ML20238C815
| ML20238C815 | |
| Person / Time | |
|---|---|
| Issue date: | 08/25/1987 |
| From: | Felthous R, Thompson R NRC OFFICE OF ADMINISTRATION & RESOURCES MANAGEMENT (ARM), RESOURCE TECHNICAL SERVICES, INC. |
| To: | |
| Shared Package | |
| ML20238C792 | List: |
| References | |
| CON-FIN-B-8786, CON-NRC-03-87-119, CON-NRC-3-87-119 NUDOCS 8709100394 | |
| Download: ML20238C815 (127) | |
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' AWARD / CONTRACT-
- h. CON T R AC T (Proc. Jnst. Iden t.) NO.
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- 4. REQVISIT40N/ PURCHASE REQUE51/ PROJECT NO.
j p j NRC-03-87-119-03 AuauSt 28, 1987 RS-01E-87-119 i
- s. es>UED sY 6. ADMINISTERED ev <st oth,, th.n i,,"
l CODE I U.S. Nuclear Regulatory Commission Division of Contracts Washington, DC 20555 4
- 7. N AME AND ADDRES$ OF CONT R ACTOR (No.. street. city, coun ty. .St.te and ZJP Code) 8. DELt VER Y 1
Resource Technical Services, Inc. Orosoaici" Bo'"ea<=~'->~> i
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Attn: Mr. Roger A. Felthouse, President '-
4690 W. Bancroft Street 'l Toledo, OH 43615 1 1
- 10. SUBMIT INVOICES (d copies unless othen l ITEM
.__ .,,, ,,,,,,ud) TO TH E See B1ock 12 CODE F ACilITV CODE ADDRESS SHOWN IN:
- 13. AUT HORITY f DR U5tNG OTHER T HAN F ULL AND OPEN COMPC'T47 14. ACCOUNTING AND APPROPF.l AiION OAT A l
FI" B-8786 APPRO. N0: 31X02dp.207 l O 'o u s c 23ouc" >
0 4' u.s c 2saic" > Bh.. d0:20-19-50-12-2 AMT. 03L. $ 39,000.00 lbA. ITEM NO 150. SUPPLIE S/SE RVICE S 15C. QUANTITY 150. UNIT 15E. UNIT PRICE ISF. AMOUNT SERVICES TO PERFORM " TECHNICAL ASSISTA!!CE IN DEVELOPING AND I IMPLEMENTING FUNDING WILL PROGRAMS ;ND PROCEDURES FOR REACTORS REQUIRING SPECIAL INSPECTION RE iOURCES" BE SPECIFIED l IN ACCORD 4NCE WITH THE STATEMENT OR WORK HEREl i AND AS FURTHE R IMPLE iENTED BY IN EACH RESOURCE TECHNICAL SERVICES, INC. 'S TECHNICAL AND COST PROPOS 4L #NRC -8706 INDIVIDUAL DATED MAR:H .19, 1987, AND AS AMENDED BY REVISI )N DATED MAY 19 , 1987, AND YOUR TASK ORDER ,
CORRECTED COST PROPOSAL DATED AUGUST 7,1987 W IICH ARE INCORP) RATED 1EREIN BY ISSUED. 1 REFERENCE. ESTIMATED Cost-Plus-Fixed-Fee Task Orderino Tyne Contract ' 1SG. TOTAL AMOUNT OF CONTRACT > $ 3.066.035.00 c 16. TABLE OF CONTENTS l
li WlSEC.] DESCRIPT10N lPAGE(S) V) (SEC. l DESCRIPTION lPAGE(S)
PART I- THE SCHEDULE PART Il- CONT R ACT CL AUSES A SOLICITATION / CONTRACT FORM l l 1 l CONTR ACT CLAUSES l 288 O SUPPLIES OR SERVICES AND PRICES / COSTS 2 PART IH - UST OF DOCUMENTS. EXHIBITS AND OTHER ATT ACH. ]
C DESCRIPTION /SPECSlWORK ST ATEMENT 3-5 l .: 1 LIST OF ATTACHMENTS l 28 D PACKAGING AND MARKING 5 pad 7 tV - REPRESENTATIONS AND INSTRUCTIONS E INSPECTION AND ACCEPTANCE 6 K REPRESENTATIONS. CERTIFICATIONS AND I 6
F DELIVERIES OR PERFORMANCE 6 OTHER STATEMENT 9 OF OFFERORS G CONTRACT ADMINISTRATION DATA lh*l8 L INSTRS , CONOS.. AND NOTICLS TO OF FE RORS H SPECI Al. COUTR ACT REOulREMENTS 18-24 M EVALUATION F ACTOfiS FOR AWAPD CONTRACTING OfflCER WIL L COMPL ETE ITEM 17 OR 18 AS APPLICABL E
- 18. AWARD (Centractor is not required to sign this clocument.) Your h CONT RACTOR'S NEGOTIAT ED AGREEMIENT (Contmetor is re.
Nnlesc#fo NrNs tb#"n$sYaE"oeYou u stem orOEtErm#'s a e"NfvNs#M n no NNteUsYr'hanges mece by you which accetsons or changes ns ue a non s o r Th rechts e is to of the 6 to this on a y to 6 uat n 61estS T e ee n r tes h n act wh cNcon.
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19A. NAME AND TITLE OF 5tGNER (l'ype or print) 20A. tiAME OF CONT 8709100394.870025 g gg
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190. OF CONT RAC __gjj 19C.DATE 5eGNED 200. uni 1 ED 5T AT ES O{ AME Rl0 A 20C. DALE SIGNED gy gy $ t 9' Q i b '/ 'd
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naturv of person authorned to esen) '\ (Sienatune of Coh tninetans' Offscert b ' E ]i NSN 754&O3152 8069 26 J07 d STANDARD FORM 26 (REV. 4 8b)
PREVIOUS EDITION UNU$AULE ri ga C R 214(a)
- GPO 1905 0 - 461-275 (419) ;
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Additionally, the following sections are completed and revised as follows: 'l
- 1. Paragraph B.2 Consideration and Obligation I
- a. The total estimated amount of this contract (ceiling) for the )
products / services ordered, delivered, and accepted under this contract is $3,066,035.00 .
- b. The amount presently obligated with respect to this contract is
$39,000.00 '
- 2. Paragraph F.5 Place of Delivery, Paragraph F.5.a, Project Officer and 5.5.b, Contracting Officer is completed as follows:
- a. Project Officer (1 copy)
"U.S. Nuclear Regulatory Commission Contract Number: NRC-03-87-119-03 Office of Nuclear Reactor Regulation Mail Stop: Phillips Bldg - 522 Washington, DC 20555
- b. Contracting Of ficer (1 copy)
U.S. Nuclear Regulatory Commission Contract Number: NRC-03-87-119-03 Office of Administration and Resources Management
- Mail Stop: AR-2223 Washington, DC 20555
- 3. Paragraph F.6 Duration of Contract Period The ordering period for this contract shall be effective on August 28, 1987 and will expire on August 27, 1990. {
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- 4. Paragraph G.1 Indirect Rates i
- a. Pending the establishment of final indirect rates which shall be l
negotiated based on audit of actual costs, the Contractor shall be l reimbursed for allowable indirect costs as follows: l Ca te_qo ry Rate % Cost Base Aqplicable Period Overhead 4.68% Total Direct Labor 8/28/87 - 8/27/90 Cost (TDLC)*
Fringe Benefits 20.5% Direct Labor 8/28/87 - 8/27/90 G&A 8.48% Total Direct Labor 8/28/87 - 8/27/90 Cost (TDLC)*
Other: N/A
- TDLC - includes Fringe Benefits
. 5. Paragraph G.2 Project Officer Autho' rtty-
- a. The Contracting Officer's authorized representative hereinafter referred to as the Project Officer for this contract is:
Name:. James B. Henderson Address: Office of Nuclear Reactor Regulation.
Telephone: (301) 492-8425
- 6. Paragraph G.3 Travel Reimbursement.-
"a. total expenditure for domestic travel shall not exceed $300,000.00 without the prior approval of the Contracting Officer."
- 7. Paragraph H.1 Key Personnel "a. The following individuals are-considered to be essential,to-the successful performance of the work hereunder."
Mr. ~ Dan Ford l Mr. Roger Felthous Mr. Phillip Henzler Mr. Michael Marlin Mr. James McCrary 9
a______--____-_____----_-__-___________--___-_. _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
4
, " 01 E-87-119 i j
PAGE 2 l
l Section B - Sepplies or Services and Prices / Costs 6.1 Brief Descriptier, of Work i lechnical Assistance to the NRC Region 61 and Headquarters Staff in I '
ceveloping and Implementing Programs Frd Procedures for Reactors with Unusual Problems During Design, Construction or Operation, Including Unplanned Outages. This it a task crc'er type contract in which the contractor will provide, occasionally on a rapid response basis, qualified personnel in the mechanical, electrical, instrumentation, civil, structural, geological, chemical, metallurgical, welding, nondestructive examination, bralth physics /radiatien monitoring and saf eguards/Ercurity, disciplines during design, manufacturing, construction, inspection, testing, operations and maintenance phases, lask orders will be placed related to nuclear facilities having i unusual problems and will include activdties requiring: 1)
Inforn.etion gathering and analysis of problems, 2) Data analysis and planning of inspection, 3) Augnenting NRC Inspections, and 4)
Verification of corrective actions.
B.2 Consic'eration and Obligatier'.
I
- a. The total estimated ancunt of this centract (ceiling) for the I products / services ordered, oelivered, ar.d accepted Under this ccrtract is . lhe Contracting Officer may unilaterally increase this amount as necessary for completion of .
orders placed with the Centractor during the contract period !
provioed such orders are within any maximum ordering linitation l prescribed under this contract. J
- b. The amount presently obligated with respect to this contract is ;
. The Contracting Officer or other Individuals specifically authorind under this contract may issue orders for ;
werk up to amour:t presently obligateci. This obligation amount may j
, be unilaterally increased frem time to time by the Contracting Officer by written modification to this contract. The obligation amount shall, at no time, exceed the contract ceiling as specified in paragraph a above. When and if the amount (s) pt.id and payable !
to the Contractor hereunder shall equal the obligation amount, the Contractor shall not be obligated to continue performance cf the j work unless and until the Contracting Officer shall increase the ariount obligated with respect to this contract. Any work i
undertaken by the Contrector in excess of the obligation amount i specified above is done so at the Contractor's sole risk. I
- c. A total estimated cost and fee, if any, will be negotiated for i each task order and will be incorporated as a ceiling in the resultant task order. The Contractor shall comply with the i provisions of 52.232 Limitation of Cost (APR 1984) for fully '
funded task orders and 52.232 Limitation of Funds (APR 1984) I for incrementally funded task orders, issued hereunder.
- To be incorporated into any resultant contract.
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OIE-87-119-
, PAGE 3 Section C - Description / Specifications / Work Statement C.1 Statement of Work ._
C.1.1 Background I The NRC has a continuing need to examine programs and policy and :
provide measures to enhance its primary mission to protect public '
health and safety, safeguards nuclear materials, and maintain environmental quality as related to peaceful uses of atomic energy.by ;
organizations over which the NRC has jurisdiction. Because of the significance of safety aspects of activities of licensees related to unusual problems during construction or operation (such as significant construction events or problems and unplanned outages),
the NRC must carefully monitor and inspect the work involved with the i resolution of such problems. The Code of Federal. Regulations 10, ;
, Part 50 " Domestic Licensing of Production and Utilization l Facilities," is applicable, particularly the following sections:
10 CFR 50.47 - Emerg'ency plans 10 CFR 50.54 - Conditions of license 10 CFR 50.55 - Conditions of operating license 1 10 CFR 50.57 - Issuance of operating license
, 10 CFR 50.59 - Changes, tests and experiments l 10 CFR 50.90 - Application for amendment of license or construction j permit '
10 CFR 50, Appendix A - General Design Criteria for Nuclear Power Plants 10 CFR 50, Appendix B - Quality Assurance Criteria for Nuclear Power Plants. (Note: These criteria are applicable to both construction and operation of nuclear power plants.)
10 CFR 50, Appendix E, - Emergency Planning and Preparedness for ,
Production and Utilization Facilities l C.1.2 Contract Objective
]
l On a Task Order basis, the contractor shall provide the NRC with specialized technical assistance for activities related to i significant problems during design, construction or operation, including outages. This may include providing engineering / scientific services to support Region and Headquarters specialized reviews and 1 inspections at nuclear power plants. 1 1
.3 L ole-87-119-
)1 l4 PAGE'4- l 1
1 C.1.3 Scope of Work This is a Task Order contract under which all Task-Orders will-be 1 issued by the NRC Contracting Officer. l Task orders require varying numbers and disciplines of
. engineering / scientific services and can potentially be performed at any nuclear power site in the United States, j Specific technical reporting requirements and delivery schedule will l be identified in each task order. Minimum reporting requirements ,
l will generally be a letter report upon completion of the task. )
l The contractor shall furnish the necessary qualified personnel, facilities, test / inspection equipment, materials, and services to. 1 oerform such tasks as followt:
(1) Provide technical assistance on rapid-response basis (when ]
required) to NRC Regional Offices to support specialized ]
inspections related to significant problems during construction j or operation, including unolanned outages.
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(2) Provide technical assistance to NRC in the development / compilation of information and technical ' data g (including inspections, meetings and document reviews at cocrating) nuclear plants, locations pertaining construction to significant sites and problems other during -
construction or operation.
j (3) Frotide technical assistance to NRC in the development of -
requirements and criteria for NRC programs and procedures for f specialized reviews and inspections pertaining to significant ]
problems.
1 (4) Provide technical assistance to NRC in developing and/or conducting special orientation programs to apprise insoectors of l specialized procedures and methods for performing NRC activities ;
related to significant problems. 1 (5) Provide technical assistance in conducting studies and review of licensee procedures to be employed on significant oroblems, and !
of licensee plans, procedures and techniques for specific problems during construction or operation. 1 (6) Provide technical assistance for performing inspections and.
analyses to determine the cause of significant problems and !
evaluating actions taken by licensee to avoid recurrence.
I (7) Provide technical assistance for performing and/or observing I technical tests and analyses, as required.
(8) Provide expert testimony and related documents as required by the NRC. ,
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DIE-87-119
,. PAGE 5 C.1.4 Level of Effort The exact number and scheduling of projects cannot be determined.
The contractor will be compensated only for work actually ordered and performed. If such requirements fail to materialize in the number estimated below, such failure shall not constitute grounds for an equitable adjustment hereunder.
The most likely level of effort is estimated to be 60 staff years, or 124.800 hours0.00926 days <br />0.222 hours <br />0.00132 weeks <br />3.044e-4 months <br /> of professional labor.- Please base your cost estimate on-these hours. Please note that in order to put.all offerors on an equal basis, you are also to compute your non-professional effort based on 4,000 hours0 days <br />0 hours <br />0 weeks <br />0 months <br />.of effort. Your cost proposal (See Section L.5) i is to be based on this total level of' effort. !
C.2 Travel
- a. All domestic travel requires the prior approval of the Project Officer,
- b. All foreign travel must be approved in advance by the NRC on NRC ,
Form 445 and shall be in compliance with 52.247-63 Preference For s U.S. Flag Air Carriers (APR 1984).
Each Task Order will specify any required travel to nuclear power plant sites throughout the United States, NRC offices in Bethesda, !
Maryland, NRC Regional Offices, and any other location as required for performance of work detailed in each Task Order.
In addition, it is anticipated that a least two oral briefings per l year will be held at NRC Headquarters in Bethesda, Maryland to review contractor performance and progress.
Section D - Packaging and Marking D.1 Packaging and Marking When Delivering a Product The Contractor shall package material for shipment to the NRC in such a '
manner that will insure acceptance by common carrier and safe delivery 1 at destination. Containers and closures shall comply with the !
Interstate Commerce Comission Regulations Uniform Freight !
Classification Rules, or regulations of other carriers as aaplicable to l the mode of transportation. On the front of the package, t1e l Contractor shall clearly identify the contra'ct number under which the - i product is being provided, l
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L OIE-87-119 PAGE 6-
- l. .i Section E - Inspection and Acceptance 1
E.1 Place of Inspection and Acceptance ' -
Inspection and acceptance of the deliverable items to be furnished
~ hereunder shall be made by the Project Officer at the destination.-
Section F - Deliveries and Performance F.1 Reports, Documentation and Other Deliverable End Items i
All technical reports required by Section C and all' Technical Progress Reports required by Section F are to be prepared in accordance with the attached NRC Manual Chapter 3202. NRC Manual Chapter 3202 is not applicable to the Spending Plan and the Financial' Status Report.
F.2 Technical Progress Report The Contractor shall provide a monthly Technical Progress Report to the Project Officer and the Contracting' 0fficer. 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:
- a. A listing of each task order completed during the period; milestones reached or, if missed, an explanation provided;
- b. Any problems or delays encountered or anticipated and-recommendations for resolution; (if the recommended resolution involves a contract modification, e.
requirements, level of effort.(cost)g.,orchange in work schedule delay, the Contractor shall submit a separate letter to the Contracting Officer identifying the required change and estimated cost impact).
- c. A summary of progress to date; and
- d. Plans for the next reporting period.
