ML20237L489

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

ML20237L489
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
ML20237L471	List: ML20237L469 ML20237L489
References
CON-FIN-B-8787, CON-NRC-26-87-416 NUDOCS 8709080422
Download: ML20237L489 (104)

Text

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l AWARD / CONTRACT 3'jenC tS A C[5 c Ro l "2F NcnN r de t teroc. inst. u,nt., NO. 3. Er + EcT ivE oAv E 4. REQUISITION /eURCHASE REoVESt<PROsEc r No.

NRC-26-87-416 August 20, 1987

s. ISSuEo av ggg l S. A ou iN iS1 E REo e v <</ o ch,, ch. st,,n 4) CODE!

U.S. Nuclear Regulatory Commission Division of Contracts .

Washington, DC 20555 ,

7. N AME AND ADDR ESS OF CONT R ACTOR (No.. street. city, coun ty. State and Zlf Code) 8. DEL 4 V E R Y Resource Technical Services, Inc. pog ogia,g g o7 g g g ,,,, ,,,,,,

Attn: Bob Profeta 9. DtSCOUNT FOR PROMPT PAYMENT 4690 West Bancroft Toledo, Ohio 43616 Net

10. SUBMIT INVOICES ITEM (4 copies unless other-wise specirled) TO THE 8 loch I2 CODE '

FACILITY CODE ADDRESS SHOV/N IN:

n. SHIP tO/uARn re" I *' " " "#" "#

CODE CODE U.S. Nuclear Regulatory Commission Div. of Accounting and Finance, Attn: GOV /COM Accounts b" 0" 4 Section, Washington, DC 20555

13. T ORITY FOR USING OTHER THAN FULL AND OPEN COMPETI- 14. ACCOUNTING AND APPROPRt ATION DAT A B&R No: 82-19-03 FIN No: B8787 0 1o U.S.C. 2304 <<n i o .i U.S C. 253<cu /o i ,

APPN No: 31X0200.827 AMOUNT: $30,000.00 15A. ITEM NO. 158. SUPPLIES / SERVICES 15C. OU AN TIT Y 150. UNIT 15E. UNIT PRICE 15F. AMOUNT The U.S. Nuclear Regulatory Commission hereby accepts Resource Technical Services, Inc.

proposal dated March 19, 1987 as revised May 20,1987 and June 11, 1987 in respanse to RFP RS-01E-87-120 which are incorporated into this contract by reference, to perform the effort herein. ' Refer to attached page for incorporation of administrative changes.

e 8709000422 B70010 This is a Cost Plus Fixed Fee Contract. PDR CONTR NRC-26-87-416 PDR 1SG. TOTAL AMOUNT OF CONTRACT >l$ 207,211.07

16. TABLE OF CONTENTS V) l SEC. l DESCRIPTION lPAGE (S) VI lSEC. l D_ESCRIPTION lPAGE(S)

PART I- THE SCHEDULE T mH 1 (1 - CONT R ACT CLAUSES X A SOLICITATION / CONTRACT FORM l X l 'l ] CONTRACT CLAUSES l 2l X B SUPPLIES OR SERVICES ANDPRICES/ COSTS 2 PART lit - LIST OF DOCUMENTS. EXHIBf TS AND OTHER ATTACH.

X C DESCRf PTION/ SPECS] WOR K STATEMENT 3 XlJ l LIST OF ATTACHMENTS l 24 X D PACKAGING AND MARKING 6 PART IV - REPRESENTATIONS ANO INST RUCTIONS X E INSPECTION AND ACCEPTANCE 6 K FI EPR ESE NTATIONS. CE RT IF ICATIONS AND X F DELIVERIES OR PERFORMANCE 6 OTHER STATEMENT 90F OFFERORS X G CONTRACT ADMINISTRATION DATA 8 L INSTRS . CONOS.. ANO NOTICES TO OF F E RORS X H SPECIAL CONTRACT REQUIREMENTS I7 M EVALUATION F ACTORS FOR AWARD CONTRACTING 0FFICER WilL COMPL ETE ITEM 11 OR 18 AS APPLICABL E

17. 18. AWARD (Contractor is not reovirer to sign this document.) You,

[ CONT RACTOR*S NEGOTIATED AGREEMENT (Con tractor is re.

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i Additionally, the following sections are completed and revised as follows: j 1

1. Paragraph B.2 Consideration and Obligation.

a. The total estimated amount of this contract (ceiling) for the products / services ordered, delivered, and accepted under this contract is $207,211.02.

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 monthly 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 Contractor shall provide a monthly Firancial Status Report to the:

"c. Director, Division of Operational Assessnent, AE0D and- d. Director, Technical Training Center, Division of Operational Assessment, AE0D."

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-26-87-416 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 Conimission Contract Number: NRC-26-87-416 Office of Administration and Resources Management Division of Contracts Contract Administration Branch Mail Stop: AR-2223 Washington, DC 20555" L-_-_-___-____-.

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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

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 8/20/87 - 8/20/90-Fringe Benefits 20.5% Direct Labor 8/20/87 - 8/20/90 G&A 8.48% Total Direct Costs- 8/20/87 - 8/20/90

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: Stephen-D. Roessler

' Address: U.S. Nuclear Regulatory 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 1 successful performance of the work hereunder. ]

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

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t DIE-87-120 PAGE 2 Section B - Supplies or Services and Prices / Costs

- E.1 Brief-Description of Work

a. On a task order basis, the contractor shall 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 .

Boiling Water Reactor (BWR) training. ,

b. Orders will be issued for work required by the NRC in accordance with 52.216-18 -' Ordering ( APR' 1984). The NRC reserves the .right to withdraw a proposed order at any. time prior to its formal awa rd. Only Contracting Officers of the NRC or other individuals-specifically authorized under this contract may authorize the initiation of work under this contract. The provisions of this contract'shall govern all task orders issued hereunder.

8.2 Consideration and Obligation. i

a. The total estimated amount of this contract (ceiling) for the products / services ordered, delivered, and accepted under this i contract is * . The Contracting Officer may l unilaterally increase this amount as necessary for completion of orders placed with the Contractor during the contract period

- provided such orders are within any maximum. ordering l limitation prescribed under this contract,

b. The amount presently obligated with respect to this contract. is

• . The Contracting Officer or other individuals specifically authorized under this contract may issue orders for work up to amount presently obligated. This obligation amount may be unilaterally increased from time to time by the Contracting Officer by written modification to this contract. The obligation amcunt shall, at no time, exceed the contract ceiling as specified in paragraph a above. When and if the amount (s) paid and payable-to the Contractor hereunder shall eoual the obligation amount, the Contractor shall not be obligated to continue ' performance of the work unless and until the Contracting Officer shall increase the amount obligated with respect to this contract. Any work undertaken by the Contractor in excess of the obliaation amount specified above is done so at the Contractor's sole risk.

c. A total estimated cost and fee, if any, will be negotiated for each task order and will be incorporated as a ceiling in the resultant task order. The Contractor shall comply with the provisions of 52.232 Limitation of Cost (APR 1984) for fully

. funded task orders and 52.232 Limitation of Funds (APR 198d) for incrementally funded task orders, issued hereunder. .

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• To be incorporated into any resultant contract.

9 i__.____._______m__m_.__.__ ____._..__.___m _ _ _ _ . . . .

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o 01E-87o120 PAGE 3' l

Section C - Description / Specifications / Work Statement C.1 Statement of Work C.1.1 Background The Nuclear Regulatory Comission licenses and inspects power reactor' facilities to insure compliance with applicable codes and standards during all phases of construction, testing and operation in order to identify conditions which may adversely affect the health and safety of the public. In support of this mission, the NRC's Office of Inspection and Enforcement provides a program of training for NRC Inspectors and other NRC personnel. '

TheNRCTechnicalTrainingCenter(TTC)hasbeenabletoprovide quality and timely training in the areas of reactor technology by using the expertise of the TTC staff. The TTC staff has historically had little or no experience in the areas of specialized technical training, outside the bounds of reactor technology. Consequently, 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.I.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 identifiec needs and/or further development of programs to meet future needs for specialized technical training of NRC inspectors in the area of Boiling Water Reactor (BWR) 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.

OIE-87-120 PAGE 4

5. Knowledge and experience in the systematic approaches to customized training development (ISD) including: front-end analysis, course design, course development, delivery and evaluation.

C.I.4 Work to be Perfomed

1. Eco e. This contract will involve the application of any or all o t e areas listed in C.1.3 above, to assist the NRC in the implementation of programs to supply identifieo needs and ir development of programs to supply future needs of the NRC in the area of specialized technical training for NRC 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 will 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 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. Trainino Examples. (1)Trainingontheengineering, surveillance, and maintenance of mechanical, electrical and instrumentation and control systems. (2) Specialized training in the fom of seminars on inspection and licensing issues, industry changes and state of the art equipment.

The specialized technical training presenteo under the Task Grders 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 Information. The information below is typical of a training course to be ordered by a Task Order. Specific requirements 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 contractor shall provide a grade reexaminations for students who do not achieve a sufficient understanding of the course material.

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c. Approximately seven (7) hours of lecture time is available per day.

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 would 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 necessary, lay out student materials and prepare equipment and instructor aids without delaying the course l commenceneent time of 8:00 a.m.

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

l 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 ir.aterials provided to the students. A specific task order will be issued for any rcquired 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 resci.edule the sessior, without obligation to the Government.

1. 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, suitat.le 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 one of the following sites: the NRC Technical Training Center, NRC Headquarters, NRC Regional Offices or Contractor facilities.

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" - - A ~ --- - _ _ - - - - - _ _ _ - _ _ - _ _ _ - _ _ - _ _ _ _ _ _ _ _ , _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

DIE-87-120 PAGE 6 Section D - Packaging and Marking ,

D.1 Packaging and Marking'When Delivering a Product The Contracter shall package material for shipment to the NRC in such a manner that will insure acceptance by comon carrier and safe delivery at destination. Containers and closures shall comply with the Interstate Comerce Comission Regulations, Unifonn Freight Classification Rules, or regulations of other carriers as applicable to the mode of transportation. On the front of the package, the Contractor shall clearly identify the contract number under which the product is being provided.

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 end Other Deliverable End Items All technical reports required by Section C and all Technicai Frogress Reports required by Section F are to be prepared in accordance with the attached NRC Manual Chapter 3202. NRC Manual Chapter 3M 9 Lot 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, Divisien of Quality Assurance, Vendor, and Technical Training Center Programs, OIE.

The report is due within 15 calencar days after the end of the report petiod 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. A listing of the efforts completed during the period; milestones reached or, if missed, an explanation provided;

b. Any problems or delays encountered or anticipated and reconnencations for resolution; (if the recomended 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).

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OIE-87-120 PAGE 7

c. A summary of progress to date, and

d. Plans for the next reporting period.

F.3 Financial Status Report l The Contractor shall provide a monthly Financial Status Report to

the: a. Project Officer; b. Contracting Officer, c. Director, Division of Quality Assurence, Vendor, and Technical Training Center Programs, 0IE; and d. Director, Technical Training Center, Divisien of Ouality 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 and/or principal investigator, the  ;

contract period of performance, and the period covered by the report.

Each report shall include the following for each discrete task:

a. Provide the total estimated' cost (value) of the project 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.

2 Total Funds Obligated To Date.

3 Total Costs Incurred This Reporting Period.

4 Total Costs Incurred To date.

5 Balance of Obligations Remaining.

6) Balance of Funds Required To Complete Contract.

b. Detail of all direct and indirect costs incurred during the reporting period for each task.

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

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b. Contracting Officer (1 copy)

U.S. Nuclear Regulatory Commission Contract Number:

• Office of Administration l Division of Contracts  !

Contract Administration Branch Mail Stop: AR-2223 i Washington, D.C. 20555 '

• To be incorporated into any resultant contract.

F.5 Duration of Contract Period.

The ordering period for this contract shall commence on the effective date reflected in block 3 of the SF 26 and will expire

• months thereafter. Ary orders issued during this perico shall be completed within the time specified in the order, unless otherwise specified herein. (See 52.216 Ordering (APR 1984)).

• To be incorporated into any resultant contract.

F.6 FAR Citation,s Section G - Contract Administration Data G.1 Indirect Rates

a. Pending the establishment of final indirect rates which shall bc

' 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 Fringe Benefits G&A Other:

b. The Contracting Officer may adjust the above rates as a?propriete during the term of the contract upon acceptance of any revisions prcposed 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 Fitnds (APR 1984), as applicable, if such change (s) affect (s) performance of work within the established cost or funding limitations.

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G.2 Project Officer Authority.

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

l Name:

• Address:

• Telephone Number: *

b. Performance of the work under this contract shall be subject to the technical direction of the NRC Project Officer. The term

" Technical Direction" is defined to include the following:

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

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

3). Review and, where required by the contract, approval of technical reports, drawings, specifications and technical information to be delivered by the Contractor to the Government under the contract.

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

1). Constitutes an assignment of aoditional 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. 1 4). Changes any of the expressed terns, 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.

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d. All technical directions shall be issued in writing by the Project Officer or shall be confimed by such person in writing within ten (10) working cays after verbal issuance. A copy of seid written .

direction shall be submitted to the Contracting Officer.

e. The Contractor shall proceed promptly with the perfomance 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 t' direction issued by the Project Officer is within one of the cate p ries es defined in c above, the Contractor shall not proceed but ihall notify the Contracting Officer in writing within five (5) vorking days after 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-modific6 tion 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 unauthori::ed commitment or direction issued by the Project Officer may result in an unnecessary delay in the Contractor's perfomance, and may even result in the Contractor expending funds for unallowable costs under the contract.

h. A failure of the parties to agree upon the nature of the instruction or direction or upon the contract action to be taken with respect thereto shall be subject to 52.233 Disputes (APR1984).

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 perfomance, and recorrcending to the Contracting Officer changes in requirements.

2). Assisting the Contractor in the resolution of technical problems encountered during perfomance.

3). Reviewing all costs requested for reimbursement by Contractor and submitting to the Contracting Officer reconsnendations for approval, disapproval, or suspension for supplies and services required under this contract.

• To be incorporated into any resultant contract.

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, G.3 Travel Reimbursement.

a. Total expenditure for domestic travel shall not exceed $

without the prior approval of the Contracting Officer.

b. The Contractor will be reimburse.d for reasonable <caestic travel costs incurred directly and specifically in the w ?ormance of this centract. The ccst limitations for travel Mts are  :

determined by the Federal Travel ~ Regulations thas 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&TE), the cost of travel by privately owned automobile, and the items which require receipts.

The Contractor can obtain the Regulations from the Superintendent of Documents, Government Printing Office, Washington, DC 20a02.

c. When the Government changes the Federal Travel Regulations, it is the responsibility of the Contractor to notify the Contr6cting Officer in accordance with the Limitation of Cost clause of this contract if the Contractor will be unable to make all of the '

approved trips and remain within the cost and fee limitations of this contract.

d. The rates for any NRC approved foreign travel under this cceact 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 frem 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 centract will be made by wire transter through the Treasury Finarcial Communications System for each individual payment in excess of $25,000 and by Treasury check for each individual payment of $25,000 or less,

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

1). hame and address of organization.

i 2). Contact person and telephone number.

01E-87-120 PAGE 12 3). Name and address of financial institution.

