical Training-Center, NRC Headquarters, NRC Regional Offices, or the contractor's facilities), depending upon the nature of the training to be provided.

4.

General Infonnation. The infonnation below is typical of a training course to be ordered by a Task Order. Specific requinwents would be delineated in each Task Order.

a.

Class size will generally range from 12 to 18 students.

b.

The contractor shall prepare, administer and grade a written examination to evaluate the student's understanding of the course material. As required, the cor. tractor shall provide a grade reexambations for students who do not achieve a sufficient understanding of the course material.

T'

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OIE-87-125 l'

PAGE 6 Section D - Packaging and. Marking D.1 Packaging and Marking When Delivering a Product The Contracter shall package material for shipnent to the NRC'in such a manner that will insure acceptance by common carrier and safe delivery at destination.

Containers and closures snall comply with the Interstate Commerce Conmission Regulations, Unifonn Freight c' ossification Rules, or regulations of other carriers as applicable to the mode of transportation. On the front of the package, the Contractor shall clearly identify the contract number under which the product is being provided.

Section E - Inspection and Acceptance 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.

Section F - Deliveries and Performance F.1 Reports, Documentation and Other Deliverable End Items All technical reports required by Section C and all Technical Progress Reports required by Section F are to be prepared in accordance with the attached NRC Manual Chapter 3202. NRC Manual Chapter 3202 is not applicable to the Spending Plan and the Financial Status Report.

F.2 Technical Progress Report The Contractor shall provide a monthly Technical Progress Report to the: a. Project Officer; b. Contracting Officer, c. Director, Divison of Quality Assurance, Vendor, and Technical Training Center Programs, OIE, and d. Director, Technical Training Center, Division of Quality Assurance, Vendor, and Technical Training Center Programs, OIE.

The report is due within 15 calendar days af ter 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:

A listing of the efforts completed during the period; milestones a.

I reached or, if missed, an explanation provided; b.

Any problems or delays encountered or anticipated and recommendations for resolution; (if the recommended resolution involves a contract modification, e.g., change in work requirements, level of effort (cost) or schedule delay, the Contractor shall submit a separate letter to the Contracting Officer identifying the required change and estimated cost impact).

g

t OIE-87-125 PAGE 7 j

c.

A sumary of progress to date, and i

d.

Plans for the next reporting period, f

F.3 Financial Status Report The Contractor shall provide a monthly Financial Status Report to the: a. Project Officer; b. Contracting Officer, c. Director, Division of Quality Assurance, Vendor, and Technical Training Center Programs, OIE; and d. Director, Technical Training Center, Division of Quality Assurance, Vendor, and Technical Training Center Programs, OIE. 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 ar.d/or prircipal 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 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: (The breakdown of costs must track with the corresponding voucher billings.

If there is a discrepancy between the monthly report and voucher amount, the discrepancy must be explained in the monthly report.

1)

Total Estimated Contract Amount.

1 2)

Total Funds Obligated To Date.

j 3

Total Costs Incurred This Reporting Period.

4 Total Costs Incurred To date.

5 Balance of Obligations Remaining.

6 Balance of Funds Recuired 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.

F.4 Place of Delivery.

The items to be furnished hereunder shall be delivered, with all charges paid by the Contractor, to:

a.

Project Officer (1 copy)

U.S. Nuclear Regulatory Commission Contract Number:

Office'of

• Division of

• Mail Stop:

Washington, D.C.

20555

01E-87-125 r

PAGE 8 i~

b.-

Contracting Officer. (1 copy)

U S. Nuclear Regulatory Commission Contract Number:

Office of Administration Division of Contracts Contract Administration Branch f

Mail Stop: AR-2223 Washington, D.C.

20555

• To be ' incorporated.into any resultant contract.

F.5 Curation Hof Contract Period.

The ordering' period for this contract shall commence on the effective date reflected in block 3 of the SF 26 and will expire months thereafter. Any orders issued during this period shall be completed within the time specified in the order, unless otherwise specified herein.

(See 52.216-18'- Ordering (APR 1984)).

• To be incorporated into any resultant contract.

F.6 FAR Citations Section G - Contract Administration Data 1

G.1-Indirect Rates a,

'Pending the establishment of final indirect rates which shall be negotiated based on audit of actual costs, the Contractor shall be reimbursed for allowable indirect costs as follows:

Category Ra te' (%)

Cost Base Applicable Period Overhead Fringe Benefits G&A Other:

f b.

The Contracting Officer may adjust the above rates as appropriate during the term of the contract upon acceptance of any revisions proposed by the Contractor.

It is the Contractor's responsibility to notify the Contracting Officer in accordance with 52.232 !

Limitation of Cost ((APR 1984) or 52.232 Limitation of Funds 4

(APR 1984), as applicable, if such change (s) affect (s) performance of work within the established cost or funding limitations.

I 4

OIE-87-125 PAGE 9 G.2 Project Officer Authority.

a.

The Contracting Officer's authorized representative hereinafter I

referred to as the Project Officer for this centract 1s:

Name:

• i 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:

1). Technical direction to the Contractor which shifts werk emphasis between areas of work or tasks, fills in details or otherwise serves to accomplish the contractual statement of work.

2).

Providing advice and guidance to the Contractor in the preparation of drawings, specifications or technical portions of the work description.

3). Review and, where required by the contract, approval of

. technical reports, drawings, specifications and technical infor1 nation to be delivered by the Contractor to the Government under the contract.

c.

Technical direction must be within the general statement of work stated in the contract. The Project Officer does not have the authority to and may not issue any technical direction which:

1). Constitutes an assignment.of additional work outside the general scope of the contract.

2). Constitutes a change as defined in the " Changes" clause of this contract.

3).

In any way causes an increase or decrease in the total estimated contract cost, the fixed fee, if any, or the 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.

o I

GIE-87-125 PAGE 10 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 saio written oirection shall be submitted to the Contracting Officer.

e.

The Contractor shall proceed promptly with the performance of technical directions duly issued by the Project Officer in the manner prescribed by this clause and within 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 af ter the receipt of any such instruction or direction and shall request the Contracting Officer to modify the contract accordingly. Upon receiving such notification from the Contractor, the Contracting Officer shall issue an 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 (APR 1984).

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 perform'ance, 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 reconnendations for approval, disapproval, or suspension for supplies and i

services required under this contract.

j To be incorporated into any resultant contract.

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01E-87-125-I%

PAGE 11 d

G.3-Travel Reimbursement.

1 1

='

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 costs incurred directly and specifically in the performance of this contract. The cost limitations for travel costs.are determined by the Federal Travel Regulations that are in effect on the date of the trip. These Regulations specify the daily maximum 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 privately owned automobile, and the items which reouire 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 Reguhtions, it is the responsibility of the Contractor to notify the Contracting Officer in accordance with the Limitation of Cost claase of this contract if-the Contractor will be unable to make all of the approved trips and remain within the cost and fee limitations of this contract.

d.

The rates for any NRC approved foreign travel under this centract are established by the U. S. Department of State and are listed in a publication entitled " Maximum Travel Per Diem Allowances For

' Foreign Areas". Copies of this. publication may be obtained from U. S. Government Printing Office, Washington, D.C.

20402 To be incorporated into any resultant contract.

G.4 Method of Payment a.

Payment under this contract will be made by wire transfer through the Treasury Financial Communications System for cach individual payment in excess of $25,000 and by Treasury check for each individual payment of $25,000 or less.

b.

In the event that the Contractor's financial institution has access to the Federal Reserve Communications System, the Contractor shall forward the following information in writing to the Contracting Officer within seven days after the effective date of the contract.

1). Name and address of organization.

2). Contact person and telephone number.

m.,

p ole-87-125 PAGE 12 3

3).

Name and address of financial institution.

4).

Contractor's Financial. institution's 9-digit ABA identifying number for routing transfer of-fynds.

51. Telegraphic abbreviation of Contractor's financial institution.

.6).

Account number at Contractor's financial institution.

7).

Signu ure and title of person supplying this information, In the event the Coitry: tor's financial institution does not have c.

access to the Federal Deserve Communications System, the l

Contractor shall forward the followina information with reoard to a correspondent or alternate' financial institution. The '

information shall be in writing and submitted to the Contracting Officer within seven days af ter the effective date of the contract.

1),

Name and address of organization.

b a

2). Contact' person and talephone number.

3). Name and address of financial institution.

4). Telegraphic abbreviation of Contractor's financial institution.

5). Account number at Contractor's financial institution.

6).

Name ano address of the correspondent financial institution that has access to the Federal Reserve Communications System.

7). Correspondent financial institution 9-digit ABA identifying number for routing tr&nsfer of funds.

8). Telegraphic abbreviation af correspondent financial institution.

L 9). Signature and title of person.supplyiro this information.

d.

Any changes to the information furnished under this clause shall be furnished to the Contracting Lfficar in writing. It is the i

Contractor's responsibility to farnish these scanges promptly to avoid payments to erroneous bank accounts.

i

..s 1

+

4 01E-87-125 PAGE'13 G.5 Payment Due Date, a.

Payments under this contract will be due 30 calendar days after I

the later of:

j 1

1)

The date 'of actual receipt of a proper invoice in accordance with the attached " Billing Instructions", or 2)-

The date the final deliverable product / service is accepted by the Government,

~

b.

For the purpose of determining the due date for payment and for no other purpose, acceptance will be deemed to occur 30 calendar days after the date of delivery of the final deliverable product / service perfonned in accordance with the terms of the contract.

c.

If the final product / service is rejected for failure to conform to 3

the technical requirements of the contract, the provisions in paragraph b of this clause will apply to the new delivery of the final product / service.

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 on overoue payments of the expiration invoice or improperly taken discounts.

b.

Determinations of interest due will be made in accordance with the provisions of the Prompt Payment Act and Office of !!anagement and Budget Circular A-125, Vol. 47 Federal Register 37321, August 25, 1982. Among other considerations, OMB Circular A-125 provides that:

1)

Interest penalties are not required when payment is delayed because of a disagreement over the amount of payment or other issues concerning compliance with the terms of the contract.

2)

Whenever a proper invoice is paid after the due date plus 15 days, interest will be included with the payment at the interest rate applicable on the payment date.

Interest will l

be computed from the day after the duc date throuch the payment date.

_l 1^

l:

01E-87-125 l-PAGE 14 c.

For purposes of this clause, an expiration invoice is defined as a L

claim submitted for costs incurred for performance through the I

expiration date of a Cost Type contract.

G.7 Remittance Address If item 15c. of the Standard Form 33 has been checked, enter the remittance address below.

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.

4.

Applicable Special Provisions.

5.

Technical Skills-Required.

6.

Estimated Level of Effort.

b.

Task Order Proposal By the date specified in the Task Order Request for Proposal, the Contractor shall deliver to the Contractireg 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 o roer.

4

r '

-.o J -

42

,q.,

b

' 9

.)

.f.

9/,.

01E-87-125 M//(p[

,,f PAGE 15-0' i

i i

1-b).

Resumes for professional personnel prop $ sed to be utilized in the performance of any resulting task order.

Include educational background, speci.fic pcrtinent work experience,and a list of any pertinent publicaticrs authored by the individual.

1 c).. Identification of administrative support personnel and/or facilities that are needed to assist the i

)

professional personnel in completing work on the imbk order..

d).

Identification of " Key' Personnel" and the number of staff hours that will be committed to completion of work on the Task Order..

7 l

2). CosfProposal The' Contractor's cost proposal for each Task Order shall be prepared using the Standard Form 1411, Contract Pricing 9

s Proposal cover sheet. A copy of the form and instructions are attached to this contract.

Each Task Order cost proposal shall be fully supported by cost and pricing data adequate to establish the reasonableness of the 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 (bst proposal. Guidance for ccmpleting the Spending Plan will be provided with the Task Order Request for Proposa'.

Cost Proposal Assumptioc.

a)

The offeror shall assume meetings and travel requirements for one or two courses in the first year and two or three courses in the second and third years. The meetings, associated with each course, will be with the NRC Project Officer and other NRC staff and will be conducted at the NRC Technical Traininq Center, NRC Headquarters, or NRC Regional Office., depending upon the nature of the specific Task Order to be issued.

b)

The following additional requirements should be assumed:

t (1) Each course will be cha week in length and will be presented at an NRC controlled facility (unless the specific equipment located at the Contractor's facility precludes holding the course alsewhere.

Fif ty percent (500 of the r

01E-87-125 PAGE 16 7

Task Oroer courses will be presented at the NRC Technical Training Center, forty percent (40%)

will be presented in one of the NRC regional locations, and ten percent (10%) will be presentcd at NRC Headquarters.-

(2) Two instructors will be required for each course being presented.

(3) Any courses which presently exist but need customization to fit NRC needs will require approximately one man-week to customiza.

c)

Described briefly, below, is a course that might be ordered by Task Order. Each assumed Task Order proposal should include all costs, direct, and indirect for which the offerer would expect to be approved and paid by the NRC. Offerors should assume

'that the courses would be held at the NRC Technical Training Center, Chattanooga, Tennessee unless special facilities are required.

Seminar on Safety / Relief Valves used on BWR and PWR Nuclear Steam Supply Systems: 3 days; provide an overview of the operation and maintenance of various types of safety and relief valves currently used by BWR and PWR facilities. The discussion should include the oper!tting histories and problems encountered with the valves.

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 folle Mng:

1).

Statement of Werk,/ Meetings / Travel and Deliverables.

2.

Reporting Requirements.

3.

Period of Perforinance.

'4.

Key Personnel.

5).

Applicable Special Provisions.

6). Tota'. Task Order amount.

G.9 Accelerated Task Order Precedures 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.

O y

DIE-87-125 PAGE 17 q-b.-

When this accelerated procedure is employed by the' NRC.'the Contractor agrees to begin promptly negotiating with the Contracting Officer the tems of a definitive Task Order and agrees to' submit a cost proposal with> supporting cost or pricing.

data. ~ If. agreement on a definitized Task Order is ~not reached by -

the target date mutually agreed upon by the Contractor and 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 (APR 1984).

In any; event, the Contractor 1

shall proceed with completion of the Task Order, subject only to the monetary limitation established by the Contracting Officer and L

.the terms and conditions of the basic contract.

u 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.

The _ Contractor agrees that such personnel shall not be removed from the contract work or replaced without compliance with

. paragraphs b and c hereof, b.

If one or more of the key personnel for whatever reason becomes, or is expected to become, unavailable for work under this. contract for a continuous period exceeding 30 work days, or is expected to devote substantially less effort to the work than indicated in the proposal or initially anticipated, the Contractor shall insnediately 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 ta 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 infomation requested by the Contracting Officer to approve or disapprove the proposed substitution. The Contract 1ro Officer will evaluate such requests and promptly notify the Contracter of his/her approval or disapproval thereof in writing.

OIE-87-125 PAGE 18 d.

If the Contracting Officer determines that suitable ano tiriely replacement of key personnel who have been reassigned, terminated or have otherwise become unavailable for the contract work is nct reasonably forthcoming or that the resultar.1 reduction of prcductive effort woulo be so substantial as to impair the successful completion of the contract or the service order, the contract may be terminateo 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 damage.

• To be incorporated into any resultant contract H.2 Safety, Health, and Fire Protection.

The Contractor shall take all reasonable precautions in the perfomance 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 l

of Labor.

In the event that the Contractor fails to comply with said regulations or requirements, the Contracting Officer may, without prejudice to any other legal or contractual rights of the Commission, issue an order stopping all or any part of the work; thereafter, a start order for resumption of work may be issued at the 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 l

connection with such work stoppage.

l H.3 Dissemination of Contract Information.

l The Contractor shall comply with the requirement of NP.C Manual Chapters 3202 and 3206 regarding publication or dissemination to the public of any infomation, oral or written, concerr.ing the work performed under this contract.

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

H.4 Private Use of Contract Information and Data.

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 of this contract, shall be used only in connection with the work under this contract.

l 9

I 01E-87-125 PAGE 19 H.5

. Drawings, Designs, and Specifications.

' All drawings, sketches, designs,' design data, specifications, notebooks, technical and scientific data, and all_ photographs, negatives,' reports,l findings, recommendations,- data ano memoranda of

'every description relating thereto, as well as all copies of the foregoing relating to the work or any part thereto, shall be subject to inspection by the. Commission at all reasonable times (for which inspection the proper facilities shall be afforded the Comission by the Contractor and its subcontractors).. shall be the property of the Government and may be used by the Government for any purpose whatsoever without any claim on the part of the Contractor and its subcontractors

. and vendors for additional compensation and shall, subject to the right of the-Contractor to retain a copy. of said material for its own use, be delivered to the Government, or otherwise disposed of. by the Contractor either as the Contracting Officer may from time to time direct during the progress of ~ the work or in any event as the Contracting Officer shall direct upon completion or tennination 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 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 planned interest-(financial, contractual, organizational, or otherwise) which relate to the work under this contract, and 2). Does not obtain an ur.' air 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 al CFR 620-1.5402(G in the activities covered by this clause.

j

. ork for Others. Notwithstanding any other provision of this J

W c.

contract, during the tem of this contract, the Contractor agrees to forgo entering into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being performed under this contract. The Contracter shall ensure that all employees who are employed full time under this centract 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 J

=

l 01E-87-125 PAGE 20 proposeo ccnsultant or other contractual arrangement with any firm l

or organization may involve a potential conflict of interest, the Contractor shall obtain the written approval of the Contracting Officer prior to execution of such contractual arrangement.

d.