F.3 Financial Status Report The Contractor shall provide a monthly Financial Status Report to the Project Officer and the Contracting Officer. The report is due within 15 calendar days after the end of the report period and shall identify the title of the project, the contract number, project manager and/or principal investigator, the contract period of performance, and the period covered by the report. Each report shall include the following for each discrete task:
- a. Provide the total estimated cost (value) of the project and each task order as reflected in the. contract, the amount of funds available in the contract to date, and the balance of funds required to complete the work as follows:
l
OIE-87-119
, PAGE 7 i
i 1 Totsl Estimated Contract Amount, l
, 2 Total Funds Obligated To Date. -
Total Costs Incurred This Reporting Period.
3 4 Total Costs Incurred To date. i 5 Balance of Obligations Remaining. !
'6 Balance of Funds Required To Complete Contract. !
- b. Detail of all direct and indirect costs incurred during the 4 reporting period for each task.
- c. Update of the approved Spending Plan. ;
F.4 Fee Recovery Cost Status Section Pursuant to the provisions of NRC Regulation 10 CFR 170, provide the total amount of funds expended (costed) during the period and cumulative to date for each task (e.g., by facility, by Division or '
l Report), and report them on a separate pace as part of this report in i the format on the following page: )
FIN: -]
l TITLE:
PERIOD:
Planned Accomplish- Costs L; Facility Name/ Docket ment per Cumulative Costs 1 Report Title Number Number Period This Fiscal Year Task 1 j l
- l l !
i Task )
l NOTE: If there exists a task under this project that is relevant and comon* to several other tasks and the effort is required in order to perform the reviews, the costs for the comon effort must be prorated to each review to which it applies.
l
- Comon costs, i.e., fee-recoverable costs for services necessary for overall task performance that benefit all similar licensees within a single task, will be reported in the monthly letter status report as a single line item for each task and accrued on a monthly basis.
Comon costs include the following: preparatory or startup efforts to interpret and reach agreement on methodology, approach, acceptance I
l OIE-87-119
,. PAGE 8 criteria, regulatory position, or TER femat; efforts associated with the " lead plant" concept that might be involved during the first one-
. or two plant reviews as estimated by the contractor; -
meetings / discussions involving the above efforts to provide orientation, background knowledge, or guidance at the beginning or N during the perfomance of work; and any technical effort applied to a category of facilities, e.g., reactor analyses or all BWR facilities.
At task completion or the end of the fiscal year, whichever occurs first, cumulative comon costs are to be apportioned by the either of the following methods:
contractor (1) equallytotoaffected licensee all licensees, or by(2) in proportion to costs incurred 4 during the apportioning period. The specific method will be I determined by the NRR Technical Assistance Project Officer. {
l F.5 Place of Delivery, i The items to be furnished hereunder shall be delivered, with all charges paid by the Contractor, to:
- a. Project Officer (3 copies)
U.S. Nuclear Regulatory Comission Contract Number:
- Office of
- Division of
- Mail Stop:
- Washington, D.C. 20555 I
- b. ContractingOfficer(1 copy)
U.S. Nuclear Regulatory Comission Contract Number:
- Office of Administration Division of Contracts Contract Administration Branch Mail Stop: AR-2223 Washington, D.C. 20555
- To be incorporated into any resultant contract.
F.6 Duration of Contract Period.
. The ordering period for this contract shall comence on.the effective l date reflected in block 3 of the SF 26 and will expire
- l months thereafter. Any orders issued during this period shall be completed within the time specified in the order, unless otherwise specified herein. (See 52.216 Ordering (APR1984)).
- To be incorporated into any resultant contract.
1
O' 4 OIE-87-119 j o PAGE 9 1 F.7 FAR Citations j 52.216-18 ORDERING. (APR 1984) -
(a) Any supplies and services to.be furnished under this contract shall be ordered by issuance of delivery orders by the individuals or activities designated in the Schedule. Such orders may be issued.from the effective date of the contract through 36 months thereafter.
(b) All delivery orders are subject to the terms.and conditions of this contract. -In the event of conflict between 'a delivery order and this contract, the contract shall control.
(c) If mailed, a delivery order is considered " issued" when the Government deposits the order in the mail. Orders may be issued orally or by written ,
telecommunications only if authorized in the Schedule. I (End of. clause)
(R 7-1101 1968 JUN) 4 52.216-22 INDEFINITE QUANTITY. (APR1984) -
(a) This is an indefinite-quantity contract for the supplies or services i specified, and effective for the' period stated, in the Schedule. The quantities of supplies and services specified in the Schedule are estimates only and are not purchased by this contract.
(b) Delivery or performance shall be made only as authorized by orters l issued in accordance with the Ordering clause. The Contractor shall furnish to the Government, when and if ordered, the supplies or services specified in the Schedule up to and including the quantity designated in the Schedule as the l
" maximum." The Government shall order at least the quantity of supplies or I
services designated in the Schedule as the " minimum."
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OIE-87-119 4
, , PAGE 10 (c) Except for any limitations on quantities in the Delivery-Order Limitations clause or in the Schedule, there is no limit on the number of orders that may be issued. The Government may issue orders requiring delivery 1 to multiple destinations or performance at multiple locations.
(d) Any order issued during the effective period of this contract and not completed within that period shall be completed by the Contractor within the time specified in the order. The contract shall govern the Contractor's and !
Government's rights and obligations with respect to that order to the same extent as if the order were completed during the contract's effective period; provided, that the Contractor shall not be required to make any deliveries under this contract after 60 months after the effective date of the contract.
(Endofclause)
(R7-1102.3(b)1965AUG)
- Minimum and Maximum Contract Amount" I i
During the life of this contract, the Government shall place orders totaling a minimum of six (6) staff years of effort. Total orders placed during the life of the contract shall not exceed seventy-five (75) staff years of effort. For the purposes of this contract, a staff year is defined as 2080 hours0.0241 days <br />0.578 hours <br />0.00344 weeks <br />7.9144e-4 months <br /> per year of both professional and non-professional labor.
Section G - Contract Administration Data G.1 Indirect Rates
- c. Pcnding 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:
F
OIE-87-119 i
. PAGE 11 Category Rate (%) Cost Base Applicable Period ,
Overhead
. Fringe Benefits -
i G&A Other: ;
- b. The Contracting Officer may adjust the above rates as appropriate during the tem of the contract upon acceptance of any revisions proposed by the Contractor. It is the Contractor's responsibility to notify the Contracting Officer in accordance with 52.232 ' 1 LimitationofCost((APR1984)or52.232 Limitation of Funds (APR 1984), as applicable, if such ' change (s) affect (s) perfomance of work within the established cost or funding limitations. 3 G.2 Project Officer Authority. :
1
- a. The Contracting Officer's authorized representative hereinafter .
referred to as the Project Officer for this contract is:
Name: * , ,
Address:
- j s
{
Telephone Number: *
- b. Performance of the work under this contract shall be subject to i the technical direction of the NRC Project Officer. The term J
" Technical Direction" is defined to include the following:
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.1). Technical direction to the Contractor which shifts work l emphasis between areas of work or tasks, fills in details or I otherwise serves to accomplish the contractual statement of I work. I 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 teneral statement of work stated in the contract. The Project Officer does not have the authority to and may not issue any technical direction which:
1). Constitutes an assignment of additional work outside the general scope of the contract.
OIE-87-119
. PAGE 12 2). Constitutes a change as defined in the " Changes" clause of this contract.
I 3). In any way causes an increase or decrease in the total estimated contract cost, the fixed fee, if any, or the time required for contract performance.
4). Changes any of the expressed terms, conditions or specifications of the contract.
5). Terminates the contract or settles any claim or dispute arising under the contract, or issue any unilateral directive whatever. !
- d. All technical directions shall be issued in writing by the Project Officer or shall be confirmed by such person in writing within ten (10) working days after verbal issuance. A copy of said written direction shall be submitted to the Contracting Officer.
- e. The Contractor shall proceed promptly with the performance of technical directions duly issued by the Project Officer in the manner prescribed by this clause and within such person's authority under the provisions of this clause.
- f. If, in the opinion of the Contractor, any instruction or dirrction issued by the Project Officer is within one of the categories as defined in c above, the Contractor shall not proceed but shall notify the Contracting Officer in writing within five (5) working days after the receipt of any such instruction or direction and shall request the Contracting Officer to modify the contract accordingly. Upon receiving such notification from the Contractor, the Contracting Officer shall i issue an appropriate contract modification or advise the Contractor in writing that, in the Contracting Officer's opinion, the technical direction is within the scope of this article and does not constitute a change under the Changes Clause.
- g. Any unauthorized commitment or direction issued by the Project Officer may result in an unnecessary delay in the Contractor's performance, and may even result in the Contractor expending funds for unallowable costs under the contract.
- h. A failure of the parties to agree upon thre 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).
01 E-87-119.-
PAGE-13
, i. -In addition to providing technical direction as: defined above,t the Project Officer is responsible for:.
1). Monitoring the Contractor's technical' progress including surveillance and assessment.of performance, and recommending 4 to the Contracting Officer changes in requirements. '
2). Assisting the Contractor in.the resolution of: technical problems encountered during performance.
- 3). Reviewing all costs requested for reimbursement-by Contractor ,
and submitting. to the Contracting Officer recommendations for.
approval, disapproval - or suspension for supplies and. j services required under this contract.
- To be incorporated into any resultant contract.
G.3 . Travel Reimbursement.
- a. Total expenditure for domestic travel shall not exceed $
- without .the prior approvaliof the Contracting Officer. 1 l
- b. The Contractor will be reimbursed for reasonable domestic travel costs incurred directly and specifically in the performance of this contract. The cost limitations for travel costs are determined by the Federal _ Travel Regulations that are in effect on the date of the. trip. These Regulations specify the daily maximum per diem rates for s ecific localities within the Conterminous' United States (CONUS , the standard CONUS rate, the allowance for mealsandincidentalexpenses(M&IE)..thecostoftravelby privately owned automobile, and the items which require' receipts.
l The Contractor can obtain the Regulations from'the Superintendent of Documents, Government Printing Office, Washington, DC 20402.
- c. When the Government changes the Federal Travel Regulations,'it is the responsibility of the Contractor to notify the Contracting I
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 contract are established by the U. S. Department of State and are listed in a publication entitled " Maximum Travel Per Diem Allowances For Foreign Areas". Copies of this publication may be obtained from ,
U. S. Government Printing Office,' Washington, D.C. 20402 To be incorporated into any resultant contract.
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- _ _ _ = _ _ _ _ _ ______ _
OIE-87-119 PAGE 14' G.4 Method of Payment
. a. Payment under this contract will be made by wire transfer through the Treasury Financial Communications System for each individual i payment in excess of $25,000 and by Treasury check for each I individual payment of $25,000 or less.
- b. In the event that the Contractor's financial institution has J access to the Federal Reserve Communications System, the Contractor shall forward the following information in writing to i the Contracting Officer within seven days after the effective date i of the contract. 1 1). Name and address of organization.
2). Contact person and telephone number.
3). Name and address of financial institution. ,
I 4). Contractor's Financial institution's 9-digit ABA identifying i 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 Contractor's financial institution does not have access to the Federal Reserve Communications System, the Contractor shall forward the following infomation 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. I 2). Contact person and telephone number.
3), Name and address of financial institution.
4). Telegraphic abbreviation of Contractor's financial institution.
5). Account number at Contractor's financial institution.
6). Name and address of the correspondent financial institution that has access to the Federal Reserve Communications System.
) >
I I
.g 3 i
, . PAGE 15 7). Correspondent financia1' institution 9-digit ABA identifying ,
number for routing transfer of funds.
8). Telegraphic abbreviation of correspondent financial institution.
9). Signature and title of person supplying this information.
- d. Any changes to the information furnished under this clause shall be furnished to the Contracting Officer in writing. . It is the Contractor's responsibility to furnish these changes promptly to avoid payments to 'froneous bank accounts.
G.5 . Payment Due Date.
l a. Payments under this contract will be due 30 calendar days after the later of*
- 1) The date of actual receipt of a proper invoice in i accordance with the attached " Billing Instructions", or 1
- 2) The date the final deliverable product / service is accepted by -
the Government. 1 i
l b. For the purpose of determining the due date for payment and for no .i l other purpose, acceptance will be deemed to occur 30 calendar days i after the date of delivery of the final deliverable i product / service performed in accordance with the terms of the contract.
- c. If the final product / service is rejected for failure to conform to j the technical requirements of the contract, the provisions in i paragraph b of this clause will apply to the new delivery of the final product / service.
- d. The date of payment by wire transfer through the Treasury l Financial Communications System shall be considered the date I
payment is made for individual payments exceeding $25,000. The date a check is issued shall be considered the date payment is made for individual payments of $25,000 or less.
G.6 Interest on Overdue Payments,
- a. The Prompt Payment Act, Public Law 97-177(96 STAT.85,31USC 1801) is applicable to payment of the expiration invoice under this contract and requires the payment of interest to Contractors on overdue payments of the expiration invoice or improperly taken I
discounts.
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OIE-87-119 o .- PAGE 16
- b. Determinations of interest due will be made in accordance with'the.
provisions of the Prompt Payment Act and Office of Management and Budget Circular A-125, Vol. 47 Federal Register 37321, August 25, 1982. Among other considerations, 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 tems 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 I be computed from the day after the due date through the payment date.
- c. For purposes of this clause, an expiration invoice is defined as a claim submitted for costs incurred for performance through the expiration date of a Cost Type contract. l G.7 Remittance Address If item 15c. of the Standard Fom 33 has been checked, enter the !
remittance address below. I Name:
Address:
G.8 Task Order Procedures f a. Task Order Request for Proposal When a requirement within the scope of work for this contract is >
identified, the Contracting Officer will transmit to the Contractor a Task Order Request for Proposal which will include the following, as appropriate:
- 1. Scope of Work / Meetings / Travel and Deliverables.
- 2. Reporting Requirements.
- 3. Period of Performance - Place of perfomance.
- 4. Applicable Special Provisions.
- 5. Technical Skills Required.
- 6. Estimated Level of Effort.
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- b. Task Order Proposal
. By the date. specified in the Task Orde5 Request for-Proposal, the 1 Contrt.ctor shall deliver to the Contracting ,0fficer a written Task .
Order Proposal that provides'thes fc7(owing technical and cost infomation, as appropriate: !
,, y 3
1)( Technical Proposal' Content. . , ',
, x a). A discussion of the scope of work regyh9;ments to substantiate the Contractor's understanding of the i requirements of the Task Order and the Contractor's proposed method of approach to meet the objective of the order..
4 b). Resumes for professional personnel, proposed to be. I utilized in the performance of any resching task ,
order. Include educational background, specific a"P i pertinent work experience and a list of any pertinent
~
publications authored by the individual. Also verify ,
that no conflict of interest exists. .
s c). Identification of administrative support personnel and/or facilities that are needed to assist the professional personnel in completing work on the task
- , order. ,
I Identification of "(.cy Personnel" and the number of ,
' id). staff hours that will be committed to ecmpletion o(, work on the Task Order.
2). Cost Proposal '
The Contractor's cost proposal for each Task Order shall be prepared using the Standard Form 1411, Contract Pricing Proposal cover sheet. A copy of the fom and instructions; are attached to this contract. Each Task Order cost proposal shall be fully supported by cost and pricing data adequate to establish the reasonableness of the proposed amounts. When the Contractor's estimated cost for the proposed Task Order exceeds $100,000 and the period of perfonnance exceeds 6 months, the Contractor is required to submit a Spending Plan as part of its cost' proposal. Guidance for completing the Spending Plan will be provided with the Task Order Request for Proposal, i
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OIE-87-119 o
- PAGE 18
- c. Task Order Award
, The Contractor shall perform all work described in <lefinitized Task Orders issued by the Contracting Officer. Definitized Task Orders will include the following:
- 1. Statement of Work / Meetings / Travel and Deliverables.
- 2. Reporting Requirements.
- 3. Period of Performance.
- 4. Key Personnel.
- 5. Applicable Special Provisions.
6). Total Task Order amount.
i G.9 Accelerated Task Order Procedures
- a. The NRC may require the Contractor to comence work before receipt of a definitized Tast Order from the Contracting Officer.
Accordingly, when the Contracting Officer verbally authorizes, the Contractor shall proceed with performance of the Task subject to monetary limitation established for the Task Order by the Contracting Officer,
- b. When this accelerated precchre is employed by the NRC, the Contractor agrees to begin promptly negotiating with the Contracting Officer the terms of a definitive Task Order and agrees to submit a cost proposal with supporting cost or pricing data. If agreement on a definitized Task Order is not reached by the target date mutually agreed upon by the Contractor and ,
Contracting Officer or within any extension of it granted by the Contracting Officer, the Contracting Officer may determine a reasonable price and/or fee in accordance with Subpart 15.8 and Part 31 of the FAR, subject to Contractor appeal as provided in 52.233 Disputes (APR1984). In any event, the Contractor shall proceed with completion of the Task Order, subject only to the monetary limitation established by the Contracting Officer and the terms and conditions of the basic contract.
l Section H - Special Contract Requirements H.1 Key Personnel I a The following individuals. are considered to be essential to the successful performance of the work hereunder.
The Contractor agrees that such personnel shall not be removed from the contract work or replaced without compliance with paragraphs b and c hereof.