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

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

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

7). . Signature and title of person supplying this information.

c. In the event the Contracter's financial institution does not have access to the Federal Reserve Communications System, the Contractor shall forward the following inforretion with regard to a correspondent or alternate financial institution. The information shall be in writing and submitted to the Contracting Officer within seven days after the effective date of the contract.

1). Name and address of organization.

2). Contact person and telephone number.

3). Name and address of financial institution.

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

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

6). Nane and address of the correspondent financial institution that has access to the Federal Reserve Communications System.  ;

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

8). Telegraphic abba~ 'ation of correspondent financial institution.

9). Signature and title of person supplying this information.

d. Any changes to the information furnished under this clause shall be furnished to the Contracting Officer in writing. It is the Contractor's responsibility to furnish these changes promptly to avoid payments to erroneous bank accounts.

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i G.5 Payment Due Date.

a. Payments under this contract will be due 30 calendar days after i the later of:

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

2) The date the final deliverable product / service is accepted by the Government. (

b. For the purpose of determining the due date for payment and for nc (

other purpose, acceptance will be deemed to occur 30 calendar days I after the date of delivery of the final deliverable product / service performed in accordance with the tenns of the contract.

c. If the final product / service is rejected for failure to conform to I the technical requirements of the contract, the provisions fr.

paragraph b of this clause will apply to the new delivery of the final product / service.

d. The date of payment by wire transfer thrcugh the Treasury Financial Communications System shall be considered the date payment is made for indivioual payments exceeding $25,000. The '

date a check is issued shall be censidered the date payment is made for individual payments of $25,000 or less.

G.6 Interest on therdue Payments,

d. The Prompt Payment Act, Public Law 97-177 (96 STAT. 85, 31 USC 1801)isapplicabletopaymentoftheexpirationinvoiceunder this contract and requires the payment of interest to Contractors on overduc payments of the expiration invoice or improperly taken discounts.

b. Determinations of interest due will be made in accordance with the provisions of the Prompt Payment Act and Office of Management and Budget Circular J.-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 be computed from the day after the due date through the payment date.

OIE-87-120 PAGE 14

c. For purposes of this clause, an expiration invoice is defined as a '

claim submitted for costs incurred for performance through the expiration date of a Cost Type contract. .

G.7 Remittance Addrest, 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 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. Estimateo Level of Effort,

b. Task Order Proposal ,

By the date specified in the Task Order Request for Proposal, the Contractor shall deliver to the Contracting Officer a written Task Order Proposal that provides the following technical and cost information, as appropriate:

1). Techrical Proposal Content, a). A discussion of the scope of work requirements to substantiate the Contractor's understanding of the requirements of the Task Order and the Contractor's proposed method of approach to meet the objective of the order.

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i OfE-87-120 1 pAGE 15 I

b). Resur'es for professional personnel proposed to be utilized in the performance of any resulting task order.

Include educational background, specific pertinent work experience and a list of any pertinent publications authored by the individual.

c). Identification of administrative support personnel and/cr facilities that are needed to assist the professional personnel in completing work on the task order.

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

2). Cost Proposal The Contractor's cost proposal for each Task Order shall be prepared using the Standard Fom 1411 Contract Pricing Proposal cover sheet. A copy of the form ano instructions ,

are attached to this contract. Each Task Order cost propcsal I shall be fully supported by cost and pricing data adeouate to (

establish the reau nableness of the propo' sed amounts. When l the Contractor's estimated cost for the proposed Task Order '

exceeds $100,000 and the period of performance exceeds 6 months, the Contractor is reouired to submit a Spending Plan as part of its cost prcposal. Guidance for ccmpleting the ,

Spendin- Plan will be provided with the Task Oroer Reouest I for Prc rosal.

Cost Proposal Assumption 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 Training Center, NRC Headquarters, or NRC Regional Offices depending upon the nature of the specific Task Order to be issued.

b) The following additional requirements should be assumed:

(1) Each course will be one week in length ar.d will be presented at an NRC controlled facility (unless the specific equipment located at the Contractor's facility precludes holding the course elsewhere. Fifty percent (50%) of the

l 0!E-87-170 l PAGE 16 i

Task Order 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 presented 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 customize.

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 offeror would expect to be approved and paid by the NRC. Offerors should assume 1 that the courses would be held at the NRC Technical Training Center, Chattanooga, Tennessee unless special facilities are required.

BWR Maintenance Overview: Five days; familiarize personnel with refueling floor activities and maintenance techniques on major BWR Plant equipment such as main steam isolation valves, recirculation pump seals and control rod drives.

c. Task Order Award

The Contractor shall perform all work described in definitized Task Orders issued by the Contracting Officer. Definitized Task Orders will include the following

1). Statement of Work,/ Meetings / Travel and Deliverables.

2). Reporting Requirements.

3). Peried of Performance.

4). Key Personnel.

5). Applicable Special Provisions.

6). Total Task Order amount.

G.9 Accelerated Task Order Procedures

a. The NRC may require the Contractor to consnence 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.

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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 ccst 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 detemine 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 shall proceed with completion of the Task Order, subject only to the monetary limitation established by the Contracting Officer and the terms and conditions of the basic contract.

Section H - Special Contract Requirements H.1 Key Personnel a.- The following individuals are considered to be essential to the' successful performance of. the work hereunder.

The Contractor agrees that such personnel shall not be removed from the contract work or replaced without compliance with paragraphs b and c herenf. s

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 indicateo in the

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proposal or initially anticipated, the Contractor shall imediately notify the Contracting Officer and shall, subject to the concurrence of the Contracting Officer, promptly replace such personnel with personnel of at least substantially equal ability and qualifications.

c. All requests for approval of substitutions hereunder must be in writing and provide a detailed explanation of the circumstances necessitating the proposed substitutions. They must contain a complete resume for the proposed substitute, and other infonnation requested by the Contracting Officer to approve or disapprove the proposed substitution. The Contracting Officer will evaluate such requests and promptly notify the Contractor of his/her approval or disapproval thereof in writing, j

OIE-87-120 PAGE 18

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d. If"the Contracting Officer determines that suitable and timely replacement of key personnel who have been reassigned. terminated or have otherwise become unavailable for the contract work is not reasonably forthcoming or that the. resultant reduction of-productive effort would be so substantial as to impair the successful completion of the contract or,the service oroer, the contract may be .terminatea 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.6ny 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 performance of the work under this contract to protect the health and safety of employees and of members of the public and to minimize danger from all hazards to life and property and shall comply with all- applicable health, safety, and fire protection regulations and requirements (including reporting requirements) of the Commission and the Department of Labor. In the event that the Contractor fails to 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 ar-extension of time or for compensation or damages by reason of or in connection with such work stoppage.

H.3 Dissemination of Contract Information .

The Contractor shall comply with the requirement of NRC Manual Chapters 3202 and 3206 regarding publication or dissemination to the public of any information, oral or written, concerning the work perfonned under this contract. Failure to comply with this clause shall be grounos for termination of this contract.

H.4 Private Use of Contract Information and Data . i i

Except as specifically authorized by this contract, or as otherwise approved by the Contracting Officer, infomation and other data developed or acquired by or furnished the Contractor in the performance j of this contract, shall be used only in connection with the work under this contract.

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.O s c OIE-87 120 PAGE 19 H.S Drawings, Designs, and Specifications.

All. drawings, sketches, designs, design data, specifications, notebcoks, technical and scientific data, and all photographs, negatives, reports, findings, recommendations,' data and memoranca 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 reascnable times (for which inspection the proper facilities shall be afforded the Commission by the Contractor and its subcontractors), shall be the property of the Government and may be used by the Government for cry purpose whatsoever without any claim on the part of the Contractor and its subcontractors and vendors for additional compensation and shall, subject to the right of the Contractor to retain a copy of said material for its own use, be delivered to the Government, or otherwise disposed of by the Contractor either as the. Contracting Officer may from time to time direct during

. the progress of the work or in any event as the Contracting Officer shall direct upon completion or termination of this contract. The

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Contractor's right of retention and use shall be subject to the security, patent, ard use of .information provisions, if any, of thir contract.

H.6 Contractor Organizational Conflicts of Interest (0MB 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 plannedinterest(financial, contractual, organizational,or otherwise) which relate to the work under this centract, and 2). Dces not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract.

b. Scope. The restrictions described herein shall apply to )

performance or participation by the Contractor as defined in 41 CFR.520-1.5402(f) in the activities covered by this clause.

c. Work for Others. Notwithstanding any other provision of this contract, during the term of this contract, the Contractor agreer to forgo entering into consulting or other contractual arrangements with any firm or organizatimi, the result of which may give rise to a conflict of interest with respect to the work being performed under this contract. The Contractor shall ensure j that all employet; who are employed full time under this contract and employees designated as key persennel, 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 l

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01E-87-120

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proposed. consultant or other contractual arrangement with any firm l or_ organization may involve a potential conflict of ~ interest, the l Contractor shall obtain tbc wrftten apprcval 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 othervise set forth in this contract, it .

does not have any organizational conflicts of interest, as definedin41CFR20-1.5402(a).

2). The Contractor agrees that if after award it discovers organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the Contracting Officer. This stetement 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 Covernment,

e. Access to and use of information.

1). If the Contractor in the performance of this contract obtains access to information, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L.93-579), or data which has not been released to the public, the Contractor agrees not to:

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

2). In addition, the Contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L.93-579), or other confidential or privileged technical, business, or 4

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i OIE-87-120 PAGE 21 financial infomaticn under this contract, the Contractor shall treat such infomation in accordance with restrictions placed on use of the information.

3. The Contractor shall have, subject to patent and security provisions of this contract, the right to use technical date 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 Centractor shall include this clause, including this paragraph, in subcontracts of any tier. The terms " contract," " Contractor," and

" Contracting Officer " shall be appropriately modified to preserve the Government's rights.

, g. Remedies. For breach of any of the above prescriptions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract er for such erroneous representations as necessarily imply bad fait.h, 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 directec' in writing through the Contracting Officer to the Executive Director for Operations (EDO) in accordance with the procedures outlined in $20-1.5411. ,

H.7 Government Furnished Property / Materials

a. The NRC will provide the Contractor with drawings, specifications, management plans, schedules, and other l infomation required to accomplish the work described in each I Task Order issued hereunder, as appropriate.

b. Only the property /naterials listed above will be provided by the Government. This preperty 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, f 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 Contractor, direct the Contractor to stop perfomance of the work called for by this contract. The order shall be specifically identified as a stop-work order issued under this l

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OIE-87-120 PAGE 22 clause. Upon receipt of the order, the Contractor shall innediately comply with its terms and take all reasonable steps to minimize the incurrence of costs allocable to the work covered by the order during the period of work stoppage.

Upon receipt of the final decision in the protest, the Contracting Officer shall either--

(1) Cancel the stop-work ~ order; or (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

j. or after a final decision 1'n the protest, the Contracter shall resume work. The Contracting Officer shall make an equitable adjustinent in the delivery schedule or contract price, or both, and the contract shall be modified, in writing, l

, if--

accordingly(1) The stop-work order results in an increase in the time required fer, or in the Contractor's cost properly allocable to, the performance of any part of this centract; and (2) The Contractor requests an adjustinent within 30 days after the end

{ of the period of work stoppage; provided, that if the Contracting Otficer decides the facts justify the action, the Contracting Officer may receive ,

and act upon the request at any time before final paymer.t 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 l 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 tenninated for default, the Contracting Officer shall allow, by equitable adjustment or otherwise, reasonable costs resulting from the stop-work croer.

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

(EndofClause) 52.252-2 CLAUSES INCORPORATED BY REFERENCE. (APR1984)

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 s.

52.246-5 INSPECTION OF SERVICES--COST-REIMBURSEMENT. (APR1984)

Section F 52.212-13 STOP-WORK ORDER. (APR 1984) -- Alternate I (APR 1984)

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i OIE-87-120 PAGE 23 Section I 52.202-1 DEFINITIONS. (APR1984) 52.203-1 0FFICIALS NOT TO SENEFIT. (APR 1984) 52.203-3 GRATUITIES. (APR'1984) 52.103-5 COVENANT AGAINST CONTINGENT FEES. (APR 1984) 52.215-1 EXAMINATION OF RECORDS BY COMPTROLLER GENEPfl. (APR1984) 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. (APR 1985) 52.215-33 ORDER OF PRECEDENCE. (JAN 1986) 52.216-7 ALLOWABLE COST AND PAYMENT. (AP3 1984) 52.216-8 FIXED FEE. (APR 1984) 52.219-8 UTILIZATION OF SMALL BUSINESS COUCERNS AlD SMALL DISADVANTAGED BUSINESS CCNCERNS. (iUN 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) 52.222-3f AFFIRMATIVE ACTION FOR SPECIAL DISABLED AND VIETNAM ERA VETERANS (APR 1984) 52.222-36 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS (APR 1984) 52.223-2 CLEAN AIR AND WATER. (APR 1984) 52.227-1 AUTHORIZATION AND CONSENT. (APR 1984) 52.227-2 NOTICE AND ASSISTANCE, REGARDING PATENT AND COPYRIGHT INFRINGEMENT. (APR 1984) 52.227-11 PATENT RIGHTS--RETENTION BY TFE CONTFACTOR (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 190A) 52.230-5 DISCLOSURE AND CONSISTENCY OF COST ACCOUNTING 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. (APR 1984) 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 (C0ST-REIMBURSEMENT AND LETTER CONTRACTS)

(JUL 1985) 52.244-5 COMPETITION IN SUBCONTRAC1ING. ( APR 1984 )

52.245-5 GOVERNMENT PROPERTY (COST-REIMBURSEMENT, TIME-AND-NATERIAL, OR LABOR-HOUR CONTRACTS). (JAN 1986) 52.246-25 LIMITATION OF LIABILITY--SERVICES. (APR 19E4) 52.247-63 PREFERENCE FOR U.S.-FLAG AIR CARRIERS. (APR 1984) 52.249-6 TERMINATION (COST-REIMBURSEMF.NT). (MAY 1986) 52.249-14 EXCUSABLE DELAYS. (APR1984)

OIE-87-120 PAGE 24

~PART III - LIST OF DOCUMENTS, EXHIBITS, AND OTHEP ATTACHMENTS Section J - List of Attachments J.1 Attachments Attachment Number Title 1 NRC Contractor Organizational Conflicts of Interest (41 CFR Part 20) 2 Billing Instruefions 3 NRC Manual Chapter 3202 4 Standard Forn 1411 with Instructions PART IV - REPRESENTATIONS AND INSTRUCTIONS Section K - Representations, Certifications and Other Statements of Offerors or Quoters i K. Organizational Conflicts of Interest I represent to the best of my knowledge and belief that:

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

involve situations or relationships of the type set forth in 41 CFR %

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 situations or relationships of the type set forth in 41 CFR S 20-1.5403(b)(1) are involved or the Contracting Officer otherwise determines that potential organizational conflicts exist, the offeror shall provide a statement in writino which describes in a concise manner all relevant factors bearing on his representation to the contracting officer. If the contracting officer determines that i organizational conflicts exist, the following actions may be taken:

(1) Impose appropriate conditions which avoid such conf?icts, (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 G 20-1.5411.

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(2) The refusal to provide the representation recuired by $20-1.5404(b) 1 or upon request of the contracting officer the facts regtfired by 620-1.5404(c), shall result in disqualification of the offeror for award. The nondisclosure or misrepresentation cf any relevant interest may also result in the disqualification of the efferor for award; or if such nondisclosure or misrepresentation is discovered after award, the j resulting contract may be terminated. The offeror may also be  !

disqualified from subsequent related NRC contracts ard be subject to such other remedial actions provided by law or the resulting contract.