Disclosure after award.

1). ~ The Contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest, as defined in 41 CFR 20-1.5402(a).

2). The Contractor agrees that if after award it d1scovers organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the Contracting Officer. This statement shall include a' description of the action which the Contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, teminate the contract for convenience if it deems such termination to be in the best interests of the Government.

e.

Access to and use of information.

1).

If the Contractor in the 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 date which has not been released to the public, the Contractor agrees not to:

(1) Use such information for any private purpose until the infomation has been released to the public; (ii) Compete for work for the Commission based on such information for a period of six (6) months after either the completion of this contract or the release of such infomation to the public, whichever is first; (iii) Submit an unsolicited proposal to the Government based on such information until one year after the release of such information to the public, or (iv) Release the infomation without prior written approval by the Contracting Officer unless such information has previously been released to the public by the NRC.

2).

In additfon, 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

1 i

4 4

3

OIE-87-125 PAGE 21

~

financial information under this contract, the Contractor shall treat such inf ormation in accordance with restrictions placeo on use of. the information.

3.

The Contractor shall have, subject to patent and security.

provisions of this contract, the right to use technical cata

~

.it produces under this contract for private purposes provided that all requirements'of this contract have been met.

f.

Subcontracts'. Except as provided in 41 CFR 20-1.5402(h), the l

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.

Remedics.

For breach of.any of the above prescriptions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this centract or for such erroneous representations as necessarily imply bad f6ith, the Government may terminatt the contract for default, disqualify the Contractor from subsequent contractual efforts, and pursue other remedies as may be permitted by law or this contract.

h.

Waiver. A request for waiver under this clause shall be directed in writing through the Contracting Officer to the Executive Director for Operations (ED0) in accordance with the procedures outlined in (20-1.5411.

H.7 Government Furnished Property / Materials a.

The Nr.C will provide the Contractor with drawings, specifications, management plans, schedules, and other information required to accomplish the work described in each Task Order issued hereunder, as appropriate.

b.

Only the property / materials listed above will be provided by the Government. This property is subject to the provisions of the Government Property clause under this contract. All other property / material required in performance of the contract shall be furnished by the Contractor.

PART II - CONTRACT CLAUSES Section I - Contract Clauses 52.233-3 PROTEST AFTER AWARD (JUN 1985)

(a) Upon receipt of a notice of protest (as defined in 33.101 of the FAR) the Contracting Officer may, by written order to the Contracter, direct the this contract.

The Contractor to stop performance of the work called for by' der issued unoer this order shall be specifically identified as a stop-work or

GIE-87-125 PAGE 22 clause.

Upon receipt of the order, the Contractor shall innediately. comply with its tet+, and take all reasonable steps to minimize the incurrence of costs allocable to the work coveret by the order during the period of work stoppege, i

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 Default, or the Termination for Convenience of the Government, clause of this contract.

(b) If a stop-work order issued under this clause is canceled either before t

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 or contract price, or both, and the contract shall be modified, in writing, accordingly,)if--The stop-work order results in an increase in the time reouired for, (1

or in the Contractor's cost properly allocable to, the performance of any part of this contract; and (2) The Contractor requests an adjustment within 30 days after the end of the period of work stoppage; provided, that if the Contracting Officer decides the facts justify the action, the Contracting Officer may receive and act upon the request at any time before final payment under this contract.

(c) If a stop-work order is not canceled and the work covered by the order is terminated for the convenience of the Government, the Contracting Officer shall allow reasonable costs resulting from the stop-work order in arriving at the termination settlement.

(d) If a stop-work order is not canceled and the work covered by the order is terminated for default, the Contracting Officer shall allow, by equitable adjustment or othriwise, reasonable costs resultir.g from the stop-work order.

(e) The Government's rights to terminate this contract at any time are not affected by action taken under this clause.

(End of Clause) 52.252-2 CLAUSES INCORPORATED BY REFERENCE.

(APR 1984)

This contract incorporates the following clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES Section E 52.246-5 INSPECTION OF SERVICES--COST-REIMBURSEliENT.

(APR1984)

Section F 52.212-13 STOP-WORK ORDER.

(APR 1984) -- Alternate I (APR 1984) 4

OIE-87-125 PAGE 23 Section I 52.202-1 DEFINITIONS.

(APR 1984) 52.203-1 0FFICIALS NOT TO BENEFIT.

(APR 1984) 52.203-3 GRATUITIES.

(APR1984) 52.203-5 COVENANT AGAINST CONTINGENT FEES.

(APR 1984) i 52.215-1 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL.

(APR1984) j 52.215-2 AUDIT--NEGOTIATION.

(APR'1984)

)

52.215-22 PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA.

(APR 1984) 52.215-24 SUBCONTRACTOR COST OR PRICING DATA.

(APR1985) 52.215-33 ORDER OF PRECEDENCE.- (JAN 1986) 52.216-7 ALLOWABLE COST AND PAYMENT.

(APR 1984) 52.216-8 FIXED FEE.

(APR 1984)-

52.219-8 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL DISADVANTAGED BUSINESS CONCERNS.

(JUN 1985) 52.219-13 UTILIZATION OF WOMEN-0WNED SMALL BUSINESSES.

(AUG 1986) 52.220-3 UTILIZATION OF LABOR SURPLUS AREA CONCERNS.

(APR1984) 52.222-1 NOTICE TO THE GOVERNMENT OF LABOR DISPUTES.

(APR 1984) 52.222-3 CONVICT LABOR.

(APR 1984) 52.222-26 EQUAL OPPORTUNITY.

(APR1984)

'52.222-35 AFFIRMATIVE ACTION FOR SPECIAL. DISABLED AND VIETNAM ERA VETERANS (APR 1984) 52.222-36 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS (APR 1984) i 52.223-2 CLEAN AIR AND WATER.

(APR 1984) 52.227-1 AUTHORIZATION AND CONSENT.

(APR 1984) 52.227-2 NOTICE AND ASSISTANCE, REGARDING PATENT AND COPYRIGHT INFRINGEMENT.

(APR 1984) 52.227-11 PATENT RIGHTS--RETENTION BY THE CONTRACTOR (SHORT FORM).

(APR 1984) 52.228-7 INSURANCE LIABILITY TO THIRD PERSONS.

(APR1984) 52.230-3 COST ACCOUNTING STANDARDS.- (AUG 1986) 52.230-4 ADMINISTRATION OF COST ACCOUNTING STANDARDS.

(APR 1984) 52.230-5 DISCLOSURE AND CONSISTENCY OF COST ACCOUNTIFG PRACTICES.

(AUG 1986) 52.232-17 INTEREST.

(APR 1984) 52.232-22 LIMITATION OF FUNDS.

(APR 1984) 52.232-23 ASSIGNMENT OF CLAIMS.

(JAN 1986) 52.233-1 DISPUTES.

(APR1984) 52.242-1 NOTICE OF INTENT TO DISALLOW COSTS.

(APR 1984) 52.243-2 CHANGES--COST-REIMBURSEMENT.

(APR 1984)--Alternate II.

(APR 1984) 52.244-2 SUBCONTRACTS (COST-REIMBURSEMENT AND LETTER CONTRACTS)

(JUL 1985) 52.244-5 COMPETITION IN SUBCONTRACTING.

(APR 1984) 52.245-5 GOVERNMENT PROPERTY (COST-REIMBURSEMENT, TIME-AND-MATERIAL, OR LABOR-HOUR CONTRACTS).

(JAN 1986) 52.246-25 LIMITATION OF LIABILITY--SERVICES.

(APR 1984) 52.247-63 PREFERENCE FOR U.S.-FLAG AIR CARRIERS.

(APR 1984) i 52.249-6 TERMINATION (C0ST-REIMBURSEMENT).

(MAY 1986) 52.249-14 CXCUSABLE DELAYS.

(APR 1984) i

i OIE-87-125 PAGE 24 PART III - LIST OF DOClHENTS, EXHIBITS, AND OTHER ATTACHMENTS Section J - List of Attachments

. J.1 Attachments l

Attachment Number Title 1

NRC Contractor Organizational Conflicts of. Interest (41 CFR Part 20) 2 Billing Instructions 3

NRC Manual Chapter 3202 4

Standard Form 1411 with Instructions PART IV - REPRESENTATI0tlS AND INSTRUCTIONS 4

Section K - Representations, Certifications and Other Statements of Offerers or Quoters K.

Organizational Conflicts of Interest I represent to the best of my knowledge and belief that:

The award to of a centract er the modification of an existing contract does / / or does not / /

involve situations or relationships of the type set forth in 41 CFR 9 20-1.5403(b)(1).

Instructions to offerors. The following shall be included in all NRC solicitations:

(1) If the_ representation as completed indicates that 3ituations or relationships of the type set forth in 41 CFR %

20-1.5403(b)(1) are involved or the Contracting Officer otherwise aetermines that potential organizational conflicts exist, the offeror shall provide a statement in writing which describes in a concise manner all relevant factors bearing on his representation to the contracting tsfficer.

If the contracting officer determines that organizational conflicts exist, the f ollowing actions may be taken:

(i)

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 States to seek award of the contract under the waiver provisions of 5 20-1.5411.

s

OIE-87-125 Pf4GE 25 l

(2) The refusal to provide the representation reouired by 920-1.5404(bi or upon request of the contracting officer the facts required by 620-1.5404(c), stall result in disqualification of the offeror for awa rd.

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 centract may be terminated. The offeror may also be disqualified from subsequent related NRC contracts and be subject to such other remedial actions provided by law or the resulting contract.

4 The offeror may, because of actual or potential organizational conflicts of interest, propose to exclude specific kinds of work from the statements of work contained in a RFP unless the RFP specifically prohibits such exclusion. Any such proposed exclusion by an offeror will be considered by the NRC in the evaluation of proposals.

If the NRC considers-the proposed excluded work to be an essential or integral part of the required work and its exclusion would work to the detriment of the competitive posture of the other offerors, thi proposal must be rejected as unacceptable.

The offeror's failure to execute the representation required by subsection (b) above with respect to invitation fer bias will be considered to be a minor informality, and the offeror will be permitted to correct the omission.

K.

FAR Provisions 52.203-4 CONTINGENT FEE REPRESENTATION AND /GREEMENT.

(APR1984)

(a) Representation.

The offeror represents that, except for full-time bona fide employees working solely for the offeror, the offeror--

Note: The offeror must check the appropriate boxes.

For interpretation of the representation, including the term " bona fide employee," see Subpart 3.4 of the Federal Acquisition Regulation.

(1) / / has, / / has not employed or retained any person or company to solicit or obtain this contract; and (2) / / has, / / has not paid or agreed to pay to any person or company employed or retained to solicit or obtain this contract any comissior, percentage, brokerage, or other fee contingent upon or resultira from the award of this contract.

(b) Agreement. The offerer agrees to provide information relating to the above Representation as requesteo by the Contracting Officer and, when subparagraph (a)(1) or (a)(2) is answered affirmatively, to promptly submit to the Contracting Officer--

(1) A completed Standard Form 119, Statement of Contingent or Other

- Fees, (SF 119); or

-o

OfE-87-125 PAGE 26 (2) A signed statement indic3 ring that the SF 119 wds previously submitted to the save contracting office, including the date and epplicable solicitation or contract number, and representing that the prior SF 119 applies to this offer or cuotation.

(End of provision)

(R 7-2002.1 1974 APR)

(R 1-1.505) 52.215-6. TYPE OF BUSINESS ORGANIZATION.

(APR 1984)

The offeror or quoter, by checking the applicable box, represents that it operates as / / a corporation incorporated under the laws of the State of

......................, / / an individual, / - / a partnership, / / a nonprofit organization, or / / a joint venture.

(End of provision)

(AV SF 33 1977 MAR)

(R SF 198, Para 4, 1976 JUNE) 52.215-11 AUTHORIZED NEGOTIATORS.

(APR1984)

The offeror or ouoter represents that the following persons are authorized to negotiate on its behalf with the Government in connection with this request for proposals or quotations:

Name Title Telephone Number (End of provision)

(R 3-501(b) Sec K (iv))

52.215-19 PERIOD FOR ACCEPTANCE OF OFFER.

(APR 1984)

In compliance with the solicitation, the offeror agrees, if this offer is accepted within....... calendar days (60 calendar days unless a different period is inserted by the offeror) from the date specified in the solicitation for receipt of offers, to furnish any or all items on which prices are offered at the price set opposite each item, delivered at the designated point (s), within the time specified in the Schedule.

(End of provision) l (R SF 33 1977 MAR) l 52.215-20 PLACE OF PERFORMANCE.

(APR1984)

(a) The offeror or quoter, in the perfonnance of any contract resulting from

~

this solicitation, / / intends, / / does not irtend (check applicable block) to use one or more plants or facilities located at a different address from the address of the offeror or quoter as indicated in this proposal or quotation.

I s

l 1

At%achment 1 PART 20-1 -- GENERAL Subpart 20-1.54--Contractor Organizational Conflicts of Interest Sec.

20-1.5401 Scope and policy.

20-1.5402 Defini tions.

20-1.5403 Criteria for recognizing contractor organizational conflicts of interest.

20-1.5404 Representation.

20-1.5405 Contract c'lauses.

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 af ter award.

20-1.5408 (Reserved) 20-1.5409 (Reserved) 20-1.5410 Subcontractors.

20 1.5411 Waiver.

20-1.5412 Remedies.

AUTHORITY:

Sec. 8, Pub. L.95-601, adding Sec. 170A to pub. L.83-703, 68 Stat. 919, as amended (42 U.S.C. ch.14) 520-1.5401 Scope and Policy (a) It is the policy of the U.S. Nuclear Regulatory Comission (NRC) to avoid, eliminate or neutralize contractor organizational conflicts of interest.

The NRC achieves this objective by requiring all prospective contractors to submit information describing relationships, if any, with organizations or persons (including those regulated by NRC) which may give rise to actual or potential conflicts of interest in the event of contract award.

(b) Contractor conflict of interest determinations cannot be mada automatically or routinely; the application of sound judgment on virtually a case-by-case basis is necessary if the policy is to be applied so as to satisfy the overall public interest.

It is not possible to prescribe in advance a specific method or set of criteria which would serve to identify and resolve all of the contractor conflict of interest situations which might arise; however, examples are provided in these regulations l

to guide application of the policy.

NRC contracting and program officials must be alert to other situations which may warrant application of this policy guidance.

The ultimate test is:

Might the contractor, if awarded the con ract, be placed in a position where its judgment may be biased, or where it may have an unfair competitive advantage?

(c)

The conflict of interest rule contained in this subpart applies to contractors and offerors only.

Individuals or firms who have other relat'ionships with NRC (e.g., parties to a licensing proceeding) are not covered by this regulation.

This rule does not apply to the acquisition of consulting services through the personnel appointment process, NRC

7590-01 agreements with other government agencies, international organizations, or state, local or foreign governments; separate procedures for avoiding conflicts of interest will be employed in such agreements, as appropriate.

120-1.5402 Definitions (a)

" Organizational conflicts of interest" neans that a relationship exists whereby a contractor or prospective contractor has present or planned interests related to the work to be perfonned under an NRC contract which:

(1) May diminish its capacity to give impartial, technically sound, objective assistance and advice or may otherwise result in a biased work product, or (2) may result in its being given an unfair competitive advantage.

(b)

"Research" means any scientific or technical work involving theoretical analysis, exploration, or experimentation.

(c) '* Evaluation activities" means any effort involving the appraisal of a technology, process, product, or policy.

(d)

" Technical consulting and management support services" means internal assistance to a component of the NRC in the fonnulation or administration of. its programs, projects, or policies which nornelly 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; arid preparation of preliminary designs, specifications, or statements of work.

(e)

" Contract" means any contract, agreement, or other arrangement with the NRC except as provided in Section 20-1.5401(c).

(f)

" Contractor" means any person, firm, unincorporated association, joint venture, co-sponstor, partnership, corporation, affiliates thereof, or their successors in interest, including their chief executives, 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 cont *:,li ce has the power to control another, or when a third party controls or has the power to control both (41 CFR ;l-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 (icentified in tne proposal), proposec consultants, or subcontractors, submitting a bid or proposal, solicited or unsolicited, to the NRC to obtain a contract.,

b

4

)

7590-01 (j)

" Potential conflict of: interest" means that a factual situation

- exists that suggests (indicates) that an actual conflict of interest may L

arise from award of a proposed contract.

The term " potential conflict of interest" is used to signify those situations which merit investigation prior to contract award in order to. ascertain whether award would give rise to an actual conflict or which must be reported ~ to the contracting officer for investigation if they arise during contract performance.

4

.I20-1.5403 Criteria for recognizing contractor organizational conflicts of interest (a) General.