1 1
OIE-87-119
. PAGE 19
- b. If one or more of the key personnel for whatever reason becomes, or is expected to become, unavailable for work under this contract for a continuous period exceeding 30 work days, or-is expected to devote substantially less effort to the work than indicated in the proposal or initially anticipated, the Contractor shall irvaediately 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 l contain a complete resume for the proposed substitute, and other l information requested by the Contracting Officer to approve or ,
I disapprove the proposed substitution. The Contracting Officer I will evaluate such requests and promptly notify the Contractor of his/her approval or disapproval thereof in writing.
- d. It 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 order, the contract may be terminated by the Contracting Officer for default or for the convenience of the Government, as appropriate, or, at the discretion of the Contracting Officer if he/she finds the l Contractor at fault for the condition, the contract price or fixed '
fee may be equitably adjusted downward to compensate the Government for any resultant delay, loss or damage.
- To be incorporated into any resultant contract H.2 Safety, Health, and Fire Protection.
i 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 epp11 cable 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 I regulations or requirements, the Contracting Officer may, without l 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 thc Contracting Officer. The Contractor shall make no claim for an extension of time or for compensation or damages by reason of or in connection with such work stoppage.
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H.3 Dissemination of Contract Information e.' tkV y
. The Contracter shall comply with the requirement of NRC #anual Chapters 3202 and 3106 regcrding publication or dissemination to.the public of any information, cM .or written, concerning the. work perfomed uner this contract. Faildre to comply with this clause shall be grounds for-termination of thk portract. '
?) .
H.4 Private Use of ',ontrect Information and Data .
u Except as specifically authorized by this contract, or as otherwise approved by t,he, Contracting' Officer, infomation and other data
~
,, developed cr<asquired by or furnished the Contractor in the perfomance of this contracthshall be used only in connection.with the work {nder .
j this coot ect.
s s w. ,
N5 Drawings, Designs, and Specifications.
/ 'f
, /
.,/ M1 drawings, sketches, designs, design data, specifications,
- ' i ' notebooks, technical and scientific deta, and all photographs,
(,
i '
negatives, reports, findings, recommendatktis, data and memoranda of.
every description relating thereto, as wel1.as all co)ies of the foregoing relating to the work or any part Tnereto,-slall be subject to inspectiorf by the Commission .at all reasonable times (for which inspectiore,the proper facilities shalVbe afforded the Commission by the Contractor and its. subcontractors), shall be the property of the Government And may be usM/by the Goverreent for any purpor,e whatsoever
~
without any claim on the Krt of the Codractor and its subcontractors and vendors for additional compensation and shall, subject to the right of the Contrsctor to retair; a copy of said material for its own use, be delivered to the Government, or otherwise disposed of by the Contractor either as th Contracting Officer may from time to, time direct during ,
the progrewof the work or in any event as the Contracting Office,r i shall direct upon completion or termination of this contract. Ti:e -
Contractor's right of retention and use shall be subject to the ', s security, pateyt, and use of infomati6n provisions, if any, of triu contrart. g7
-l ,
H.6 Security.
- t
- a. Securi,ty/ Classification Requirements Fom... The attached NRC Form ,
187 furnishes the basis for providir.g security and classification '
requirements to prime Contracto 7. **tontractoM or others (e.g., f bidders) who have or may have sn NRC contractuaPrelatimship which requires access to cl:ssified information or vntter, access on a continuing basis (in excess cf 30 days) to hRC Headquarters a
controlled buildings or othe m se requires N W photo identification or card-key badges.
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OIE-87-119 {
i ~PAGE 21 j
- b. It is the Contractor's . duty to safeguard Restricted Data, Formerly Restricted Data, and other classified information. The Contractor shall, in accordance with the Comission's security-regulations and requirements, be responsible for safeguarding Restricted Data, Formerly Restricted Data, and other classified information and protecting against sabotage, espionage, loss and theft, the classified documents and material in the Contractor's possession in connection with the performance of work under this contract. -l Except as otherwise expressly provided in this contract, the I Contractor shall, upon completion or termination of this contract,-
transmit to the Comission any classified matter in the possession i 3'
of'the Contractor.or any person under the Contractor's control in ,
' connection with perfomance of this contract. )
If retention by the Contractor of any classified matter is.
. required after the completion or termination of the contract and such retention is approved by the Contracting Officer,.the Contractor will complete a certificate of possession to be _
furnished to the Comission specifying the classified matter to be l retained. The ' certification shall identify the items and types or 1 categories of matter retained, the conditions; governing the i p'
retention of the matter and their period of retention, if known.
If the retention is approved by the Contracting Officer, the ,
security provisions of the contract will continue to be applicable j to the matter retained,
- c. In connection with the perfomance of the work under this I contract, the Contractor may be. furnished, or may develop or acquire, proprietary data (trade secrets) or confidential or j privileged technical, business, or financial information, l including Comission plans, policies, reports, financial plans, internal data protected by the Privacy Act of 1974 (P.L.93-579),
or other infomation which has not been released to the public or t has been detemined by the Comission to be otherwise exempt from discirsure to the public. Contractor agrees to hold such information in confidence and not to directly or indirectly duplicate, disseminate, or disclose such infomation in whole or ;
in part to any other person or organization except as may be necessary to perform the work under this contract. Contractor agrees to return such information to the Comission or otherwise di5 pose of it either as the Contracting Officer may from time to ,
time direct during the progress of the work or in any event as the i Contracting Officer shall' direct upon completion or termination of j this contract. Failure to comply with this clause shall be i grounds for termination of this contract. I
- d. Regulations. The Contractor agrees to confom to all security j regulations and requirements of the Comission. i 4
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L DIE-87-119 4,: . 1 PAGE 22 l
- e. . Definition of Restricted Data. The tem " Restricted Data ~," as used in this clause, means all data concerning (1) design, q
.. manufacture, or utilization of atomic weapons; (2)-the production i of special' nuclear. material; or .(3) the use of:special nuclear i!
material in the production of energy, but shall not include data -1 declassified or removed from the Restricted Data category. pursuant )
to section 142 of the Atomic Energy-Act of 1954 .as amended. j
- f. Definition of Formerly Restricted Data. The term "Formerly Restricted Data." as used in this clause, means all data removed from the Restricted Data category under section 142-d. of the Atomic Energy Act'of 1954, as amended,
- g. Security Clearance Personnel. -The Contractor shall not permit any individual to have access to Restricted Data, Formerly Restricted Data, or other classified information, except in accordance with the Atomic. Energy Act of 1954, as amended, and the Commission's regulations or. requirements applicable to the particular type or category of classified infonnation to which access is required.
~
- h. Criminal Liabilities. -It is understood that disclosure of' Restricted. Data, Formerly Restricted Data, or other classified information relating to the work or services ordered hereunder to !
any person not entitled to receive it, or failure to safeguard any Restricted Data, Formerly Restricted Data, or any other classified matter that may come to the Contractor or any person under the Centractor's control in connection with work under this contract, 1 may subject the Contractor, its agents, employees, or ,
subcontractors to criminal liability under the laws of the United l States. (See the Atomic Energy Act of 1954, as amended, 42 U.S.C.
2011 et seq.; 18 U.S.C. 793 and 794;-and Executive Order 12356.)
- 1. Subcontracts and Purchase Orders. Except as otherwise authorized in writing by the Contracting Officer, the j provisions similar to the foregoing in all. Contractor subcontractsshall and insert -
purchase orders under this contract.
- j. In performing the contract work, the Contractor shall. assign classifications to all documents, material, and equipment 1 originated or generated by the Contractor in accordance with !
classification guidance by the Comission. Every subcontract and purchase order issued hereunder involving the origination or- i generation of classified documents, material, or equipment shall provide that' the subcontractor or supplier shall assign classifications to'all such documents, material, and equipment in j accordance with classification guidance furnished by the . l Contractor.
I
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01E-87-119 PAGE 23 !
H.7 Contractor Organizational Conflicts of Interest (OMB Clearance Number 3150-0112)
- 1
- a. Purpose. The primary purpose of this clause is to aid in ensuring l that the Contractor: q .
1). Is not placed on a conflicting role because of current or planned interest (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and .
l' 2). Does not obtain an unfair competitive advantage over other parties by virtue of its perfomance of this contract.
I
- b. Scope. The restrictions described herein shall apply to l perfomance or i CFR 620-1.5402(participation by the f) in the activities Contractor covered by thisasclause.
defined in 41
]
- c. Work for Others. Notwithstanding any other provision of this l contract, during the tem of this contract, the Contractor agrees !
to forgo entering into consulting or other contractual 3 arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work s i being performed under this contract. The Contractor shall ensure that all employees who are employed full time under this contract j and employees designated as key personnel, if any, under this contract abide by the provision of this clause. If the Contractor l believes with respect to itself or any such employee that any i proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the Contractor shall obtain the written approval of the Contracting Officer prior to execution of such contractual arrangement.
- d. Disclosure 'after award.
1). The Cdntractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest, as defined in 41 CFR 20-1.5402(a).
2). The Contractor agrees that if after award it discovers organizational conflicts of interest with respect to this contract, it shell make an immediate and full disclosure in writing to the Contracting Officer. This statement shall include a description of the action which the Contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, terminate the centract for convenience if it deems such termination to be in the best interests of the Government, i
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OIE-87-119 ,
PAGE 24
- 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 PrivacyActof1974(Pub.L.93-579),ordatawhichhasnot been released to the public, the Contractor agrees not to:
(i) Use such infomation for any private purpose until the .
infomation has been released to the public; !
(ii) Compete for work for the Commission based on such information for a period of six (6) months after either the completion of this contract or the release of such 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 infomation to the public, or (iv) Release the information without prior written approval by the Contracting Officer unless such infomation has previously been released to the public by the NRC.
2). In addition, the Contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L.93-579), or other confidential or privileged technical, business, or financial information under this contract, the Contractor shall treat such 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 20-1.5402(h), the Contractor shall include this clause, including this paragraph, in subcontracts of any tier. The terms " contract," " Contractor," and l " Contracting Officer," shall be appropriately modified to preserve the Government's rights.
- g. Remedies. For breach of any of the above prescriptions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations as necessarily imply bad faith, the Government may teminate the contract for default, disqualify the Contractor from subsequent contractual efforts, and pursue other remedies as may be permitted by law or this contract.
OIE-87-119 '
.- PAGE 25 i
- h. Waiver. A request for waiver under this clause shall be directed. ,
in writing through the Contracting Officer to the Executive DirectorforOperations(EDO)inaccordancewiththeprocedures '
outlined in $20-1.5411.
PART II - CONTRACT CLAUSES ,
1 '
Section I - Contract Clauses 52.222-2 PAYMENT FOR OVERTIME PREMIUMS. (APR1984) q
. (a) The use of _ overtime is authorized under this contract if the overtime i premium cost does not exceed . In addition to this dollar ceiling, overtime is permitted only for work-- )
(1) Necessary to cope with emergencies such as those resulting from ;
accidents, natural disasters, breakdowns of production equipment, or occasional production bottlenecks of a sporadic nature;-
(2) By indirect-labor employees such as those performing duties in connection with administration, protection, transportation, maintenance, standby. ;
plant protection, operation.of utilities, or accounting; (3) To perform tests, industrial processes, laboratory procedures, loading or unloading of transportation conveyances, and operations in flight or afloat that are continuous in nature and cannot reasonably be interrupted or completed otherwise; or i (4) That will result in lower overall costs to the Government.
(b) Any request for estimated overtime premiums that exceeds the amount ,
specified above shall include all estimated overtime for contract completion and shall-- i (1) Identify the work unit; e.g., department or section in which the requested overtime will be used, together with present workload, staffing, and other data of the.affected unit sufficient to permit the Contracting Officer to l evaluate the necessity for the overtime; (2) Demonstrate the effect that denial'of the request will have on the contract delivery or performance schedule; I (3) Identify the extent to which approval of overtime would affect the l performance or payments in connection with other Government contracts, together with identification of each affected contract; and (4) Provide reasons why the recuired work cannot be performed by using '
multishift operations or by employing adcitional personnel.
(Endofclause)
(R 7-203.271967 JUN) 1
.a a 01E-87-119 '
PAGE 26 52.233-3 PROTESTAFTERAWARD(JUN1985)--AlternateI(JUN1985)
(a) Upon receipt of a notice of protest (as defined in 33.101-of the FAR) the Contracting Officer may, by written order to the Contractor,. direct the Contractor to stop performance of the work called for by this contract. The order shall be specifically identified as a stop-work order issued under. this -
clause. . Upon receipt of the order, the Contractor shall immediately comply with its terms and take all reasonable steps to minimize the incurrence of costs allocable to the work covered by the order during the period of work stoppage.
l Upon receipt of the final decision in the protest, the Contracting Officer shall either--
(1) Cancel the stop-work order; or -
(2) Terminate the work covered by the order as provided in the Termination clause of this contract.
(b) If a stop-work. order issued under this clause.is canceled either before i or after a final decision in the protest, the Contractor shall resume work. The Contracting Officer shall make an~ equitable adjustment in the delivery schedule..
the estimated cost, the fee, or a combination thereof, and in any other tems of-the contract that may be affected, and the contract shall be modified, in writing, accordingly, if--
(1) The stop-work order results in an increase in the time required for, or in the Contractor's cost properly alloceble to, the performance of any part of this contract; and (2) The Contractor requests an adjustment within 30 days after the end of the period of work stoppage; provided, that if the Contracting Officer decides the facts justify the action, the Contracting Officer may receive and act upon the request at any time before final payment under this contract.
(c) If a stop-work order is not canceled and the work covered by the order is terminated for the convenience of the Government, the Contracting Officer shall allow reasonable costs resulting from the stop-work order in arriving at the termination settlement.
(d) If a stop-work order is not canceled and the work covered by the order is terminated for default, the Contracting Officer shall allow, by equitable !
adjustment or otherwise, reasonable costs resulting from the stop-work order.
(e) The Government's rights to teminate this contract at any time are not affected by action taken under this clause; (EndofClause) l l
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OIE-87-119 !
PAGE 27 l
)
52.252-2 CLAUSES INCORPORATED BY REFERENCE. (APR1984) R
. This contract incor> orates the following' clauses by reference, with the same j force and effect as if t1ey were given in full text.. Upon request, the :
Contracting Officer will make their full text available.
l 1.FEDERALACQUISITIONREGULATION(48CFRCHAPTER1) CLAUSES-Section E l 52.246-5 INSPECTION OF SERVICES--COST-REIMBURSEMENT. (APR-1984)
Section F i
52.212-13STOP-WORKORDER.--Alternate 1(APR1984)
Section I 52.202-1 DEFINITIONS. (APR1984) 52.203-1 0FFICIALS NOT TO BENEFIT. (APR1984) 52.203-3 GRATUITIES. (APR 1984) 1 52.203-5 COVENANT AGAINST CONTINGENT FEES. (APR1984) l 52.203-6 RESTRICTIONS ON SUBCONTRACTOR SALES TO THE GOVERNMENT l (JUL 1985) 52.215-1 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL. (APR1984) 52.215-2 AUDIT--NEGOTIATION. (APR 1984) 52.215-22 PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA. (APR 1984) 52.215-24 SUBCONTRACTOR COST OR PRICING DATA. (APR1985) 52.215-25 SUBCONTRACTOR COST OR PRICING DATA--MODIFICATIONS. (APR 1985) 52.215-30 FACILITIES CAPITAL COST OF MONEY.
(APR1984)(APR1984)
S2.215-31 WAIVER OF FACILITIES CAPITAL COST OF MONEY.
52.215-33 ORDER OF PRECEDENCE. (JAN 1986) l )
52.216-7 ALLOWABLE COST AND PAYMENT. (APR1984) ;
52.216-8 FIXED FEE. (APR1984) j 52.219-8 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL t DISADVANTAGED BUSINESS CONCERNS. I (JUN 1985)
I 52.219-9 SMALL BUSINESS AND SMALL DISADVANTAGED BUSINESS SUBCONTRACTING PLAN. (APR 1984) 52.219-13 UTILIZATION OF WOMEN-0WNED SMALL BUSINESSES. (AUG1986) 52.220-2 NOTICE OF TOTAL LABOR SURPLUS AREA SET-ASIDE, . (APR 1984) 1 52.220-3 UTILIZATION OF LABOR SURPLUS AREA CONCERNS. (APR1984) 52.220-4 LABOR SURPLUS AREA SUBCONTRACTING PROGRAM. (APR1984) 52.222-1 NOTICE TO THE GOVERNMENT OF LABOR DISPUTES. (APR1984) 52.222-3 CONVICT LABOR. (APR1984) 52.222-26 EQUAL OPPORTUNITY. (APR 1984) 52.222-28 EQUAL OPPORTUNITY PREAWARD CLEARANCE OF SUBCONTRACTS. (APR 1984) 52.222-35 AFFIRMATIVE ACTION FOR SPECIAL DISABLED AND VIETNAM ERA VETERANS (APR1984) l
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52.222-36~ AFFIRMATIVEACTIONFORHANDICAPPEDWORKERS(APR1984)- j 1
52.223-2 CLEAN AIR AND WATER. l(APR 1984). .!