The offeror may, because of actual or potential organizational '

conflicts of interest, propose to excluoe specific kinds of work trem the statements of work contained in a RFP unless the RFP specifically prohibits such exclusion. Any such proposed exclusion by an offeror will be considered by the NRC in the evaluation of proposals. If the NRC considers the proposed excluded work to be an essential or integral part of the required work and its exclusion would work to the detriment {

of the competitive posture of the other offerors, the proposal must be i rejected as unacceptable.

The offeror's failure to execute the representation requireo 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.

K. FAR Provisions 52.203-4 CONTINGENT FEE REPRESENTATION AND AGREEPENT. (APR 1984)

(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 commission, percentage, brokerage, or other fee contingent upon or resulting frem the award of this contract.

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

(1) A completed Standard Fonn 119, Statement of Contingent or Other Fees, (SF 119); or 4

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OfE-87-120 PAGE 26 4 l

l (2) A signed statement indicating that the SF 119 was previously subtritted to the same contracting office, including the date and applicable -

solicitation or contract number, and representing that the prior SF 119. applies to this offer or quotation.

(End of provision)

(R 7-2002.1 1974 APR)

(R 1-1.505) i 52.215-6 TYPE OF BUSINESS ORGANIZATION. (APR1984)

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.

(Endofprovision)  ;

(AV SF 33 1977 MAR) ]

(R SF 198, Para 4, 1976 JUNE) j 52.215-11 AUTHORIZED NEGOTIATORS. (APR1984)

The offeror or quoter 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 Nunter (End of provision)

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

52.215-19 PERIOD FOP, 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 R SF 33 1977 MAR 52.215-20 PLACE OF PERFORMANCE. (APR1984)

(e) The offeror or quoter, in the perfonnance of any contract resultinc from this solicitation, / / intends, / / voes not intend (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.

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.i Attachmznti PART 20-1 -- GENERAL Subpart 20-1.54--Contractor Organizational Conflicts of Interest Sec.

20-1.5401 Scope and policy.

20-1.5402 Definitions.

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

20-1.5404 Representation.

20-1.5405 Contract clauses.

20-1.5405-1 General contract clause.

20-1.5405-2 Special contract provisions.

20-1.5406 Evaluation, findings, and contract award.

20-1.5407 Conflir.ts identified after award.

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

20-1.5411 Waiver.

20-1.5412 Remedies.

AUTHORITY: Sec. 8. Pub. L.95-601, adding Sec. 170A to Pub. L.83-703, 68 Stat. 919, as amended (42 U.S.C. ch. 14) 120-1.5401 Scope and Policy (NRC)(a) It is the policy of the U.S. Nuclear Regulatory Connissionto avoid, of interest. The NRC achieves this objective by requiring all prospective contractors to submit information describing relationships, if any, with organizations or persons (including those regulated by NRC) which may give rise to actual or potential conflicts of interest in the event of contract award.

(b) Contractor conflict of interest determinations cannot be made automatically or routinely; the application of sound judgment on virtually a case-by-case basis is necessary if the policy is to be applied so as to satisfy the overall public interest. It is not possible to prescribe in advance a specific method or set of criteria which would serve to identify and resolve all of the contractor conflict of interest situations which might arise; however, examples are provided in these regulations to guide application of the policy. NRC contracting and program officials must be alert to other situations which may warrant application of this policy guidance. The ultimate test is: Might the contractor, if awarded the contract, be placed in a position where its judgment may be biased, or where it may have an unfair competitive advantage?

' (c) The conflict of interest rule contained in this subpart applies tar contractors and offerers only. Individuals or firms who have other relationships with NRC (e.g., parties to a licensing proceeding) are not covered by this regulation. This rule does not apply to the acquisition of consulting services through the personnel appointment process, NRC

7590-01 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" means that a relationship exists whereby a contractor or prospective contractor has present or planned interests related to the work to be performed under an NRC contract which: (1) May diminish its capacity to give impartial, technically sound, objective assistance and advice or may otherwise result in a biased work product, or (2) may result in its being given an unfair competitive advantage.

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

(c)

• Evaluation activities" means any effort involving the appraisal of a technology, process, product, or policy.

(d) " Technical consulting and management support services" means internal assistance to a component of the NRC in the formulation or administration of its programs, projects, or policies which normally require the contractor to be given access to information which has not been made available to the public or proprietary infonnation. Such services typically include assistance in the preparation of program plans; ~ and preparation of preliminary designs, specifications, or statements of work.

4 (e) " Contract" means any contract, agreement, or other arrangement I with the NRC except as provided in Section 20-1.5401(c). l (f) " Contractor" means any person, fim, 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 controls or has the power to control another, or when a third party controls or has the power to control both (41 CFR Il-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 510,000 or less.

(1) " Prospective contractor" or " offeror" means any person, firm, unincorporated association, joint venture, partnership, corporation, or  !

affiliates thereof, including its chief executive, directors, key personnel (identified in the proposal), proposed consultants, or subcontractors, submitting a bid or proposal, solicited or unsolicited, to the NRC to obtain a contract.

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P i 7590-01 (j) " Potential conflict of interest" means that a factual situation exists that suggests (indicates) that an actual conflict of interest may arise from award of a proposed contract. The term " potential conflict of interest" is used to signify those situations which merit investigation prior to contract award in order to ascertain whether award would give rise to an actual conflict or which must be reported to the contracting officer for investigation if they arise during contract performance.

520-1.5403 Criteria for recognizing contractor organizational I conflicts of interest l.

(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 i relation to its work for the NRC? (2) May the contractor be given an unfair competitive advantage based on the performance of the contract? ,

I 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 performed. While it is difficult to identify and to prescribe in advance a specific method for avoiding all of the various situations or relationships which might involve potential organizational conflicts of interest, NRC personnel will pay particular attention to proposed contractual requirements which call for the rendering of advice, consultation or evaluation activities, or similar activities that lay direct groundwork for the NRC's decisions on regulatory activities, future procurement, and research 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 aren to any organization regulated by the NRC.

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

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

(iv) Where the award of a contr.act 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.

a.

i 7590-01 (2) The contracting officer may request specific information from an offeror or contractor or may require special contract provisions such as provided in 520-1.5405-2 in the following 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 1 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 contract might otherwise result in placing the offeror or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC or may otherwise result in an unfair competitive advantage for the offeror or contractor.

(c) Policy application guidance. The following examples are illustrative only and are not intended to identify and resolve all contractor organizational conflict of interest situations. (1) Example.

The XYZ Corp., in response to a request for proposal (RFP), proposes to undertake certain analyses of a reactor component as called for in the RFP. The XYZ Corp. is one of several companies considered to be technically well qualified. In response to the inquiry in the RFP, the XYZ Corp.

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

Guidance. An NRC contract for that particular work normally would 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 A8C 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 on the NRC evaluation, the ABC Corp. is considered to be the best qualified company to perform the work outlined in the RFP.

4

I

,' t 7590-01 Guidance. An NRC contract normally could be awarded to the ABC l 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 perforniance of similar work for the company developing the advanced reactor mentioned in the example.

(3) Example. As a result of operating problems in a certain type of commercial 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 prbtection of the public. Orfly one manufacturer has extensive experience with that type of plant. Consequently, that {

company is the only one with whom NRC can contract which can develop and {

conduct the testing programs required to obtain the data in reasonable {

time. That company has a definite interest in any NRC decisions that might result from the data produced because those decisions affect the reactor's design and~thus the company's costs.

Guidance. This situation would place the manufacturer in a role in which its judgment could be biased in relationship to its work for NRC.

Since the nature of the work required is vitally important in terins 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 im;sortant to the NRC program. The ABC Co.

has advised NRC that it intends to sell the new system to industry once its practicability has been demonstrated. Other companies in this business are using older systems for evaluation of the specific reactor component.

Guidance. A contract could be awarded to the ABC Co. provided that the contract stipulates that no information produced under the contract will be used in the contractor's private activities unless such information has been reported to NRC. Information which is reported to NRC by contractors will nomally be disseminated by NRC to others so as to preclude an unfair competitive advantage that might otherwise accrue. When NRC furnishes inferination to the contractor for the perforinance of contract work, it shall not be used in the contractor's private activities unless such information is generally available to others. Further.. the contract will stipulate that the contractor will infor1n the NRC contracting officer of all situations in.which the information developed under the contract is proposed to be used.

i 7590-01 i

(5) Example. The ABC Corp., in response to a RFP proposes to I assemble a map showing certain seismological features of the Appalachian fold belt. In accordance with the representation in the RFP and 5201.5403(b)(1)(1), ABC Corp. informs 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. i Guidance. The contracting officer would normally conclude that I award of a contract would not place ABC Corp. in a conflicting role where its judgment might be biased. The work for others clause of $ 20-1.5405-1(c) would preclude ABC Corp. from accepting work during the term of the NRC contract which could create a confifct of interest.

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

(2) It is not relevant that the contractor has the professional reputation of being able to resist temptations which arise from organizational 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, l

520-1.5404 Representation '

(a) The following procedures are designed to assist the NRC contracting officer in determining whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a particular offeror or contractor.

(b) Representation procedure. The following organizational conflicts of interest representation provision shall be included in all solicitations and unsolicited proposals for: (1) Evaluation services or activities; (2) technical consulting and management support services; (3) research; and (4) other contractual situations where special organizational conflicts of interest provisions are noted in the solicitation and would be included in toe resulting contract. This representation requirement shall also apply to all modifications for additional effort under the contract except those issued under the " changes" clause. Where, however, a statement of the type required by the organizational conflicts of interest representation provision has previously been submitted with regard to the contract being modified, only an updating of such statement shall be required. l i

6-4 6 9

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M#NIZATIONAL.ICCNFI.ICTSOFINTUkESTilEPRESENTATION f I represent to the best of my knowledge and bSitef that:

(,,& ,

s The taard;to_ > of a contract er the. modification of an ,

~

J existing cratru.ct does ( ) or does not ( ) involta situations or relationships

. .of the type set forth in 41 CFR 120-1.5403(b)(1).

Instruc:tions to offercrs! The followiag shall be included in M,

i (c) all NRC solicitations: (1) Jf the representation as completed indicates c that'situaticris s.r relationr.Mps of the type sot forth in 41 CFR l 1FG-1.5s03(b)(1) are; involved, or it.4? contracting officer otherwise a s octermines that potential organizational conflicts exh)., the offeror

- shallgrovide a: statement in writing which describes in a concise manner

~

all relevant facts bearing on his representation to t.he contracting 5

officer. If the contracting officer determines that organhaticnal f

(1) Igore appropriate

(

l conflicts gist, the following conditions Shibh avoid such conflicts,"(fi actions may)be taken:disqualsfy the offeror, or l (iii) detrmaine that it315,otherwise in the test interest of the United i States to seek amrd of the contpact under'tte waiver provisions of _ l 5 20-1.54i1. s

. (2) The refvral to provide the representation required by l 20-s 1.5404(b) or upon request of the contracting officer the facts required I

'n '320-1.54%*(c), shall result in disqualification of the offeror for award. The re.ndisclosure or misrepresentation of any relevant interest may also result in the disqualification of the offeror for award; or if such nondisclosure or raisreprksentation is discovered after award, the resulting contract say be terminated. The offtror may also be disqualified C frm svbsequent related NRC contracts and be subject to such other re;nedial actions provided by law or tha resulting contract.

(db The offerer may, because of nctual or potential organizational confif ets of interest, propose to exclude specific kinds of work from the sta.tements of work contained in a RfP unless the RFP specifically prohibits such exclusion. Any such proposed exclusion t,y an offeror will be :ensidered by the NRC in the evaluation o.f proposals. If the NRC consic'ers the proposed excluded wor'c to be ar. essential or integral part of the required work and its exclusion would work to the detrinnnt of the esmpetitive posture of the other offerors, the proposal wat be rebeted as unacetptable.

(e) The offeror's failure to execute the representation required by subsection (b) above.with respect to invitation for bids will be considered to he a minor inftnnality, and the offeror will be permitted to cc,rrect the omission.

I 20-1.5405 Contract clauses s 20-1.5405-1 General contract clause muummmmmmmmmmmmas mwwwx an-wanam-w ,

7590-01 All contracts of the types set forth in i20-1.5404(b) shall include the.following clauses:

ensuring (a) Purpose. 'The primary 1) that the contractor: (purpose of this clause Is not placed is to aid inrole in a conflicting because of current or planned interest (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and (2)-

does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract.

(b) Scope. The restrictions described herein shall apply to performance or participation by the concractor as defined in 41 CFR I 20-1.5402(f) in the actitities covered by this clause.

(c) Work for others. Notwithstanding any other provision of this contract, during the terin of this contract, the contractor agrees to forego entering into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being perforised under this contract.

The contractor shall ensure that all employees who are employed full the under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause. If the contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any fim or organization may involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting officer prior to execution of such contractual arrangement.

(d) Disclosure after award. (1) The contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest, as defined in 41 CFR 520-1.5402(a).

(2) The contractor agrees that if after award it discovers organizational l conflicts of interest with respect to this contract, it shall make an inmediate 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 Euch conflicts. The NRC may, however, terininate the contract for convenience if it deems such temination to be in the best interests of the government.

(e) Access to and use of information. (1) If the contractor in the performance of this. contract obtains access to infor1 nation, such as NRC plans, policies, Ts: ports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L.93-579), or data which has not been released to the public, the cohtractor agrees not to: (1)llse such information for any private purpose until the information has been released to the public; (ii) compete for work for the Commission based 8

4 1 i

7590-01 on such information-for a period of six (6) months after either the cnspletion of this contract or the release of such information to the '

public, whichever is first. (iii) submit an unsolicited proposal. to the government based on'such information until one year after the release of such information to the public, or (iv) release the infonnation without prior written approval by the contracting. officer unless such information has previously been released to the public by the NRC.* ,

(2) In addition, the contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L.93-579), or other confidential or privileged  ;

technical, business, or financial infonnation under this contract, the contractor shall treat such information in accordance with restrictions placed on use of the information.

(3) The contractor shall have, subject to patent and security provisions of this contract, the right to use technical data it produces under this contract for private purposes provided that all requirements of this contract have been met.

(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 torms " contract," " contractor," and

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

(g) Remedies. For breach of any of the above proscriptions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations as necessarily imply bad faith, the government may tensinate the contr.act for default, disqualify the contractor from subsequent contractual efforcs, 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 (EDO) in accordance with the procedures outlined ini20-1.5411.

I20-1.5405-2 Special contract provisions.

(a) If it is determined from the nature of the proposed contract-that organizational conflicts of interest exist, the contracting officer may determine that such conflict can be avoided cr after obtaining a waiver in accordance with $ 20-1.5411, neutralized through the use of an appropriate special contract provision. If appropriate, the offeror may negotiate the tenns and conditions of these clauses, including the extent and time period of any st!ch restriction. These provisions include but.are nat limited to:

_ __ ____ l

7590-01 (1) Hardware exclusion clauses which prohibit the acceptance of ,

production contracts following a related nonproduction contract previously +

performed by the contractor; (2) Software exclusion clauses; (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 (1) in the clause set forth in s 20-1.5405-1 when it is determined that award of a follow-on contract would constitute an organization conflict of interest.