Two questions will be asked in determining whether actual or potential organizational conflicts of interest exist:

(1) Are there conflicting roles which might bias a contractor's judgment in

' relation to its work for the NRC7 (2) May the contractor be-given an unfair competitive advantage based on' the performance of the contract?

The ultimate determination by NRC as to whether organizational. conflicts of interest' exist will be made in light of common. sense and good business judgment based upon the relevant facts disclosed and the work to be perforwed.

While it is difficult to identify and to prescribe in advance a specific method for avoiding all of the various situations or relationships which might involve potential organizational conflicts of interest, NRC

. personnel will pay particular attention to proposed contractual requirements which call for the rendering of advice, consultation or evaluation activities, or similar activities that lay direct groundwork for the NRC's decisions on regulatory activities, future procurement, and rwtearch programs.

(b)

Situations or relationships which may give rise to organizational conflicts of interest.

(1) The offeror or contractor shall disclose information concerning relationships which may give rise to organizational conflicts of interest under the following circumstances:

(1)- Where the offeror or contractor provides advice and recommendations to the NRC in a technical area in which it is also providing consulting assistance in the same arec to any organization regulated by the NRC.

(ii) Where the offeror or contractor provides advice to the NRC on the same or similar matter in which it is also providing assistance to any organization regulated by the NRC.

(iii) Where the offeror or contractor evaluates its own products or services, or the products or services of another entity where the offeror or contractor has been substantially involved in their development or marketing.

I (iv) Where the award of a contract would otherwise result in placing the offeror or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC or may otherwise result in an unfair competitive advantage for the offeror or contractor. ___-_- - -

7590-01 (2) ine contracting officer may requcst specific infonnation from an offeror or contractor or may require special contract provisions such as provided in i20-1.5405-2 in the following circumstances:

(i) 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 information not available to the public concerning NRC plans, policies, or programs which could form the basis for a later procurement action.

(iv) Where the offeror or contractor is granted access to proprietary information of its competitors.

(v) Where the award of a contrict 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 technically well cualified.

In response to the inquiry in the RFP, the XYZ Corp.

advises that it is currently performing similar analyses for the reactor manufacturer.

L Guidance. An NRC contract for that particular work normally would l

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 projects for several different utility clients. None of the ABC Corp.

}

projects have any relationship to the work called for in the RFP. Based l

on the NRC evaluation, the'ABC Corp. is considered to be the best qualified company to perform the work outlined in the RFP.

4 l

(

I

}'

i.

l 7590-01 l

Guidance.

An NRC contract normally could be awarded to the ABC t

Corp. because no conflict of interest exists which would motivate bias with respect to the work.

An appropriate clause would be included in the contract to preclude the ABC Corp. from subsequently contracting for work during the performance of the NRC contract with the private sector which could create a conflict.

For example, ABC Corp. would be precluded from the performance of similar work for the company developing the advanced reactor mentioned in the example.

l (3)

Example. As a result of operating problems in a certain type of connercial 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.

On'ly 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 terms of NRC's responsibilities and no reasonable alternative exists, a waiver of the policy may be warranted.

Any such waiver shall be fully documented and coordinated in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms to guard against bias.

(4)

Example.

The ABC Co. submits a proposal for a new system for evaluating a specific reactor component's performance for the purpose of developing standards that are important to the NRC program. The ABC Co.

has advised NRC that it intends to sell the new system to industry once its practicability has been demonstrated.

Other companies in this business are using older systems for evaluation of the specific reactor component.

Guidance. A contract could be 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 i

has been reported to NRC. Information which is reported to NRC by contractors will normally be disseminated by NRC to others so as to preclude an unfair competitive advantage that might otherwise accrue. When NRC i

furnishes information to the. contractor for the performance of contract l

work, it shall not be used in the contractor's private activities unless such information is generally available to others.

Further, the contract will stipulate that the contractor will inform the NRC contracting officer of all situations in which the information developed under the contract is proposed to be used. l 1

7590-01 (5)

Example. The ABC Corp., in response to a RFP proposes to assemble a map showing certain seismological features of the Appalachian fold belt.

In accordance with the representation in the RFP and -

120-1. 5403(b)(1)(i), ABC Corp. infoms the' NRC that it is presently doing seismolog'ical studies for several utilities in the Eastern United States but' none of the sites are within the geographic area contemplated by the NRC study.

Guidance. The contracting officer would nomally conclude that award of.a contract would not place ABC Corp. in a conflicting role where its judgment might be biased.

The work for others clause of 120-1.5405-1(c) would preclude ABC Corp. from accepting work during the tem of the NRC contract which could create a conflict of interest.

1 (d) Other considerations.

(1) The fact that the NRC can identify and later avoid, eliminate, or neutralize any potential organizational conflicts arising from the perfomance of a contract is not relevant to a determination of the existence of such conflicts prior to the award oC a contract.

(2)

It is not relevant that the contractor has the professional reputation.of being able to resist temptations which arise from organizational conflicts of interest, or that a follow-on procurement is not involved, or that a contract is awarded on a competitive or a sole source basis.

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.

i l

(b) -Representation procedure.

The following organizational conflicts of interest representation provision shall be included in all solicitations and unsolicited proposals for:

(1) Evaluation services or activities; (2) technical consulting and management support services; (3) research; and (4) other contractual situations where special organizational conflicts of interest provisions are noted in the solicitation and would be included in tM 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, i

a statement of the type required by the organizational conflicts of l

interest representation provision has previously been submitted with regard to the contract being modified, only an updating of such statement shall be required.

' 1 l

7590-01

= ORGANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION I represent to the best of my. knowledge and belief that:

The= award to of a contract or the modification of an existing contract does ( ) or does not ( -) involve situations or relationships -

of the type set forth in'41-CFR's20-1.5403(b)(1).

-(c)- Instructions to offerors.

The following.shall be included in-all NRC solicitations:

(1) If the representation as ccmpleted indicates that situations or re}ationships of the type set forth in 41 CFR I20-1.5403(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:

(i) 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 States to seek award of the contract under the waiver provisions of 520-1.5411.

(2) The. refusal to provide the representation required by l 20-1.5404(b) or upon request of the contracting officer the facts required by 's20-1.5404(c), shall result in disqualification of the offeror for award. ; The nondisclosure or misrepresentation of any relevant interest may also result in the disqualification of the offeror for award; or if such nondisclosure or misrepresentation is discovered after award, the resulting contract may be. terminated.

The offeror may also be disqualified from subsequent related NRC contracts-and be subject to such other remedial actions provided by law or the resulting contract.-

(d)

The offeror may, because of actual or potential organizatunal conflicts of interest, propose to exclude specific kinds of work from the statements of work cor.tained in a RFP unless the RFP specifically prohibits such exclusion.

Any such proposed exclusion by an offeror will be considered by the NRC in the evaluation of proposals.

If the NRC considers the proposed excluded work to be an essential or integral part of the required work and its exclusion would work to the detriment of the competitive posture of the other offerors, the proposal must be rejected as unacceptable.

(e)

The offeror's failure to execute the representation required by-subsection (b) above with respect to invitation for bids will be considered to be a minor informality, and the offeror will be permitted to correct the omission.

5 20-1.5405 Contract clauses i 20-1.5405-1 General contract clause J

7590-01 l

All contracts of the types set forth in 520-1.5404(b) shall include.

theffollowing. clauses:

(a) Purpose.

The primary purpose o'f this clause is to aid in

{

ensuring-that the contractor:

(1) is not placed in a conflicting role because.of-current or planned interest (financial, contractual, organizational,

'or otherwise) which relate to the work under this contract, and (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 j

performance or. participation by the contractor as defined in 41 CFR s 20-1.5402(f)-in the actitities covered by this clause.

(c) Work for others.

Notwithstanding any other provision of this contract,.during'the term of this contract, the contractor agrees to forego entering into. consulting or other contractual' arrangements with ar.y firm or organization, the result of which may give rise to a conflict of interest with respect to the work being perforined under this contract.

The' contractor shall ensure" that?all employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause. If the contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any firm or organiz'ation 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.

This' statement shall include a description of the action which the contractor has taken or proposes to take to avoid or mitigate such conflicts.

The NRC may, however, terminate the contract for convenience if it deems such termination to be in the best interests of the government.

-(e) Access to and use of information.

(1) If the contractor in the performance of this. contract obtains access to information, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L.93-579), or data which has r.ot been released to the public, the co'ntractor agrees not to: (1) Use such information, for any private purpose until the infor1 nation has been released to the oublic; (ii) compete for work for the Comission based

.s.

c e

a s_ _ ___--...

.-_~..---_-....----_-__A

7590-01 on such information 'for a period off six (6) months af ter either the completion of this contract or the release _ of such information to the public, whichever.is first,-(iii) submit an unsolicited proposal to.the goverr. ment based on such information until one. year after the release of 1

such infonnation to the public, or (iv) release the information without prior written approval by the contraci.ing officer unless such information has= previously been released to the public by the NRC.*

_ '(2); In addition, the contractor agrees that to-the extent i.t y

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, busir 7s, or financial information under this contract, the.

contractor.shal; i.reat such information in accordance with restrictions lplaced on use of.the information.

(3) The contractor-shall have, subject to patent and security

. rovisions of this. contract, the right to use technical data it produces punder this contract for private purposes provided that all requirements of this contract have been met.

(f)

Subcontracts.

Except as provided in 41 CFR 520-1.5402(h), the contractor.shall include this clause, including this paragraph, in subcontracts of any tier.

The terms " contract," " contractor," and

" contracting offic er," shall be appropriately modified to preserve the government's rights.

(g). Remedies.

For breach of any of the above proscriptions or for intentional nondisclosure or misrepresentation of any relevant interest

. required to be disclosed concerning this contract or for such erroneous representations as.necessarily imply bad faith, the government may 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.

I20-1.5405-2 Special contract provisions.

(a)

If it is determined from the nature of the proposed contract that organizational conflicts of interest exist, the contracting officer may determine that such conflict can be avoided or af ter 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 conditionr. of these clauses, including the extent and time period of any such restriction. These provisions include but are not limited to:.

7590-01 (1)

Hardware exclusion clauses which prohibit the acceptance of 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 key personnel) to avoid certain organizational conflicts of interest; and (4)

Clauses which provide for protection of confidential data and guard against its unauthorized use.

(b)

The following additional contract clause may be included as section (') in the clause set forth in5 20-1.5405-1 when it is determined that awar of a follow-on contract would constitute an organizational conflict tf interest.

( i ',

ollow-on effort.

(1) The contractor shall be ineligible to participate in NRC contracts, subcontracts, or proposals therefor (solicited or unsolicited) which stem directly from the contractor's performance of work under this contract.

Furthermore, unless so directed in writing by the contracting officer, the contractor shall not perform any technical consulting or management support services work or evaluation activities under this contract on any of its products or services or the products or services of another firm if the contractor has been substantially involved in the development or marketing of such products or services.

(2)

If the contractor under this contract prepares a complete or essentially complete statement of work or specifications, the contractor shall be ineligible to perform or participate in the initial contractual 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.

(3) Nothing in this paragraph shall preclude the contractor from offering br selling its standare cormiercial items to the government.

5 20-1.5406 Evaluation, finoings, and contract award 1

The contracting officer will evaluate all relevant facts submitted by an offeror pursuant to the representation requirements of $20-1.5404(b) and other relevaat information.

After evaluating this information I

agains't the criteria of. 20-1.5403, a finding will be made by the contracting oft cer whether organi:ctional conflicts of interest exist with respect to a particular offeror.

j. it nas oeen determined tnat conflicts of intei est exist, tnen :ne contracting of ficer snali eitner:

j

( ). Disqualify tne offeror from ward, l

j

7590-01 (b)

Avoid or el.iminate such conflicts by-appropriate measures; or i

(c). Award the contract under the waiver provision of i20-1.5411.

120-1.5407 Conflicts identified' af ter award.

.If potential organizational conflicts of interest are identified' after award with respect to a particular contractor, the contracting officer determines that.such conflicts do, in fact, exist and that it.

would not be in the best interests of the government to terminate the-contract.as provided 'in the. clauses required by 520-1.5405, the contracting officer will take every reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with 520-1.5411, neutralize the effects of the identified conflict.

520-1.5408 (Reserved) 520-1.5409

( Reserved)-

520-1.5410 Subcontracts The contracting officer shall require offerors and contractors to submit"a representation statement in accordance with !20-1.5404(b) from subcontractors and consultants.

The contracting officer shall require the contractor to include contract clauses in accordance with 520-1.5405 in. consultant agreements or subcontracts involving performance of work under a prime contract covered by this subsection.

i20-1.5411 Waiver in the first instance, determination with respect to the need to seek a waiver for specific contract awards shall be made by the contracting g

officer with the advice and concurrence of the program office director and the Office of Executive Legal Director.

Upon the recommendation of the contracting officer, and af ter consultation with the Office of the General ' Counsel, the ED0 may waive the policy in specific cases if he determines that it is in the best interest of the United States to do so.

Such action shall be strictly limited to those situations in which:

(1) The work to be performed under contract is vital to the NRC program; (2) the work cannot be satisfactorily performed except by a contractor whose interests give rise to a question of conflict of interest; and (3)

' contractual and/or technical review and supervision methods can be employed by NRC to neutralize the conflict.

For any such waivers. *%

justification and approval cocuments shall be placed in the Public Document Room. I~

L

i 7590-01 620-1. 5412 Remedies in addition to such other remedies as may be permitted by law or contract' f6r a breach of the restrictions in this subpart or for.any intentional misrepresentation or intentional nondisclosure of any relevant interest required to be provided for this section, the NRC may debar the contractor from subsequent NRC contracts.

Dated at Washincton. D.C this 27th day of March 1979.

For the Nuclear Regulatory Commissicn Utuudh fa ok i

Samuel

. Ch11k Secretary of the Commission

-12

,4

ATTACHMENT 2 (REVISED - 6/84) i i

I BILLING INSTRUCTIONS FOR NRC COST-TYPE CONTRACTS General.

The contractor shall submit vouchers for cost-reimbursement in the manner and format described herein and as illustrated in the sample voucher.

Number of Copies..

An original and two copies should be mailed to the NRC office identified below.

Frequency.

The contractor shall submit claims for 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 form.)

Billing of Costs Afte'r Expiration of Contract.

If costs are incurred during the contract period and claimed after the contract has expired, the period during which these costs were incurred must be cited.

Currency.

Billings may be expressed in the currency normally used by j

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 V. S. dollars' authorized in the contract.

Supersession.

These instructions supersede all previous billing instructions.

t 1;

~:

h "A

INSTRUCTIONS FOR PREPARING COST INFORMATION FOR NRC CONTRACTS Preparation and Itemization of the Voucher.

The contractor shall furnish the l~

information set forth in the explanatory notes below. These notes are keyed

- to the entries on. the sample voucher.

Payor's Name and Address., (i) Address the ori i l voucher (with 2

.U.S. Nuclear !!egulatory Connission g naDivision of Accounting; copies) to:

and Finance. Office of Resource Management, ATTN: GOV /COM Accounts i

Section, Washington, D.Cf 20555.

' Any questions. regabding vouchers yetito be paid by the NRC should be.

addressed to' Division ~of Accounting -(301-492-7535). Any questions.

regarding vouchers for which payment has.been received (either in full or partially with suspensions er disallowances) should be ad-dressed to-the Contracting Officer. -

Payee's Name and Address.

Show the name of the contractor as it appears in the contract and its correct address; except when an approved assign-ment has been made by the contractor, or a different payee or addrebee has been designated, then insert the name and address of the. payee.

Indicate the individuil" responsible for answering any questions NC.C may have reotrding the invoice (name and phone number)..

(a). Contract Number - Insert the NRC contract number.

(b) Title 'of Project - List the full title of the project being performed under this contract.

5 (c) Voucher Number; ~ Insert the appropriate serial number of the voucher beginning with 001 for this-contract. Contractors may also' include individual intArnal accounting numbers in-addition to the three digit number--

' ' nsert the date tne voucher is prepared.

(d) Date of Voucher -

I (e) Contract Amount - Insert the total estimated cost of the contract, exclusive of fixed-fee.

(f) Fixed Fee - Insert total fixed-fee (where applicable).

(g) Billing Period - Insert the beginning and ending dates (day, month, and year) of the period in which costs were incurred and for which reimbursement is claimed.

)

- _ _ _ _ _ _ = _

i i

(h)

Direct Costs

. Insert the major _ cost elements.

'(1)L Direct Labor - This. consists of salaries and wages _ paid (or accrued) for direct performance of the contract itemized as follows:

La bor -

Labor Hours Cumula tive-Category Negotiated Hours Billed,

_Ra te -

Total Hours Billed (2)

Frfnce Benefits _- This represents fringe benefits. applicable to direct labor and billed as a direct cost. ' Where a-rate is used, indicate the rate. Frin not be identified here. ge 2ienefits included in direct labor should (3) Direct Equiamentt tions list. each ' tem costin

-- For educational institu-ancy of more than one year.g 5500 or more, and having a life expect-institutions list each item costinFor contractors other than education expectancy of more than one year. g $200 or more,-and having a. life for which reimbursement is re List only.those items of equipment the following '(as ' applicable) quested. A reference shall be made to

. (1) the item number for the specific' piece of equipment listed in the property schedule of the contract; (2) the Contracting Officer's approval letter if the equipment is not covered by the property schedule; or. (3) be preceded by an ast-erisk (*) if the equipment is below the approval level.