,52.227-1 AUTHORIZATION'AND CONSENT.; (APR 1984)
-52.227-2 NOTICE'AND. ASSISTANCE, REGARDING' PATENT.AND COPYRIGHT INFRINGEMENT. -(APR1984) 52.227-11 PATENT RIGHTS--RETENTION BY THE CONTRACTOR (SHORT FORM). ,
- (APR 1984) 1 52.228-7.-INSURANCE LIABILITY.TO THIRD PERSONS. (APR'1984).
-52.230-3 COST ACCOUNTING STANDARDS.- (AUG1986)
! 52.230-4. ADMINISTRATION OF COST ACCOUNTING STANDARDS. (APR1984)
'52.230-5 DISCLOSURE AND CONSIS1ENCY OF COST ACCOUNTING PRACTICES.
'(AUG1986).
52.232 INTEREST.
52.232-20 LIMITATION OF COST.
52.232-23 ASSIGNMENT OF CLAIMS, (APR 1984)(APR 1984)
(JAN.1986) l 52.233-1 DISPUTES. (APR1984)-
52.242 NOTICE OF-INTENT TO DISALLOW COSTS. (APR1984)-
52.243-2 CHANGES--COST-REIMBURSEMENT. (APR1984)--AlternateI...(APR 1984) 52.244-2 SUBCONTRACTS (C0ST-REIMBURSEMENTANDLETTERCONTRACTS)-
(JUL 1985) 52.244-5 COMPETITION IN SUBCONTRACTING. (APR 1984) .
1 52.245-5 GOVERNMENT PROPERTY (C0ST-REIMBURSEMENT, TIME-AND-MATERIAL, i
ORLABOR-HOURCONTRACTS). (JAN 1986).
52.245-5 GOVERNMENT PROPERTY (C0ST-REIMBURSEMENT, TIME-AND-MATERIAL, OR LABOR-HOUR CONTRACTS).. (JAN 1986)--Alternate I.
(JUL1985) 52.246-25 LIMITATIONOFLIABILITY--SERVICES..(APR1984) ,
52.247-63 PREFERENCE FOR U.S.-FLAG AIR CARRIERS. (APR1984) )
i 52.249-6 TERMINATION (COST-REIM8URSEMENT). (MAY1986) -j 52.249-14 EXCUSABLE DELAYS. (APR1984) !
PART III - LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS Section J - List of Attachments j J.1 Attachments Attachment Number Title ;
1 NRC Contractor Organizational Conflicts of Interest (41 CFRPart20) 2 Billing Instructions 1 3 NRC Manual Chapter 3202 4 Standard Form 1411 with Instructions 5 Spending Plan Instructions !
6 Subcontracting Plan Fonnat
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L' '
ATTACHMENT /
l e 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 Conflicts identified after award.
20-1.5408 (Reserved) l 20-1.5409 (Reserved) 20-l'.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 (a) It is the policy of the U.S. Nuclear Regulatory Commission ;
(NRC) to avoid, eliminate or neutralize contractor organizational conflicts of interest. The NRC achieves this objective by requiring all prospective l contractors to submit information describing relationships, if any, with !
organizations or persons (including those regulated by NRC) which may j give rise to actual or potential conflicts of interest in the event of I 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 to contractors and offerors 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 orocess, NRC 7590-01 agreements with other government agencies, international organizations, or state, local or foreign governments; separate proceduras 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. '
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(c) " Evaluation activities" means any effort involving the appraisal of a technology, process, product, or policy.
3 (d) " Technical consulting and management support services" means internal assistance to a component of the NRC in the formulation or administration of its programs, projects, or policies which normally require the contractor to be given access to information which has not been made available to the public or proprietary information. Such services typically include assistance in the preparation of program plans; arid preparation of preliminary designs, specifications, or statements of work.
(e) " Contract" means any contract, agreement, or other arrangement 3
with the NRC except as provided in Section 20-1.5401(c).
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(f) " Contractor" means any person, finn, unincorporated association, joint venture, co-spnstor, partnership, corporation, affiliates thereof, or their successor; 4 intemt, including their chief executives, directors, key personnel (identified in the contract), proposed consultants or subcontractors, which is a party to a contract with the NRC.
(g) " Affiliates" means business concerns which are affiliates of each other when either directly or indirectly one concern or individual controls or has the power to control another, or when a third party controls or has the power to control both (41 CFR 51-1.606-1(e)).
(h) " Subcontractor" means any subcontractor of any tier which 3 performs work under a contract with the NRC except subcontracts for j supplies and subcontracts in amounts of $10,000 or less. l (1) " Prospective contractor" or " offeror" means any person, firm, l 4 -
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.
7590-01
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s (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. sward would give-rise to an actual conflict or which must be reported to the contracting'.
officer for investigation if they arise during contract performance.
I20-1.5403 Criteria for recognizing contractor organizational conflicts of interest (a) General. Two questions will be asked in detemining whether l actual. or potential. organizational conflicts.of interest exist: (1)Are-there conflicting roles which might bias a contractor's judgment in relation to its work .for the NRC7 (2) May.the contractor be given an unfair competitive' advantage based on the performance of the contract?
The ultimate determination by NRC as to whether organizational conflicts of interest exist will be made in light of connon sense and good business judgment based upon the relevant facts disclosed and the work to be perfomed. While it is difficult to identify and to prescribe in advance a specific method for avoiding all of the various situations or relationships
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which might involve potential organizational conflicts of interest, NRC.
personnel will pay particular attention to proposed contractual requirements i
which call for the rendering of advice, consultation or evaluation l activities, or similar activities that lay direct groundwork for the NRC's decisions on regulatory activities, future procurement, and i research programs.
(b) Situations or relationships which may give rise to organizational l 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:
(i) Where the offeror or contractor provides advice and recommendations to the NRC in a technical area in which it is also providing consulting assistance in the same, arec to any organization regulated by the NRC.
(ii) Where the offeror or contractor provides advice to the'NRC on the same or similar matter in which it is also providing assistance to any organization regulated by the.NRC.
(iii) Where the offeror or contractor evaluates its own products or services, or the products or services of another entity where the offerer or contractor has been substantially involved in their development or l_ marketing.
(iv) Where the award of a contract would otherwise result in j 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 i result in an unf air competitive advantage for the offeror or contractor.
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7590-01 (2) Th'e contracting officer may request specific information from an offeror or contractor or may require special contract provisions such as provided in s20-1.5405-2 in the following circumstances:
(i) Where the offeror or contractor. prepares specifications which are to be used in competitive procurement of products or services '
2 covered by such specifications. *
(ii).Where the offeror or. contractor prepares plans for specific approaches or methodologies that are to be incorporated into competitive' '
procurement using such approaches or methodologies.
(iii) Where the offeror or contractor is granted access to infomation not available to the public concerning NRC plans, policies, or programs which could fonn 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 exampir tre illustrative only and are not intended to identify and resolve all contractor organizational conflict of interest situations. (1) Example.
The XYZ Corp., in response to a request for proposal (RFP), proposes to undertake certain analyses of a reactor component as called for in. the RFP. The XYZ Corp. is one of several companies considered to be technica11y' well qualified. In response to the inquiry in the RFP, the XYZ Corp.
advises that it is currently performing similar analyses for the reactor manufacturer.
Guidance. An NRC contract for t. hat particular work normally would not be awarded to the XYZ Corp, because it would be placed in a position in which its judgment could be biased in relationship to its work for NRC. Since there are other well-qualified companies- available, there would be no reason for considering a waiver of the policy.
(2) Example. The ABC Corp., in response to a RFP, proposes to perfom 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 perfoming 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.
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1' l< . 7590-01
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. Guidance. An NRC contract normally could be awarded to the ABC f 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 perfomance of similar. work for the company developing the advanced reactor mentioned in the example.
(3) Example. As a result of operating problems in a certain type of comercial nuclear. facility, it is imperative that NRC secure specific data on various operational aspects of that type of plant so as to assure adequate safety protection of the public. Only one manufacturer has extensive experience with that type of plant. Consequently, that company is the only one with whom NRC can contract which can develop and conduct the testirig programs required to obtain the data in reasonable time. That company has a definite interest in any NRC decisions that might result from the data produced because those decisions affect the reactor's design and thus the company's costs.
Guidance. This situation would place the manufacturer in a role in which its judgment could be biased in relationship to its work for NRC.
Since the nature of the work required is vitally important in terms of NRC's responsibilities and no reasonable alternative exists, a waiver of the policy may be warranted. Any such waiver shall be fully documented and coordinated in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms to guard against bias.
(4) Example. The ABC Co. submits a proposal for a new system for evaluating a specific reactor component's perfomance for the purpose of developing standards that are important to the NRC program. The ABC Co.
has advised NRC that it intends to sell the new system to industry once its practicability has been demonstrated. Other companies in this l 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 infomation produced under the contract will be used in the contractor's private activities unless such information has been reported to NRC. Information which is reported to NRC by contractors will normally be disseminated by NRC to others 'so as to preclude an unfair competitive advantage that might otherwise accrue. When NRC furnishes information to the contractor for the performance of contract work, it shall not be used in the contractor's private activities unless such information is generally available to others.' Further, the contract will stipulate that the contractor will infom the NRC contracting i officer of all situations in which the information developed under the contract is proposed to be used.
. 7590-01 (5) Example. The ABC Corp., in response to a RFP proposes to assemble a map showing certain seismological features of the Appalachian fold belt. In accordance with the representation.in the RFP and 5 20-1.5403(b)(1)(1), ABC Corp.- informs the NRC that it is presently doing seismological studies for several utilities.in the Eastern United States but none of the sites are within the geographic area contemplated by the NRC study.
j- Guidance. The contracting officer would noma 11y 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 520-1.5405-1(c)- would preclude ABC Corp. from accepting work during the tem of the NRC contract which could create a conflict of interest.
(d) Other considerations. (1) The fact that-the NRC can identify and later avoid, eliminate, or neutralize any potential organizational conflicts arising from the perfomance of a contract is not relevant to a determination of the existence of such conflicts prior to the award of a contract..
(2) It is not relevant that the contractor has the professional reputation of being able to resist temptations.which arise from organizational conflicts of , interest, or that a follow-on procurement is not involved, or that a contract is awarded on a competitive or a sole source basis.
520-1.5404 Representation (a) The following procedures are designed to assist the NRC contracting officer in determining whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a particular offeror or contractor.
(b) Representation procedure. The following organizational conflicts of interest representation provision shall be include'd in' all solicitations and unsolicited proposals for: (1) Evaluation services or activities; (2) technical consulting and management support services; (3) research; and (4) other contractual situations where special organizational conflicts of interest provisions are noted in the solicitation and would be included in toe resulting contract. This representation. requirement shall also apply to all modifications for additional effort under the-contract except those issued under the " changes" clause. Where, however, a statement of the type required by the organizational conflicts of j interest representation provision has previously been submitted with regard to the contract being modified, only an updating of such statement shall be required.
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7590-01 4
3 ORGANIZATIONAL CONFLICTS OF INTEREST REPRESEt(TATION I represent to the best of my knowledge and belief that: - -
l The award to of a contract or the modification of an existing contract does ( ) or does not ( ) involve situations or relationships of the type set forth in 41 CFR I20-1.5403(b)(1). 1 (c) Instructions to offerors. The following shall be included in- ,
all NRC solicitations: (1) If the representation as completed indicates j that situations or relationships of the type set forth in 41 CFR 120-1.5403(b)(1) are involved, or the contracting officer otherwise l
- detemines that potential organizational conflicts exist, the offeror I shall provide a statement in writing which describes in a concise manner ,
all relevant facts bearing on his representation to the contracting officer. If the contracting officer detemines that organizational (i)Imposeappropriate 1 conflicts exist, the following actions conditions which avoid such conflicts, (ii may)be taken: disqualify the offeror, or ]
l (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 1 5 20-1.5411. j (2) The refusal to provide the representation required by i 20-1.5404(b) or upon request of the contracting officer the facts required by '520-1.5404(c), shall result in disqualification of the. offeror for award. The nondisclosure or misrepresentation of any relevant interest may also result in the disqualification of the offeror for award; or if such nondisclosure or misrepresentation is discovered after award, the resulting contract may be terminated. The offeror may also be disqualified j from subsequent related NRC contracts and be subject to such other 1 remedial actions provided by law or the resulting contract.
I (d) The offeror may, because of actual or potential organizational conflicts of interest, propose to exclude specific kinds of work from the statements of work contained in a RFP unless the RFP specifically prohibits such exclu'sion. 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 1 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 t
rejected as unacceptable.
l (e) The offeror's failure to execute the representation required by subsection (b) above with respect to invitation for bids will be considered to be a minor informality, and the offeror will be pemitted to correct the omission.
I 20-1.5405 Contract clauses i 20 1.5405 1 Generai contract clause
.7.
7590-01' All contracts of the types set forth in i20-1.5404(b) shall include the following clauses:
]
(a) Purpose.
The primary (purpose of_ this c:ause is to aid in1) Is not plif
- ensuring that the contractor:
because of current or planned interest (financial, contractual, organizational, ;
or otherwise) which relate to the work under this contract, and (2) 1 does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract. j (b) Scope. The restrictions described herein shall' apply to i perfomance or participation by the contractor as defined in 41 CFR 5 20-1.5402(f) in the actitities covered by this clause.
(c) Work for.others. Notwithstanding any other provision of this contract, during the term of this contract, the contractor agrees to forego entering'into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to 'the work being perfomed under this contract.
The contractor shall ensure that all employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause. If the contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any fim or organization may involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting officer prior to execution of such contractual arrangement.
(d) Disclosure after' award. (1) The contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest, as defined in 41 CFR 520-1.5402(a).
(2) The contractor agrees that if after award it discovers organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the contracting officer.
This statement shall include a description of the action which the contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however. - teminate the contract for convenience .
if it deems such temination to be in the _ best interests of the government.
(e) Access to and use of information. (1) If the contractor in the perfonnance of this contract obtains access to infomation, 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 Comission based
S 7590-01 on such information for a period of six (6) months after either the completion of this contract or the release of such informati_on to the public, whichever is first, (iii) submit an unsolicited proposal to the , 1 government based on such information until one year after the release of such information to the public, or (iv) release the information without prior written approval by the contracting officer unless such information l has previously been released to the public by the NRC. '
(2) In addition, the contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L.93-579), or other confidential or privileged technical, business, or financial information under this contract, the contractor shall treat such information in accordance with restrictions placed on use of the information.
(3) The con' tractor 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. j i
(f) Subcontracts. Except as provided in 41 CFR 520-1.5402(h), the l contractor shall include this clause, including this paragraph, in l subcontracts of any tier. The terms " contract," " contractor," and I
" contracting officer," shall be appropriately modified to preserve the l government % rights. 4 (g) Remedies. For breach of any of the above proscriptions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations as necessarily imply bad faith, the government may terminate the contract for default, disqualify the, contractor from subsequent contractual efforts, and pursue other remedies as may be permitted by law or this contract.
(h) Waiver. A request for waiver under this clause shall be directed in writing ttirough the contracting officer to the Executive Director for Operations (EDO) in accordance with the procedures outlined in 520-1.5411.
120-1.5405-2 Special contract provisions.
I (a) If it is determined from the nature of the proposed contract that organizational conflicts of interest exist, the contracting officer may determine that such conflict can be avoided or after obtaining a waiver in accordance with 520-1.5411, neutralized through the use of an appropriate special contract provision. If appropriate, the offeror may negotiate the terms and conditions of these clauses, including the extent and time period of any such restriction. These provisions include but are nnt limited to:
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7590-31 (1) Haroware exclusion clauses which prohibit the acceptance of proouction contracts following a related nonproduction contract previously performed by the contractor; (2) Software exclusion clauses; j (3) Clauces 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. j l'
(b) The following additional contract clause may be included as section (i) in the clause set forth in: 20-1.5405-1 when it is determined that award of a follow-on contract would constitute an organizational ,
conflict of interest. l (i) Follow-on effort. (1) The contractor shall be ineligible to !
participate in NRC contracts, subcontracts, or proposals therefor (solicited j or unsolicited) which stem directly from the contractor's performance of i
) work under this contract. Furthermore, unless so directed in writing by j the contracting officer, the contractor shall not perform any technical ]
consulting or management support services work or evaluation activities i under this contract on any of its products or services or the products ,
or services of another firm if the certtractor has been substantially involved in the development or marketing of such products or services. :
(2) If the contractor under this contract prepares a complete or essentially complete statement of work or specifications, the contractor shall be ineligible to perform or participate in the initial contractual effort which is based on such statement of work or specifications. The contractor shall not incorporate its products or services in such statement of work or specifications unless so directed in writing by the contracting officer, in which case the restriction in this subparagraph shall not apply.
(3) Nothing in this paragraph shall preclude the contractor from offering or selling its standarc comnercial items to the government.
1 20-1.5406 Evaluation, findings, and contract award l
The contracting officer will evaluate all relevant facts submitted by an offeror pursuant to the representation requirements of 20-1.5404(b) and other relevant information. After evaluating this information against tne criteria of 120-1.5403, a finding will be made by the contracting officer whether organizational conflicts of interest exist with respect to a particular offeror. If it nas Deen determined tnat conflicts of interest exist, then the contracting officer shall eitne :
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(a) Disqualify the offeror from award.