(i) Follow-on effort. (1) The contractor shall be ineligible to participate in NRC contracts, subcontracts, or proposals therefor (solicited or unso'.icited) which stem directly from the contractor's perfomance of work under this contract. Furthermore, unless so directed in writing by the contracting officer, the contractor shall not perfom 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 peragraph shall preclude the contractor fr10m offering or selling its standard commercial items to the government. ,

5 20-1.5406 Evaluation, fir. dings, and contract award The contracting officer will evaluate all relevant facts submitted by an offeror pursuant to the representation requirements of 520-1.5404(b) and other relevant infomation. After evaluating this information agains't the criteria of 320-1.5403, a finding will be made by the contracting officer whether organizational conflicts of interest exist with respect to a particular offeror. If it has oeen determined that conflicts of interest exist, then tne contracting officer shall either:

(a) . Disqualify tne offeror from award, j

, 10

l 7590-01 l

(b) Avoid or eliminate such conflicts by appropriate measures; or j (c) ' Award the contract under the waiver provision of 520-1.5411.

120-1.5407 Conflicts identified after award. )

If potential organizational conflicts of interest are identified after award with respect to a particular contractor, the contracting '

officer determines that such conflicts do, in fact, exist and that it would not be in the best interests of the government to terminate the contract as provided in the clauses required by $20-1.5405, the contracting officer will take every reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with 120-1.5411, neutralize the effects of the identified conflict.

520-1.5408 (Reserved) 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 officer with the advice and concurrence of the program office director and the Office of Executive Legal Director. Upon the recommendation of the contracting officer, and after consultation with the Office of the General Counsel, the E00 may waive the policy in specific cases if he detennines 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 contrat. tor whose interests give rise to a question of conflict of interest; and (3) contractual and/or technical review and supervision methods can be employed by NRC to neutralize the conflict. For any such waivers, the justification and approval documents shad be placed in the Public Document Room.

l I

7590-01

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520-1.5412 Remedies j

}

In addition to such other remedies as may be permitted by law or i contract f6r a breach of the restrictions in this sut>part or for any j intentional misrepresentation or intentional nondisclosure of any l relevant interest required *to be provided for this section, the NRC j may debar the contractor from subsequent NRC contracts.

]

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

For the Nuclear Regulatory Commission b

c h d N J.G:h e Samuel Chilk A '

Secretary of the Commission 1

, 1 l

&TTACHMENT 2 (REVISED - 6/84)

BILLING INSTRUCTIONS FOR NRC COST-TYPE CONTRACTS General.

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

Fom.

Claims and Services shall Other be Personal."

Than submitted on the Fom DC-3 " Voucher for Purchases These forms are available from the Contracting Officer. (Tlie instructions for preparation and itemization l of the voucher are shown on the fom.)

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. ,

{

l Currency.

Billings may be expressed in the currency normally used by the contractor in maintaining his accounting records; payments will be made in that currency. However, the U. S. dollar equivalent for all invoices paid under the contract may not exceed the total U. S. dollars authorized in the contract. t l i i Supersession.

instructions. These instructions supersede all previous billing l

L - _ _ - _ - _ - - - - - - - - _

J INSTRUCTIONS FOR PREPARING COST TF01DRTIDif FOR NRC CONTRACTS Preparation and Itemization of the Voucher. The contractor shall' furnish the -

information set forth in the explanatory notes below. These notes are keyed to the entries on the sample voucher.

Payor's Name and Address. (1) Address the original voucher (with 2 copies) to: U.S. Nuclear Regulatory Commission. Division.cf Accounting and Finance, Office of Resource Management, ATTN: GOV /COM Accounts Section Washington, D.C. 20555.

Any questions regarding vouchers yet to be paid by the NRC should be addressed to Division of Accounting (301-492-7535). Any questions regarding vouchers for which payment has been received (either in full or partially with suspensions or disallowances) should be ad-  ;

dressed to the Contracting Officer.

Payee's Name and Address. Show the name of the contractor as it appears in the contract and its correct address; except when an appmved assign-ment has been made by the contractor, or a diffenent payee'or addressee i has been designated, then insert the name and address of the payee. j Indicate the individua~l responsible for answering any questions NRC may have recarding the invoice (name and phone number).

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

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

(c) Voucher Number - Insert the appropriate serial number of the voucher beginning with 001 for this contract. Contractors may also include .

individual internal accounting numbers in addition to the three digit  !

number.

1 (d) Date of Voucher - Insert the date the voucher is peepared. l i

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

(f) Fixed Fee - Insert total fixed-fee (where applicable). 3 (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.

4

(h) Direct Costs . Insert the major cost elements.

(1)

Direct Labor - This consists of salaries and wages paid (or .

accrued) for direct performance of the contract itemized as follows:

Labor Labor Hours Category gegotia ted Cumulative.

Hours Billed Rate Total Hours Billed (2) Frince 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 benefits included in direct labor should (3) _ Direct Equizment tions list each i 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 educationa expectancy of more than one year. g $200 or more, and having a life List only those items of equipment for which reimbursement is re A reference sha'i be made to the following (as applicable) quested.(1) the item number fc- the sp 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, Supplies, and ( ther Expendable Items - These are consumable materiaas and supphe~T and equipment other than that described in (3) above.

(5) Premium hourly rate. Pay - This is remuneration in excess of the basic (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 original contract).

(7) Travel - Domestic travel is travel within the United States, its territories, possessions, and Canada; it should be billed separa tely from foreign travel . Travel costs billed will provide for individual Per Diem, and all supporting information for each trip taken.

l 4

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• t t

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

Date Traveler Destina tion Purpose Cost From To From To

1. Airfare

2. Rental Car

3. Local Travel 4 Per Diem Days 9

. 5. Meals:

• Date Breakfast Lunch Dinner {

If not included in Per Diem.

6. Tips, Misc.

(Itemize if more than 510,00)

(8) Subcontracts - Include all costs paid to approved subcontractors 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 tely.

(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.

i (1) Cumulative Amount from Inception to Date of this Billing - Insert the cumulative amounts billed for the major cost elements and adjusted amounts claimed during this contract.

(m)

Totalcumulative and Amounts periods.

Claimed - Insert the total amounts claimed for the current (n) Adjustments - This includes amounts conceded by the contractor, outstand-ing suspensions, and disapprovals subject to appeal.

(o) Grand Totals 1

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O .

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_ _ _ _ _ _ _ _ _ _ _ _ _ . _ . - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - ' - ' - - - ' - ~ - - - ~ - ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ '

_ ^

WUCHERS FOR PURCilASES AND SLRVICES OTHER lHAN PERSONAL

. tWPLE VOUCHER _

Payor's Name and Address The U.S. Nuclear Regulatory Comission (a) Contract Nunber NRC-10-81-624 Division of Accounting and Finance (b) Title of Project . Study of Nuclear Waste

' ffice of Resource Management -

Concepts, Attention: GOV /COM Accts Section Washington, D.C. 20555 Payee's Name and Address (c) Youcher Namnber 003 MG LURPQRATION The National Bank (d) Date Voucher Prepared 10/18/82 i

'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)

Indiividual to Contract (f) Total Fixed-Fee Regarding This Voucner: SU.M.00

! Name: Harry Murphy

}Tel.No.: 215-321-8654 l(g) This voucher represents reimbursable costs from 3/1/82 thru 3/30/82 Amount Billed l (h) Direct Costs (1) Direct Labor

• S2.400 56.800

(2) Fringe Benefits @ 16.5 '.- -

i (if computed as percentace) 600 1.200 (3) Direct Eouipment

• 5,000 3.000 (4) itaterials, Supplies and '-

Other Expendable Items

• 2.000 4.000 (5) kremium Pav 100 150

~ ~~~ '

! (6) Consul tants

• 100 100

~"

(7) Travel - Domestic

• 200 200

~

l Foreion *

(8) Subcontract

• 2JO 200

~

! (9) Other Costs

• 3.000 9.000 l (i) _lf10! RECT COSTS

.A) Overhead 700 '. of Total Direct Costs 8

(Indiccte Base) 513.600 $20.650 i

Subtotal 527.200 559.100

0) General A Administrative Expense ~

3.264 6.450 12 L of Cost Elements Nos.19. A

~

Total Costs $30.464 565./!o (J) FIXED-FEE EARNED (Formula) 1.$23 3,400

_ J (m) Total Anounts Claimed $31.987 $M . l So l (n) Adjustments Outstanding Suspensions

• 1.700 1.700 (o) Grand Total'. 530.707 $g, y , .v,o '

• (RIIXilHI 5 $UI'I'OR1 ING INI ORMA110N. )

ISt C AliAClifD. ) )

~~

( .1 g/n -

-S-

IAMPLE SUPPORTING INFORMATION

1) Direct iabor - $2400 Labor Labor Hours Hours Cumulative Category Negotiated Billed Rate Total Hours Billed l Senior Engineer I 2400 100 $14.00 $1400 975 Engineer 1500 50 $10.00 $500 465 Computer Analyst 700 100 $5.00 $500 320 H4M

3) Direct Equipment Spectrometer - General Electric (as appmved in Property Schedule) $5,000 1

4) Materials, Supplies & Other Expendable items 10 Radon Tubes 0 $110.00 = $1100.00 6 Pairs Electrostatic Gloves 0 $150.00 '

= $900.00 52000.00

5) Premium Pay Walter Murphy - 10 hours1.157407e-4 days <br />0.00278 hours <br />1.653439e-5 weeks <br />3.805e-6 months <br /> 0 $10.00 Per Hour = $100 (This was approved by NRC in letter dated 3/6/82.)

,6 ) Consultants' Fee Dr. Carney - 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br /> 0 $100 = $100

7) Travel Date Traveler Destination Purpose Costs From To From To 3/1/82 3/6/82 William King Chicago, Wash., Meeting with 1) Airfare 580.00 Il DC Project 2) Rental Car $15.00 Officer 4) Per Diem - F0ays 0 550.00 = $100.00

6) Tips, Hi sc. 5 5.00~

TOTAL: 5200 S

c..

8) Subcontracts XYZ CORP. (CPFF)

Direct Labor: - 80 hours9.259259e-4 days <br />0.0222 hours <br />1.322751e-4 weeks <br />3.044e-5 months <br /> 9 $20.00 per hour = $1600.00 0/H 9 50% =

$800.00 Travel - 2 Trips - Wash. , DC 9 $200 =

$400.00 to Boston, MA Pmfit 9 7% = $200.00 TOTAL: 53000.00 (j) Fixed-Fee (Formula)

(5%)

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

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

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

I

ATTACHMENT 3 q Form NRC-489 (1-75) i U. S. NUCLEAR REGULATORY COMMISSION 1 NRC MANUAL TRANSMITTAL NOTICE CHAPTER NRC-3202 PUBLICATION OF UNCLA55IFILD RLGULAIUKY ANU itLMNILAL DOCUMENTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS SUPER 5EDED: TRANSMITTED:

Nmber Date W mber Date TN _ 3200-3 Chapter cha pter_ NRC-3202 1/25/78 Page Page Appendus _ ___

Appendix NRC-3202 1/25/78 REMARK 5:

This chapter and appendix establish responsibilities, basic requirements, standards and procedures for the documentation, production and dissemina-tion of regulatory and technical reports prepared by NRC consultants and by NRC contractors and their subcontractors, including reports prepared under or pursuant to interagency agreements.

O g .

,_4  : a U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL Volume: 3000 Information and Foreign Activities Part : 3200 Technical Information and Document Control ADM.

Chapter 3202 PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 3202-01 COVERAGE This chapter and its appendix handbook establish responsibilities, basic requirements, standards and procedures for the documentation, production and dissemination of regulatory and technical reports prepared by NRC consultants ' and by NRC contractors and their subcontractors, including 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 assure that dissemination of regulatory and technical docu- {

ments is consistent with requirements for public availability of information i on the regulatory process.

)

023 To assure that national security, patent rights, copyrights, ,

and commercial proprietary rights are not compromised by the release, j distribution, or dissemination of information from the NRC. l 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

PUBLICATION OF UNCLASSIFIED REGULATORY AND a NRC-3202-032 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS- {

I r

032 The Director, Division of Technical Information and Document control: i

a. develops and administers a central document control syutem for-identifying, printing and distributing contractor documents and q responding to ree.uests for them. <

{

b. develops and maintains guides and standards for the 1 documentation, formatting, printing, dissemination, and public '

sale of contractor documents. -

)

c. ' assures that a system exists for review of contractor documents j for adherence to patent, copyright and security policies prior to dissemination.

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

e. establishes distribution data banks, maintains official standard 4 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, i including those . required by this chapter and its appendix; l Chapter NRC-3203, Distribution of Unclassified NRC Staff- and l 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 Placement of Work with DOE (to be issued). In those provisions:

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

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

Approved: January 25, 1978

PU8LICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC-3202-034 (2) provide for the reviews necessary to insure that the na- I 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 that all formal documents carry NUREG numbers as the prime identification, as illustrated in the appendix, and that interim documents include the title page indicated in the appendix.

(4) specify whether fotmal documents shall be printed by NRC or the contractor if the contractor has a JCP authorized federal printing plant (see appendix, part 111).

(5) specify that all formal documents required by NRC shall be distributed by NRC.

(6) establish the number of copies the contractor may retain or request for internal and external distribution and charge against NRC. Written justification must be pro-vided to the NRC JCP representative when the number ex-ceeds the 50 copies. authorized by JCP. }

b. assure 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 contractor and the Division of Technical information and Document Control.

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

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

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

036 Director, Division of Contracts:

a. coordinates the flow of all documents to and from contractors where such' documents may result in alterations in the terms and conditions of applicable contracts as they pertain to docu-ment production and distribution.

Approved: January 25, 1978

~

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

b. advises the contractor as to the source and method for obtaining documents required from the government for performance of the contract.

c. provides contractor with copies of NRC Manual Chapters 3202, 4

i 3203 and 0260, when appropriate. .

I

d. determines that requests for proposals and invitations for bids  !

and subsequent contracts awarded require contractor l compliance with Chapter NRC-3202 and the Government Printing -

)

and Binding Regulations, when appropriate.

3202-04 DEFINITIONS

• 0 41 camera-ready copy - copy ready for printing. This is a collo-quial term of long standing that is used even though the printing process j may not involve the so-called copy camera (see also reproducible masters). l J

042 central document control system -

means for developing and maintaining the policies, procedures and guides needed to identify and j produce regulatory and technical documents and to assure adherence to j requirements and standards for documentation, formatting, orinting and )

distribution. 1 043 commercial proprietary right - trade secrets and commercial or financial information obtained from a person and privileged or 1 confidential. j i

044 contractor document - a document prepared in accordance with j the provisions of a contract or unde'r or pursuant to an interagency i ag reement.

]

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 available for free distribution, sale or copying.

047 distribute - to dispense documents to specific organizations and individuals to assure participation in the regulatory process and support of research and technological investigations. Such distribution may be accomplished by the use of standard distribution data banks established and maintained by the Division of Technical information .and

• Words underscored in definitions are also defined in list.

l I

Approved: January 25, 1978 t

9 4

' I PU8LICATION 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).

049 documentation - includes classification and associated required markings, the NRC document number unique to the document, title (and s.ubtitle, if any), author or correspondent (if any), organization identifi-cation and contract r.omber (or interagency agreement number), date and availability.

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

Prior to publication, these documents shall have received the reviews and approvals required by NRC. Such reviews and approvais shall include, but not necessarily be limited to, patent review (if applicable) and security review (if applicable). These reports will. carry NUREG designations as the prime identification.