Further itemization of vouchers shall only be required for items having specific limitations set forth.in the contract.

(4)' Materials, Su) plies, and Other Expendable Items

- These are consumab.le materia'.s and supplies and equipment other"than that described in (3) above.

(S) Premium pay - This is remuneration in excess of the basic t ourly rate.

(Requires written approval of Contracting Officer.)

(6) Consultants

• Fee - The supporting information must include the name, hourly. or daily rate 'of the consultant and reference the NRC

--approval (if not specifically approved in the or_iginal contract).

(7)

Travel -- Domestic travel is travel within the' United States,

its territories, possessions, and Canada; it should be billed separately from foreign travel.

Travel costs billed will provide for individual Per Diem, and all supporting information' for each trip taken.

?..'

I L

l 1

l All costs asscciated with each trip must be shown in the following format : (Unless the organization's travel policy has been negotiated and approved by NRC)

Date Traveler Destination Purpose Cost From To From To 1.

Airfare 2.

Rental Car 3.

Local TraveT-'

4 Per Diem Days @

5.

Meals :

Date Breakfast Lunch Dinner If not included in Per Diem.

6.

Tips, Misc.

(Itemize if Eore than $10,00)

(8) Subcontracts - Include all costs paid to approved subcontractors durink billing period.

This includes the details of the subcontract terms (i.e.,

cost-plus fixed-fee, direct labor, indirect costs, travel, profit, etc.)

(9) Other - List all other direct costs by cost elements and dollar amount sepa ra tel y.

(i)

Indirect Costs--Overhead - Cite the formula (rate and base) in effect during the time the cost was incurred and for which reimbursement is claimed.

(j)

Fixed-Fee - If the contract provides for a fixed-fee, it must be claimed as provided for by the contract.

Cite the formula or method of computation.

Contractor may bill for fixed fee only up to 85% of total fee.

(k)

Amount Billed for Current Period - Insert the amount billed for the major cost elements, adjustment, and adjusted amounts for the period.

f f

(1)

Cumulative Amount from Inception to Date of this' Billing - Inse-t the cumulative amounts billed for the major cost elements-and adjusted amounts claimed during this contract.

.(m).

Total Amounts Claimed - Insert the total amounts claimed for the current and cumulative periods.

(n)

Adjustments - This ' includes amounts conceded by the contractor, outstand-ing suspensions, and d1= approvals subject to appeal.

(o)

Grand Totals i

4.

WuCNERS FOR PURCliASES AtiD SLRVICES OTHER lHAN PERSONAL SAMPLE YOUCHER Payor's Name and Address (a) Contract Number NRC-10-81-624 The U.S. Nuclear Regulatory Conrnission Division of Accounting and Finance (b) Title of Project " Study of Nuclear Waste Office of. Resource Management Concepts" Attention: GOV /COM Accts Section Washington, D.C.

20555

~

Payee's Name and Address (c) Voucher Number 003

. TdG LURPORATION The National Bank (d) Date Voucher Prepared 10/18/82 l 100 Main Street or Anywhere U.S. A.,

Anywhere. U.S.A.

Assignee for ABC CORP.

(e) Total Estimated Cost of Contract Anywhere, U.S. A.

5350,000.00 (When Payments Assigned) (f) Tctal Fixed-Fee Indiividual to Contract Pegarding This Voucner:

517,500.00

Name

Harry Murphy

'Tel. No.: 215-321-8654 l(9) This voucher represents reimbursable costs from 3/1/82 thru 3/30/82 Amount Billed

((h) Direct Costs (1) Direct Labor

• S2.400 Sti.800 (2) Fringe Benefits 916.5 L (if computed as percentace) 600 1.206 i'

(3) Direct Ecuipment

• 5.000 3.000 (4) flaterials. Supplies and Other Expendable Items

• 2.000 4.000 (5) Premium Pay 100 i50

" ' ~ '

(6) Consultants -

100 100 (7) Travel - Domestic

• 200 200

~

i Foreion '

(8) Subcontract

• 200 200

~

(9) Uther Costs

• 3.000 9.000

~~

f(i) 1HDIRECT COSTS 8 5 A) Overhead 100 '. of Total Direct Costs (Indicate Base) 513.600 529.6f0 Subtotal

$27.200 55'1.100 B) Genera' A Administrative Expense 3.264 6.a' o

~

~ ~ ~ ~ ' ~ "

12 L of Cost Elements Nos.1-9. A

~

Total Costs

$30.46a 56fi./'on (j) FIXE 0-FEE EARNED (Formula) 1.$13 3.400 (m) Total Amounts Claimed

$31.987 Ston. I ' o (n) Adjustments Outstanding Suspensions

• 1.700 1.700 (n) Grand To ta l *,

5" N I" 7 1d

" ( RI IKil RI ' SUI'l'ORI INC. I NI Ol;f1A I 10N. )

[

(M C AlIAClif 0. )

DC.*

.e.

SAMPLE SUPPORTING INFORMATION

1) Direct Labor - $2400 Labor Labor Hours Hours Cumulative Category Negotiated Billed Rate Total Hours Billed Senior Engineer 1 2400 100

$14.00

$1400 975 Engineer 1500 50

$10.00

$500 465

' Computer Analyst 700 100

$5.00

$500 320 374Ri

3) Direct Equipment Spectrometer - General Electric (as approved in Pmperty Schedule) $5,000

4) Materials, Supplies & Other Expendable Items

$1100.00 10 Radon Tubes 9 $110.00

=

$900.00 6 Pairs Electrostatic Gloves 9 $150.00

=

52000.00

5),P.remium 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 approved by NRC in letter doted 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 i

Date Tr3veler Destination Purpose Costs F rom 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 515.00 Officer

4) Per Diem - 2 Days 9 $50.00 = $100.00 6 ) Tips, Mi sc. 5 5.00~

TOTAL: 5200 I(..'

- 4

j.

l.

l 1

8) Subcontracts XYZ CORP.

(CPFF) i DirectfaAe:

- 80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br /> 9 $20,00 per hour = $1600.00 0/H.

0 50%

$800.00

=

Travel - 2 Trips - Wash., DC 0 $200

$400.00

=

to Boston, MA Profit 9 77.

$200.00

=

TOTAL:

53000.00 (j) Fixed-Fee (Fonnula)

(5%)

$350,000 X 5% = $17,500 Total Fixed Fee for this Contract

$27,200 X 5% = $1360 Fee Billed for this Period (n) Adjustments

$1700 - Indicates amount withheld from voucher #001, now approved by Contracting Officer letter 3/10/82.

ATTACHMENT 9

t Form NRC-489 (1-75)

U. S. NUCLEAR REGULATORY COMMISSIO" NRC MANUAL TRANSMITTAL NOTICE CHAPTER NRC-320Z PUBLICATION OF UHLLA551P ILU MtbuLAIUM ANU ILLHNILAL DOCUMENTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS

{

PREPARfD UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS l

$UPERSEDED:

TRANSMITTED:

l Number Date Number Date TN 3200-3 Chapter Chapter NRC-3202 1/25/78 Page Page Appendix Appendix NRC-3202 1/25/78 R EMAR K5:

This chapter and appendix establish responsibilities, basic requirements, standards and procedures for the documentation, production and dissemine.

tion of regulatory. and technical reports prepared by NRC consultants and by NRC contractors and their subcontractors, including reports prepared under or pursuant to interagency agreements.

i l

6 -

l, U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL -

Voluee:

3000 Informatio'n and Foreign Activ' ties Part :

3200 Technical Information and Docueent Control ADM.

Chapter 3202 PUBLICt. TION OF UNCLASSIFIED REGULATORY AND TECHNICAL -

DOCUMENTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 3202-01 COVERAGE This chapter and its appendix handbook establish responsibilities, basic requirements, standards and. procedures. for the-documentation, production and dissemination of regulatory and technical reports prepared by NRC consultants and by NRC contractors and their subcontractors, including report ( prepared under or pursuant to interagency agreements.

These reports are hereafter referred to as contractor documents. This

- chapter does not cover NRC staff-generated documents, environmental impact statements, NRC docket material, or the documents generated by NRC boards, panels and advisory committees.

3202-02 OBJECTIVES 0 21 To assure production of information and reports as required by the Energy Reorganization Act of 1974 and the Freedom of Information Act.

022 To assur? that dissemination of regulatory and technical docua ments is consistent with requirements for public. availability of information on the regulatory process.

023 To assure that national security, patent rights, copyrights, and commercial proprietary rights are not compromised by the release, distribution, or dissemination of information from the NRC.

024 To assure that formal NRC contractor documents will carry the registered NRC designation NUREG as the prime identification.

3202-03 RESPONSIBILITIES AND AUTHORITIES 031 The Director, Office of Administration, develops and main-tains, in consultation with Directors of Offices and Divisions, NRC standards, procedures and guides for the production and dissemination of regulatory and technical contractor documents.

Approved: January 25, 1978 4

h L

L

-- - ---- o

PUBLICATION OF UNCLASSIFIED REGULATORY Al?D NRC-3202-032 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS 032 The Director, Division of Technical Information and Document Control:

a.

develops and administers 'a central document control. system for identifying, printing and distributing centractor documents and responding to requests for them, b.

develops and maintains guides and standards for the documentation, formatting, printing, dissemination, and public sale of contractor documents, c.

assures that a system exists for review of contractor documents I

for adherence to patent, copyright and security policies prior to dissemination, 1

d, establishes and administers interagency agreements necessary for the dissemination and public sale of contractor documents and controls the duplication and printing of contractor docu-ments to assure adherence to the Government Printing and Binding Regulations issued by the Joint Committee on Printing (JCP), Congress of the United States.

e.

establishes distribution data banks, maintains official standard distribution lists for automatic distribution of contractor documents, and controls distribution to assure adherence to the Government Printing and Binding Regulations and the Privacy Act (Title 5, U.S.C. ).

033 Directors, Offices and Divisions:

a.

establish the contract or Standard Order for Work

• provisions, including those required by this chapter and its appendix; Chapter NRC-3203, Distribution of Unclassified NRC Staff-and Contractor-Generated Documents and its appendix; Chapter N R C-0260, Printing and Related Activities and its appendix; and NRC Bulletin 1102-6, Procedure for Piacement of Work with DOE (to be issued). In those provisions:

(1) specify what docum2nts will be reviewed for policy, man-agement, regulatory and legal issues by NRC staff 'm draft prior to printing and distribution, if the document is to be reviewed by NRC staff, give the conditions under which the contractor may publish documents in the event of unresolvable differences relative to the draft, including the type of disclaimer to be used in addition to the standard government disclaimer (see Exhibit 6).

"In the case of DOE work, this is NRC Form 173, Standard Order for DOE Work.

- Approved: January 25, 1978 t

9 i

9 PUBLICATION OF UNCLASSIFIED 8lLATORY AND TECHNICAL DOCUMENTS PREPARED -

T. CONTRACTORS NRC-3202-034 (2) provide for the reviews necessary to insure that the na-tional security, patent rights, copyrights, and commercial proprietary rights are not compromised by the release or dissemination of documents.

If the contractor is to be authorized to make the review, designate the contractor officials who are authorized to sign NRC Form 426 prior to NRC distribution of documents.

(3) specify tnat all formal documents carry NUREG numbers as the prime identification, as illustrated in the appendix, and that interim documents include the title page indicated in the appendix.

(4) specify whether formal documents shall be printed by NRC or the contractor if the contractor has a JCP authorized federal printing plant (see p9endix, part lil).

(5) specify that ali formal documents required by NRC shall be distributed by Ni'C.

(6) establish the number of copies the contractor may retain or request for intet nal and external distribution and charge against NRC.

Written justification must be pro-vided to the NRC JCP representative when the number ex-(

coeds the 50 copies. authorized by JCP.

b.

assere adherence to instructions and authorizations regarding the reproduction and distribution of documents.

c.

recommend standard distribution category (ies) and provide standard and incidental distribution lists for contractor documents to the contracter and the Division of Technical Information and Document Control.

d.

provide changes to the official standard and incidenta' dis-tribution lists to the contractor'and the Division of Technical Information and Document Control.

034

, Director, Office of the Executive Legal Director, provides le-gal review and advice to NRC staff on questions regarding inventions, patents, ano use of copyrighted material.

035 Director, Division of Security, provides review of documents to assure that national security interests are not compromised by the I

release.

036 Director, Division of Contracts:

3.

coordinates the fb of all documents to and from contractors where such documents may result :n alterations in the terms j

and conditions of applicable contracts as they pertain to docu-

)

ment production and distribution.

Approved: January 25, 1978 m----,L-----

PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC-3202-04 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS F

.. b.

advises ' the contractor as-to the. source and method for -

i obtaining documents required.from the government for performance of the contract.

I c.

provides contractor with copies of NRC Manual Chapters 3202, 3203 and 0260, when appropriate.

d.

determines that requests for' proposals. and invitations for bids and subsequent contracts awarded require contractor.

compliance with Chapter NRC-3202 and the Government Printing and Binding Regulations, when appropriate.

3202-04 DEFINITIONS

• 04l camera-ready copy - copy ready for printing. This is a collo-quial term of long stancing that is used even though the printing process may not involve the so-called copy camera (see also

- reproducible masters).

042 central document control system means - for developing and maintaining the policies,. procedures and guides needed. to identify and produce regulatory and technical documents and to assure adherenC2 to requirements and standards for documentation, formatting, printing-and distribution.

043 commercial proprietary right - trade secrets and commercial or i<

financial. information obtained from a

person and. privileged or confidential.

044

. contractor document - a document prepared in accordance with the provisions. of a contract or undeir or pursuant to an interagency.

agreement.

045 copyright * "the exclusive, legally secured right to reproduce (as by writing or printing), publish and sell the matter and form of literary, musical or artistic work..."

(Webster's Third International Dictionary).

Copyrighted material may not be reproduced without the permission of the author or publisher.

046 disseminate - to announce the publication of documents and make them svailable for free distribution, sale or copying.

047 eistribute - to dispense documents to specific organizations and individuals to assure participation in the regulatory process and support cf research and technological investigations. Such distribution may be accomplished by the use of standard distribution data banks established and maintained by the Division of Technical information,and "Words underscored in definitions are also defined in list.

i Approved: January 25, 1978 L

J l

l l

l

m PUBLICAT20N OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS

'NRC-3202-048 Document Control based on the requests of the originating ~ Office or Division.

048 document - a. printed record or copy thereof (see also report).

~

949 documentation - includes classification.and Associated required markings, the NRC document number unique to the document, title (and subtitle, if any), author or correspondent (if any), organization identifi-cation and contract number (or interagency agreement number), date and availability.

0410 ' formal contractor documents - regulatory <and technical docu-monts that record the results of contractor or interagency agreement work at principal points in the program. Such documents may include, but are not limited to, quarterly and annual progress. reports and final reports.

Prior to publication, these documents shall have received the reviewr and approvals required by NRC. Such reviews and approvals shall include, but not necessar!!y be ILWted to, patent review (if applicable) and security review. (if applicable).

These - reports will carry NUREG.

designations as the prime identification.

0 411 interim contractor documents - regulatory ' and technical docu-ments prepared in accordance with cc ' tract or interagency agreement re-quirements for recording plans and results during the course : of the work. ' Such _ documents may include, but are not limited to, informal progress r% orts, quick-look reports,. data reports, status summary reports, project descriptions, pre-test predictions, model verifications, experiment' safety analyses, experiment operating procedures, facility certification reports, and test result reports.

the NRC incividual 0412 NRC procram or project sponsor responsible.for the performance of a consultant or a contractor and his subcontractor or work performed under or pursuant to an interagency agreement.

review by legal staff to assure protection 0413-patent review rights in inventions.

- 0414 publicly available documeets - documents which are available in I

l.

the NRC Public Document Room (PDRTfor public inspection and copying.

l 04l5 reaulatory and technical documents - documents-that have been prepared in support of regulatory investigations and are to become publicly available records.

Such documents - shall carry unique J

identification,.

0 416 report a regulatory or technical document that is to be printed and disseminated which carries the bic!iographic documentation required for storage and retrieval.

0 417 reproducible masters - camera-ready copy which includes (1) originals of line drawings (or prints that can be copied), (2) glossy Approvd: January 25, 1978 l

PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC-3202-0418 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS prints of. black and white photographs (colored photographs cannot be rep roduced ),

(3) original typed or printec: text, ta blet,, cover, title page, contents and abstract, or (4) other forms of the materials listed in (I), (2) and (3) that are acceptable to a printer who will guarantee to prepare reproducible copy therefrom (see appendix, part IV, for guide-lines ).

0 418 unique identification - NRC identification used on a document and its attachments, revisions, and supplements that is not used on any other documelt.