- 590-01 (b) Avoid or eliminate such conflicts by appropriate measures; or (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 governnent to terminate the !
contract as provided in the clausts required by 520-1.5405, the contracting l officer will take every reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with 520-1.5411, neutralize the effects of the identified conflict.
520-1.5408 (Reserved) 520-1.5409 (Reserved) >
520-1.5410 Subcontracts ,
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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 i the contractor to include contract clauses in accordance with120-1.5405 l in consultant agreements or subcontracts involving performance of work under a prime contract covered by this subsection, l
520-1.5411 Waiver in the first instance, determination with respect to the need to seek a waiver for specific contract awards shall be made by the contracting officer with the advice and concurrence of the program office director >
and the Office of Executive Legal Director. Upon the reconnendation 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 determines tnat it is in the best interest of the United States to do so, i
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; 1 (2) the work cannot be satisfactorily performed except by a contractor j l
whose interests give rise to a question of conflict of interest; and (3) l contractual and/or technical review and supervision methods can be employed by NRC to neutralize the conflict. For any such waivers, the justification and aporoval cocuments shall be placed in the Public Document Room.
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7590-01 520-1. 5412 Remedies In addition to such other remedies as .may be permitted by law or contract for a breach of the restrictions in this subpart or for any intentional misrepresentation or intentional nondisclosure of any relevant interest required to be provided for this section, the NRC may debar the contractor from subsequent NRC contracts.
Dated at Washincton. D.C this 27th day of March 1979.
For the Nuclear Regulatory Commission Cd.uud\ (G d
. Samuel . Chilk Secretary of the Comission i
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ATTACHMENT .2,-
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. (REVISED-6/84) {
j BILLING INSTRUCTIONS FOR NRC COST-TYPE CONTRACTS-l l
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General. The contractor shall submit vouchers for cost-reimbursement in- the manner and fomat described herein and as illustrated in the 1 sample voucher. . ,
Number of Copies. . An original and two copies should be' mailed to the NRC office identified below.
Frequency. The contractor shall submit claims for reimbursement once,- :
each month unless otherwise authorized by the Contracting Officer.-
1 Form. Claims shall be submitted on the Fom DC-3 ' Voucher for Purchases and Services Other Than Personal." These forms are available from the 1 Contracting Officer. (The instructions for preparation and itemization of the voucher are shown on the form.)
Billing of Costs Afte'r Expiration of Contract. If costs are incurred '
during the contract period and claimed after the contract has expired, the period during which these costs were incurred must be cited. I currency. Billings may be expressed in the currency nonna11y 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.
i Supersession. These instructions supersede all previous billing instructions. !
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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 loo From To
- 1. Airfare
- 2. Rental Car I
- 3. Local Tetsu5 ;
- 4. rer Dies Days 9 5 Meais :
- Date Breakfast Lunch Dinner i l
- If not included in Per Die l
- 6. Tips, Misc.
(Itemize if more than 510,0C ,
1 (8) Subcontracts - Include all costs paid to approved subcontractors decir billing period. This includes the details of the subcontract terms (i.t cost-plus-fixed-fee, direct labor, indirect costs, travel, profit, etc.)
(9) Other - List all other direct costs .by cost elements and dollar ametni separately.
(i) Indirect Costs--Overhead - Cite the formula (rate and base) in effect du ir.
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.
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4 (1) Cumulativa Amount from Inceptien to Date cf this Billing - Instrt tha I cumulative amounts billed for the majrr cost elements and adjusted' amounts clained during this c2ntract.
(m) Total Amounts Claimed - Insert the total amounts claimed for the current and cumulative periods.
(n) Adjustments - This includes amounts conceded by the contractor, outstand.
ing suspensions, and disapprovals subject to appeal.
(o) Grand Totals 4
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WUCHERS FOR PURCilASLS AND 5LHV!CES OTHER litAN PERSONAL SAMPLE VOUCHER Payor's Name and Address The U.S. Nuclear Regulatory Commission (a) Contract Nue er NRC-10-81-624 Division of Accounting and Finance (b) Title of Project " Study of Nuclear Waste .
Office of Resource Management Concepts" Attention: GOV /COM Accts Section ._ _
Washington, D.C. 20555 Payee.'s __Name and __ Address (c) Youcher Nueer M3 ABC CORPORATION The National Bank, (d) Date Voucher Pr'epared 10/18/82 l 100 Main Street or Anphere. U.S.A Anywhere , U.S. A. Assignee for ABC CORP. (e) Total Estimated Cost of Cc.itract Anywhere, U.S.A. $350.000.00 (When Payments Assigned) l Indiividual to Contract (f) Total Fixed-Fee l Regarding This Voucher- Il7'U M' i ,Name: Harry Murphy
'Tel. No.: 215-321-8654 l(g) This voucher represents reimbursable costs from 3/1/82 _ thru 3/30/82 n.a_u,c t Bill ed l(h) Direct Costs (1) Direct Labor * $2.400 56.f 00
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(2) Fringe Benefits @ 16.5 '..
e (if com. outed as percentace) 600 1.200 ~
(3) Direct Eouioment
- 5.000 8.000 ~~
(4) itaterials, Supplies and Uther Expendable Items
- 2.000 4.000 _
(5) Fremium Pay 100 150 l (6) I.onsultants
- 100 100 J (7) Travel - Domestic
- 200 200 [l !
j Foreton * ,_
! (8) Subcontract
- 200 200 ~~
(9) Other Costs
- 3.000 9.000 ,_.
l (< ) IN0! RECT COSTS A) Overnead700 ! of 'rotal Direct Costs 1 (Indicate Base) 513.600 $29.650 ,
! Subtotal 527.200 $59.300
- 0) General A Administrative Expense 3.264 f, . tn.o l' 12 L of Cost Elements Nos.1-9. A Total Costs $30.464 $65.750 j (j) FIXED-FEE EARNED (Formula) 1.523 3.400 (m) Total Amounts Claimed 131.987 569.150 l l
(n) Adjustncnts Outstanding Suspensions
- 1.700 1.700 ,
(n) Grand Totals $30.7117 Sli? .4 !'d
- (RI OulRES Sul'I'ORllNG INf 0l'J1AT 10N. )
(5(( A1TACHED.)
Dr.3 :*/it' 5
l
4 SAMPLE-ySUPPORTING INFORMATION
- 1) Direct La_bor - $2400 n
Labor Labor Hours Hours Cumulative-
, Category Negotiated Billed Rate Total Hours Billed Senior Engineer I 2400
~
100 $14.00 $1400- 975-Engineer J 1500 50 $10.00 $500 465 Cor.puter Analyst 700 100 '$5.00 $500 320 T2T@
- 3) Direct Equipment Spectrometer - General Electric (as approved in Prope'rty Schedule) $5,000 , ,
- 4) Materials, Supplies & Other Expendable Items 10 Radon' Tubes 9 $110.00 = $1100.00 6 Pairs Electrostatic Gloves 9 $150.00
= $900.00 52000.00 s
- 5) . Premium Pay Walter Murphy - 10 hours1.157407e-4 days <br />0.00278 hours <br />1.653439e-5 weeks <br />3.805e-6 months <br /> 9 $10.00 Per Hour = $100 '-' -
(This was approved by NRC in letter dated 3/5/82.)
- 6) Consultants' Fee
\
Dr. Carney - 1 hour1.157407e-5 days <br />2.777778e-4 hours <br />1.653439e-6 weeks <br />3.805e-7 months <br /> 9 $100 = $100 l 7) Travel,
! s Date , Traveler Destination Purpose Costs From To o
l From h '
3/1/82 3/6/82 William King Chicago. Wash.. Meeting with 1) Airfare $80.00 '
Il DC. Project 2) Rental Car $15.04 Officer 4) Perdiem-ITa7 9 $50.0" = $100.t
- 6) Tips. .Mi sc. $ 5.0(
TOTAL: $200
- 8) Subcontracts _ .
. XYZ COTi.P. (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 l O/H 9 50% = $800.00 . .
Travel - 2 Trips - Wash. , DC 9 $200 = $400.00 l to Boston, MA .
l Profit 9 7%- = $200.00 l TOTAL: .
53000.00 (j) Fixed-Fee (Fonnula)
(S%)
$350,000 X 5% = $17,500 Total Fixed Fee for this Contract j
$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 s
N f J
? I
. A Ha c s .,,,c ,., .; 3 Form NRC 489 (1 76)
U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL TRANSMITTAL NOTICE CHArte 1a0-3202 PUBLICATION OF TECHNICAL REPORTS PEPAnw BY NRC CONTRAC'IOPE, INCLUDING EPORTS PEPAED UNER OR PJRSUA?F E I?CERAGENCY AGEEEMEVfS SUPERSEDED: TRANSMITTED:
Number Date . Number Date TN 3200-21 Chapter NRC-3202 4/29/82 Chapter NRC-3202 8/29/84 Page Page Appendix NEC-3202 U/29/82 Appendix NRC-3202 8/29/64 REM AR KS:
Tnis revisien of Chapter 3202 expands the chapter from coverace of u".classd % reports to include the trarkirs and handling of sensitive unclassified info mation (Official Use Only and Limited Official Use Infomation, Safeguards Information, Proprietary Infomation) and l classified irfomation (Top Secret, Secret, and Confidential). A section has also been added to set forth procedures for the handling i
of unclassified reports on NRC cooperative programs with foreign govemments and organizations and with U.S. irriustry.
1
}
= .,
U.'S. NUCLEAR REGOLATORYj COMMISSION -
o NRC MANUAL c
r d
' Volume: 3000 Information and Foreign Activities * . Y. J Part : 13200 Technical Ir;fonnation and Document Control ADM - 1
) ,
W.
CHAPTER 3202 PUBLICATIO!!'OF . TECHNICAL REPORTS PREPARED BY i NRC CONTRACTORS, ?NCLUDING REPORTS PREPARED
, UNDER OR. PURSUANT TO INTERAGENCY AGREEMENTS l--
1
\. i 3202-01 COVERAGE ,
5 This chapter and ' its appendix haadticok establish responsibilities, basic requirements standards and procedures for the documentation, production and# dissemination - of' technical reports pre:iared by NRC consultants and ;)
granteed and by' NRC contractors and their subcontractors, including. reports i
prepared under ,or pursuant to interagency agreements or memorandums of j under standing . These reports are hereafter' referred to as contractor re- I port s .- This chapter - does. not cover NRC staff-generated documents, NRC docket material, or the documents generated by NRC boards, panels ,
advisory committees and Offices that report to the Commission.
- 3203-02 OBJECTIVES '
I 0 21 to usure production and dissemination' of technical reports as required by the Energy Reorganization Act of 1974 and the Frv.edom of Infor-mation Act.
'022 to asiure that ' dissemination of technical reports is ' consistent with requirements for public availability of information.
1
,023 to assure that' national security, patent rights, copyrights, proprie-tary: rights and rights. in other sensitive unclassified information are not compromised by the release, distribuMon, or dissemination of technical reports from NRC. S
' l 024 to assure that, (crmal NRC contractor reports will carry the regis- '
, tered NBc designation NUREG/CR or'NUREC/CP as the prime identification. ,
025 to provide for coordination of press or other media releates 3
/ '
g i p.
3202-03 RESPONSIBILITIES AND AUTHORITIES , ' ',(
,, e 031 The Director, Office of Administration:
1 2 a. develops ' and maintains, in consultation with Di/ectors of Offices i
<f and Dids' ions and . Regional Administrators, NRC standards, proce-
, ; dures and guides for the production and dissemination of technical 1 contractor reports.
, Approved: August 29, 1984 y
f i
l j .V J 4
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-032 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS
- b. periodically surveys report activities throughout NRC to ascertain that the provisions of this chapter are adequate and are being implemented; makes any changes needed.
032 The Direct'or, Division of Technical Information and Document 4 Control:
- a. develops and administers a central report control system for identi-fying, printing and distributing contractor reports and responding to requests for unclassified reports.
- b. develops and maintains guides and standards for the documentation.
formatting, printing, dissemination , and public sale of unclassified contractor reports.
- c. assures that a system exists for review of unclassified contractor reports for adherence to patent, copyright and disclosure policies prior to dissemination,
- d. establishes and administers interagency agreements necessary for the dissemination and public sale of unclassified contractor reports and controls duplication and printing of contractor reports to assure i adherence to the Government Printing and Binding Regulations issued by the Joint Committee on Printing (JCP). Congress of the United States.
- e. in response to requests of Directors of Offices and Regional i Administrators, establishes distribution data banks, maintains official j standard distribution lists for automatic distribution of unclassified contractor reports, and controls distribution to assure adherence to the Government Printing and Binding Regulations, the Privacy Act.
and the Freedom of Information Act.
l 033 Directors of Offices and Regional Administrators:
- a. establish the contract or Standard Order for Work
- provisions ,
including those required by this chapter and its appendix; Chapter NRC-3203, Distribution of Unclassified NRC Staff- and Contractor-Generated Documents and its appendix; Chapter NRC-0260 Prin t-ing , Copying, Graphics and Photography and its appendix; and Chapter NRC-1102, Procedures for Placement of Work with the Department of Energy. In the Statement of Work:
(1) specify what reports will be reviewed for policy, management.
and legal issues by NRC staff in draf t prior to printing and distribution . If the report 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 1
the draf t, including the type of disclaimer to be used in addi-tion to the standard government disclaimer (see Exhibit 6) .
In the case of DOE work, this is NRC Form 173, Standard Order for DOE Work. See Chapter NRC-1102.
Approved : August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUD1NG REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-034 (2) provide for the reviews necessary to insure that the national security , patent rights , copyrights , proprietary rights and rights in other sensitive unclassified information are not compromised by the release or dissemination of the reports.
If DOE contractors are to be authorized to make the reviews, designate the contractor officials who are authorized to sign NRC Form 426A' prior to NRC distribution of reports (see Appendix , Part IV). Assure that sensitive unclassified and classified reports are marked and handled properly (see Appendix, Part V).
(3) specify that all formal reports carry NUREG/CR or NUREG/CP numbers as the prime identification , as illustrated in the appendix.
(4) sp'ecify whether formal reports shall be printed by NRC or 'ne l
contractor if the contractor has a JCP-authorized federal print-ing plant (see Appendix, Parts 11 and IV).
(5) specify that all formal reports required by NRC shau be distributed by NRC.
.i l (6) establish the number of copies the contractor may retain or l l request for internal and external distribution and charge against NRC. Written justification must be provided , and l approval obtained of the NRC JCP representative (the Director, j Division of Technical Information and Document Control) when I the number exceeds the 50 copies authorized by JCP for unclassified reports.
(7) assure the protection of classified and sensitive unclassified l informa tion . if any, in contractor reports (see Appendix , I l Part V).
- b. assure adherence to instructions and authorizations regarding the l reproduction and distribution of reports.
- c. recommend standard distribution category (ies) for contractor reports to the Division of Technical Information and Document Cont rol.
- d. provide changes to th'e official standard distribution lists to the Division of Technical Information and Document Control.
i
- e. establish procedures for review of contractor's proposed press and !
i other media releases.
034 The Office of the Executive leg;al Director provides legal review and advice to NRC staff on questions regarding inventions, patents, proprietary information, use of copyrighted material, national security, and l other sensitive unclassified and classified information. l
' i 035 The Director, Office of Public Affairs, upon request of the project j manager, reviews proposed contractor's press or other media releases for l appropriateness .
Approved: August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-036 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 036 The Director. Division of Security:
- a. administers the overall in' formation security program which includes management of the security classification program and other programs for the protection of sensitive unclassified information.
- b. advises staff of NRC Offices and Regions on the preparation and handling of reports containing classified, proprietary and other sen-sitive unclassified information.
037 The Director, Division of Contracts:
- a. coordinates the flow of all reports to and from contractors (other than DOE contractors) where such reports may result in alterations in the terms and conditions of applicable cont'racts as they pertain to report production and distribution. I
- b. advises the contractor as to the source and method for obtaining reports required from *he government for performance of the contract.
- c. provides contractor with copies of NRC Chapters 0260, 3202, 3203, 3207, and 3210, when appropriate.
i
- d. determines when requests for proposals and invitations for bids, as well as subsequent contracts, should include statements requiring contractor compliance with Chapters NRC-3202, 3207, and 3210 and the Government Printing and Binding Regulations.
- e. ensures that appropriate clauses are included in contracts regarding x , the private use and protection of classified, proprietary and other sensitive unclassified information.
3202-04 DEFINITIONS
- 041 camera-ready copy - pages ready for printing by the offset printing process. This is a colloquial term used even though the printing prc:ess may not involve the so-called copy camera (see also reproducible masters).
) 042 central report control system - means for developing and maintaining the policies, procedures and guides needed to identify and p:vduce regulatory and technical reports and to assure adherence to requirements and standards for documentation, formatting, printing and distribution.
043 contractor report -
record of work done (a report) prepared in accordance with the provisior , of a contract or under or pursuant to an interagency agreeraent.
Words underscored in definitions are also defined in list.
Approved: August 29, 1984
. j
~
PUBLICATION OF TECHN! CAL REPORTS PREPARED BY I NRC CONTRACTORS, INCLUDING REPORTS PREPARED i UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-044 i 044 copyright - a form of protection provided by the laws of the United States (Title 17, U.S. . Code) to the authors of " original works of authorship" including literary, dramatic, musical, artistic, and certain other intellectual -
works. This protection is available to both published and unpublished works.