. 0 411 interim contractor documents - regulatory and technical docu-ments prepared in accordance with contract or interagency agreement re-quirements for recording plans and results during the course of the work. Such documents may inclu' d e, but are not limited to, informal ~

progress reports, quick-look reports , data reports, status summary reports, project descriptions, pre-test predictions, model verifications, experiment safety analyses, experiment operating procedures, facility certification reports, and test result reports.

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

0413 patent review -

review by legal staff to assure protection rights in inventions.

0414 publicly available documents - documents which are available in the NRC Public Document Room (POR) for public inspection and copying.

0415 reaulatory and Nhnical documents - documents that have been prepared in support of reguswai investigations and are to become l publicly available records. Such documents shall carry unique identification.

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

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

_ _ _ - - I

PUBLICATION OF UNCLASSIFIED REGULATORY AND NRCy3R01-0418 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS prints of black and white photographs (colored photographs cannot be reproduced ),- (3) original typed or printec text, tables, cover, title page, contents and abstract, or (4) other forms of the materials listed in (1), (2) and (3) that are acceptable to a printer who will guarantee to prepare reproducible copy therefrom (see appendix, part IV, for guide-lines ).

0418 unioue identification - NRC identification used on a document and its attachments, revisions, and supplements that is not used on any other document.

3202-05 BASIC RE.QUIREMENTS OSI Applicability. The provisions of this chapter and its appendix apply to NRC consultants and to NRC contractors and subcontractors, in-cluding those working under interagency agreements, whose contracts re- l Quire the preparation of regulatory and technical documents. Because of the unique requirements of NRC boards, par.els and advisory committees which report directly to the Commission, the handling of reports prepared by consultants and contractors to them are governed by the Board or Panel Chpirman and, in the case of advisory committees, by the Advisory Committee Management Officer.

052 Forms. NRC Form 426, "Publicat!on Release for Unclassified

-~

Formal NRETtaff, Consultant and Contractor Reports " (Exhibit 5) shall be used as provided in the appendix.

053 Appendix 3202. Standards, procedures and methods for managing the production and dissemination of contractor documents are contained in 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 Yechnical information and Document Control by the NRC program or project sponsor or the authorized contractor official.

b. Documents Printed by Authorized Federal Printina Plants or Duolicated by a Contractor. All contractor documents to be printed or duplicated by the contractor' (as specified by the contract, agreement, or standard order for work) shall be pre-pared according to Appendix 3202, and a reproducible master and sufficient copies for standard and incidental distribution shall be supplied to the Division of Technical information and Document Control accompanied by completed NRC Form . 426 signed by the NRC program or project sponsor or the authorized contractor official.

Approved: January 25, 1978 S e 0

PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC-3202-055 055. References . The NRC manual chapters referenced are available from the Division of Technical Information and Document Control. The other citations are available from the Government Printing Office.

a. Chapter NRC 0260, " Printing and Related Activities."

b. Chapter NRC 2101, "NRC Security Program."

c. NRC Appendix 2101, Part ill, " Control of Classified information send 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."

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

i. Title 5, U.S. Code.

Approved: January 25, 1978

_ . . . . . _ . - - _ _ _ _ . -. - .__~-_----.--.--------_--_m - - - - - - - - -

PU8LICATION OF UNCLASSIFIED REGULATORY AND TECHNjCAL DOCUMENTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS .NRC Appendix 3202 CONTENTS PAGE PART I FORMAL CONTRACTOR 00CUMENTS TO BE PRINTED BY NRC. . . . . . . 1 A. DOCUMENTATION.................................. I

1. Applicability............................. 1

2. Front Cover and Ti tle Page. . . . . . . . . . . . . . . . 1

3. Availability Information.................. 3

4. Disc 1a:mer................................ 3

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................................... 5

1. Printing or Duplicating................... 5

2. Reprinting or 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 Prepared Under or Pursuant to Interagency Agreements... ......... 8

4. Sample Title Page for Unclassified Formal Reports Prepared Under or Pursuant to Interagency Agreements.... 9

5. NRC Form 420, Publications Release...................... 10

6. Disclaimer e.nd Availability Statements.................. 11 PART II INTERIV. CONTRACTOR DOCUMENTS TO BE PRINTED BY NRC OR AN AUTHORIZED FEDERAL PRINTING PLANT OR DUPLICATED BY A CONTRACTOR....................... .............. 13 A. DOCUMENTATION............................... . 13 l

l 1. Applicability.......................... . 13

2. Title Page............................... 13 i Approved: January 25, 1978 1

l

Pl*LICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS CONTENTS PAGE D. PATENT AND SECURITY REVIEWS.................... 13

1. Patent Review l............................ 13

2. Security Review........................... 14 C. PROCEDURES FOR PRINTING OR DUPLICATING AND DISTRIBUTING................................... 14

1. Printing or Duplicating................... 14

2. Distribution of Documents Printed by NRC., 15

3. Distribution of Documents Duplicated by Contractor................................ 15 EXHIBIT

7. Sample Title Page for Interim Contractor Documents To Be Made Publicly Available............................... 16 PART III FORMAL DOCUMENTS TO BE PRINTED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS BY AGENCIES WITN 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 j

4. D i s c l a i me r . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 i

5. Abstract.................................. 20 i

B. PATENT AND SECURITY REVIEWS.................... 20

1. Patent Review............................. 20 j

2. Security Review......................... . .20 C. PROCEDURES FOR PRINTING AND DISTRIBUTING....... 20

1. Printing.............................. ... 20

2. Reprinting....................... ...... . 20 1

3. Distribution of Documents................. 21 l 1

PART IV GUIDELINES FOR PREPARATION OF MANUSCRIP1' AND REPRODUCIBLE MASTERS TO BE PRINTED BY NRC....... .... 23 )

A. INTRODUCTION...................... ............ 23 l

.)'

Approved: January 25, 1978 11

4 PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS CONTENTS PAGE 23

8. ORDER OF ELEMENTS IN A REPORT..................

24 C. FRONT MATTER...................................

24

1. Cover, Title Page and Disclaimer.......... 24

2. Abstract.................................. 25

3. Guides for Preparing an Abstrset.......... 25

4. Summary...................................

25

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

26

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

26

7. List of Tab 1es.................................... 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-Symbols............... .

.. . ......... 30

0. TEXT............................

30

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

. 30

2. Introduction............................ 30

3. Paper..................................

30

4. Typing Instructions............ ....... 30

5. Image Area................. ............. 30

6. Page Numbering......................... 31

7. Photocopied Text.........................

. 31

8. Footnotes........ ..... ........ .. ...

31 E. BACK MATTER.......... .. ................. ..

3; j

1. References. .......................... ...

31

a. Fo rmat. . . . . . . ..................... .

32

b. Availability Requirement............ 32 ]

c. Proprietary and Classified Documents. )

l 32

2. Bibliography...................... .. ....

33

3. Appendix...... ..... .....................

33

4. Glossary.......... .......................

33 )

5. Distribution List....... ......... ..... .

iii Approved: January 25, 1978 i

Y PUBLICATION OF UNCLASSIFIED PEGULATORY AND E NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY,,NRC CONTRACTORS i

i CONTENTS l PAGE L

F. GRAPHIC AND TABULAR MATTER.......... >

33

, /

1. Tables........................ M3 s

2. Figures...........,....................... 34 1 i q ,'

3. Photographs.... .......................... 34 3 ,'

Special Graphics....,.....................

4. 14 ,

. r ,;

G. EXAMPLES OF REFERENCE CITATIONS................ 34

,.............'.. ^

1. Correspondence.........j. 34

2. Internal Papers........ ................ 34

3. Personal Communications; Private Communications; Notes Regarding Visits. . 35

4. Procedures Manuals....... ......... . . . 35

5. Government Agency Printed Documents and #

I Drafts of Documents to'be. Printed that Pave Been Made Available to the Public ,

for C'neent........................

e .... . 35 I

. f

6. NP.C Centracter Reports and Reports Prea parec + cn . Interagency Agreements. . . . . . ~.' , . . . 36

7. NRC Appi f cant Document. ~ . . . . . . . . . . . . . . . . . . 36

8. Project Documents... .............. ...... 36 j

9. Licensee Documents......... ...... ....... 36

1. J3noks...................q ..... ... ..... 36' 1'. Confertsce Papers......................... 36 1:. Journal Articles, Magazine Articles, Hews p ape r A rt i c l e s . . . . . . . . . . . . . .'. . . . . . . . 37

13. , University Theses............ ........-, . 37

14. ' Codes and 5tandards................. .... 37 i

t >

p I h l l

i i

l l

l i

Approved: January 25, 1978 iv  ;

1 I

1 l

~

b\. , ,

6-

+ a PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNfCAL 00CUMENTS PREPARED BY NRC CONTRACTOR 5, INCLUDING REPORTS NRC Appendix 3202 PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS i This appendix provides standards and procedures for the q; documentation, production and dissemination of regulatory and

'are prepared by contractors or other government agencies in with contract requirements or interagency accordance agreements. It is presented in four parts: Part I - Formal Contractor Documents to be Printed by NRC, Part 11 - Interim Contractor Documents to be Printed by NRC .or Duplicated by

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

PARTI 4, ,,

FORMAL CONTR ACTOR DOCUMENTS TO GE PRINTED BY NRC A. DOCUMENTATION

/

l. 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 plants, may not print reports prepared for NRC.

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

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 Page

' a. Separate covert and title pages are required (see Exhibits I and 2 for contractor reports and Exhibits 3 and 4 for reports prepared under or pursuant to interagency agreements ) .*

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

,n iricluded .

.N 1 Approved: January 25, 1978

-1

. 1 PUBLICATION OF UNCLASS1FfED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BV NRC CONTRACTORS

b. The itemt, shown in Exhibits I through 4 and discussed below shall appear on the title page and cover, as appropriate.*

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

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

The NRC identification number will have the form:

NUR EG/C R-1234

. The contractor's report number, if sny, may be in-serted below the NUREG number on the title pago 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 document (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 Z39.18-1974, Guidelines for Format and Production of Scientific and Technical Reports, and ANSI Z39.23-1974, Technical Report Numbers.

Approved: Ja nuary 25, 1978 2 j

-,g- q '(

4 1 s s- - N _

b '* t F130LICAIION OF UNCLASSIFIED 1 REG'/LATORY AND 1

,9t TEfEICAL DOCUMENYS PREPARQ _Q NRC CONTRACTORS NRC Appendix 3202 j N

t 1 ,

J

> h ,

~

+

j4 s page following f.he names. .in addition, list aff;iiation

3 .i , of ;each' author only if affiliated with an organization fl '

cther than the organization generating the document.

. ", (4) . Cro anization identificalitan. On the title page and 4 - cover, prov:de in(crmation of the type illustrated in fxhibits i through 4 a 2

\J (5) Basis for Racert Data (s) l

('/ (a) The badia! for dating may be shown along with 1

l n (~c 'the date on the title page. Varithas bases for

-i,

\ d.tting are possible; e.g. , date ' document com- 1

-! ' J

' plated, date rev:ews completed, date published,

'N ,

s s ,u-1 date distributed etc.

ij .

)

4 (b) MA% than, one date, with the basis for each, ryay t,e shown where this is racessaryr.

\ s J 3, Avdiabilityyrgytion All, f,7enwi ducuments will be made available fer sale by NRC and s

.,~

by the National

• Technical information Ser%ke (NTIS). The

,.1 s

. fol;cwing statements will be inserted on the inside of the front

's '; cover (Exhibit 6) by the Division of Technical Infont,ation and a >

, Oo.[ument Control:

a f 4

Available ftern s J U.S. Nuclear Regulatory Commission

- Washington, D.C. .

205SS

. ' Avail 6ble from

, , National Technical infa-raation Servir.a (NTIE) y ' Springfie(d, Virginia 21461

4. theclaimer Tlie following notice will be added during the printing step on the inside frcnt cover (Exhibit 6): "This report was prepared

' as en account of avork sponsored by an agency of the United States Govern nent. Inither the United States Government nor any agency thereof, or any of their employees, makes any war-

_ ranty, expret.sco or implied, or assumes any legal liability cr responsibility for ery third party's use, or the results of such

! c use;, of dr.y information, apparatus, product or process

> 3- disenosed in this report, or represents that its use by wch

! third party womd not inft;inge privaNiy owned rights." The

< following addit!cnal statement, "The views expressed in this i repoct are not necessarily those of the U.S. Nuclear Regulatory Ccwnssion" will be printed Wilow the standard disclaimer, if 4

Appropriate.

3 Approveoi J;anuary 25, 1978

~

[ %

k

HRC Appendix 3202 PUBLICATION OF UNCLASSIFIED REGULATORY AND 1ECHNICAL 00CtIMENTS PREPARED BY NRC CONTRt.C10RS 5, Abst ract An abstract of 200 words or less shall b( prepared for each formal document. If the abstract is included in the document, it should appear on a separate page between the table of con

• tents and the text."

B. PATENT AND SECURITY REVIEWS I Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor. If the work being reported is contractually manaG,ed 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 censulted, and the responsible NRC program or project sponsor shall consider the patent implications, if there is no need for patent review because of the certainty that the document contains no description of novel technical developments 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 sha!! 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 unc!cssified. 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 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 4 9

s .

9

PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 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 Division of Technical infor mation and Document Control, accompanied by completed NRC Form 426 (Exhibit 5). NRC Form 426 must be signed by the NRC program or project sponsor or the authorized j contractor official. The Division of Technical information and i Document Control will review the masters for adherence to the standards st t forth in this chapter and appendix and will arrange for printing and distributing the document.

Unsatisfactory masters 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 work, the publications manager of the performing organization. _

2. Reprinting or Reduplicating .

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

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

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

If any distribution is to be made other than, or in addition to, the standard distribution established for the document, written justification for printing or duplicating additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control.

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

'For guidelines, see part til .

5 Approv ed: January 25, 1978

NRC Append h 3202 PUBLICATION OF UNCLASSIFIED REGULATORY AND  !

TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS  !

EXHIBIT 1 SAMPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR PREPARED 00CUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS l

NRC Report No.

Con:rwiet Report No. IN enyl NUAE9/CR 8012 Yel., Putt, Rev., etc. (N eny) UCLA ENG.7701

)

I 1

7,, LMFBR FUEL ANALYSIS I TASK B: POST-ACCIDENT HEAT REMOVAL l

Sebette end Type of Report Final Report 1 (Annual. Top.ent, etc.)

October 1,1979 . September 30,1977 Author (s) J. Cootle N. C. Detrender J. M. McDonceph I. Cetten Conirects' Un6,oroesy of Comernne, Lee Angene, NRC Propered ter U. s. Neeise, no,eie.ory Co.n.nwown Approved: January 25, 1978 6 t a 4 0

PU8LICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 EXHIBIT 2 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL CONTRACTOR.

PREPARED DOCUMENTS. EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No.

Centrastor Report No. (if anyl Vol., Port, Rev., etc. Of e'vy) uTcINr"'I Distritweien Category No. (if any)

LMFBR FUEL ANALYSIS

• TASK 8: POST ACCIDENT HEAT REMOVAL Suheitte and Type of Report Mael Report (Annuel, Topeces, etc.) October 1,1s7s . se,sommer se, ten Author (s), Editork), 4 c.= = c. on 8""'*""* 'C"""

Compiler (s), etc.