3202-05 BASIC REQUIREMENTS OSI Applicability. The provisions of this chapter and its appendix apply to NRC consultants and to NRC contractors and subcontractors, in-ciuding those working under interagency agreements, whose contracts re-Quire the preparation of regulatory and technical documents. Because of the unique requirements of NRC boards, panels and advisory committees which report directly to the Commission, the handling of repods 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.

C52 Forms.

NRC Form 426, " Publication Release for Unclassified Formal NRC~ Staff, Consultant and Contractor Reports " (Exhibit 5) shall be used as provided in the appendix.

053 Appendix 3202.

Standards, procedures and methods for managing the production and dissemination of contractor documents are contained.n the appendix to this chapter.

054

, Preparation Requirements.

a.

Documents to be Printed by NRC. All contractor documents to be printed by NRC shall be prepared according to Appendix 3202. The reproducible masters for the requisite distribution shall be transmitted to the Division of Technical information and Document Control by the NRC program or project sponsor or the authorized contractor official, b.

Documents printed by Authorized Federal printino Plants or Duplicated by a Contractor.

All contractor documents to be printed or duplicated by the contractor (as specified by the contract, agreement, or standard yder for work) shall be pre-pared according to Appendix 3202, and a reproducible master and sufficient copies for standarr, and incidental distribution shall be supplied to the Division of Technical Information and Document Control accompanied by completed NRC Form 426 l

signed by the NRC program or project sponsor or the authorized contractor official.

f ApproveJ: Ja nuary 25, 1978 I

~

0

PUBLICATION OF' UNCLASSIFIED REGULATORY AND TECHNIC.L DOCUMENTS PREPARED BY NRC CONTRACTORS NRC-3202-055 055 References. The NRC manual chcpters referenced are available from the Division of Technical Information and Document Control. The other citations are available from the Governraent Prir, ting Office.

a.

Chapter NRC 0260, " Printing anc Related Activities."

b.

Chapter NRC 2101, "NRC Security Program."

c.

NRC Appendix 2101, Part 111, " Control of Classified Information

'~

and Documents."

d.

NRC Appendix 2101, Part Vill, " Physical Protection of Classified NRC Facilities and Matter."

e.

Chapter NRC 3203, " Distribution of Unclassified NRC Staff-and Contractor-Generated Documents."

f.

NRC Bulletin 1102-6, " Procedure for Placement of Work with DOE" (to be issued).

g.

Title 44, U.S. Code, "Public Printing and Documents."

I 1

h.

Government Printing and Binding Regulations of the Joint Committee on Printing, Congress cf the United States, No. 24, April 1977 (JCP Regulations).

i.

Title 5, U.S. Code.

i Approved: January 25, 1978 4

PUBLICATION OF UNCLASSIFfE0 REGULATORY AND TECHNICAL D0r.UMENTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 CONTENTS PAGE PART I FORMAL CONTRACTOR DOCUMENTS TO BE PRINTED BY NRC......

1 A.

00 CEMENTATION..................................

I 1

Applicability.............................

I 2.

Front Cover and Title Page................

1 3.

Availability Information..................

3 4.

Disclaimer................................

1 5.

Abstract..................................

4 B.

PATENT AND SECURITY REVIEWS....................

4 1.

Patent Review..................

4 2.

Security Review..

4 C.

PROCEDURES FOR PRINTING OR DUPLICATING AND DISTRIBUTING..................................

S 1.

Printing or Dup 1;cating...................

5 2.

Reprinting,e Reduplicating...............

5 3.

Distribution of Documents............

5 EXHIBITS 1.

Sample Cover for Unclassified Formal Contractor-Prepared Documents, Excluding Those Prepared Under or Pursuant to Interagency Agreements..............

6 2.

Sample Title Page for Unclassified Formal Contractor-Prepared Documents, Excluding Those Prepared Under or Pursuant to Interagency Agreements...................

7 3.

Sample Cover for Unclassified Formal Reports Peepared Under or Pursuant to Interagency Agreements...

8 4.

Sample Title Page for Unclassified Formal Repor cs Prepared Under or Pursuant to Interagency Agreements..

9 5.

NRC Form 426, Publications Ee1 ease.....................

10 6.

Disclaimer and Availability Statements...............

11 PART II INTERIM CONTRACTOR DOCUMENTS TO BE PRINTED BY NRC OR AN AUTHORIZED FEDERAL PRINTING PLANT OR DUPLICATED BY A CONTRACTOR.......................

13 A.

DOCUMENTATION....................

13 1.

Applicability.......................

13 l

2.

Title Page...........................

13 1

Approved: January 25, 1978

PIC3LICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TtCHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS CONTENTS PAGE B.

PATENT AMD SECURITY REVIEWS.........

13 1

Patent Review.............................

13 2.

Se c u r i ty Re v i ew...........................

-14 C.

PROCEDURES FOR PRINTING OR DUPLICATING A.4D DISTRIBUTING..........................

14 1.

Printing or Duplicating...................

14 2.

Distribution of Documents Printed by NRC..

15-3.

Distribution of Documents Duplicated by Contractor................................

15 EXHIBIT 7.

Sample Title Page for Interim Contractor Documents To Be Made Publicly Available...........................

16 i

PART -!!! FORMAL DOCUMENTS TO BE PRINTED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS BY AGENCIES WITH JCP AUTHORIZED FEDERAL PRINTING PLANTS...................

17 A

DOCUMENTATION..................................

17 1.

Applicability.............................

~17 2.

Front Cover and Title Page................

17 3.

Availability and' Price Information........

19 4.

Disclaimer................................

19 5.

Abstract..................................

20 B.

PATENT AND SECURITY REVIEWS....................

20 1.

Patent Review.............................

20 2.

Securi ty Revi ew...........................

.20 C.

PROCEDURES FOR PRINTING AND DISTRIBUTING.......

20 1.

Printing..................................

20 2.

Reprinting.......................

20 3.

Distribution of Documents...............

21 PART IV GUIDELINES FOR PREPARATION OF MANUSCRIPl* AND REPRODUCIBLE MASTERS TO BE PRINTED BY NRC............

23 A.

INTRODUCTION.................

23 Approvec: January 25, 1978 11

PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202

. CONTENTS PAGE 23 ORDER OF ELEMENTS IN A REPORT.........

B.

24 C.

FRONT MATTER..............................

24 1.

Cover, Title Page and Disclaimer..........

24 2.

Abstract..................................

25 3

Guides for Preparing an Abstract......

25 4.

Summary...........................

25 5.

Table of Contents and Page Numbers.......

26 6.

List of Figures...........................

26 7.

List of Tables.........................

26 8.

Preface.................................

26 9.

Acknowledgments...........................

26 10.

Previous Reports in Series..............

27 Exhibit 8 - Table of Contents...

Exhibit 9 - Table of Contents Using 28 Numbers and Decimals...............

Exhibit 10 - Table of Contents for Con-29 ference Proceedings.....................

30 11.

Abbreviations and 5ymbols.................

30 D.

TEXT......

30 1.

Title of Report........................

30 2.

Introduction.........................

30 3.

Paper...........

30 4.

Typing Instructions........

30 5.

Image Area..............

30 6.

Page Numbering.......

31 7.

Photocopied Text.......

31 8.

Footnotes...............

31 E.

BACK MATTER.....

31 1.

References...........................

31 a.

Format...

32 b.

Availability Requirement.

32 Proprietary and Classified Documents.

c.

32 2.

Bibliography....

33 3.

Appendix..............................

33 4.

G l e s a ry.........

33 5.

Distribution List.

iii Approved: January 25, 1978

PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS CONTENTS PAGE F.

GRAPHIC AND TABULAR MATTER..

33 1.

Tables.........................

33 2.

Figures...........s................

34 3.

Photographs......................

34 4.

Special Graphics...........

34 G.

EXAMPLES OF REFERENCE CITATIONS.............

34 1.

Correspondence....................

34 2.

Internal Papers..............

34 3.

Personal Communications; Frivate Communications; Notes Regarding visits....

35 4

Procedures Manuals...........

35 5.

Government Agency Printed Documents and Drafts of Documents to be Printed that Have Been Made Available to the Public for Comment.....................

35 6.

NRC Contractor Reports and Reports Pre-pared on Interagency Agreements........

36 7.

NRC Applicant Document.............

36 8.

Project Documents.........................

36 9.

Licensee Documents........................

36 1.

Books...............................

36 l'.

Conference Papers.........................

36 1:.

Journal Articles, Magazine Articles, Newspaper Articles....................

37 13.

University Theses.........................

37 14.

Codes and Standards.......................

37 Approved: January 25, 1978 tv

+

Y t

d' PU8LICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS, INCLUDING-REPORTS PREPARED UNDER OR PURSUANT TO' INTERAGENCY AGREEMENTSNRC Appendix 3202 r

This ~' appendix p rov' ides standards and procedures : ' for L the ;

documentation,. production and dissemination of regulatory and -

. technical documents that.are to be made. publicly available and -

are prepared by contractors or other government agencies in accordance with contract requirements - or interagency agreements.

it is presented in four parts: Part I - Formal l~

Contractor Documents to be Printed by NRC, Part 11 - Interim 1

. Contractor Documents to be. Printed' by NRC or Duplicated by-Contractor, Part lli - Formal Documents.to be Printed Under or Pursuant to interagency Agreements by Agencies with JCP Authorized Federal Printing Plants, and Part IV - Guidelines for Preparation. of Manuscripts and Reproducible Copy to be Printed by NRC.

PARTI FORMAL CONTRACTOR DOCUMENTS TO BE PRINTED BY NRC A,

DOCUMENTATION :

1.

Applicability a.

The requirements of this part apply to contractor and in--

teragency agreement documents that are to be printed by

NRC, Contractors, other than DOE laboratories with authorized federal printing plan'2 may not print reports prepared.for NRC.

b.

With. respect to classified documents and documents "For Official Use Only," the requirements. set forth in this part' shall be used in conjunction with Chapter NRC-2101.

c The requirements of this part do not apply to consultants and contractors of the NRC boards, panels, and advisory committees which report directly to the Commission.

2.

Front Cover and Title Pace Separate covers and title pages are required (see Exhibits a.

I and 2 for contractor reports and Exhibitt 3 and 4 for reports prepared under or pursuant to interagency agreements). *

" Reproducible copy of the cover of the performing organization may be submitted; however, the data elements shown in Exhibit I must be iricluded.

1 Approved: January 25, 1978

I PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS b.

The items shown-in Exhibits I through 4 and discussed below shall appear on the title page and cover, as appropriate. "

(1)

NRC Document Number.

Each document shell be identified by an NRC-controlled alphanumeric number as the prime number unique to that document. The centralized document control system for unique identification is maintained by the Division of Technical Information and Document Control.

Numbers may be obtained by calling Division of Technical. Information and Document Control or submitting a copy of NRC Form 426 (Exhibit 5) with a request for a number.

The NRC identification number will have the form:

NU R EG/C R-1234 The contractor's report number, if any, may be in-serted below the NUREG number on the title page and cover, as shown in Exhibits I through 4.

When a document consists of more than one volume or binding or is issued in more than one edition, an appropriate volume, supplement, part or revision de-signation shall appear immediately below the report number.

(2) Title and Subtitle (a) Use a brief title that indicates clearly the subject matter covered in the document.

(b) When a document is prepared in more than one volume, repeat the primary title on each volume.

(c) If appropriate, show the type of documen (e.g., 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' contributions are as editors, compilers, etc.,

so indicate on title "These requirements meet the specifications of American National Standard ANSI 239.18-1974, Guidelines for Format and Production of Scientific and

. Technical Reports, and AN51239.23-1974, Technica: Report Numbers.

Approved:

January 25, 1978 2

l

1 PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 page following the names, in addition, list affiliation of each author only if affiliated with an organization other than the organization generating the document.

(4) Organization Identifiestion.

On the title page and cover, provide information of the type illustrated in Exhibits I through 4.

(5) Basis for Report Date(s)

(a) The basis for dating may be shown along with the date on the title page. Various bases for dating are possible; e.g., date document com-plated, date reviews complete:1, date published, date distributed, etc.

(b) More than one datt., with the basis for each, may be shown where this is necessary.

3.

Availability Information All formal documents will be made available for sale by NRC and by the National Technical Information Service (NTIS).

The following statements will be inserted on the inside of the front cover (Exhibit 6) by the Division of Technical Information and Document Control:

Available from U.S. Nuclear Regulatory Commission Washington, D.C.

20555 Available from National Technical Information Service (NTIS)

Springfield. Virginia 22161 4.

Disclaimer The following notice will be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by an agency of the United States Government. Neither the United States Government nor any agency thereof, or any of their employees, makes any war-ranty, expressed or implied, or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any information, apparatus, product or process disclosed in this report, or represents that its use by such third party would not infringe privately owned rights." The following additional statement, "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" wi" be printed below the standard disclaimer, if appropriate.

3 Approved: January 25, 1978

l i

PUBLICATION OF UNCLASSIFIED litCULATORY AND I

NRC Appendix 3202 TECHN1_ CAL DOCUMENTS PREPARED BY NRC CONTRACTORS 5.

Abstract An abstract of 200 words or less shall be scepared for each formal document. If the abstract is included in the document, it should appear on a separate page between the table of con-tents and the text."

B.

PATENT AND SECURITY REVIEWS l

Patent Review Patent m olications shall be considered prior to approval of reports for public release so that disclosure will 71 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 aymcy should be requested by the contractor to perform the patent review. The result of such review shall be reported on NRC Form 426 in item II (Exhibit 5).

If NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the government agency administering the contract, the responsible NRC contracting officer shall be consulted, and the responsible NRC program or project sponsor shall consider the patent implications, if there is no neet, for patent review because of the certainty that the document contains no description of novel technical developments which may be of an inventive nature, NRC Form 426 may be completed with the statement "not applicable" or "N/A" in the space for the Patent Counsel's signature. If there is a possibility that there is disclosure of developments of an inventive nature, the contracting officer shall request assis-tance from the NRC Patent Counsel, Office of the Executive Le-gal Director.

2.

Security Review in most cases, contractor reports will be unclassified. Should a report of classified work be required, however, the NRC program or project sponsor must work with the NRC Division of Security to establish the appropriate classification procedures and inform the contractor of such procedures through the contracting officer.

'This preferred positioni'ng of the abstract in the document need not be followed if the style manual of the originating organization requires a different location.

Approved: Ja nuary 25, 1978 4

f

l PUBLICATION OF UNCLASSIFIED REGULATORY ANO

' TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 5

C.

PROCEDURES FOR PRINTING OR DUPLICATING AND DISTRIBUTING l.

Printing or Duplicating Reproducible masters prepared in accordance with this appendix

• shall be transmitted to the Divisioni of Technical Information and Document Control, accompanied by ' completed NRCL Form 426 (Exhibit 5), t RC Form 426 must be signed by the NRC program or project sponsor or the authorized

- contractor official. The Division of Technical Information and Document Control will review the masters for adherence to the standards set f;; th in this chapter and appendix and will

-arrange for prbting and distributing the document.

Unsatisfactory masters will be reported to the program or project sponsor for appropriate contractual action by the contracting dficer or, in the case of government agency or interagency agreement work, the publications manager of the performing organization.

2.

Reprintino or Reduplicating

. Requests for reprinting or reduplicating any document subse-quent to the initial printing or duplication require approval of the Division of Technical information and Document Control.

Each request shall include a written justification for the re-printing or reduplicating anel a list of recipients and their complete addresses.

3.

Distribution of Documents All copies of formal contractor documents will be distributed by the Division of Technical Information and Document Control in accordance with instructions on NRC Form 426 (Exhibit 5).

If any distribution is to be made other than, or in addition to, the standard distribution established for the document, written justification for printing or duplicating additic' %I copies shall accompany the reproducible masters when suumitted to the Division of Technical information and Document Control.

The final pages of the reproducible masters shall be the dis-tribution list.

"For guidelines, see part 111.

5 Approved: January 25, 1978

PUBLICATION Of UNCLASSIFIED REGULATORY AND NRC Appendig 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS 1

EXHIBIT 1 3

SAMPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR-PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS I

wnc Rws No.

coastomer R. pert No. (N.avi wuneeica.cou v w.,e.rt. A... in y>

ucu.ewo.nsi -

73, LMFBR FUEL ANALYSIS TASK B: POST-ACCIDENT HEAT REMOVAL Substh.ad Typ. of A. port Rnel Report thaau.i.T

• at,acJ october 1,1s7s s pi.mber so, isn Author (s)

J. C tt.

N. C. Ostrend.t J. M. McD w h I. C.et.e centremor u.w nv.,c.w.,.w.i a

w.

1

u. s. w oe w.,n.'.'.'*8 '

NnC wi.cy c...w.an l

Approved: January 25, 1978 6

l l

4 PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 EXHIBIT 2 SAMPLE TITLE PAGE FOR UNCLASS!FIED FORMAL CONTRACTOR-l PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER G.<

PURSUANT TO INTERAGENCY AGREEMENTS NRC Meport No.