Copyrighted material may not be reproduced without the permission of the author or publisher.
045 disseminate - to announce the publication of reports and make them available for free distribution, sale or copying.
046 distribute - to dispense reports to specific organizations and indi-viduals to assure their participation in the regulatory process and support of research and technological investigations. Such distribution may be accom- '
plished by the use of standard distribution data banks established and main-tained by the Division of Technical Information and Document Control based on the requests of the originating Office or Region. l i
047 documentation - classification and associated markings required for classified or sensitive unclassified documents , the NRC report number unique to the report, title (and subtitle, if ,any), author or correspondent (if ,
any), organization identification and contract number (or FIN number), date l and availability j 1
048 draf t or final material for inclusion in " Safety Evaluation Reports" or " Environmental Statements" (ES) -
written material requested for input to SERs or ESs to be issued as NUREGs. Such material say be edited or modi-fied at the discretion of the NRC staff.
049 formal technical reports - the final product of research, an original investigation , or a significant compilation of information. This product is a formal technical report for publication in the NUREG/CR series. For extensive long-term projects, formal monthly, quarterly or semiannual and annual peri- )
odic technical reports may be required. A draft of the final or periodic report i may be requested for comment prior to preparation of the camera-ready copy.
0410 NRC project manager - the NRC staff member responsible for the i work performed by consultants or contractors and their subcontractors, or for work performed under or pursuant to an interagency agreement.
0411 patent review -
examination by legal staff to assure protection l rights in inventions.
0412 proprietary information - trade secrets; privileged or confidential l research, development, commercial or financial information, exempt from manda-tory disclosure under 10 CFR Part 2 (Sections 2.740 and 2.790) and under 10 CFR Part 9 (Section 9.5); and other information submitted in confidence to the NRC by a foreign source and determined to be unclassified by the NRC.
0413 publicly available documents - information (reports and references) I which is available in the NRC Public Document Room (PDR) for public inspec-tion and copying or available in the public domain.
Approved: August 29, 1984
)
i PUBLICATION OF TECHNICAL REPORTS ' PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED-NRC-3202-0414 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS -
0414 reproducible masters - camera-ready copy which includes (1) origi- 'j nals of line drawings (or prints that can be copied), (2) glossy prints .of i black ~ and white photographs (colored photographs cannot be reproduced),
(3) original . typed or printed text, tables, cover, title page, contents and abstract, or (4) other forms of the materials listed in l(1), (2) and (3) that 'a 1 printer can reproduce.
0415 technical reports - information on the technical aspects of contract l work. These may be - interia or final technical letter reports, draft or final ;
fomal technicai reports for publication in the -NUREG/CR or NUREG/CP series, or draft or final material for inclusion in SERs or ESs. j i
0416 technical letter reports (also called technical evaluation reports ) .. l
< interim or final letters that provide infomation on ' the technical aspects of ' ;
contract work. Interim . technical letter reports may' be . required at various l stages of a project. These reports usually are followed by a final technical .i letter report or a formal technical report. Final technical letter reports are {
usually specified in situations where the technical work is review and . eval-untion of work of others or work to be used by the staff in the licensing and regulation process. Interim letter reports may include, but are not limited to, informal (interim) progress reports, qui'ck-look reports, . data reports ,
status summary reports, project descriptions, pre-tested predictions, l model 3 verifications, experiment safety analyses , experiment operating procedures, i facility certification reports, and test result reports. !
0417 unique identification - NRC identification used on a report and its attachments , revisions , and supplements that. is not used on any other 3 report . j 3202-05 B ASIC REQUIREMENTS 0 51 Applicability. The provisions of this chapter and its appendix apply I to NRC consultants, grantees, contractors and subcontractors, including those l working under interagency agreements, whose contracts require the prepara- i tion of technical reports. Because of the unique requirements of NRC boards, panels , advisory committees and Offices which report directly to the Commission, the handling of reports prepared by consultants and contractors to them are governed by the Board or Panel Chairman and, in the case of advisory committees, by the Advisory Committee Management Officer, or the .
Commission. These exceptions do not preclude the use of the~ NUREG/CR series designation on reports prepared for these entities that are to be given wide public dissemination.
052 Forms. NRC Form 426A, " Publication Release. for Unclassified NRC Contractor and Consultant Reports" (Exhibit 5), NRC Form 335, "Biblio-graphic Data Sheet" (Exhibit 7), and NRC Form 190, " Cover Sheet for Reports Containing Proprietary Information" (Exhibit 19), shall be used as provided in i the appendix.
053 Appendix 3202. This appendix contains standards and procedures I for the preparation of reporting requirement portions- of Statements of Work, and for the documentation, production, and dissemination of technical reports prepared by contractors and other government agencies .in accordance with contract requirements or interagency agreements.
Approved: August 29, 1984 4
, . PUBLICATION OF TECHNICAL REPORTS PREPARED BY '
NRC CONTRACTORS, INCLUDING REPORTS PREPARED
' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-054 - 4 l
054 Preparation Requirements a
- a. Reports to be Printed by NRC. '. All contractor reports to b'e p'rinted by NRC shall be prepared according to Appendix 3202. The repro-ducible masters for the requisite distribution shall be' transmitted to the Division of Technical Information and Document Control accom-panied by completed NRC Form 426A and NRC Fonn 335.
- b. Reports Printed by Authorized Federal Printing Plants. All ' contrac-i tor reports to be - printed by the contractor (as specified by the contract, agreement, cr-standard order for work) shall be prepared according to Appendix 3202, and 'a reproducible master.and suffi- a cient ~ copies- for standard and incidental Distribution shall be sup- -l plied to the Division of Technical Information-and Document Control. '
accompanied by. completed NRC Form 426A, signed by the autiiorized contractor official. Each such report shall include, as the last pa;;e, a completed NRC Form 335.
055 References. The NRC chapters referenced and NUREG-0794.(ref. j)-
and NUREG-0650 (ref. i) are available from the Division of Technical Informa- 1 tion and Document Control. The other publications are available from thi )
Government. Printing Office, i i
- a. Chapter NRC-0260, " Printing, Copying, Graphics and Photography."
- b. Chapter and Appendix NRC-2101, "NRC -Security. Program."
- c. Chapter NRC-3203, " Distribution of Unclassified NRC Staff- and Contractor-Generated Documents."
- d. Chapter NRC-1102, " Procedures for Placement of Work with the Department of Energy."
ie . Chapter NRC-3206, "NRC Contractor Speeches, Papers and Journal Articles on Regulatory and Technical. Subjects."
- f. Chapter . NRC-3207, " Conferences and Con lerence Proceedings . "
- g. Title 44, U.S. Code "Public Printing and T ocuments." Government Printing Office.
- h. Government Printing and Binding Regulations of the Joint Committee on Printing, Congress of the United States, No. 24, April 1977 (JCP-Regulations). Government Printing Office.
- i. Title S. U.S. Code, " Government ~ Organization and Employees,"
Government Printing Office.
Approved: August 29, 1984
PUBLICATION OF' TECHNICAL REPORTS PREPARED BY l NRC CONTRACTORS, INCLUDING REPORTS PREPARED )
NRC-3202-055 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS
\
J. " Technical Writing Style Guide," A. W. Savolainen et al. , compilers, j U.S. NRC Report NUREG-0650, November 1979, and Supplement 1, '
February 1982.
- k. " Protection of Unclassified Safeguards Information," D. J. Kasun, j USNRC Report NUREG-0794, October 1981. )4 l-
- 1. Chapter NRC-0255, " Mail Management," and ' Appendix 0255, Part V, Annex A.
1 t
-l 1
l i
l
-l i
t l
l Approved: August 29, 1984
_--------a
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED i UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 CONTENTS . .
PAGE PART I PREPARATION OF REPORTING-REQUIREMENTS PORTIONS OF STATEMENTS OF WORK FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR DOE WORK A. LIST OF TECHNICAL REPORT REQUIREMENTS......................... l' i
B. REQUIREMENTS FOR FORMAL REP 0RTS............................... 2 j C. REQUIREMENTS FOR DRAFT REP 0RTS................................ 2 D. PUBLISHING UNCLASSIFIED, NON-SENSITIVE INFORMATION IN OPEN LITERATURE AND PRESENTING PAPER 5...................... 3-E. TYP0 GRAPHY.................................................. . 4 F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION........................................ 4 G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES 3 AND WORKSH0PS................................................. 4 H. WRITING AND PUBLISHING UNCLASSIFIED B00KS..................... 5 i
I. DISTRIBUTION OF REPORTS TO CONTRACTOR 5........................ 5 J. COORDINATION OF PRESS OR OTHER MEDIA RELEASES OF UNCLASSIFIED INFORMATION................................... 5 PART II UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC... 7 A. DOCUMENTATION................................................. 7
- 1. Applica,bility............................................ 7
- 2. Front Cover and Title Page.......................... .... 7 !
- 3. Availability Information................................. 9 i . 4. Disclaimer............................................... 9
- 5. Previous Reports in Series............................... 9
- 6. Abstract................................................. 9
- 7. References and Bibliographies............................ 9
- 8. Bibliographic Data Sheet................................. 10 B. PATENT AND SECURITY REVIEW 5................................... 10
- 1. Patent Review............................................ 10
- 2. Security Review.......................................... 10 l
l 1 Approved: August 29, 1984 i l
I
PUBLICATION OF TECHNICAL" REPORTS ' PREPARED BY L NRC CONTRACTORS, INCLUDING. REPORTS ' PREPAREDL NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS CONTENTS (Continued)
PAGE 1 C. PROCEDURES FOR PRINTING AND DISTRIBUTING. . . . . . . . . . . . . . . . . . . . . . 11-1
- 1. Printing................................................. 11 .
- 2. Reprinting............................................... 11 ;
- 3. ' Distribution of Reports.................................. 11' ;
1 EXHIBITS
- 1. Sample Cover for Unclassified Formal Contractor-Prepared Reports, i Excluding Those Printed by DOE Laboratories with JCP Authorized 1 Federal Printing P1 ants........................................... 13
- 2. Sample Title Page for Unclassified Formal Contracto'r-Prepared Reports, Excluding Those Printed by DOE Laboratories with JCP Authorized Federal Printing P1 ants................................ 14 'l
- 3. Sample Cover for Unclassified Formal Reports Printed by 00E Laboratories with JCP Authorized Federal Printing Plants. . . . . . . . . . 15
- 4. Sample Title Page for Unclassified Formal Reports Printed by DOE Laboratories with JCP Authorized Federal Printing ,
P1 ants............................................................ 16 j
- 5. NRC Fore 426A, Publications Release............................... 17 i
- 6. Disclaimer and Availability Statements............................ 18
- 7. NRC Form 335, Bibliographic Data Sheet........................... 19 PART III UNCLASSIFIED TECHNICAL LETTER REP 0RTS........................ 21 1 A. F0RMAT....................................................... 21
- 1. Applicability.... ...................................... 21
- 2. Requirements............................................ 21 B. PATENT AND SECURITY REVIEWS................................. 21
- 1. Patent Review........... .............................. 21
- 2. Security Review........................................ 22 PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE OFFICE OF NUCLEAR REGULATORY RESEARCH BY DOE LABORATORIES' WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS...................... 23 A. ,00 CEMENTATION................................................ 23
- 1. Applicability.......................................... 23
- 2. Front Cover and Title Page............................. 23 Approved: August 29, 1984 ii
y
)
. l
, PUBLICATION OF TECHNICAL REPORTS PREPARED BY ,
NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202--
CONTENTS (Continued) !
PAGE
- 3. Availability and Pri.e Information.....................
. 25
- 4. Disclaimer............................................. 25 ,
- 5. Previous Reports in 5eries............................. 25 l
- 6. Abstract.........'...................................... 25 !
- 7. References and Bibliographies.......................... 26 ;
- 8. Bibliographic Data Sheet............................... 26 B. PATENT AND SECURITY REVIEW5................................. 26
- 1. Patent Review........................................ . 26
- 2. Security Review........................................ 26 C. PROCEDUR'E5 FOR PRINTING AND DISTRIBUTING.................... 27
- 1. Printing ... .......................................... 27.
- 2. Reprinting..... ....................................... 27.
- 3. Distribution of Reports................................ 27 PART V REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION....................... ......... .... 29 A. I. APPLICABILITY............................................... 29 B. CFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION.... . 29 l
C. PROPRIETARY INFORMATION.......... 30 I l ..........................
D. SAFEGUARDS INFORMATION..........,........................... 31 E. CLASSIFIED INFORMATION...................., ................ 31 EXHIBITS
- 8. Sample Cover for a Contractor Report Containing Of ficial Use Only Information.................................................. 33
- 9. Sample Title Page for a Contractor Report Containing Official Use Only Information...... ....................................... 34
- 10. Sample Back Cover for a Contractor Report Containing Official Use Only Information.............................................. 35
- 11. Sample Cover for a Contractor Report Containing Limited Official Use Information.......................................... 36
- 12. Sample Title Page for a Contractor Report Containing Limited Official Use Information.......................................... 37 iii Apprwed: August 29, 1984 l . _ _ _ - - _ _ _ _ - _ _ . _ _ _ _ _ _ _ _ _ _ -
1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS CONTENTS (Continued)
PAGE
- 13. Sample Back Cover for a' Contractor Report Containing Limited Official Use Information.......................................... 38
- 14. Sample Cover for a Contri.: tor Report Containing Proprietary Information Obtained from a U.S. Organization..................... 39
- 15. Sample. Cover Page for a Contractor. Report Containing Proprietary Information Obtained from a Foreign Source............ 40
- 16. Sample Title Page for a Contractor Report Containing Proprietary Information Obtained from a U.S. Organization......... 41
- 17. Sample Title' Pag'e for a Contractor Report Containing ,
Proprietar Information Obtained from a Foreign Source........... 42
- 18. Sample Back Cover for a Contractor Report Containing Proprietary Information........................................... 43
- 19. Cover Sheet for Reports Containing Proprietary Information. . . . . . . . 44
- 20. Sample Cover for a Contractor Report Containing Unclassified Safeguards Information...................... ........ 45
- 21. Sample Title Page for a Contractor Report Containing Unclassified Safeguards Information.............. . ............. 46
- 22. Sample Back Cover for a Contractor Report Containing Unclassified Safeguards Information........ ........... ..... .... 47
- 23. Cover Sheet for a Contractor Report Containing Unclassified Safeguards Information................................... ....... 48 PART VI. HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH INDUSTRY............................................. ...... 49 A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT... .. 49 B. DISTRIBUTION BY NRC PROJECT MANAGERS.............. .......... 50 C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT...... .. . ... 50 D. REPORT IDENTIFIERS......... .............. ....... .......... 50 E. MAILING TO PROGRAM PARTICIPANTS............ ...... ... .. ... 51 F .' '5ECURITY................................... .......... .... . 51 i
Approved: August 29, 1984 iv ,
b PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED '
UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS ' NRC Appendix 3202 1
CONTENTS (Continued) j i
. PAGE . .j l
EXHIBITS . !
- 24. Sample Cover for a Draf t Preliminary Report -(Code) for Comment. . . 52
- 25. Transmittal Letter.from Contractor to NRC Project Manager for Draft Preliminary Report (Code)................................... 53 i j
- 26. Transmittal Sheet for Requesting Mailing to Cooperative Program Participants................... .................................. 54 i
J
\
' .j w
l c,
i v Approved: August 29, 1984 i
. . 4 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED .
. UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS NRC Appendix 3202 l l
PARTI PREPARATION OF REPORTING REQUIREMENT PORTIONS OF ,
STATEMENTS OF WORK FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR DOE WORK ]
A. LIST OF TECHNICAL REPORT REQUIREMENTS List the technical reports required from each project, task or subtask, as applicable. State when and to whom they should be submitted and what they should contain. These reports may be unclassified, sensitive l unclassified or classified. Standards for each of these categories are presented in
- Parts 11 through V. The following definitions describe the types of reports that may be specified:
technical reports - information on the technical aspects of contract work. These may be interim or final technical letter reports, draf t or final formal technical reports for publication in the NUREG/CR or :
NUREG/CP series , or draf t or final material for inclusion in SERs or ESs (see definitions below).
technical letter reports (also called technical evaluation reports) -
interun or final letters that provide information on the technical ,
aspects of the contract work. Interim technical letter reports may !
be required at various stages of a project. These interim letters usually are followed by a final technical letter report or a formal technical report. Final technical letter reports are usually specified i in situations where the technical work is review and evaluation of I work of others or work to be used by the staff in the licensing and regulation process. Interim letter reports may include, but are not limited to, informal (interim) progress reports , quick-look reports, data reports, status summary reports, project descriptions, pre-test predictions , model verifications, experiment safety anal-yses, expe,riment operating procedures. facility certification reports, and test result reports. These reports must be identified with the financial number (FIN) assigned to the project. They are not to be identified with DOE registered report codes. The num-ber of copies to be prepared and the distribution of those copies will be specified by the project manager.
formal technical reports - the final product of research, an original investigation, or a significant compilation of information. This pro-duct is a formal technical report for publication in the NUREG/CR or NUREG/CP series. For extensive long-term projects, formal monthly, quarterly or semiannual and annual periodic technical reports may be required. A draft of the final or periodic report may be requested for comment prior to preparation of the camera-ready copy.