Report Detes and Bases """'"',",',W Z ,'jll Centrestor Nome ****#' _ S "  %

"""""'8"'""

6" *'wa= CA 8"*

and Address NRCS-:  ::- *~** ~--

IE n. .=can

==c--,-

NRc Centreet N . i 7 Approved: January 25, 1978

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

NunEWcn.12M Contracter Report No. (W eny) onwL43gs v.i Pet.R=.,=c.in y> v.t a. n . :

r.,N A CRITICAL EVALUATION OF THE NONRADIOLOGICAL ENVIRONMENTAL TECHNICAL SPECIFICATIONS son,wii. voiume :

Peach Bottom Atomic Power Station Urdts 2 and 3 '

I'I

c. Al e,

K. e. baser A.J 9Numan Centrecier N n e. o.k mese N e.nei e . _.,

propwon see NRC Sponsordwp U. S. Nuc6eer P;- _ -., Conwnlee6en Approved: January 25. 1978 8 t e O

9 1

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

EXHIBIT 4 i

SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL REPORTS PREPARED i UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS l

l l

1 i

NRC Report No.

Contraster Report No. (if anyl $*,',","

Vol. Port. Rev., etc. (if anyl lp 3 "a a Distriemetion Category No. (if any)

A CRITICAL EVALUATION OF THE U* NONRADIOLOGICAL ENVIRONMENTAL TECHNICAL SPECIFICATIONS Ve4ume 3

• • es Sen.m Atomic Pouver Stooen Uewto 2 and 3 Author (s) ,5* *"*

O

. .O ..C. .

R - t os... .ne s e. ~.. y- ;,. 3.;,i., i.>.

C.nwacio, N.m  ;,~, ; ;; 6,---

ane Addrese .

v . c. c....

• ene oso .. e -

e .se NRC *; c:':; -

o ='...s e c a.-.. - ..n ..

o. . e a a Interagency Ayooment No. W5 7 '

NRC FIN No. or v , a. oos.o$w n Conwest No. *C " m. a irm t 9 Approved: January 25, 1978

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

EXHIBIT 5 T~ .o. ' - . We

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. 0, ,

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' ll '* *"'""' ""'** * ! *:::".". r :""** PusuCAvioNs neLEAss Fon uwCLAssereso eonuAL NRC STAFF. CONSULTANT. AND CONTRACTOR MEPORTS 4 16 e . o sv.i.iu . . . . ,,

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in .s couest eso. o o.51..sut en ras #.e .ws s sa s ss s e o .' F.e .w a.s.a e.e. e .,. g =ss. #.f.a.es #

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6 t.a.p..p oes t..Sul eD .sep est.5 6.g g

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e a e 8**

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- .. . .. -. .. a...enu.a . . . . ,

Ca

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j Approved: January 25. 1978 10

1 PUBLICATION OF UNCLASSIFIED REGULATORY ANO i

l TECHNICAL 00CUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 1

1 EXHIBIT 6 l DISCLAIMER AND AVAILABILITY STATEMENTS (BACK OF COVER)

NOTICE Thrs report was preparoc as an account of work sponsored by an agency of the Uniten States C . nnt Neither the United States Government nor any aeoney thereof, or any of thest employees, makes any warranty, esprested or empteed, or assumes any legal hacelety or resoonsability for any therd party's use, of the results of s .,ch s:se, of any enfermation, apoaratus, product or crocess disclosed an this report, or represents that ets use by such third party would not infringe prevetely owned rights The views empresseo in inis report are not necesarisy snose of tne '

l U S. Nucteer Regulatory Commission Avatause kom u 5 Nucieer seousease, comm es.on was entpon. D C 20555 A aetespee from Nateens Tethecae latermation $enere se. .ew. v.,.ma nisi 11 Approved: January 25s 1978

. J

~*

PU8LICATION OF ' UNCLASSIFIED U REGULATORY AND NRC Appendix 3202 TECHNICAL DUCtmENTL PREPARE 0 SY NRC CONTRACTORS affect the patent rights of NRC. If the work being reported is contractually managed through another government agency 1 (e.g., DOE laboratories), that government agency should be requested by the contractor to perform the patent review. The result of such rev'ew 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 need for patent review because of the certainty that the document contains no description of r)ovel 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 work with the Division of Security ' :o establish the appropriate classification procedures . and inform the contractor of such procedures.

C. PROCEDURES FOR PRINTING OR DUPLICATING AND DISTRIBUTING

l. Printino 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.5, Congress)* by the contractor. If to be printed by NRC, the

• duplicating - as defined by JCP, means that material producedty 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 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 1

i I PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DUCIMEHT'., PREPARED BY NRC CONTRACTORS affect the patent rightr, 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 unabie 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 need for patent review because of the certainty that the document contains no description of riovel 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 f.mm 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 progran. or project sponsor must work with the Division of Security :o establish the appropriate classification procedures and inform the contractor of such procedures.

C. PROCEDURES FOR PRINTING OR DUPLICATING AND DISTRIBUTING

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

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

• duplicating - as defined by JCP, means that material produced by use of single-unit duplicating equipment with an image area not larger than il 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 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 9 e O

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

reproducible masters of the document, accompanied by a com-plated NRC Form 426, must be sent to the Division of Technical Information and Document Control.

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

3. Distribution of Documents Duplicated by Contractor. interim documents duplicated by the contractor shall be distributed by  !

the contractor or the Division of Technical Information and Document Control. If to be distributed by NRC, the necessary copies and a list of those to whom the document is to be dis-tributed, complete with organization address and Zip code, and a completed NRC Form 416 shall accompany the documents when sent to the Division of Technical Information and Document Control; a standard distribution list may be specified if an applicable one exists.

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

15 Approved: January 25. 1978

PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BV NRC CONTRACTORS EXHIBIT 7 SAMPLE TITLE PAGE FOR INTERIM CONTRACTOR DOCUMENTS TO BE MADE PUBLICLY AVAILABLE estTERau REPORT An_ . No.

(Will he added by NRC) 4,,,,,,,,,,,

Contractor Report No.

Totte of Propernfor whosh c n ..a way = he a isw Coetract Written Lenweed Schioct of s.a en et sh. Omewn n TMs Doewensmt Type of Docuanent: Status Report, Quich Look ,_,, ,

Report, etc.

Avens,1st Dune of Dee-t indsvidual Asseensee. Wac one.isom was mRc oes er O sea the secusasar was sesomes prenarsey ser pseemunary or enesensi var to hsa not roesnes hele #wwww one esprowel Sense share sney es sensesnesse change. efus saw shause not to senuestes isnel i

Contractor and AeWress o,* R e m nw Lamerew,,

Ook Ramos.1semamme 37830 somrseas by unea corosse Carpereien ser the US. Deserimsai of t au ,,

hepares see US. seusener neswiseser Canunamen i

thesh.nyson.O C Heet j interspency Ayooment unnse seesres.ne, ay mew Dog so see 75

! or Centsact No. NRC FIN No. A1234?

saffERma REPOsti Approved: January 25, 1978 16 f

PUBLICATION OF UNCLASSIFIED REGULATORY /NO -

TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 PART ll'l FORMAL DOCUMENTS TO BE PRINTED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS DY AGENCIES WITH JCP AUTHORIZED FEDERAL PRINTING PLANTS A. DOCUMENTATION

1. Applicability

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

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

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

2. Front Cover and Title Pace

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 apper.r 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, ttie items shall appear in approximately the locations indicated and with the same relative prominence.

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

The centralized document control system for unique ,

I

• 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 Reports, and ' ANSI Z39. 23-1974, Technical Report Numbers.

17 Approved: January 25, 1978 i

l PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Apaendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS j identification is maintained by th'e 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:

f NU R EG/CR-1234 J The contractor's report number, if any, may be 1 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 3 facilitate computer processing.

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

Approved: January 25, 1978 18 4 $

9 e

PU8LICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 3 i

(4) Organization Identification (a) On cover, provide the name of the contractor respo'n-sible for preparing the document, followed by " Pre- {

pared for the U.S. Nuclear Regulatory Commission." l (b) On the title page, provide information of the type illustrated in Exhibit 4. j 1

(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 j possible; e.g., date document completed, date -

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

. (b) More than one date, with the basis for each, may be  !

shown where this is necessary. l I

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

Available from U.S. Nuclear Regulatory Commission Washington, D.C. 20555 Available from National Technical Information Service (NTIS)

Springfield, Virginia 22161 4 Disclaimer The following notice shall be added during the printing step on the inside front cover (Exhibit 6): "Thi3 report was prepared as an account of work sponsored oy the Unitect States j 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 l statement, "The views expressed in this report are not nec- )

essarily those of the U.S. Nuclear Regulatory Commission" will j be printed below the standard disclaimer, if appropriate. J 1

19 Approved: January 25, 1978 l 1

PUBLICATION OF UNCLASSIFIED REGULATORY AND 1 NRC Appendix 3202 TECHN1 CAL DOCUMENTS PREPARED BY NRC CONTRACTORS I

5. Abstract l An abstract of 200 words or less shall be prepared for each formal document. Within the document, the abstract shall appear on a separate page between the table of contents and the text.*

B.  !

PATENT AND SECURITY REVIEWS 1 1

1. Patent Review i l

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 ests*Sish the ap-propriate classification procedures and inform the contractor.

C. PROCEDURES FOR PRINTING AND DISTRIBUTING

l. Printing Contractor documents may be printed only by a JCP authorized printing plant. Documents printed by the contractor and one reproducible master shall be submitted by the NRC program or project sponsor or the authorized contractor official to the Division of Technical information and Document Control, with completed NRC Form 426. The number of copies specified by the agreement or contract for standard and incidental distribution shall be provided. The appropriate identifying number (NUREG/CR- ) may be obtained as discussed in section A.2.b.(l).

2. Reprinting i 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 pe eferred 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

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

request shall include a written . justification for the reprinting and a list of recipients and their complete addresses.

3. Distribution of Documents Each document transmitted to the Division of Technical infor- 1 mation and Document Control shall be accompanied by a recom- I mendation for distribution on NRC Form 426 (Exhibit 5)-and  !

sufficient copies for standard and incidental distribution.

i i

21 Approved: January 25, 1978

_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ l

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

PART IV GUIDELINES FOR PREPARATION OF MANUSCRIPTS AND REPRODUCIBLE MASTERS TO BE PRINTED BY NRC .

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

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

Adherence to these or similar established guidelines will insure the professional quality and timely publication of NRC contractor reports. Manuscripts submitted which do -not adhere to these or similar professional guidelines will be reported to the program or project sponsor for appropriate contractual action by the contracting officer or, in the case of government agency or interagency agreement work, the publications manager of the performing organization.

Questions about the implementation of these guidelines should be addressed to NRC's Division of Technical Information and Document Control, Washington, D.C. 20555; (301) 492-7566.

B. ORDER OF ELEMENTS IN A REPORT Organize the manuscript according to the following order of elements before submitting it t1 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 Left f List of Tables Preface Small Roman (odd or even) Right or Left Small Roman (odd) Right j Acknowled1ments Small Roman (odd) Right )

Abbreviations and Symbols Small Roman (odd) Right i

23 Approved: January 25, 1978 l l

PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS-i Right or Element pace Number Left Hand Page ,

introduction Unnumbered, but Right considered Arabic 1 1

Text Numbered consecutively Right throughout in Arabic numerals i 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 z numerals

.nt j Glossary Numbered consecutively Right or Left throughout in ' Arabic numerals Distribution Lists Numbered consecutively Right throughout in Arabic numerals when an element ends on a right-hand page and the next element is to start on a right-hand page, leave a blank unnumbered page and skip a number so that the right-hand page starts on an odd page.

Right-hand pages are always mssigned odd numbers, left-hand pages are always assigned even numoers.

C. FRONT MATTER

1. Cover, Title Page and Disclaimer The appropriate cover and title page with the information spec-ified in Part I of this Appendix shall accompany each reproduc-ible master.

2. Abstract An abstract of 200 words or less shall appear in each report.

The abstract shall summarize the major points of the report, including what investigations .the report covers, and any find-ings, conclusions, and recommendations. For progress reports, concentrate on status of work to date. The preferred Approved: January 25. 1978 24

.. e e 4

c.__ - - _ .---_-_---- -

PUBLICATION OF UNCLASSIFIED REGULATORY AND 1

TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC App ndix 3202 location for the abstract is between the title page and the table of contents.

l 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-coed one paragraph or 200 words, and should provide a review of the contents of the work in abbreviated form.

The abstract should state what was investigated and give any conclusions reached. A review of the major and minor headings of the report and, in particular, the introduction and conclu-sion section can be useful in deciding what information to in-clude. The first sentence of the abstract should state the subject of the report.

The writing should be concise; that is, words and ideas that are either repetitious or unnecessary should not be used. Care should be taken, however, to include the article Q, an, the) h and transitional words (and, however, but) that are ,mportant i

to readability. The language should be concise, but the ab- .

stract should not read like a telegram.

4. Summary Contractor reports (other than short summary reports) should include a 500- to 1,000-word summary of major findings conclu-sions and recommendations (if any) of the report. The summary should state the purpose and nature of the investigation, as well as provide a brief account of the procedures used. It should provide a concise overview for I persons in , management positions. Though more complete than an abstract, the summary should not contain a detailed f description of the work on which the findings, conclusions and {

recommendations were based.

2 The summary may appear as a separate section between the ab-stract and the table of contents. it may also be the final section of the text. When it appears between the abstract and table of contents, it is treated as front matter. When it appears as the final section of text, it should be listed in the table of contents and treated as text matter.

5. Table of Contents and page Numbeg 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 I

l i

PUBLICATION OF UNCLASSIFIED REGULATORY AND l NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS major sections of the text, including the front matter. It shall I include chapter or section numbers, as well as the title of and  !

page number for each. (See Exhibits 8 and 9 for sample tab.les of contents. ) in reports made up of chapters or papers by different authors, the table of contents shall list the name of each author with the title of the chapter or the paper (see Exhibit 10, for example).

When 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. 1.ist of Figures A separate page listing figures shall be included when there are five or more figures in the report. The figure numbers and J captions shall correspond to those in the text. Such a list is unt, .'cessary for conference proceedings or symposium compilations. l

7. List of Tables I d

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 f

unnecessary for conference proceedings or symposium compilations.

8 preface (Optional)

The preface is the author's statement about the purpose, back-ground, or scope of the work, it can also contain acknowledg-ments of help received during the course of the work, if the acknowledgments do not run over several paragraphs. The preface can also cite permission obtained for use of previously published work. The author's name shall appear at the end of the preface with his title, affiliation, and the date.

9. Acknowledgments Unless they are more than one page long, acknowledgments shall appear in the preface.

Acknowledgments, if extensive, shall follow the preface on a separate page and carry a small Roman page number,

10. previous Reports in Series if the report under preparation is one in an ongoing series, list all previous reports in the series. Include report number and issuance dates.