Centressor Report No. (if any) v.l., p.2, n or m.vi

g,=,,'l Distribution Category No. (if anyl LMFSR FUEL ANALYSIS TASK 8

POST ACCIDENT HEAT REMOVAL Satutitle and Type of Report Plasi Reeert (Annual, Topecel, etc.)

Octeter 1,1s7s. septemmer so.1s77 Autfier(s), Editor (s),

ac

= c. o.

8" N ' Ca*

Cenipoter(s), etc.

n ori on..no s....

_ =

l; C.ntre.ior Non e

- =,= a~

tam ca eman and Address

.g-eQ.a NRC sp.n re.,

NMC Centract No.

u-, c A neem-tve 7

Approved: January 25, 1978

PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BV NRC CONTRACTORS EXHIBIT 3 SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No.

gygggjeg.g33g Contractor Report No. IN enyl DetNL SMB voi.. Port, nev., etc. In anyl vet. a. nov. :

A CRITICAL EVALUATION OF THE y,si.

NONRADIOLOGICAL ENVIRONMENTAL TECHNICAL SPECIFICATIONS Volum* 3 sobuii.

Peach Bottom Atomic Power Station Units 2 and 3 8 " ^8'"*

Author (s)

P. A. Commengham o O esov K. a. semer A. J Wessen Centractor Nonies ook R6epe Nesenet L _ __,

Prepared for NRC Sponeersh.p U. E. Niseteer hopidetery Conindee6en Approved: January 25, 1978 8

q

l[

L 1

PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 l

EXHIBIT 4 SAMPLE TITLE PAGE FOR UNCLASSIFIED RRMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No.

Contreeter Report No. (if anyl on=6 an, Vol.. Port, Rev.. etc. (if anyl l 2 a,.

Distribution Category No. (if any)

A CRITICAL EVALUATION OF THE Title NONRADIOLOGICAL ENVIRONMENTAL TECHNICAL SPECIF! CATIONS l

l veaume 3 l

N'88 peech senem Avenue power steoen une 2end3 l

l Author (s)

,5*

o o c.

a o a.a*

s o.s..

Report Detes and Seses

' ~ ~i 6 ~=a'e' a*..wa 's " 4 o.w e no.

97f

~ ~,~.;; ', ~;; -

Caetrester Neme.

and Addresses u

c.

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W5 Q

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t 9

Approved: January 25, 1978

PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS EXHIBIT 5 Ta. on

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Approved: January 25, 1978 10 i

e

4 PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 EXHIBIT 6 DISCLAIMER AND AVAILABILITY STATEMENTS (BACK OF COVER)

NOTICE Thrs report was preparea.ss an account of work soonsored Dv en agency of the Unitert States Government. Neither the United States Government not any seency thereof, t 3 any of their employees, makes any warrenty, e greues or imc6+ed, or assumes any leesi hoo.lity or responseDelety for any there party's use, or the results of sw wie, of any information, apoaratus, product or process cie: toned in this report, or represents inat its use by such there party now6d not infringe privately osened rights The views esoressac in this report are not necessaries inose of the U $ Nuclear Revulatory Commen on Avestdule from u 5 Nuoser Aeosasory Commses.on wannaavien. 0 C 20566 Aweetalste from Netenes Te6hamas intermeteen Sensee Serengheed Vegania 22tSt 11 Approved: January 25, 1978

PUBLGATION OF UNCLASSIFIED REGULATORY AND NRC Appendix-3202 TECHNICAL DUCIMENT'., PREPARfD BY NRC CONTRACTORS affect the patent rights of NRC. If the work being reported is contractually managed through another government agency (e.g.,

DOE laboratories), that government agency should be requested by the contractor to perform the patent review. The result of such review shall be reported on NRC Form 426 in item II (Exhibit 5).

If NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the government agency administering the contract, the responsible NRC contracting officer shall be consulted, and 'he responsible NRC program or project sponsor shall consider le patent implications. If there is no need for patent review because of the certainty that the i

I document contains no description of novel technical developments of an inventive nature, NRC Form 426 may be completed with the statemefit "not applicable" or "N/A" in the space for the Patent Counsel's signature.

If there is a pos-(

sibility that there is disclosure of developments of an inventive nature, the NRC contracting officer shall request assistance from the NRC Patent Counsel, Office of the Executive Legal Director.

2.

Security Review in most cases, contractor reports will be unclassified. Should a report of classified work be required, however, the prograrr. or project sponsor must work with the Division of Security to establish the appropriate classification procedures and inform the contractor t,f such procedures.

C.

PROCEDURES FOR PRINTING OR DUPLIC ATING AND DISTRIBUTING l.

PrintinQ or Duplicating. Interim documents may be printed by NRC or an authorized Federal printing plant or duplicated (as defined by the Joint Committee on Printing, JCP, U.S.

Congress)" by the contractor. If to be printed by NRC, the

• duplicating - as defined by JCP, means that material produced ~by use of single-unit duplicating equipment with an image area not larger than 11 by 17 inches and which has a maximum image of 10-3/4 by 14 inches: provided that work exceeding 5,000 production units of any one page, and work exceeding 25,000 production units in the aggregate of multiple pages, shall not be done without authority of JCP.

Any work exceeding the limits stated above and requiring equipment other than that listed as duplicating equipment in the Government Printi tg. tid Binding Regula-tions must t,a approved by JCP or -requisitioned by the Division of Tech-nical Information and Document Control.

Approved: January 25, 1978 14

PUBLICATION OF UNCLA558FfED REGULATORY AND NRC Appendix 3202 TECHNIC % DUCDMENT', PREPARED BY NRC CONTRACTORS affect the patent rights o' NRC. If the work being reported is contractually managed through another government agency (e.g.,

DOE laboratories), that government agency shoulo be requested by the contractor to perform the patent review. The result of such review shall be reported on NRC Form 426 in item II (Exhibit 5).

If NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the government agency administering the contract, the responsible NRC contracting officer shall be consulted, and the responsible NRC program or project sponsor shall consider the pater.1 implications. If there is no need for patent review because of the certainty that the document contains no description of novel technical developments of an inventive nature, NRC Form 426 may be completed with the statement "not applicable" or "N/A" in the space for the Patent Counsel's signature, if there is a pos-sibility that there is disclosure of developments of an inventive nature, the NRC contracting officer shall request assistance from the NRC Patent Counsel, Office of the Executive Legal Director.

2.

Security Review in most cases, contractor reports will be unclassified. Should a report of classified work be required, however, the prograrr. or project sponsor must tvork with the Division of Security :o establish the appropriate classification procedures and inform the contractor of such procedures.

C.

PROCEDURES FOR PRINTING OR DUPLIC ATING AND DISTRIBUTING l.

Printino or Duplicating, interim documents may be printed by NRC or an authorizec Federal printing plant or duplicated (as defined by the Joint Committee on Printing, JCP, U.S.

Cong ress )

by the contractor. If to be printed by NRC, the

• duplicating - as defined by JCP, means that material produced'by use of I

single-unit duplicating equipment with an image area not larger than ll by 17 inches and which has a maximum image of 10-3/4 by 14 inches: provided l

that work exceeding 5,000 production units of any one page, and work exceeding 25,000 production units in the aggregate of multiple pages, shall not be done without authority of JCP.

Any work exceeding the limits stated above and requiring equipment other than that listed as duplicating equipment in the Government Printing and Binding Regula-tions must be approved by JCP or requisitioned by the Division of Tech-nical information and Document Control.

Approved: January 25, 1978 14

b PU8tICAT10N OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY HRC CONTRACTORS NRC Appendix 3202 reproducible masters of the document, accompanied by a com-pleted NRC Form 426, must be sent to the Division of Technical information and Document Control.

2, Distribution / Occuments printed by NRC.

The masters of documents td be printed by NRC shall include a list of those to whom the document is to be distributed, complete with organi-zation address and Zip code, or a standard distribution list shall be specified if an applicable one exists.

3.

Distribution of Documents Duplicated by Contractor.

Interim documents cuplicated by the contractor shall De distributed by the contractor or the Division of Technical Information and Document Control. if to be distributed by NRC, the necessary copies and a list of those to whom the document is to be dis-tributed, complete with organization address and Zip code, and a completed NRC Form 426 shall accompany the documents when sent to the Division of Technical Information and Document Control; a standard distribution list may be specified if an applicable one exists.

If distributed by the contractor, two copies of the cocument shall be sent to the Division of Technical 'information and Document Control, along with a list of those to whom copies were distributed and a completed NRC Form 426. An accession number will be assigned before the document is sent to the NRC public Document Room. A copy of the NRC Form 426 will be returned to the contractor with the accession number assigned.

l 15 Approved: January 25, 1978

PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS EXHIBIT 7 SAMPLE TITLE PAGE FOR INTERIM CONTRACTOR DOCUMENTS TO BE MADE PL'BLif.LY AVAILABLE ledTE Alta Af.OAv Ammes on No.

twm h. dd.e by NRC)

CentFactor Report No.

Teth of Proptomfor whech c

...nh.,- -ev at..

Contract Westeen Lemeted Schsect of soi n.e n. D e

This Document Type of Docum.nt: Status Report. Queck Look Report, etc.

Aveno,est D

.tD.cun r:

indmdual A.e nu NAC en.ewas w. NAC Det., D n

v e

,..ii, i.ii is

-=

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Contractor and Addreen

> n

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u c

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us D a i.e a n,,

i.,

vs., %,c W.O C 30us interseency Areement u,

oot.o s u rs or Centract No.

NRC FIN feo, At2347

$NTERitis Af*0Rt i

i Approved: Janua ry 25, 1978 16 I

e a

i PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202

]

l t

I PART lli j

'i FORMAL DOCUMENTS TO BE PRINTED Ur !!R OR PURSUANT i

TO INTERAGENCY AGREEMENTS CY AGENCIES WITH JCP AUTHORIZED FEDERAL PRINTING PLANTS j

A.

DOCUMENTATION 1.

Applicability a.

The requirements of this part apply to NRC staff who are responsible for agreements with other agencies and their contractors who print regulatory and technical documents l

required by agreements with NRC.

b.

With respect to classified documents and documents "For Official Use Only," the requirements set forth in this part shall be used in conjur.ction with Chapter NRC-2101.

c.

The requirements of this part do not apply to consultants and contractors to the NRC boards and advisory committees which report directly to the Commission.

2.

Front Cover and Title Pace l

i a.

Separate covers (of different paper than that of the text) and title pages are required.*

b.

Items such as those shown in Exhibits 3 and 4 and discussed below shall appear on the front cover and title page, as appropriate.** While layouts and typefaces need not be exactly the same as in Exhibits 3 and 4, the items shall appear in approximately the locations indicated and with the sarr.e relative prominence.

(1)

NRC Document Number.

Each document shall be identified by an NRC-controlled alphanumeric num-ber as the prime number unique to that document.

The centralized document control system for unique

• The cover stock of the performing organization may be used; however it must include the data elements shown in Exhibit 3.

• • These requirements meet the specifications of American National Stand-ard ANSI Z39.18-1974, Guidelines for Format and Production of Scien-tific and Technical R eports, and ANSI Z39. 23-1974, Technical Report Numbers.

l l

l 17 Approved: January 25, 1978 l

PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS-identification is maintained by the Division of Tech-nical information and Document Control.

Numbers may be obtained by calling the Division of Technical information and Document Control or submitting a copy of NRC Form 426 (Exhibit 5) with a request for a number.

The NRC identification number will have the form:

NU R EG/C R-1234 The contractor's report number, if any, may be inserted below the NUREG number on the title page and cover, as shown in Exhibits 3 and 4.

When a document consists of more than one volume or binding or is issued in more than one edition, an appropriate volume, supplement, part, or revision designation shall appear immediately below the report number ( s ).

NRC document numbers on covers and title pages shall be shown entirely on one line to facilitate computer processing.

(2) Title and Subtitle (a) Use a brief title, which indicates clearly the subject matter covered in the document.

(b) When a document is prepared in more than one volume, repeat the primary title on each volume.

(c) If appropriate, show the type of document (e.g.,

annual report, final report, thesis, etc.) and the period covered as part of the subtitle.

(3) Personal Author (s)' Name(s)

(a) Authors' names should be given on the title page and cover unless this is impractical, as in the case of annual reports which have many contributors.

if authors' contributions are as editors, compilers, etc., so indicate on title page and cover following the names.

In addition, list affiliation of each author only if affiliated with an organization other than the organization generating the document.

(b) Authors may be identified on backstrips (spines) of bound volumes.

1 Approved: Januar y 25, 1978 18 4

PUBLICATION OF UNCLASSIFIED REGULATORY AND l

TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 r

(4) Organization identification (a) On cover, provide the name of the contractor respon-l sible for preparing the document, followed by " Pre-pared for the U.S. Nuclear Regulatory Commission."

(b) On the title page, provide information of the type illustrated in Exhibit 4.

(5) Basis for Report Date(s)

(a) The basis for dating may be shown along with the date on the title page. Various bases for dating are possible; e.g.,

date document completed,

date reviews completed, date published, date distributed, etc.

(b) More than one date, with the basis for each, may be shown where this is necessary.

3.

Availability and Price information j

All formal documents will be made available for sale by NRC and NTIS. The following statement is required on the inside of the front cover (Exhibit 6):

Available from U.S. Nuclear Regulatory Commission Washington, D.C.

20555 Available from National Technical Information Service (NTIS)

Springfield, Virginia 22161 4.

Disclaimer The following notice shall be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored oy the United States Government.

Neither the United States Government nor any agency thereof, or any of their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any information, apparatus, product or process disclosed, or represents that its use by such third party would not infringe privately owned rights." The following additional statement, "The views expressed in this report are not nec-essarily those of the U.S. Nuclear Regulatory Commission" will be printed below the standard disclaimer, if appropriate.

19 Approved: January 25, 1978 l

i

PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Apptndix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS 5.

Abstract An abstract of 200 words or less shall be prepared for each j

formal document.

Within the document, the abstract shall appear on a separate page between the table of contents and the text.*

B.

PATENT AND SECURITY REVIEWS 1.

Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor.

The government agency responsible for the interagency agreement with NRC should perform the patent review. The results of such review shall be reported by the agency on NRC Form 426 in item II (Exhibit 5).

2.

Security Review in most cases, consultant, contractor, and subcontractor re-ports will be unclassified.

Should a report of classified work be required, however, the NRC program or project sponsor must work with the Division of Security to establish the ap-propriate classification procedures and inform the contractor.

C.

PROCEDURES FOR PRINTING AND DISTRIBUTING l.

Printino Contractor documente, may be printed only by a JCP authorized printing plant. Documents printed by the contractor and one reproducible master shall be submitted by the NRC program or project sponsor or the authorized contractor official to the Division of Technical information and Document Control, with completed NRC Form 426. The number of copies specified by the agreement or contract for standard and incidental distribution shall be provided.

The appropriate identifying number (NUREG/CR-

) may be obtained as discussed in section A.2.b.(l).

2.

Reprintino Requests for reprinting of any document at NRC expense subsequent to the initial printing require approval of the Division of Technical Information and Document Control. The

• This preferred positioning of the abstract in the document need not be followed if the style manual of the originating organization requires a different location.

Approved: January 25, 1978 20 O

e

' PUBLICATION OF UNCLAS$1FIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 request shall include a written justification for the. reprinting and a list of recipients and their complete addresses.

3.

Distribution of Documents i'

Each document transmitted to the Division of Technical Infor-mation and Document Control shall be accompanied by a recom-mandation for distribution on NRC Form 426 (Exhibit 5) and sufficient copies for standard and incidental distribution.

I

{

l

\\

l l

21 Approved : January 25, 1978 l

a PUBLICATION OF UNCLASSIFIED REGULATORY AND I

TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 PART IV GUIDELINES FOR PREPARATION OF MANUSCRIPTS AND REPRODUCIBLE MASTERS TO BE PRINTED BY NRC

(

A.

INTRODUCTION These guidelines provide instructions to U.S. Nuclear Regulatory Commission contractors for the preparation of reproducible masters (camera-ready copy) of reports submitted to NRC for printing or duplicating. They are intended for the use of NRC contractors that do not have written editorial standards for manuscript preparation.

Organizations with established report preparation staffs and style manuals should use their own procedures and guide!ines; this partic-ularly applies to the DOE laboratories.

Adherence to these or similar established guidelines will insure the professional quality and timely publication of NRC contractor reports.

Manuscripts submitted which do not adhere to these or similar professional guidelines will be reported to the program or project sponsor for appropriate contractual action by'the contracting officer. or, in the case of government agency or interagency agreement wor k,

the publications manager of the performing organization.

Questions about the implementation of these guidelines shoulc be addressed to NRC's Division of Technical Information and Document Control, Washington, D.C.

20555; (301) 492-7566.

B.

ORDER OF ELEMENTS IN A REPORT Organize the manuscript according to the following order of elements before submitting it to NRC..