1 Approved: August 29, 1984
.. PUBLICATION OF TECHNICAL REPORTS PREPARED BY LNRC Appzndix 3202 NRC CONTRACTORS,. INCLUDING REPORTS - PREPARED Part I- UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS
' draft or final material for publication or- inclusion in SERs, ESs ,-
, letters, or license amendmente - written material. requested for use-in the NRC licensing process. Such material may be. (1) abstracted in a NUREG report or attached .to a NUREG report, (2) attached to.
a letter or an' amendment to the license, or,(3) abstracted and used as necessary by- the NRC ' staff. NRC requires patent review and' full management review of this material by the performing organiza-tion. This material is to be submitted to NRC as a technical. letter report addressed to the project manager and identified by the FIN -
number.
I For . purposes of this 'Part, contractor means a private contractor, con-l sultant, grantee,.' another State or Federal Agency working under an i interagency agreement, or a DOE / facility or National' Laboratory (con- !
tractor) and subcontractors. !
i B. REQUIREMENTS FOR FORMAL REPORTS 1
If the contractor is to prepare a final formal technical report for publi -
cation, state that it will be printed and distributed by NRC from camera-ready copy submitted by the contractor, unless the work is being done-for the Office . of Nuclear Regulatory Research ' by a DOE facility .or Laboratory with a JCP-authorized printing plant. The ' camera-ready copy is to be prepared in accordance with the provisions of this appen-dix, Parts 11 and V :(for contractors other than DOE contractors), or Parts IV and V .of this appendix and Chapter 1102 (for. DOE contrac-tors ) . A style guide 'is also available free. - upon request '(NUREG- ;
0650). If the report is to be printed by NRC and tt is. unclassified, the i camera-ready copy is to be submitted by the contractor to the Director. 1 Division of TechnicalInformation and Document Control, NRC, Washington, !
D.C. 20555, by first class mail. For handling 'of sensitive unclassified l and classified reports see Part V of this appendix and NRC Appendix 2101. i
', Unclassified reports printed for the Office of Nuclear Regulatory Research should be handled in accordance with Parts IV and V of this appendix i and/or' Chapter 1102, l C. REQUIREMENTS FOR DRAFT REPORTS j If a draft is desired prior to completion of a final technical letter report, formal technical report, final material for inclusion in an SER or ES, or for comment by participants in cooperative programs with foreign gov-ernments and organizations .and with U.S. Industry, state that require-ment and the time frame for delivering the final camera-ready copy af ter receiving NRC and/or participant comments on the . draft.' State that . all draft material should be submitted to the cognizant project manager.
When the contractor is to submit draft material for comment prior to the preparation of the final ' report, state that if there 'are NRC program .
and/or participant comments the contractor will be asked' to make changes.
l
. If agreement on the changes is reached, the NRC manager will authorize j the contractor to prepare the' final copy and submit it to the project manager, if it is a letter report or input to an SER 'or. ES, or to the Director, Division of Technical Information and Document Control, if it is I
Approved: August 29, 1984 2
t :
PUBLICATION- OF TECHNICAL' REPORTS PREPARED BY NRC -CONTRACTORS, INCLUDING' REPORTS PREPARED - NRC Appendix 3202
. UNDER OR PURSUANT TO INTERAGENC_Y AGREEMENTS Part I camera-ready copy for printing and ~ distribution'. This is to be done -to assure proper publication, handling, and distribution and, among other >
things, to preclude further changes that might nullify the agreement. If .
caveats were agreed to pnd the project manager wishes to check the final document for their presence, he/she should inform TIDC of that desire.
In that case, upon receipt of the camera-ready copy by TIDC, the project ;
manager will be informed 'and requested to prepare and. sign the NRC ,
Form 426A. !
Also state that 'if agreement on changes to a formal technical report to be issued in . the NUREG/CR series is not reached, the NRC project manager may . request the . contractor to prepare the camera-ready - copy -i with, in addition to the ' standard disclaimer required on all contractor formal reports (see Exhibit 6), 'any caveats deemed necessary to cover i NRC objections. Such caveats may range from the "The, views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory ;
Commission" to the addition of 's preface setting. forth the NRC opinion or footnotes at appropriate locations within the text.
State that if NRC objections ,cannot be covered in this manner, NRC can refuse to publish the report. In the : case of DOE / National Laboratory reports , the DOE Operations Office Manager responsible for that labora- ,
tory should be informed by the NRC Office Director or Regional Adminis- ,
trator of the decision and the reasons therefor, with a copy to the !
Laboratory Director. In the case of another Federal. agency, a State, or ;
a private contractor, the person who executed the contract should simi-larly be infonned by the NRC Contracting Officer. The contractor is then free to publish without NRC identification of' the report.. . Project manager or higher level decisions may be' appealed .to the NRC Executive Director for Operations.
D. PUBLISHING UNCLASSIFIED INFORMATION IN, OPEN LITERATURE' AND PRESENTING PAPERS If the contractor's principal investigator is to be allowed to publish in the open literature instead of submitting a final report and/or present papers at public or association meetings during the course of the work, add the following statement to the Statement of Work:
The principal investigator (s) may publish the results of this work in the open literature instead of submitting a final report. and/or present papers at public or association meetings.at interim stages of the work.
If the project manager wants to review the paper or journal article prior to presentation or submission for publication, state this in' the Statement of Work, as follows:
The principal investigator (s) may publish the results of'this' work in i the open literature instead of submitting a final report and/or pre-sent papers at public or association meetings at interim stages of the work, if the article or paper has been reviewed by the NRC project 3 . Approved: August 29, 1984
1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC App ndix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part I UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS manager in draft form and agreement has been reached on the con-tent. The applicable procedures set forth in Chapters NRC-3206 or NRC-1102 must be followed.
If agreement is not reached, NRC may also ask that the paper include in addition to the standard statement " Work stipported by the U.S.
Nuclear Regulatory Commission," any caveats deemed necessary to !
cover NRC objections. If NRC objections cannot be covered in this !
manner, NRC can refuse to authorize publication in the open litera- !
ture and/or presentation of papers. !
i in the latter case, NRC will inform the contractor of the decision, as stated above for formal reports (see. Section C, paragraphs 3 and 4).
The contractor is then free to publish without NRC identification of the information . This will not affect payment of the contract work costs.
Project manager or higher level decisions may be, appealed to the NRC Executive , Director for Operations.
If the contractor proposes to publish in the open literature or present the information at meetings in addition .to submitting the required tech-nical reports, approval of the proposed article or presentation should be obtairied from the NRC project manager. The NRC project manager shall either approve the material as submitted, approve it subject to NRC-suggested revisions, or disapprove it. In any event, a project manager may disapprove or delay presentation or publication of papers on. infor-l mation that is subject to Commissioner approval that has not been ruled l upon or which has been disapproved.
1 (See Chapter 3206 for provisions relating to payment of page charges and travel costs for presentation of papers.)
l E. TYPOGRAPHY The text of reports must be single spaced on 8 x ll-in. paper, unless otherwise specifically authorized. Occasionally , reports with many sym- i bots and mathematical expressions may require one and one-half spacing to provide for superscripts and subscripts . This spacing should be allowed where needed, but should be considered an exception, not the standard.
l F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASS!FIED INFORMATION Details of the marking of reports designated Official Use Only, Limited Official Use, Proprietary Information , Safeguards information . and classified (Confidential, Secret, and Top Secret) are provided in Part V of this appendix and in NRC Appendix 2101.
G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND
_ WORKSHOPS i
NRC publishes or assists in the publication of compilations of papers presented at meetings , conferences, and symposiums in which NRC Approved: August 29, 1984 4 l
l
F PUBLICATION OF- TECHNICAL REPORTS PREPARED BY' !
NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 1 l participates as a sponsor or cosponsor. Chapter NRC-3207, " Conferences and Conference Proceedings," provides general information and guidance i for this. More detailed guidance is available from TIDC upon request. -
i H. WRITING AND PUBLISHING UNCLASSIFIED BOOKS i
NRC may, under certain circumstances, publish books prepared by J grantees or contractors. For ' general information and guidance on book l publishing, ste Chapter NRC-3210, " Book Writing and Publishing."
]
- 1. DISTRIBUTION OF REPORTS TO CONTRACTORS Up to 50 copies of unclassified formal technical reports may be retained by or will be bulk shipped to the. contractor by NRC for internal use.
If fewer than 50 copies are needed, indicate the desired quantity on NRC Form 426A. Single copies for specific individuals in organizations other than the contractor's organization who are not included in the distribution requested . by the NRC project manager may be requested on a project !
basis or on a report-by-report basis. The request, with written justifi- ;
cation, should be addressed to the NRC project manager, with a copy to NRC/TIDC. If the additional distribution is approved . by the NRC project manager, the contractor shall send these copies (if printing is done by the contractor) and address labels, even if printing is done by NRC, to NRC/TIDC, where the distribution will be made along with the j standard distribution. Distribution of sensitive unclassified and classi- 1 fied reports will be made by the project manager on a case-by-case basis. ]
J. COORDINATION OF PRESS OR OTHER MEDIA RELEASES OF UNCLASSI- 1 FIED INFORMATION
]
A contractor may request permission to issue a press or other media release on the work being done. Such request shall be made to the project manager, who will consult with his/her management and with the Office of Public Affairs. The contractor may not issue a press release on nonroutine information without this prior coordulation. This coordination may be accomplished by telephone, with the NRC project manager respon-sible for expeditious handling. Decisions not to release information or delays in handling by the project manager may be appealed to the NRC Executive Director for Operations.
l 5 Approved: August 29, 1984
. 1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED _. 1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART II - -
1 UNCLASSIFIED FORMAL CONTRACTOR REPORTS -1 TO BE PRINTED BY NRC A. -DOCUMENTATION
- 1. Applicability
- a. The requirements of this part apply to contractor and inter-age _ncy agreement reports that are to be printed by ~ NRC.
Contractors may not print reports prepared for NRC except ;
those DOE laboratories with JCP-authorized printing plants and then only those reports prepared for NRC's Office of Nucinar Regulatory Research.
- b. With respect to sensitive unclassified and classified reports, the requirements set forth in Part V of this appendix shall be used in conjunction' with NRC Appendix 2101.
- c. The requirements of this part do not apply to consultants and contractors of the NRC boards, panels, and advisory commit-tees which report directly to the Commission.
- 2. Front Cover and Title Page
- a. Separate covers and title pages are required (see Exhibits 1 and 2 for contractor reports and Exhibits 3 and 4 for reports prepared under or pursuant to interagency agreements).*
- b. The items shown in Exhibits 1 through 4 and discussed below shall appear on the title page and cover, as appropriate.**
(1) NRC Report Number Nach report shall be identified by an NRC-controlled alpha-numeric designation as the prime designation unique to that report. The centralized report control system for unique identification is maintained by the Division of Technical Information 'and Document Control. Numbers may be obtained by calling the Division of Technical Infor-nation and Document Control or by submitting a copy of NRC Form 426A (Exhibit 5) with a request for a number.
- Reproducible copy of the cover of the perfonning organization may be sub-mitted; however, the data elements shown in Exhibit 1 must be included.
These requirements meet the specifications of American National Standard ANSI 2.39.16-1974, Guidelines for Format and Production of _ Scientific and Technic s Reports, and ANSI Z39.23-1974, Technical Report Numbers.
7 Approved: August 29, 1984
NRC ' Appendix 3202 - NRC CONTRACTORS, INCLUDING REPORTS PREPARED. l P:rt II. UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Tha NRC' identification number will have the . form:
NUREG/CR-XXXX or NUREG/CP-XXXX where CP indicates conference proceeding. The' contrac -
.. tor's report ' number, if any, may be inserted below . the NUREG number on the title page and. cover, as shown in-Exhibits 1 through 4, if desired by the contractor.
When c a rsport ' consists of more than one volume or bind-ing or is issued in more than one ' edition,= an appropriate volume, supplement , part or revision designation shall appear immediately below the report number.
- (2) Title and Subtitle
-(a) .Use ~ a brief title that. indicates clearly the subject matter covered in the report.
(b) When a report is prepared in more than one Volume ,
repeat the primary title on each volume.
(c) If appropriate, show the type. of report (e.g.,
l annual report, . final report, thesis , etc. )- and the i
period covered as part of the subtitle.
(3) Personal Author (s)' Name(s)
Authors' names should- be .given on the title page and cover unless this is' impractical, as in the case of. annual reports which have many contributors. If authors'.'contri-butions are-as editors, compilers, etc. , so indicate on the title page following t.he names. In addition, list affiliation of each author only if affiliated with an organization other than the organization generating the document.
i (4) Organization Identification 1
On the title page and cover, provide' information of the type illustrated in Exhibits 1 through 4.
f (5) Basis for Report Date(s) i (a) The basis for dating may be shown along with the '
l date on the title page. Various bases for dating are l possible; e.g., date report completed, date reviews.
l completed , date published,. date distributed, ' etc.
(b) More than one date, with the basis for each, may be shown where this is necessary.
l Approved: August 29, 1984 8
[
s l
PUBLICATION OF TECHNICAL REPORTS PREPARED' BY- - I NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 -j UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 11
- 3. Availability Information 1
All formal reports wiD be made available for sale by NRC and by j the National Technical Information Service (NTIS). Exhibit 6 will -
)
be inserted on the inside of the front cover by the Division of "
Technical Information and Document Control.
- 4. Disclaimer The following notice will be added during the printing step on the i inside front cover (Exhibit 6): "This report was prepared as an !
account of work sponsored by an agency of the United States Government. Neither the United States Government nor any agency thereof, or any of their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any thiW party's use, or the results of such use, of 'any i.nformation, apparatus, product or process disclosed in this report, or repre-sents that its use by such third party would not infringe privately owned righ ts . " The following additional statement , "The views expressed in this report are not necessarily those of the U . S ..
l Nuclear Regulatory Commission" will be printed below the standard disclaimer, if appropriate. Other . qualifying statements may be added, if needed (see Part l'.C. , Requirements for Draft Reports).
- 5. Previous Reports in Series If the report being prepared is one in en ongoing series, list all previous reports in the series. Include report numbers and issu-ance dates. Place this list on the back of the title page.
- 6. A bs tract An abstract of 200 words or less shall be prepared for each formal report. Within the report, the abstract shall appear on a separate page between the list of previous documents in the series and the contents page.*
- 7. References and Bibliographies Reports or other documents referenced in text, reference sections, bibliographies , and appendixes of unclassified regulatory and' technical reports in the NUREG series must be available to the.
public either in the public domain (as in a public library, at the i
Government Printing Office, at the National Technical Information Service , or at other reference or sales outlets) or in the NRC Public Document Room . This means that references should not l be made to personal communications and interviews, unpublished i This preferred positioning of the abstract in the report need not be followed if the style manual of the originating organization requires a different location .
9 Approved: August 29, 1984
PUBLICATION OF TECHNICAL REPORTS. PREPARED BY NRC App:ndix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part II UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS ]
information and information with restricted distribution (e.g.,
proprietary , national security , official use only, etc.). If the unretrievable information is important and unrestricted, it can be . ;
quoted in the text, in footnotes, or in appendixes. If credit is due to individuals, they can be mentioned in the text or in an acknow-ledgement section. Availability may be stated collectively for all l
entries (see Exhibit 6),
Guidelines for dev' eloping and ~ presenting reference material are provided in NUREG-0650, " Technical Writing Style G uid e , " ;
published in November 1979 (see Appendix A, pp . 19-23 for '
specific guidance) and Supplement I dated February 1982.
- 8. Bibliographic Data Sheet t
NRC Form 335 (Exhibit 7) shall be prepared and included in the l camera-ready copy as the final right-hand page.
B. PATENT AND SECURITY . REVIEWS
- 1. Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the l patent rights of NRC or the contractor. If the work being reported ,
is contractually managed through another government agency (e.g. , 1 DOE laboratories), that government agency should be requested by the contractor to perform the patent review. The result of such review shall be reported on NRC Form 426A in item 11 (Exhibit 5).
If NRC directly administers the contract or the contractor is unable i to obtain a patent clearance from the government agency administer-1 ing the contract, the responsible NRC contracting officer shall be consulted, and the responsible NRC project manager shall consider the patent implications . If there is no need for patent review because of the certainty that the report contains no description of novel technical developments which may be of an inventive nature, NRC Form 426A may be completed with the statement "Not Appli-cable" or "N/A" in the space for the Patent Counsel's signature. If there is a possibility that there is disclosure of developments of an inventive natu re , the contracting officer shall request assistance from the NRC Patent Counsel, Office of the Executive Legal Director.
- 2. Security Review In most cases, contractor reports will be unclassified. Should a report of sensitive unclassified or classified work be required ,
however, the NRC project manager must work with the NRC Division of Security to establish the appropriate procedures and inform the contractor of such procedures through the contracting officer. The standards for marking and handling such reports are given in Part V of this appendix and NRC Appendix 2101.
Approved: August 29, 1984 10 -
o . l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 11 C. PROCEDURES FOR PRINTING AND DISTRIBUTING J
- 1. Printing y
Reproducible masters prepared in accordance with this appendix l shall be transmitted to the Division of Technical Information and Document Control, accompanied by completed NRC Form 426A (Exhibit 5). NRC Fo'rm 426A must be signed by the NRC project )
manager or a contractor official authorized by the project manager.