Approved: January 25, 1978 26 1

4 4

PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPAPED BY NRC CONTRACTORS NRC Appendix.3202 Exhibit 8 TABLE OF CONTENTS Abstract. . . . . . . . . . . . . . . . . . . . . . . . . . . . iii Li st o f F igures . . . . . . . . . . . . . . . . . . . . ri gh t roman Li s t o f Tabl es . . . . . . . . . . . . . . . . . . . . , ri gh t roman P re f ac e . . . . . . . . . . . . . . . . . . . . . . . . ri gh t roma n Acknowl edgments . . . . . . . . . . . . . . . . . . . . ri gh t roma n Previous Reports. . . . . . . . . . . . . . . . . . . . right roman 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

- 1 Bibliography. . . . . . . . . . . . . . . . . . . . . .... 37 )

\

l Appendixes A. Thermophysical Property Values. . . . . . . . . . 39 B. Experimental Data . . . . . . . . . . . . . ... 41 Glossary. . . . . . . . . . . . . . . . . . . . . . . 47 l

I 27 Approved: January 25, 1978

\'

PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS Exhibit 9 CONTENTS ABSTRACT . . . . . . . . . . . . . . . . . . . . . . . . . . . iii

. 5UMMARY. . . . . . . . . . . . . . . . . . . . . . . . . right roman

1. INTRODUCTION. . . . . . . . . . . . . . . . . . . . . . . 1

2. EXPERIMENT DESIGN . . . . . . . . . . . . . . . . . . . . 3 2.1 Test Train . . . . . . . . . . . . . . . . . . . . . 3 2.2 Flow Shroud. . . . . . . . . . . . . . . . . . . . . 3 2.3 Fuel Rods. . . . . . . . . . . . . . . . . . . . . . 8 2.4 Instrumentation. . . . . . . . . . . . . . . . . . . 10 2.4.1 Test Train Instrumentation. . . . . . . . . . 10 2.4.2 Fuel Rod Instrumentation. . . . . . . . . . . 12

3. EXPERIMENT CONDUCT. . . . . . . . . . . . . . . . . . . . 16 3.1 Preconditioning. . . . . . . . . . . . . . . . . . . 17 3.2 Power Increase and 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 Rod IE-007. . . . . . . . . . . . . . . . . . 33 4.1.2 Rod IE-008. . . . . . . . . . . . . . . . . . 38 4.1.3 Rod IE-009. . . . . . . . . . . . . *. . . . . 38 3 4.1.4 Rod IE-010. . . . . . . . . . . . . . '. . . . 40 1 4.2 Discussion . . . . . . . . . . . . . . . . . . . . . 40

5. EXPERIMENTAL RESULTS AND COMPARISON OF CALCULATED AND MEASURED FUEL R00 BEHAVIOR. . . . . . . . . . . . . . 42 5.1 Analytical Model . . . . . . . . . . . . . . . . . . 43 5.1.1 Fuel Rod Model. . . . . . . . . . . . . . . . 43 5.1.2 Experimental Conduct Model. . . . . . . . . . 44 5.2 Cladding Elongation. . . . . . . . . . . . . . . . . 44 I Approved: January 25. 1978 28 l

1 e

, I s 1

-< PUBLICATION OF UNCLASSIFIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS NRC Appendix 3202 Exhibit 10 CONTENTS OPENING REMARKS (W. P. Bishop). . . . . . . . . . . . . . -. . . 1 1

TOPIC 1: VALUES AND IMPACTS OF WASTE PARTITIONING. . .... 5 Partitioning--An ERDA Overview (R. D. Walton, Jr., -

V. G. Trice, Jr., and K. D. Dance) . . . . . . . . . . . 6 Discussion ..................... 22 Partitioning--Fired or Foe? (J. W. Bartlett). . . . . . . 24 Discussion .................... 34 A Program to Establish the Technical Feasibility and Incentives for Partitioning (J. O. Blomeke). . . . . . 38 Discussion. . . . . . . . . . . . . . . . . . . . .. 49 i 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 topic 11: HAZARDS IN RADI0 ACTIVE WASTE 015P05AL. . . . . . . . 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

NRC Appendix 3202 PUBL3 CAT 10N OF UNCLAS$1FIED REGULATORY AND TECHNICAL DOCUMENTS PREPARED BY P C CONTRACTORS a

11 . Abbreviations and Symbols i

When the abbreviations and symbols used in the report are numerous, and when there is a possibility they will' not be understood by the intended audience, include a separate section for them. The list, labeled as' t.uch,. Shall appear as the __

last item of the front matter on a new rfght-hand page.

D. TEXT /

i

l. Title of Report R

5 i

The title of the report shall .be repeated on the..hrst page of text. It shall be centered at the top of the page, dl.e a chapter or section title, j

v. ,

2. Introduction (Optional) i Not every report needs an. introduction. Where background in-formation essential to an understanding cf the text is neces- ~

sary, include an introd2 tion.'Otherwise, tic'liground informa-tion shall be included in the preface.

j The introduction follows the pnaface (or acknowledgments), be- T, "

ginning on a new page. As the first text page, it shall be

'.g unnumbered but conside.ed as page number 1. If there is no introduction, begin the report with'the first major text head- ".

ing, after repeating the report title. '

3. Paper -

Plain, white, bond paper shah be used. Company lettet head is not acceptable. -,

4. Typino Instructions Paragraphs shall be single speced and typed flush left in bb::k style (no paragraph indentations). Double space between para-graphs, triple space befort headings, and double space Mter headings.

S. Imaoe Area The image areas for typing shah be 6 x 8-l/2 in.

6. Page Nu_mbering Pages shall be n' umbered cont,ecutively throughout, with small Roman numerals for all froni matter and Arabic numtrals for all text and back matter. The report will be printed on both sides of the paper; tnerefore, all left-hand pages must carry even numbers, and all right-hand pages, odd numbers.

Approved: January 25. 1978 30 3 a

___ __-_.____ _ - _ _ _ - - - - - - - - - - - - - - - - - - - - - - - - ' - - ' - - - ~ ^ ~ ^ ^ ' ^ ~~

n_

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

'1 New chapters may begin on a new page; either a left- or right- >

Page numbers shall be centered one-half inch t hand page.

? 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. P,r,yjtocopied Text Pages reproduced by photocopying machines are ng acceptable as camera-ready material. Photographically reproduced pages (using photographic print paper) are acceptable. i l

t 8. Footnotes Footnotes in the body of the report shall be used only for ex-planatory material not extensive enough to comprise an appendix.

p Nota citing references to literature used in the preparation of the 'ttport 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 shalt appear above the first footnote.

Single, double or triple asterisks or daggers shall be used to mark footnotes in the text and at the bottom of the page.

E. BACK MATTER

l. References

a. Format. Citations of source documents in technical and a research reports shall be numbered consecutively in the f order in which they appear in the text and collected in a h , reference section. For short reports (20 pages or less),

' the reference section shall appear at the end of the report directly following the text. For long reports, reference sections shall appear at the end of each chapter or major section. In either case, reference sections are labeled as such and may begin at the end of the text or on a new page. For reports with more than one reference section, if a citation appears in separate chapters or sections, it

, shall be repeated in each appropriate reference section.

• Multiple line citations shall be typed single space, with double spacing between citations.

31 Approved: January 25, 1978

\?

i e o ..

PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appoadix 3202 TECHN] CAL 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. The provisions of 10 CFR 2.740 and 10 CFR 9.4 require that written, reproducible material used as source material in NRC regulatory and technstal documents produced by its contractors and subcontractors be readily available for inspection and copying or be documents ordinarily available from a public library. ,

Accordingly, reference citations must be presented in a format recognizable by a librarian. Citations to infor-mation not available in the open literature shall state where the document can 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 ceclassifiable) information con-tained in proprietary or classified documents must be used as source material, it should be (1) inserted in the body of the text or as a footnote to the text, (2) copied anc placed in an appehdix, 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 preser)ted.

Accordingly, proprietary documents and classified documents (omit the title if the title is classified) may be referenced when necessary. This ty pe of reference should include a statement such as the following: This document is not publicly available because it contains proprietary (or national security) information.

2. Bibliography Citations of other documents pertinent to the subject but not referenced in the text shall be listed in a bibliography.

Bibliographic entries shall be arranged alphabetically by per-sonal or corporate author name.

The bibliography, labeled as such, shall follow the last ref-erence section in the text and begin co a new page, either right or left.

Approved: January 25, 1978 32 t ,

• e

57--

s i h yf f g J

> PU3tlCATION OF UhCLA5;1FfE0 REGul.ATORY ANO NRC Appendix 3202

. TigNICALDOCUMENTSF1EPAREDBYNRCCONTRACTORS

' j

,3. Appendi4. '

The appendix. -sh.W .wnprise information supplemental to the

^

reoort. The types .of n'aterial to be placed in the appendix are s

(a) explanations too long for footnotes but helpful to the reader N seeking further assistance or clarification, (b) passages from documents o ' laws that support or illustrate the tut, or (c) long charts or tables.

The first appendix shall appear on the first right hind page directly after the reference section or bibliography. Each additional appencix shall begin on a new i,tge, either right or left. Each appencd shall be identified by a title and heading l cut-tered above the text. ,

c a;  ;

4. glossary l A glossary.shell ce included if the report contains man' terrns thet will be'urtamiliar to the intended audience. Terms shad be acr.anged alphabetically, with each new entry beginning on a now lins. Definitions shall follow the term on the same line, l

dictionary nyie.

'i The glossary, labeled es such! shall appear directly after the

^ appendix, beginning on a'new page, either right or left.

5. Distrib'utgrLList Thd distribution list shall cit + the NRC distribution category and any suppiemantal distribution the rtport is to receive. The supplemental recipients shall be listed by title and complete address, including Zip Code. It shall begin_ on a right.-harc

~

i 949'd -

F. GRAPHIC AND TABULAR f3ATTER I. Tf,bles Each teble shall h&ve a < number, in Arabic. numerals, and a title. The table number and title shall be centered above the table. Tab',es shall bt numbered sequentially throughout the

' v4xt or doeble-nun bared by chapter, such as 1.4, 5.6, etc.

Tables rhall be referred to-in the text by number rather than

!~ -

by direction (" Table 4" rathsr than "the above table") Wh?n a

/

t. sole 'must be continued from one page to the next, the table

~~ numbe'r. (" Table 3, Continued") and the column headings shall be repeated at th>t hvad ref the new page.

Pages containing full-page tables shall be n*>mbered in the same manner as regclar text pages.

33 Approved: January 25, 1978

- - . = _ _ _ . _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ __

PUBLICATION OF UNCLASSIFIED REGULATORY AND NRC Appendix 3202 TECHNICAL 00CUMENf5 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 throughout the text or doubled-numbered by chapter, such as i.4, 5.6, etc.

Figures shall be retferred to in the text by number rather than by direction ("Fi 0ure 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 ny 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 Spelal 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 POR for inspection and copying for a fee.

2. Internal Papers internal papers, Fuch as technical notes and minutes of mut-ings should not be referenced entess they are already availsble in the NRC Public Document Room (PDR) or will be made available in the PDR prior to issuance cf the report. For a '

tochnical note, list author (if any), title, and date, and state that it is "available in tha NRC PDR for inspection and copying .

for a fee." The same format is applicable to minutes of meetings. Calculations and working paoers should not be referenced. If the information in them is pertinent to tFe~ text of the report, it should be made part of the report as text, fcotnote, or appendix.

Approved: January 25, 1978 34 9 g .

l

V o, .

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

3. Personal Communications, Private Communications, Notes Regarding Visits References of the following type should not 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, l

in both instances place these remarks directly in the text, ,

since they do not represent any retrievable information.

4. Procedures. Manca!s Procedures manuals should not be referred to unless they are normally available. The citation 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 refer nce to documents.

5. Government Acency Printed Documents and Drafts that Have Been Made Available to the Public for Comment For draft reports:

U.S. Nuclear Regulatory Commission, "Draf t Generic Environmental Statement on the Use of Recycle Plutonium in Mixed Oxide Fuel in Light Water Cooled Reactors ,"

USNRC Report N U R EG-0002, Vols. 1-5, April 1976.

Available in NRC 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 i Service, Springfield, Virginia 22161.

i 1

L R. O. Meyer, "The Analysis of Fuel Densifkation,"

USNRC Report NUREG-0085, p. 48, July 1976. Available  ;

for purchase from National Technical Information Service, Springfield, Virginia 22161. i i

35 Approv ed: January 25, 1978 l 1

i

i NRC Appendix 3202 PUBLICATION Of UNCLASSIFIED REGULATORY AND 4 TECHNICAL DOCUMENTS PREPARED BY NRC CONTRACTORS j l

6. NRC Contractor Reports and Reports Prepared on Interagency Agreements M. A.M. Shinaishin, University of Arizona, " Dynamic Simu- }

lation of a Sodium-Cooled Fast Reactor Power Plant," p.

196, USNRC Report N U R E G-Oll0, September 1976.

Available for purchase from National Technical Information Service, Springfield, Virginia 22161.

G. L. Bordner and others, " Pretest Analysis SLSF In-Reactor Experiment 62," USNRC Accession No. 771090001, prepared for NRC by Argonne National Laboratory ,

October 1976. Available in NRC POR for inspection and copying for a fee.

7. NRC Applicant Document Exxon Nuclear Company, " Preliminary Safety Analysis Re-port," Vol . 3, p. 5.4-3, Nuclear Fuel Recovery and Re-cycling Center, Docket 50-564, April 1976. Available in NRC PDR for inspection and copying for a fee.

8. 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 The format given in item G.7 for applicant documents may be used for licensee documents, with the docket number or the license number.

10. Books S. Glasstone, Sourcebook on Atomic Enerov, p. 155, D. Van Nostrand Co. , Inc. New York,1974.

11. Conference Papers Unpublished conference papers should~ not be referenced. The information being used should be statedTn 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 conferenct papers should be referenced as follows:

J. L. Russell, " Potential Environmental Advantages from Partitioning of Radioactive Waste," p. 83 in Proceedings of Approved: January 25, 1978 36 t a

• _ . . . _ . . - . - _ _ - - - _ _ . - - ~

4

~

r s PUBl.1 CAT 10ti' 05 UMCI.ASSIFIED REGULATOR. AND

^

TECHN! At. DOCUf! emf 5 PREPARED BY NRC CONTRACTORS NRC AppenJiu 3202 the Conf erence on the Management of Red oscts.e n wte.

waste Partitioning as an Alternat n,e, llSNRC Cc.:terence Report CONF-001, J7ne7976. Available Icr purchase from National Technical Information Service, Springt.elc.

Virginia 22161,

12. Journal Articles. Magazine Articles, Newspaper; Articles S. D Shearer and C. h . Still, "Evaluatic's of Atmospheric Radon in the Vicinit) of Uranium Mill Tailings," Health-Phi secs 17, 77-88 (19761 Available in public technical librarees.

"Wh> the Nuclear Power Race Worries the U.S. ," p. 68, Business Week, August 23, 1976. Available in public libraries.

" Argentina Says it Has Atom Fuel To Triple its Electrical Capacity," p. 53, The New York Times, August 31, 1976.

Available in pub'lic libraries.

13. University Theses J. J. Jacobs, " Programming Language i for the Varian PLCU," Master's Thesis, p. 70, North Carolina U niversity ,1971.

14 Codes and Standards

" American National Standard Requirements for Collection, Storage and Maintenance of Quality Assurance Records for Nuclear Power Plants," ANSI N45.2.91974 Available f rom American National Standards Institute, 1430 Broadway, New York, N.Y. 10018, Copyrighted.

"Draf t American National Standard Requirements for Collection, Storage, and Maintenance of Quality Assurance Records for Nuclear Power Plants," ANSI N45.2.9, Rev. I, -

Draft I, February 1976. Available from The American Society of Mechanical Engineers, 345 East 47th Street, '

New York, N,Y. 10017.