Right or Element Page Number Left Hand Page Title page none Right Back of title page none Left Abstract iii Right Back of Abstract page none Left j

Table of Contents v

Right List of Figures Small Roman (odd or even) Right or Lef t Ei List of Tables Small Roman (odd or even) Right or Left Preface Small Roman (odd)

Right Acknowledgments Small Roman (odd)

Right Abbreviations and Symbols Small Roman (odd)

Right 23 Approved: January 25, 1978

PUBLICATION OF UNCLASSIFIED REGt:LATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS Right or Element Page Nurr.ber Left Hand Pace introduction Unnumbered, but Right considered Arabic 1 Text Numbered consecutively Right throughout in Arabic numerals References Numbered consecutively Right throughout in Arabic numerals Bibliography Numbered consecutively Right or Left throughout in Arabic numerals First Appendix Numbered consecutively Right g

throughout in Arabic at numerals a

j Glossary -

Numbered consecutively Right or Left throughout in Arabic numerals Distribution Lists Numbered consecutively Right throughout in Arabic numerals When en element ends on a right-hand page and the next elemer.t is to start on a right-hand page, leave a blank unnumbered page ard skip a number so that the right-hand page starts on an odd page.

Right-hand pages are always assigned odd numbers, left-hand pages are always assigned even numbers.

5 C.

FRONT MATTER 1.

Cover. Title Pace and Disclaimer The appropriate cover and title page with the information spec-ified in Part I of this Appendix shall accompany each reproduc-ible master.

2.

Abstract An abstract of 200 words or less shall appear in each repcet.

The abstract shall summarize the major points of the report, including what investigations the report covers, and any find-

ings, conclusions, and recommendations.

For progress reports, concentrate on status of work to date. The preferred Approved: January 25, 1978 24 i

n

l 1

PUBLICAT10N OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 location for the abstract is between the title page and the table I

of contents.

For conference proceedings, each paper shall include an ab-stract of 200 words or less. The abstract shall appear on the first text page of each paper between the title and the text.

3.

Guides for Preparing an Abstract The abstract is a condensed version of the document and should summarize or highlight the major points. It should never ex-ceed one paragraph or 200 words, and should provide a review of the contents of the work in abbreviated form.

The abstract should state what was investigated and give any conclusions reached. A review of the major and minor headings of the report and, in particular, the introduction and conclu-sion section can be useful in deciding what information to in-clude. -The first sentence of the abstract should state the subject of the report.

The writing should be concise; that is, words and ideas that are either repetitious or unnecessary should not be used. Care should be taken, however, to include the article gi,, an, ty) and transitional words (and, however, but) that are important to readability. The language should be concise, but the ab-stract should not read like a telegram.

4.

Summary Contractor reports (other than short summary reports) should include a 500- to 1,000-word summary of major findings conclu-sions and recommendations (if any) of the report.

The summary should state the purpose and nature of the investigation, as well.ta provide a brief account of the procedures used, it shoulcJ provide a concise overview for persons in management positions. Though more complete than an abstract, the summary should not contain a detailed description of the work on which the findings, conclusions and recommendations were based.

i The summary may appear as a separate section between the ab-l stract and the table of contents.

It may also be the final section of the text. When it appears between the abstract and l

table of contents, it is treated as front matter.

When it appears as the final section of text, it should be listed in the l

table of contents and treated as text matter.

Table of Contents and Page Numbers A table of contents shall be provided if the report contains more that 25 pages of text. The table of contents shall list all 25 Approved: January 25, 1978 l

PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS j

major sections of the text, including the front matter. It shall include chapter or section numbers, as well as the title of and page number for each. (See Exhibits 8 and 9 for sample tables of contents. )

in reports made up of chapters or papers by different authors, the table of contents shall list the name of each author with the title of the chapter or the paper (see 1

Exhibit 10, for example).

When proof reading the table of contents, insure that the page numbers and wording of chapter and section titles are identical with those in the text.

6.

List of Figures A separate page listing figures shall be included when there are five or more figures in the report.

The figure numbers and captions shall correspond to those in the text. Such a list is unnecessary for conference proceedings or symposium

)

compilations.

j i

7.

List of Tables

]

A separate page listing tables shall be included if there are five or more tables in the report. The table numbers and titles shall correspond to those in the text.

Such a list is unnecessary for conference pror.eedin gs or symposium compilations.

8 preface (Optional)

The preface is the author's statement about the purpose, back-ground, or scope of the work, it can also contain acknowledg-ments of help received during the course of the work, if the acknowledgments do not run over several paragraphs.

The preface can also cite permission obtained for use of previously published work. The author's name shall appear at the end of 4

the preface with his title, affiliation, and the date.

)

9.

Acknowledgments Unless they are more than one page long, acknowledgments shall appear in the preface.

Acknowledgments, if extensive, shall follow the preface on a separtate page and carry a small Roman page number.

10.

Previous Reports in Series if the report under preparation is one in an ongoing series, list all previous reports in the series, include report number and issuance dates.

Approved: January 25, 1978 26 i

l w-PUBLICATION OF UNCLASSIFIED REGULATORY'AND TECHNICAL-DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 Exhibit'8 TABLE OF CONTENTS iii Abstract.

L i s t o f F i gu re s.................... ri gh t roma n Li st of Tabl es..................... ri gh t roman Preface........................ ri gh t roma n Acknowl edgments.................... ri gh t roma n Previous Reports.................... right romaa I.

Introduction.....................

1 A.

Background.

3 8.

Overview and Objectives of Study...........

8 II.

Experimental Apparatus and Procedure........

10 A.

Experimental Apparatus................

15 B.

Experimental Procedure.

19 III. Results..........................

22 IV.

Discussion.....

25 References.

35 37 Bibliography....

Appendixes A.

Thermophysical Property Values....

39 B.

Experimental Data..................

41 Glossary.

47 27 Approved: January 25, 1978

PUBLICATION OF UNCLASSIFIED REGULATORY AND l

NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS' Exhibit 9 CONTENTS ABSTRACT...........................

iii

SUMMARY

.... ri g h t roma n 1.

INTRODUCTION.

1 2.

EXPERIMENT DESIGN.

3 2.1 Test Train.....................

3 2.2 Flow Shroud..........

3 2.3 Fuel Rods......................

8 2.4 Instrumentation...................

10 l

2.4.1 Test Train Instrumentation..........

10 2.4.2 Fuel Rod Instrumentation.

12 l

3.

EXPERIMENT CONDUCT....................

16 3.1 Preconditioning...................

17 3.2 Power Increase and Steady-State Operation......

25 3.3 Flow Reduction...................

26 4.

PRELIMINARY POSTIRRADIATION EXAMINATION RESULTS.....

33 4.1 Visual and Dimensional Characterization.......

33 4.1.1 Re IE-007..................

33 4.1.2 Rod IE-008..................

38 4.1.3 R od I E- 009..................

38 4.1.4 Rod IE-010..................

40 4.2 Discussion.....................

40 5.

EXPERIMENTAL RESULTS AND COMPARISON OF CALCULATED AND MEASURED FUEL ROD BEHAVIOR..............

42 5.1 Analytical Model..................

43 5.1.1 F ue l R od Mo de l................

43 5.1.2 Experimental Conduct Model..........

44 5.2 Cladding Elongation.................

44 Approved: January 25, 1978 28 4

a

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4 PUBLICATION OF UNCLASSIFIED' REGULATORY AND' TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 Exhibit 10 CONTENTS OPENING REMARKS (W. P. Bishop)....

1 TOPIC I: VALUES AND IMPACTS OF WASTE PARTITIONING..

S 1

Partitioning--An ERDA Overview (R. D. Walton, Jr.,

V. G. Trice, Jr., and K. D. Dance)........ J..

6 22 Discussion 1

Partitioning--Fired or Foe? (J. W. Bartlett)......

24 34 Discussion-A Program to Establish the Technical Feasibility and Incentives for Partitioning (J. O. Blomeke).

38 l

Discussion.

49 The Impact of Partitioning on the Fuel Fabricator (1. E. Knudsen and B. H. Neuman).....

53 Discussion.....................

62 Projected Benefits from Actinide Partitioning (C. Braun and M. Goldstein)......

64 Discussion.

76 TOPlc !!: HAZARDS IN RADIOACTIVE WASTE DISPOSAL..

80 Potential Environmental Advantages from Partitioning of Radioactive Waste (J. L. Russell)..

81 Discussion.

89 Other than High-Level Waste (G. R. Bray).

95 Discussion.

105 Environmental Hazards from High-level Waste (B. L. Cohen).

107 Discussion.

127 29 Approved: January 25, 1978

PUBLICATION OF UNCLAS$8F1ED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS 11.

Abbreviations and Symbols When the abbreviations and symbols used in the report are 3

numerous, and when there is a possibility they will not be understood by the intended audience, include a separate j

section for them. The list, labeled as such, shall appear as the last item of the front matter on a new right-hand page.

D.

TEXT l.

Title of Report The title of the report shall be repeated on the first page of text, 11 shall be centered at the top of the page, like a chapter or section title.

2.

Introduction (Optional)

Not every report needs an introduction. Where background in-formation essential to an understanding of the text is neces-sary, include an introduction. Otherwise, background informa-tion shall be included in the preface.

The introduction follows the preface (or acknowledgments), be-ginning on a new page. As the first text page, it shall be unnumbered but considered as page number i. If there is no introduction, begin the report with the first major text head-ing, after repeating the report title.

3.

Paper Plain, white, cond paper shall be used. Company letterhead is no,t acceptable.

t 4.

,Typino instructions Faragraphs shall be single spaced and typed flush left in block style (no paragraph indentations). Double space between para-graphs, triple space before headings, and double space after headings.

5.

Imace Area The image areas for typing shall be 6 x 8-l/2 in.

6.

Pace Numberino Pages shall be numbered consecutively throughout, with small Roman numerals for all front matter and Arabic numerals for all text and back matter. The report will be printed on both sides of the paper; therefore, all left-hand pages must carry even numbers, and all right hand pages, odd numbers.

Approved: January 25, 1978 30

,=

~,

i PUBLICATION OF UNCLASSIFIED REGULATORY AND.

TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 New chapters may.begin on a new page; either a left-or rignt-hand page.

Page ' numbers shall be centered one-half inch above the bottom of-the typing guide.

Guidelines for numbering 'pages containing figures or tables are found in a later section on Graphic and Tabular Matter.

7.

Photocopied Text Pages reproduced by photocopying machines are not acceptable as camera-ready material.

Photographically repr'oTuced pages (using photographic print paper) are acceptable.

8.

Footnotes Footnotes in the body of the report shall be used only for ex-planatory material not extensive enough to comprise an appendix.

Notes citing references to literature used in the preparation of the report shall appear. as part of the references (see item G, below).

Footnotes. shall appear at the bottom of the text page between the last line of text and the page number; that is, the last line of the footnote shall be on the bottom line of the 6 x 8-l/2 in.

typing guide.

A double space shall appear between the last line of text and the first line of the footnote. A 20-space one shall appear above the first footnote.

Single, double or triple asterisks or daggers shall be used to mark footnotes in the text and at the bottom of the page.

E.

B ACK MATTER I.

References a.

Format.

Citations of source clocuments in technical and research reports shall be numbered consecutively in the order in which they appear in the text and collected in a reference section.

For short reports (20 pages or less),

the reference section shall appear at the end of the report j

directly following the text. For long reports, reference sections shall appear at the end of each chapter or maior 1

section. In either case, reference sections are labeled as such and may begin at the end of the text or on a new page.

For reports with more than one reference section, if a citation appears in separate chapters or sections, it j

shall be repeated in each appropriate reference section.

j Multiple line citations shall be typed single space, with double spacing between citations.

31 Approved: January 25, 1978

PUBLICAT10N OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BV NRC CONTRACTORS The second and subsequent lines of an entry shall be typed flush with the same margin as the first line so that the reference number stands out.

(See item G for guidelines on how to cite specific references. )

b.

Availability Requirement. Tne provisions of 10 CFR 2.740 and 10 CFR 9.4 require that written, reproducible material used as source material in NRC regulatory and technical documents produced by its contractors and subcontractors be readily available for inspection and copying or be documents ordinarily available from a public library.

Acet,rdingly, reference citations must be presented in a format recognizable by a librarian.

Citations to infor-mation not available in the open literature shall state where the document can be purchased or copied.

Give purchase price, if known (see item G for guidelines).

c.

proprietary and Classified Documents. When nonproprie-tary or unclassified (or oeclassifiaDie) information con-tained in proprietary or classified documents must be used as source material, it should be (l) inserted'in the body of the text or as a footnote to the text, (2) copied and placed in an appendix, or (3) abstracted and made available for inspection and copying for a fee at the NRC Public Document Room. if alternative (3) is chosen, the abstract should be referenced in the reference list in the appropriate sequence, in some instances, reference to classified or proprietary documents cannot be avoided because those documents are the only source for the material. The documents are re-quired, however, to be withheld from the public. Never-theless the public must be made aware that such documents served as the bases for the material presented.

Accordingly, proprietary documents and classified documents (omit the title if the title is classified) may be referenced when necessary.

This type of reference should include a statement such as the following: This document is not publicly available because it contains proprietary (or national security) information.

2.

Bibliography Citations of other documents pertinent to the subject but not referenced in the text shall be listed in a bibliography.

Bibliographic entries shall be arranged alphabetically by per-sonal or corporate author name.

The bibliography, labeled as sur.h, shall follow the last ref-erence section in the text and begin on a new page, either right or left Approved: January 25, 1978 32 a

4 6

J PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 32'02 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS 3.

Appendix The: aopendix shall comprise information supplemental to the f

recort. The types of material to be placed in the appendix are (a) explanations too long for footnotes but helpful to the reader seeking further assistance or clarification, (b) passages from documents or laws that support or illustrate the text, or (c) long charts or tables, i

The first appendix shall appear on the first right-hand page i

directly after the reference section or bibliography.

Each additional appendix shall begin on a new page, either right or left.

Each appendix shall be identified by a title and heading centered above the text.

4 Glossary A glossary shall be included i,f the report contains many terms Terms snail be that will be unfamiliar to the intended audience.

arranged alphabetically, with each new entry beginning on a new line. Definitions shall follow the term on the same line, dictionary style.

The glossary, labeled as such, shall appear directly after the appendix, beginning on a new page, either right or left.

5.

Distribution List The distribution list shall cite the NRC distribution category

~

The and any supplemental distribution the report is to receive.

supplemental recipients shall be listed by title and complete address, including Z!p Code, it shall begin on a right-nana page.

F.

GRAPHIC AND TABULAR MATTER I.

Tables Each table shall have a number, in Arabic numerals, and a title. The table number and title shall be centered above the table.

Tables shall be numbered sequentially throughout the text or double-numbered by chapter, such as 1.4, 5.6, etc.

Tables shall be referred to in the text by number rather than by direction (" Table 4" rather than "the above table").

When a table must be continued from one page to the next, the table number (" Table 3, Continued") and the column headings shall be repeated at the head of the new page.

Pages containing full-page tables shall be numbered in the same manner as regular text pages.

33 Approved: January 25, 1978

PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNfCAL DOCLNENTS PREPARED BY NRC CONTRACTORS 2.

Figures Each figure shall have a number, in Arabic numerals, and a title. The figure number and title shall be placed below the figure. Figures shall be numbered sequentially thrcughout the j

text or doubled-numbered by chapter, such as I 4, 5.6, etc.

l Figures shall be referred to in the text by number rather than by direction (" Figure 3" rather than "the figure below").

Pages containing full-page figures shall be numbered in the same manner as regular text pages.

3.

Photographs Only continuous-tone glossy black and white prints are accept-able. The following types are ng acceptable: color prints and prescreened or half-tone prints or plates.

All photographs shall be mounted and the title, number, and page number placed on the page. Photographs shall be considered as figures with respect to numbers and title.

4.

Special Graphics Special graphics include oversized engineering drawings and foldouts.

Instructions for handling special graphics shall be provided for each document, where appropriate.

G.

EXAMPLES OF REFERENCE CITATIONS 1.

Correspondence Letter from D. B. Blackman, Georgetown Municipal Utility, to R. A. Gilbert, NRC,

Subject:

Answers to NRC Questions on Docket 50-825, dated January 31, 1975. Available in NRC PDR for inspection and copying for a fee.

2.

Internal Papers internal papers, such as technical notes and minutes of meet-ings should not be referenced unless they are already available in the NRC Public Document Room (PDR) or will be made available in the PDR prior to issuance of the report.

For a technical note, list author (if any), title, and date, and state that it is "available in the NRC PDR for inspection and copying for a fee."

The same format is applicable to minutes of meetings.

Calculations and working papers should not be referenced. If the information in them is pertinent to tee text of the report, it should be made part of the report as text, footnote, or appendix.

Approved: January 25, 1978 34 4

8 4

1 PUBLICATION OF UNCLA55!FIED REGULATORY AND.

TECHNICAL 00CUMENTS PREPARED.BY NRC CONTRACTORS NRC Appendix 3202 3.

Personal Communications, Private Communications, Notes Regarding Visits References of the following type should ng be used:

J. G. Facer, ERDA Grand Junction Office, personal com-munication to M.

B.

Sears, Oak Ridge National Laboratory, December 16, 1975.