I i

37 Approved: January 25, 1978

=

'. . ExMbit 11 NRC Appendix 320t

' PUBLICATION OF UNCLA151FIED

?

• KRA.ATORY AND TEONIICAL U. S. Nuoleer Repdeetwy Conesunson j DOCLSWIT5 PREPARED BY NRC PROCEDURES FOR PUBLICATION OF CGITRACTORS FORMAL CONTRACTOR DOCUMENTS

• Prepam report in easedanse, whh NRCat Appensus 320ZPort IV or senerester wrkean adleertal seendards d

Obtain NUflEGE,R nuamber by esSing 301 d02 7508 er by edenission of NRC Fene d 28 as TDIC" i r is suport psepared under en

_ __ . sweenent?

Y/ \"'

Propes tMis page sig Prepse er draft thee sneer in emessennes whh page and esser in NRC Fenn 173 "Ternes and esserdenes whh NRCM Appendhi e % "' Edades 2. 3, and 4 3292 Esthe 1 med 2 M f Propero en sheerest of 200 weeds or less 4

Ionnoin poemit r=iew, w appn ede 1 4

Ioenen soeuray e.r6ew,if appineshie l 4

lOben draft review by NRC if applissbie l 4

I Deternuno deseHhudea l I A l l

Propero reproduedde nessaars in esserdense wHh NftCM Appendt 3202 Part IV  ;

4 l Is report to em peinend by NRC7"* l no / \ vas IAust he printed by e JCP Send repredneshie nessers escherteed printing plant ased NRC Fenn 438 to TIDC 4

Subenet metasient report emples, one reprodustMe snester, and NRC Fenn 435 to TIDC 9er distrihetten

'9se NRCRA 3202 or NRC Penn 173 " Terms and Conditions," hans 12. for dean 6 tion.

Conspeses preenderes (NRCM 3292) sud fenns wiey he obenned try selling 301482 7908.

"Destolen of Teshnical infernneelen and Desussent Cenerol, Londow 212, U. S. Nuoleer Repdseery Conenamien, Washington, D. C. 20585

'*N DOE senwester, see NRC Form 173 "Tenns and Condkiens,"itsen 12, for printbeg audier-h if not DOE senererter er seher povernment agency, pronting suust he done by NRC.

Caneset 1. NRC Teshnisei Menker for conteet er Stenderd Order for Wertt.

2. D6eisten of Teshniaal indenneteen and Doesnient Control, Telephens 301482 7908,

• O~ Approved: February 10, 1978

4 NRC Appgndia 3203 Exhibit 12 PUBLICATION OF UNCLAS$1FifD REGULATORY AND VECHNICAL DOCUMENTS PREPARID BY NRE CONVRACTOR5 U. S. Needser Repleiery Commessen PROCEDURES FOR ISSUANCE OF INTERIM CONTRACTDR REPORTS

• Prepare report in esseedense with NRCM Appendet 3332 Port IV or sentractor wel1on editertel standesde d

Propero emes page in essesdense wHh NRCM Appendes 3202 enhbst 7 or NnCe_ y 1,,3_g_ lerus and 7

4 1 omeen - .ornow. n espuesMe 1 l 4

l Obseen security possesr,if espleeMe ]

4 l Deepenene esierthweien l 4

le repoe1 to be prented by NRC?l 4Y \ Y

l Dugdesses teentractor) Prepare reprod esMe snesters A en esserdenne wvth NRCM Apposelm 3202 Port IV es report to be diserthused by NRCP E send reprodussene enseners and

"*a( Nyas completed NRC Fonn 428 to TfDC'*

l 3,,,g m g, for pnetsne and distribution eseert to eth M **"8I'"d NRC Fonn M W NRC*Farm , g, 4,28 and a espese of the deswh list denuneent to TIDC for distresution 4

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• Send NRCM 3202 or NRC Form 173 " Terms and Condetions ** item 12. for siefenstion.

Complete procedueos (NRCM 3302) and forme sney be obsesnad by casing 301492 7586.

"Diesnien of Toshnscal infee. wtion and Desumesst Centrol, Londow 212, U. S. Noelaar Repletery Commission, Washington, D. C. 20EEE,

Contact:

1. NRC Toshnical Monisse for sentreet er Standwd Order for Werk.

2. Division of Toshnssol latermetion and Desument Canesel, Telephone 301492 7 ties.

Approved: Febevery 10. 1978

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i. 5og.C Ta T.on, Con r a.CT,=co.F.c a T.o. Fc ATTACHMENT 4

" - o' CONTR ACT PRICING PROPOSAL COVER SHEET neOT E Th.e term .e vase en centrari ers.ene af :.r nr of east er orienne 3A.does NawE sa ano recuered viv LE($se or orFA A f f 8044/81J rEmon ~5 'oiNT Je T E L E pwoNE No g maus ano apontal or orFE mon gi es e gp co.es or Conf aCT A TYPE OF CONTR ACT ACTION #cneces A NEW CONTRACT O L E TTE R CONTR ACT_ , _

8 CHANCE OROE A E UNPRICE O OROL A C. PRICE REvtS40N/

• RE DE TE RMINAf TON -

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• pt or Cont a ac t seneem t 6 PROPOSEO COST 4A. secs ~

4. Paorif / FEE C. TOTAL FFP l~

ime CpFF CPtp CPAF A COST F Pe -l OTHER tspeestys F PLACE ($s AMo 8E meOOtta OF PE RFom"A"'CE 1

A line stern Cost tresadown supportseg tnag recap si re 3 L.gg and reteeence ene egentef htoon. gasentefy and totas price proposed for amf:n Contra.ct ene line stem pa peser sr nee. ry U.e . ne es,.,e , j ev.,se - c= oiner..us nose.fesa tiv the Conerect.no OO.cee sceassa e e. ,.w e.

C. OU ANTITY O TOTAL PR8CE E REF 5 10ENTIF 8CATsON A tsNE STEM NO 9 Pf40vlOE NaME. AOORESS. ANO TE LE PHONE NUMBE R FOR THE FOLLOWING sit ewes 4 eae e

5. avolf oFF4CE a CONT eaC Y mom *N'5 Tea TioM oFF 4CE 66A oo vov mEov.mE covEmm. s se T vet oF s tNaNo=G .. e=e, vov stoviet Tut vst or any covEnhutNT e y; asENT Comt maCT rimancinc to w.6 see fL4E PE me ommamCE os TMis woest's.t "Yes." aseari,most m T v mROGRFSS To et eromu,Twes amoeost o AOvaNC8

{oNT a,C T 8 f f "Yes. " ee-pee te PAYMENT $ PavMENT$

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la Cost ACCOUNTING STANDARDS BOARD (CASSI OAT A sp.edae Lee 9 f J,9 as amen.ed an. FA R P A Af J0J a wt.L.L r.**.e5 C.D.MT.u 5. N,~a v E, vou. 5.v. 5..M.i,T,,T E. ,D.a. C.A.55..O.*.5C.h.ol.v

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ACCOUNTirec Loa ec t wif ST eassoanot'al, vo ve oetC "LotumE ST ATEnstaf Yes." espeman on COST en propeggi) STaNoamose r "yes."esygen am peepeeestCOST aCCovNiiNG C VES NO VES NO Th.g precomes .e swam.egees en coecones to the RFP contreet mos.fices.en ete en inom I and eettacts our tiest estimoges anofor aetwee costs as o' vn.$ eate Il MaME a8eo TeTLE (Type)

36. MaWE OF F gam 16 oATE OF bypM.55aoM 47 $6cNaTvaE i seem , Sea.et. sat.ge*S las3 teI STAND.ARD preece.a e e, CS AFORE 8 let t le 8Ji e e 3. austasmas fatef tm6 Erf 8G : eens. 4 te-tee a am 146 CF 81 53 Ill I489

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• STANDARD FORM 1411 WITH INSTRUCTIONS

1. 5F 1411 provides a vehicle for the offeror to submit to the Government a l pricing proposal of estimated and/or incurred costs by contract line item l 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 1ine  ;

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, sussnary total amounts covering all line items must be furnished for each cost element. If agreement has been reached with Government representatives en use of fonvard 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 sunsnary of individual material quantities included in the various tasks, orders, or contract line items bein 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 each subcontract over $500,000, the support should provide a listing by source, item quantity, price, type of subcontract, t degree of competition, and basis for establishing source and reasonableness of price, as well as the results of review and evaluation of subcontract proposals when required by FAR 15.806.

Standard Commercial Items - Consists of items that offeror normally 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 a cost breakdown; if priced at other than cost, provide justification for exemption from submission of cost or pricing data, as required by FAR 15.804-3(e).

Interorganizational Transfer (at other than cost) - Explain pricing method ,

used. (See FAR 31.205-26).

Raw Material - Consists of material in a fonn or state that requires further processing. Provide priced quantities of items required for the proposal.

Purchased Parts - Includes material items not covered above. Provide priced quantities of items required for the proposal.

Interorganizational Transfer (at cost) - Include separate breakdown of cost by element.

Direct .1. abor s Provide a time-phased ' (e.g. , _ monthly, quarterly, ' etc.)

breakdown of lab 2r hours, ratas. -and cost by ' appropriate category, and furnish bases for estimates, Indirect Costs - Indicate how offeror 'has computed and applied offeror's indirect costs, including cost breakdowns, and showing trends and budgetary data, to provide a basis for evaluating the reasonableness of proposed rates. Indicate the rates used and provide an appropriate explanation.

Other Costs - List all other costs not otherwise included in the categories described above (e.g., special too)ing, travel, computer and consultant y 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 Pa9e for each separate royalty or license fee: name and address of j licensor; date of. license agreement; patent numbers, patent application  !

serial' numbers. 'or other basis on which the royalty is payable; brief description (including any part or model numbers of each contract item or:

component on which the royalty is payable); percentage or dollar rate of-royalty per unit; unit price of contract ites; number of units; and total-dollar amount of. royalties. In addition, if specifically requested by the.

Contracting Officer, provide a copy of the current license agreement and identification of applicable claims of specific patents. (See FAR 27.204 and 31.205-37).

Facilities Capital Cost of Money - When the offeror elects to claim facilities capital cost of money as an allowable cost, the offeror must submit Fom CASB-CMF and show the calculation of the proposed amount (see FAR31.205-10).-

2. As part of the specific information required, the offeror must submit with offeror's proposal, and clearly identify as such, cost or pricing data (that is, data that. are verifiable and factual and otherwise as defined at FAR 15.801). In addition, submit with offeror's proposal any information reasonably required to explain offeror's estimating process, including;

a. The judgmental factors applied and the mathematical or other methods used in the estimate, including those 'used in projecting from known data; and

b. The nature and amount of any contingencies included in the proposed price.

3. There is a clear distinction between submitting cost or pricing data and merely making available books, records, and other documents without identification. The requirement for submission of cost or pricing data is met when all accurate cost or pricing data reasonably available to the offeror have been submitted, either actually or by specific identification, to the Contracting Officer or an authorized representative. As later information comes into the offeror's possession, it should be promptly submitted to the Contracting Officer. The requirement for' submission of cost or pricing data continues to the time of final agreement on price.

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' 8. Change Orders (modifications).

Cost Of Estimated Deleted Cost of All Work Cost Work Already Net Cost To Cost Of Net Cost Of Elements Deleted Performed Be Deleted Work Added Change Reference (1) (2) (3) (4) _(5) (6) (7)

Under Column (1) - Enter appropriate cost elements.

) Under Column (2) - Include (i) current estimates of what the cost would i have been to complete deleted work not yet perfonned, and (ii) the cost of deleted work already perfonned.

Under Column (3) - Include the incurred cost of deleted work already performed, actually computed if possible, or estimated in the Contractor's accounting records. Attach a detailed inventory of work, materials, parts, components, and hardware already purchased, manufactured, or performed and deleted by the change, indicating the cost and proposed disposition of each line item. Also, if offeror desires to retain these items or any portion of them, indicate the amount offered for them.

j Under Column (4) -

Enter the net cost to be deleted which is the l

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 be deleted. When this result is negative, place the amount in parentheses. Column (4) less Column (5) =

Column (6).

Under Column (7) - Identify the attachmerit in which the information supporting the specific cost element may be found. Attach separate pages as necessary.

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4. In submitting offeror's proposal, offeror must include an index, appropriately referenced, of all the cost or pricing data and ir. formation 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.

E. 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 4 exercised at any time before award.

6. As. soon as practicable'after final agreement on price, but before the award resulting from the proposal, the offeror shall, under the conditions stated in FAR 15.804-4, submit a Certificate of Current Cost or Pricing Data.

7. ' Headings for Submission of Line-Item Sununaries:

A. New Contracts (including Letter contracts).

Proposed Contract Proposed Contract Cost Elements Estinate-Total Cost Estimate-Unit Cost Reference (1) (2) (3) (4)

Under Column (1) - Enter appropriate cost elements.

Under Column (2) - Enter those necessary and reasonable costs that in offeror's judgment will properly be incurred in efficient contract perfonnance. 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.  ;

under Column (3) - Optional, unless required by the Contracting Officer.

Under Column (4) - Identify the attachment in which the infonnation j 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 l

Cost Preproduc- Completed Work In Incurred Cost To Estimated Elements tion Units Process Cost Complete Total Cost Reference (7) (8) (9) (10) (11) (12) (13) (14)

Under Column (1) - Enter the cutoff date required by the contract, if applicable. ,

Under C61umn (2) - Enter the number of units completed during the period for which experienced costs of production are being submitted.

Under Column (3) - Enter the number of units remaining to be completed under  !

the contract.

Under Column (4) - Enter the cumulative contract amount.

Under Column (5) - Enter the offeror's redetermination proposal amount.  !

Under Column (6) - Enter the difference between the contract amount and the redetermination proposal amount. When this result is negative, place the amount in parenthesis. Column (4) less. Column (5) = Column (6).

Under Column (7) - Enter appropriate cost elements. When residual inventory exists, the final _ costs established under fixed-price-incentive and fixed-price-redeterminable arrangements should be net of the fair market 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 othemise available from offeror's records, enter in this colven 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 Coltans (9) and (10) - Enter in Column (9) the production costs frorn l 1

offeror's books and records (exclusive of reproduction costs reported in j Column (8) of the units coupleted as of the cutoff date. Enter in Column .

j (10) the costs of work in process as determined from offeror's records or j inventories at the cutoff date. When the amounts for work in process are .l not available in Contractor's records but-reliable estimates for them can be l made, enterbetween the estimated amounts in Column and enter in Column of (9) the costs (10)(exclusive reproduction differences the total incurred '

costs) as of the cutoff date and these estimates. Explain the basis for the estimates, including identification of any provision for experienced or  ;

l anticipated allowances, such as shrinkage, rework, design changes, etc. '

Furnsih experienced unit or lot costs (or labor hours) from inception of contract to the cutoff date, improvement curves, and. any other available production cost history pertaining to the item (s) to which offeror's proposal relates.

Under Column (11) - Enter total incurred costs (Total of Columns (8), (9),

and(10)).

Under Column (12) - Enter those necessary and reasonable costs that in Contractor's judgment will properly be incurred in completing the remaining work to be performed under the contract with respect to the item (s) to which Contractor's proposal relates.

Under Column (13) - Enter total estimated cost (Total of Columns (11) and (12)).

Under Column (14) - Identify the attachment in which the information supporting the specific cost element may be found. Attach separate pages as necessary.

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