Staff visit to the Exxon mine waste dump, Converse County Wyoming, April 12, 1972.

In both instances place these remarks directly in the text, since they do not represent any retrievable information.

4.

Procedures Manuals Procedures manuals should not be referred to unless they are normally available.

The ciIaiion should give sufficient in-formation to indicate where they can be obtained, if specific procedures are pertinent, they can be reiterated in the text without reference to documents.

5.

Government Agency Printed Documents and Drafts that Have Been Mace Available to the Public for Comment For draft reports:

U.S.

Nuclear Regulatory Commission, " Draft Generic Environmental Statement on the Use of Recycle Plutonium in Mixed Oxide Fuel in Light Water Cooled R eactors, "

USNRC Report N U R EG-0002, Vols.

1-5, April 1976.

Available in NRC POR for inspection and copying for a

fee, if specific pages are being referenced, insert volume and page numbers following the title; e.g., Vol, 4, pp.10 20, 500-730.

For final reports:

U.S.

Nuclear Regulatory Commission, " Final Generic Environmental Statement on the Use of Recycle Plutonium in Mixed Oxide Fuel in Light Water Cooled R eactors,"

USNRC Report NU R EG-0002, Vols.

I-5, August 1976.

Available for purchase from National Technical Information Service, Springfield, Virginia 22161.

R.

O.

Meyer, "The Analysis of Fuel Densification,"

USNRC Report NUREG-0085,

p. 48, July 1976. Available for purchase from National Technical Information Service, Springfield, Virginia 22161.

35 Approved: January 25, 1978

PUBLICATION Of UNCLA551FICD REGULATORY AND NRC Ascendix-3202 TECHNICAL DOCUMENTS PREPARED BV NRC CONTRACTORS 6.

NRC Contrbctor Reports and Reports orepared on interagents Agreements M. A.M. Shinatshin, Universtly of Arizona, " Dynamic Simu-lation of a Sodium-Cooled Fast Reactor Power Plant," p.

196, USNRC Report N U R E G-0110, September 1976.

Available for purchase from National Technical information Service, Springfield, Virginia 22161.

G.

L.

Bordner and others, " Pretest Analysis SLSF In-Reactor Experiment 62," USNRC Accession No. 771090001, prepareo for NRC by Argonne National Laboratory,

October 1976.

Available in NRC PDR for inspection anc copying for a fee.

7.

NRC Applicant Document Exxon Nuclear Company, " Preliminary Safety Analysis Re-port," vol. 3, p. 5.4-3, Nuclear Fuel Recovery and Re-cycling Center, Docket 50 564, April 1976.

Available in NRC PDR for inspection and copying for a fee.

8.

Project Documents The format given in item G.7 for applicant documents may be used for project documents, with the docket number replaced by the project number.

9.

Licensee Documents j

The format given in item G.7 for applicant documents may be used for licensee documents, with the docket number or the license number.

10.

Books S.

Glassione, Sourcebook on Atomic Energy.

p.

15 5, D. Van Nohtrand Co., Inc. New York,1974.

11.

Conference Papers Unpublished conference papers should not be referenct.d. The i

information being used should be stated'Tn the text and credit to the originator given in text or footnote.

If the originator can supply a paper, it may be placed in an appendix and mentioned in the text.

Published conference papers should be referenced as follows:

f J. L. Russell, " Potential Environmental Advantages from l

l Partitioning of Radioactive waste," p. 83 in Proceedings of Approved: Ja nuary 25, 1978 36 I

\\

4 L

i 9

f c

Pt2LICAT10!i Or UNCLASSIFl!D REGULATOR AND TECHN!:At 'MUf'Ef;is PDEPARED BY NRC C@7RAC70R5 f4RC AscenF 3202 l

the C3'i'et en:e on the Manacement of 960 c30'.

• ...M '. t waste Partitzomnc as an Alternal w e, l l S '. R C Ct.'wente kepert CONF-QOt, June 1976. AvailaDie ter purCFbse f *om National Technical Information Service.

Serirgt eie virginia 22161 12 Journal Articles. Macazine Articles, Newsoaper Articles

5. D Shearer and C. w. Still, "E salvation of Atmcsoneric Radon in iho Vicinit, of Uranium Mill T ailings. " Health Phi sacs i 'i, 77-88 (1976).

Available in public technical libraries.

"Wh) the Nuclear Power Race Worries the U.S.," p. 68, Business week, August 23, 1976.

Available in puDlic libraries.

" Argentina Says it Has Atom Fuel To Triple its Electri:al Capacity," p. 53, The New York Times, August 31, 1976.

Available in public licraries.

13.

University Theses J.

J.

JacoDs. " Programming Language i for the Varian PLCU,"

Master's

Thesis, p.

70, Ncrth Carolina University, 1971.

14 Codes and Standards

" American National Standard Requirements for Collection, Storage and Maintenance of Quality Assurance Recorcs for Nuclear Power Plants," ANSI N45.2.91974 Availacie from American National Stancards institute. 1430 B roacn as,

New York, N.Y.

10018, Copyrighted.

"Draf t American National Standard Requirements for Collection, Storage, and Maintenance of Quality Assurance Records for Nuclear Power Plants," ANSI N45.2.9, Rev. I, Draft I,

February 1976.

Available from The American Society of Mechanical Engineers, 345 East 47th Street, New York, N.Y. 10017.

1 1

l 37 Approved: January 25, 1978 l

l

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PUE! CATION OF tmCLA551FIED Exhibit 11 NRC Appendia 320E ERA.ATORY NIO TEOut! CAL U. S. Nuoteer Reedsery Commesmen IWCWWITS PREPAED BY NRC PROCEDURES POR PUBLICATION OF CtpffRACTORS FORT 4AL CONTRACTOR DOCUMENTS

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• See NRChi 3NI er NRC Fenn 173 "Terres and Candissons," lawn 12. for dsRemsen.

Canistsee preesswes (NRCR4 3202) ed tenna siney be obsened by emeling 301482 790s.

• • Deststen of Teshmeal infenner%n and Desweent Centrol, Londow 212, U. L Nuoleur Repsisery Cementsman, Vesshussten. D. C. 20ME.

"*lf DOE seneruster, see NRC Foren 173 "Tenns and Condations," team 12. for presung ewther.

tendent if sist DOE seneresser er seher sevenument agensy, pewistne nouse he dans try NRC.

Censest 1. NRC Tashnscal Monster %r eenerert er Semiderd Order ter weret.

2. 06v6sion of Toshmael intennotion and Desusumet Canoel, Totaphone 301402 7908.

Approved: Febrvary 10, 1978 1

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NRC Appendts 3202 Exhibit 12 PUBLICATION OF UNCLA5$1Fl[D REGULATORY AND T[CHNICAL DOCUMENTS PREPARED BY NRC CONTRACTOR 5 U. S. Nuedeer Reguletory Commeseson PRDCEDUREE FOR ISSUAN'E OF INTERIM COidTRACTOR REFORTS' i

Propero report in assortense w6th NRCM Assende 332 Port IV or comroctor a

wrtrten editorial atenderts l

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distributed by NRC7 Sand reproducente moeuers and no/

Nyas rempleted NRL, Form m to TIDC" Send distribuden for printag and destriluutson Send 2 copses of I"I-report to TIDC with NRC Form M and NRC Form 426 and a

' 'I 8h' of h to TM dasertaution list for disertertion 4

l Dwtr6tarte toontractor) l

' Send NRCM 3202 or NRC Form 173 " Terms and Condetsons/* 4 tem 12. for Gefmetion.

Comptote procedures (NRCM 3202) and forms nesy toe obtemed by ceiling 301492 7546.

"Dkmion of Techneef information and Doeumont Consrol, Landour 212. U. 5. Nuclear Repletory Comminoson. Washington, D. C. 20EEE.

Contact:

1. NRC Tedinical Monitor for sentract or Stenderd Order for Werk.

2. Dmeson of Todmenal reformation and Document Control, Telephone 301492 7506.

Approved: February 10, 1978 4

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STANDARD FORM 1411 WITH INSTRUCTIONS 1.

SF 1411 provides a vehicle for the offeror to submit to the Government a pricing proposal of estimated and/or incurred costs by contract line item with supporting information, adequately cross-referenced, suitable for detailed analysis.

A cost-element breakdown, using the applicable fonnat prescribed in 7A, B, or C below, shall be attached for each proposed line item and must reflect any specific requirements established by the Contracting Officer.

Supporting breakdowns must be furnished for each cost element, consistent with offeror's cost accounting system.

When more than one contract line item is proposed, sununary total amounts covering all line items must be furnished for each cost element.

If agreement has been reached with Government representatives on use of forward pricing rates / factors, identify the agreement, include a copy, anu describe its nature. Depending on offeror's system, breakdowns shall be provided for the following basic elements of cost, as applicable:

Materials - Provide a consolidated priced suninary of individual material quantities included in the various tasks, orders, or contract line items being proposed and the basis for pricing (vendor quotes, invoice prices, etc.).

Subcontracted items - Include parts, components, assemblies, and services that are to be produced or performed by others in accordance with offeror's design, specifications, or direction and that are applicable only to the prime contract.

For eacn subcontract over $500,000, the support should provide 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 tha results of review and evaluation of subcontract proposals when required t'y FAR 15.806.

Consists of items that offeror normally Standard Consnercial items fabricates, in whole or in part, and that are generally stocked in inventory. Provide an appropriate explanation of the basis for pricing.

If price is based on cost, provide e 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).

latero anizational Transfer (at other than cost) - Explain pricing method used.

See FAR 31.205-26).

Raw Material - Consists of material in a form or state that requires further processing. Provide priced quantities of items required for the proposal.

Purchased Parts - Includes material items not covered above.

Provide priced l

quantities of items required for the proposal.

Interorganizational Transfer (at cost) - Include separate breakdown of cost by element.

J

Provide a time-phased (e.g., monthly, quarterly, etc.)

Direc% Labor breakdown of labor hours, rates, and cost by appropriate categoryo and furnish bases for estimates.

i Indirect Costs - Indicate how offeror has computed and applied offeror's l

indirect costs, including cost breakdowns, and showing trends and budgetary

{

data, to provide a basis for evaluating the reasonableness of proposed I

rates.

Indicate the rates used and provide an appropriate explanation.

Other Costs - List all other costs not otherwise included in the categories described above (e.g.,

special tooling, travel, computer and consultant services, preservation, packaging and spoilage and rework, and Federal excise tax on finished articles) packing,and provide bases for pricing.

Royalties - If more than $250, provide the following information on separate page for each separate royalty or license fee:

name and address of licensor; date of license agreement; patent numbers, patent application serial numbers, or other hsis on which the royalty is payable; brief description (including any part or model numbers of each contract item or component on which the royalty ir payable); percentage or dollar rate of royalty per unit; unit price of contract item; number of units; and total dollar amount of royaltics.

In addition, if specifically requested by the I

Contracting Officer, provide a copy of the current license agreement and identification of applicable claims of specific patents.

(See FAR 27.204 and 31.205-37).

When the offeror elects to claim Facilities Capital Cost of Money facilities capital cost of money as an allowable cost, the offeror must submit Form CASB-CMF and show the calculation, of the proposed amount (see FAR31.205-10).

2.

As part of the specific infonnation required, the offeror must submit with offeror's proposal, and clearly identify as such, cost or pricing data (that is, data that are verifiable and tactual and otherwise as defined at FAR 15.801).

In addition, submit with offeror's proposal any infonnation reasonably required to explain offeror's estimating process, including; a.

The judgmental factors applied and the mathematical or other methods used in the estinate, 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 eccurate 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 infonnation comes into the offeror's possession, it should be promptly submitted to the Contracting Officer.

The requirement for submission of cost or pricing data continues to the time of final agreement on price.

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B.

Change Orders (modifications).

Cost Of Estimated Deleted Cost of All Work Cost Work Al ready 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 (i) current estimates of what the cost would have been to complete deleted work not'yet performed, and (ii) the cost of deleted work already perfonned.

Under Column (3) - Include the incurred cost of deleted work already perfonned, actually computed if

possible, or estimated in the Contractor's accounting records.

Attach a detailed inventory of work, materials,

parts, components, and hardware already purchased, manufactured, or perfonned and deleted by the change, indicating the cost and proposed disposition of each line item.

Also, if offeror desires to retain these items or any portion of them, in;icate the amount o'/ feted for them.

Enter the net cost to be deleted which is the Under Coluse (4) 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 cost of work added, less the net cost to tee. deleted.

When this result is negative, place the amount in parentheses. Column (4) less Column (5) =

Column (6).

Under Column (7) - Identify the atta::hment in which the information supporting the specific cost element may be found.

Attach separate pages as necessary.

O

i 4.

In submitting offeror's

proposal, offeror must include an

index, appropriately referenced, of all the cost or pricing data and information I

accompanying or identified in the proposal.

In addition, any future additions and/or revisions, up to the date of agreement on price, must be annotated on a supplemental index.

5.

By submitting offeror's proposal, the offeror, if selected for negotiation, grants, the Contracting Officer or an authorized representative the right to examine those books, records, documents, and other supporting data that will permit adequate evaluation of the proposed price.

This right may be l

exercised at any time before award.

i 6.

As soon as practicable after final agreement on price, but before the award resulting from the proposal, the efferor shall, under the conditions stated in FAR 15.804-4, submit a Certificate of Current Cost or Pricing Data.

7.

Headings for Submission of Line-Item Sunmaries:

A.

New Contracts (including Letter contracts).

Proposed Contract Proposed Contract Cost Elements Estimate-Total Cost Estimate-Unit Cost Reference (1)

(2)

(3)

(4)

Under Column (1) - Enter appropriate cost elements.

Under Column (2) - Enter those ne aunry end reasonable costs that in offeror's judgment will properly be incurred in efficient contract perf omance.

When any of the costs in this column have already been incurred (e.g., under a letter contract or unpriced order), describe them on an attached supporting schedule. When 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.

UnderColumn(3)

Optional, unless required by the Contracting Officer.

Under Column (4) - Identify the attachment in which the information supporting the specific cost element may be found.

Attach separate pages as necessary.

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C.

Price Revision / Redetermination Number of Number of Redetermine-Units Units To Be Contract tion Proposal Cutoff Date Completed Completed Amount Amount Difference (1)

(2)

(3)

(4)

(5)

(6)

Incurred Incurred Incurred Cost-Cost-Cost-Total Estimated Cost Preproduc-Completed Work In Incurred Cost To Stimated Elements tion Units Process Cost Complete Total Cost Reference (7)

(8)

(9)

(10)

(11)

(12)

(13)

(14)

Under Column (1) - Enter the cutoff dats required by the contract, if applicable.

Under Column (2) - Enter the number of units completed during the period for which experienced costs of production are being submitted.

Under Column (3) - Enter the number of units remaining to be completed under the contract.

Under Column (4) - Enter the cumulative contract amount.

Under Column (5) - Enter the offeror's redetermination proposal amount.

Under Column (6) - Enter the difference between the contract amount and the redetermination proposal amount.

When this result is negative, place the i

amount in parenthesis. Column (4) less Column (5) = column (6).

]

1 Under Column (7) - Enter appropriate cost elements. When residual inventory

exists, the final costs established under fixed-price-incentive and fixed-price-redeterwinable arrangements should be net of the fair market value of such inventory.

In support of subcontract costs, submit a listing of all subcontracts subject to repricing action, annotated as to their status.

Under Column (8) - Enter all costs incurred under the contract before starting production and other nonrecurring costs (usually referred to as startup costs) from offferor's books and records as of the cutoff date.

These include such costs as reproduction engineering, special plant rearrangement, training program, and any identifiable nonrecurring costs such as initial rework, spoilage, pilo,t runs, etc.

In the event the amounts are not segregated in or otherwise available from offeror's records, enter i

1 in this column offeror's best estimates.

Explain the basis for each estimate and how the costs are charged on offeror's accounting records

(e.g., included in production costs as direct engineering labor, charged to manufacturing overhead, etc.). Also how the costs would be allocated to the units at their various states of contract completion.

Under Columns (9) and (10) - Enter in Column (9) the production costs from offeror's books and records (exclusive of 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 determined from offeror's records or

' inventories at the_ cutoff date.

When the amounts for work in process are not available in Contractor's records but reliable estimates for them can be made, enter the estimated amounts in Column (10)(and enter in Column (9) the '

differences between the total incurred costs exclusive of reproduction 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.

Furnsih experienced unit or lot costs (or labor hours) f rom inception of contract to the cutoff date, improvement curves, and any other available production cost history pertaining to the item (s) to which offeror's proposal relates.

Under Column (11) - Enter total incurred costs (Total of Columns (8), (9),

and (10)).

Under Column (12) - Enter those necessary and reasonable costs that in Contractor's judgment. will properly be incurred in completing the remaining work to be performed under the contract with respect to the item (s) to which Contractor's proposal relates.

Under Column (13) - Enter total estimated cost (Total of Columns (11) and (12)).

i I

Identify the attachment in which the information Under Column (14) supporting the specific cost element may be found. Attach separate pages as necessary.

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