Such authorization shan be reported in writing to TIDC.
The Division of Technical Information and Document Control will !
review the masters for adherence to the standards set forth in this !
chapter and appendix and will arrange for printing and distributing i the report. Unsatisfactory masters will be reported to the NRC l project manager for appropriate contractual action by the contract- l ing officer or, in the case of government agency or interagency i agreement work, the publications manager of the performing l l organization . !
- i
- 2. Reprinting -
s Requests for reprinting any report subsequent to the initial print- ;
ing require approval of the Division of Technical Information and Document Control. Each request shall include a written justification i and the project manager's approval for reprinting along with ad-dress labels for the recipients. ;
! l
- 3. Distribution of Reports j l
All copies of ' unclassified formal contractor reports will be distrib- J uted by the Division of Technical Information and Document Control j in accordanceS with instructions on NRC Form 426A (Exhibit 5). The Division of Technical Information and Document Control will also !
arrange automatic distribution of these reports to the NRC Docu- '
ment Control System, the NRC Public Document Room, the National l Technical information Service (NTIS), the Government Printing ,
l Office and the Depository Library Service.
If any distribution is to be made other than, or in addition to, the standard distribution established for the report, written justification and the project manager's approval for printing additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control. Address labels for the additional distribution must be supplied.
l l
Distribution of sensitive unclassified and classified reports will be made by the NRC project manager on a case-by-case basis.
11 Approved: August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS' PREPARED NR'C Appendix 3202 UNDER OR PURSL*.\NT TO INTERAGENCY AGREEMENTS
.s.
EXHIBIT 1_ . . .
SAMPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR-PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT.TO INTERAGENCY AGREEMF.'lTS i
NRC Report No. NUREG/CR.1676 Contractor Report No. (if any) NUSAC-556 Vol., Part, Rev., etc. (if any) Vol.1 1
)
we Using Advanced Process Monitoring to improve Material Control Subtitle and Type of Report Final Report
( Annuai, Topical, etc.) September 1979. September 1980 J
Author (s) preoered ev R L. Mewkes. R. L. Lynch, R. F. Lume Contractor NusAC incorporeied NRC r eu , or. n t,, ry 13 Approved: August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appsndix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Par' 41 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 2 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL CONTRACTOR.
PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS I
l i
NRC REPORT No. NUREG/CR 1676 Contractor Report No. (if any) ySAO 666 Vol., Part, Rev., etc. (if any)
Distribution Category No (if any) -
we Using Advanced Process Monitoring 4 to improve Material Control .
n Subtitle and Type of Report Final Report
( A nnual, Topical, etc.) Septernber 1979 September 1980 Report Dates and Bases c e wg isso Author (s), Editor (s),
Cornpiler(s), etc, y_w ,, ,,
i l
Contractor Name ga .=n l l
and Address m .va na
'NRC Sponsorship Preeered see b Nc Com s on N RC Contract No, Nac fin e4437 1
Approved: August 29, 1984 14
- nlV ,
PUBLICATION.OF TECHNICAL REPORTS PREPARED BY . .
3 NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRP Annandiv 3909 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pa.m. ', L - tid -
EXHIBIT 3 SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS i
~
NRC Report No. I NUREG/CR 1952 i contractor Report,No SAN 0810151 l
Vol., Part, Rev., e tc.
j LOCA-Simulation Thermal-Shock I .
Test of Sliding-Link Terminal 1
Blocks i
Type of Report independent Verification Testing Program i
or subtiti, independent Verification Test 1 k
i ' ' ' ' ' * * * 'w ' 'ne g w w sucge F v Thome. J A (ew.n t w Geo, sNt Author h). E ditor (s)'
Contractor send e Nei.onal Laborotorees Sponsorship h'7'E*, ,*,'rReguistory Commession i
r 15 Approved: August 29, 1984
[l-s
_ $RC Apptndix 3202
,. PUBLICATION OF TECHNICAL REPORTS PREPARED BY.'
NRC CONTRACTORS. INCLUDING REPORTS PREPARED' '
l J
f Pm-t !! UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS
' EXHIBIT 4 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY' AGREEMENTS
\
)'q NRC Report No.
Contractor's Report No.
Vol., Part, Rev., etc.
0 5)
Distribution - 84 Category i me 2 LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks Subtitle ino,,,no,ng v.,,,,c,,,on 7,,,,ng p, og,,,
inoepenoen venfication Test 1 Report Dates , iss, Author (s) Editor (s) ...e-.e e,
' 'e *CO *, "a *";=J .'e' c'- ' ' '~ ' *
$'-- 5*
Contractor's Name and Address gaysjge=
N D o of Rosseent and Regional Reactor inspection ottico ev en pece.on and Envercoment u s Nucieer Reowiatory comm. won we.*.neten. o c acess NRC FIN No, NRC FIN s3toi l
t
/
I i
i Approved: August 29, 1984 16
(
J _ _ _ _ _ _ _ _ _ _ _ _ . . _ _ _ . _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _
. 1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY r NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Part II EXHIBIT 5 NRC FORM 426A, PUBLICATIONS RELEASE FOR UNCLASSIFIED -
NRC CONTRACTOR AND CONSULTANT REPORTS 4
ws oucose as ow6 atom, s.owseu..o i as eo. v .,,.es . .a - a g.,g
.,=c,. o . . .m.
c..sn. g ,~_
PUBLICATIONS AtLEASE FOR UNCLASSIFIED a ..s.......o=c aso...o 6 j NRC CONTRACTOR AND CONSULTANT REPORTS a' ~ ** "** *~-- a ow rrsw no ?,~,~TC.'" l
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17 Approved: August 29. 1984
.p ,
'A PUBLICATIOLOF TECHNICAL REPORTS PREPARED BY NRC Appendix 320?. NRC CONTE, ACTORS, INCLUDING REPORTS . PREPARED -
Paf t !! UNDER ORJ,URSUANT TO INTERAGENCY AGREEMENTS >
EXHIBIT S -
DISCLAIMER AND AVAILABILITY STATEMENTS (SACK OF COVER) 8EDTICE This suport se pepped a e samount of west spessered by a seusy of een Undeed Suess Generissent sesNher we usness Suses Generiesent ser any semey tempest'. er any of emir omedeynes, snake any marranty, empeume er isessind, er sensmus psy legal llehdity of so-scenetsisty ter any shed party's uns, or the reec ma of eueh ame, of any hetermoelen, acessens, redust er greams desteest in the report er repressnes shst ens use tv eseh thed party usedd not auermes poseery sessed rights.
NOTICE AsenshiHey of Referense Meesreis Cited in NRC Putineseiens Most documens cited in NRC puedestens us641 he sundelde from one of the testowing smuress;
- 1. The NRC Puedsc Deanement Reem.1717 H Swast, N.W.
WesNngrai. DC 20EM
- 2. The NRCsep0 $sans Prayem, U.S. Nuctemr Repdatory Commason, Wenhangton, DC 20886
- 3. The Neuorial Techninal Informeten Servies. Senastie6d. YA 22181 ANhough the tutsne that foetous represens the mesorrty of documanes cited in NRC puedestions.
rt a not sneended to be eahaustsee Referenced documans ovosialde ter iresseton and copying for a fos from the NRC Putic Dome enent Room anclude NRC earnmoondsnes and intemel NRC nomorends; NRC Offee of leeuestum eral Enforcement bunetwo. cwouters, informeten notees 6nspection and investigsten naimes:
Lacenese Eient Recoru; sender remors and eorremondanos, Commamen assers, and seedacent and iconsse densmens oral corvusenderne.
The fenoming documene in the NUREG ennes are eisinstie for purshnes from the NRC/GPO $ stas Proyom: formsi NRC sentf and emnerector repora. NRC1petuoted senterenes proceedwigs. and NRC bookles and brochurus. Alus eiedelde are Rapisesry Guadas. NRC repleters m the Com et Feders/ Assutenons, and Aluedser i ^ i Commenon fasusumL Docunenes ovedebts trem the Neuensi Teshneet information Smase include NUREG emnes reporw eeul tasencal reporu prepared by other fedeel agencias and resors prepared by the Atomac Enaryy C_ - '- ; torerunter egewy to the %staar Repletery Commason Do n.rie seedsus een eine. w ishn.ed ierene ince en een i,.rm-e such as books,lounel and penediani artienes, and transmetions. Feearst Aspeser neemas, federsi and sees topsiseen, and eenysumenet reyww een unse#v to atteenest team these 14renas.
Docunene asah as theon, deserweese. termen regere and Waroistens, and nervNRC eerderenes pressedings are suoinette ler purshese fresa the orgsmastoon sponservig the puedesseen cetenL Swiste copass of NRC draft repara are seedstde free, to the estent of moply, upon written roeuest to the Dween of Toshnant Informsten and Domament Centret. U s. Deuclear Repletery Com.
menon. Washeipson. DC 2346.
Copas of wuhary sedes and senndert west in e outstentne nereier en the NRC repletery pressus n meenmeied at the NRC Library. 7930 Norisik Avenue. Depuess. Marytend, end m evedotde vi.e sw ,se.one un try v pieks. Casm we senewe n inusiiy seeynghwd and mey me p.e d fr We oneneenig www senen er if wwy Amoreen Neuerei stanum. from t,.
Anwnsen National Sonderes instreute.1M Breedusy Peew York. NY t0014.
GPO P'vese care puo' Approve & Auguct 29, 19M 18
1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annendix 3202 UNDER OR PURSU ANT TO INTER AGFNCY AGREEMENTS Part II EXHlBIT 7 ^
NRC FORM 336 - BIBLIOGRAPHIC DATA SHEET . .
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PUBLICATION OF TECHNICAL REPORTS PREPARED B.Y NRC Apptndix 3202 NRC CONTRACTORS, INCLUDING REPORTS . PREPARED Part II UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS '
EXHIBIT 7 (Continued)
BACK OF NRC FORM 335 DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT l
seeBTaucteosa8 NRC PORM 333, essLIOGRAPMIC OATA SMEET,18 SASSO ON GulOf LINf 8 80R FORMAT AND PRODUCTION 08 SCIENT18tC AND TECHNICAL RIPORTS. ANSI E39.18 1974 AVAILASLE FROM AMERICAN NATIONAL ST ANDAROS JNSTITUTE. te30 BROAOWAY. New YORet. NY 10018 EACM SEPARATELY SOUND REPORT FOR EXAhePLE.
- t ACH VOLUME sh A MULTsv0LUME j SET-SMALL MAVE ITS UNtQUE BIBLIOGRAPHIC OATA SMtET.
- 1. REPORY NutSER. Each ind6vieweety movad report eheti 10. SPO8eSORife0 ORG ANIZAT804. L.st NRC Deves.oa. OHice, carry a wa. owe eisheaumen.c deusastion INUREGI essened U.S. Nucies, Reevietory Comm.se.ea. wesa aeroa OC 20656 py the 0,wiseoa of Tocaneces taformeten and Documsat Csatros. AOM. in acconamnes enth Amerasen Netiones 11. a. TYPE OF REPORT. Stevo o<eti. fiasi. prei.m.nery, too.cei.
Senadere ANSI 239.23. 1974 Techases Resort Nummer teena.cee, reewistory, overte<iv, etc., eaa d epoiceo.e.
(STANI. Use woporcoes setters, Aretic avmorees, seenhos, and eacius ve cetes hvoneas ono v , as in the folio as enomenos NUR EG4100, NUREG/CP40t0. NUREC/CR4100, and NUREG/SR.0010. t. PERIOD COVERED.
For resorts ea e esees ese ved., Suos. Rovason, and Aedeadwm when necessary. Aed contractor creaneeforenes 12. SUPPLEMENTARY 8eOTts. Eater ea'ormet.oa act iaciwoes sesatsf catsoa ua mligt lef any) helene NUREG awmter, og , c'eewhere Dwt weeful, swCa et Prepared sa rooperetioawita PesL.K E N K, S ANOX X.X XX X, SA6.X X X X. Pressated et coase rtace et To tus owDiesnoo Docaet No t%hea e resort es rew eed. .ad.cate wa sther the new
- 2. TITLE AND SUSTITLE. Tette snowes indicate cleerty and eeoort swmorosoes or swooiemeats tme oice, report aren, the twesect teoverage) of the resort. eactwdias say swetitie to ene main tit 6e when a report es procered in more 13. ABSTR ACT. lacivos e er.sf r200 woros or iesti 'ectus' sw a tasa cae wo6wthe, resest the primary title, sed volume nymper mery of the most s egad. cent .af ormesioa coate aed ea tae tiad saCivos swDtitle for the geCdic selvme. Use upper sad r6 port if the repo's coatosas e s.ga.bceat D D"og'80av o' loner cese letters, tuut cooitehte comowner coes nomes De 1.terstwee sw r wev or mu it oie .etw.aes. meat.oa .e mere Apotreet aOf was acroayms ead 8atteel88ms ta tities. me, he ados 6 na es to be propeted Dy ewtaor et protect meaepe8 parectnesis.
- 14. DOCUMENT ANALYStB '
i
- 3. LEAVE BLANE.
- e. KEY WOROS/OESCRIPTORS. Seiect 'com the f ae tv
- 4. DATE REPORT COMPLETED. Each report th.,u carry e aste Oste Sese Sveneet Taenew s ws. OOt / TIC 7004 R 6. tae
.risicat.ag moata nd a voor protect /teek cemoneted proper owthorised to'ms tm te .oeat.f y eme me o, coaceot of the renaerca sad are swHec.eativ sosc 6c ead prec ee to S. AUTMOR(St. G.ve aeme(s) .a conventions oroot (es Joha be useo es .aosa eatnes 'oe ceteioc as R Ope, J Rotiert Oset List owthor e effemination it it se diHee-eat from the performsag organiteten, b. lOENTIFitR$ AND OPEes (NotO TERMS. Use .cean.
- f. ors for protect memet, cose nomes. eowemeat ces4astors.
S. DAf f REPORT tSSuto. Eoch *eport shell carry e note etc Use coea. eased iteyworest terms antrea .a oeice.pto, ene.catiag moath ead yana pwedished. form (144) for those swtnacts for wa.cn no oence.prov enests in the thomew've 7, PERFORMile0 ORGANIZATIONS esAuf AseO MAILIIe8 .
ADORESS. Grue name, street, city, state, and ZIP coes. , 15. AVAIL ASILITY ST ATEME NT. Deacte owei.c *eisenab+ty, l Last no more then two levote of en esgoasestemel horerchy. for e nempie wahmetec , or hm tet.o* Ice repicas otaer Oesney the nome of the orpeniset.oa easetty as follows- tmea escuni, Oms.oa. OHice, Orseaiset.on or Geverammat speaev. ead meeress. 18. SECURITY CLASSif tCATION t atet U $ Seco .tv C an 6 e cei.on sa secoreence with U$ Secwnte 8teswiet.oas b e .
S. PeOJECT/TASE/ WORK UNtf NUhdStk. Ues the prosect, unciensof ed) tees. ead more va.: nummers vaese wasch the eeport was propered lif anyl. 17 NUleSER Of PACT 3 Leave Disaa lasced D, NTISI
- 9. F8el OR GRANT NUedSE R, tacert the FIN or great number 13. PRICE (sewe eseae ( Ageed by NTi$1 waee, wh,ca ,epo,e mes -ed.
l Approved: August 29s 1984 20
I PUBLICATION OF TECHNICAL REPORTS PREPARED BY '
NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 l l
PART III .
1 UNCLASSIFIED TECHNICAL LETTER REPORTS 1 I'
I A. FORMAT
- 1. Applicabilig i
- a. The requirements of this part apply t'o unclassified contractor j technical letter reports. (See Part I. A for definition.) !
1
- b. The requirements of this part .do not apply to consultants and )
l contractors to the NRC boards, panels, and advisory commit- I tee's which report directly to the Commission.
- 2. Requirements Technical letter reports are prepared, duplicated and distributed in accordance with the requirements of the Statement of Work in the contract or in the Standard Order for DOE Work. Each such report
! must be identified with the financial number (FIN) assigned to the project . The number of copies to be prepared and the distribution l of those copies will be specified by the project manager. If unclas-l sified and non-sen sitive , the NRC project manager is responsible i for making such reports available in the NRC Public Document Room (PDR) by sending them to the PDR through the NRC Document Control System.
B. PATENT AND SECURITY REVIEWS
- 1. Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC. If the work being reported is contractually l managed th' rough another government agency (e.g. , DOE labora-tories ), that government agency should be requested by the con- ,
l tractor to perform the patent review. l I
If NRC directly administers the contract or the contractor is unable '
to obtain a patent clearance from the government agency administer-ing the contract, the responsible NRC contracting officer shall be consulted, and the responsible NRC project manager shall consider .
the patent implications. !
l If there is a possibility that there is disclosure of developments of l an inventive nature, the NRC contracting officer shall request I assistance from the NRC Patent Counsel, Office of the Executive Legal Director.
l 21 Approved: August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part III UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS
- 2. Security Review In most cases, contractor technical letter reports will be unclassi-fied . Should a report df sensitive unclassified or classified ' work be required, however, the project manager must work with the Division of Security to establish the appropriate security procedures and inform the contractor of such procedures. The standards for marking and handling such reports ' are given in Part V of this appendix and NRC Appendix 2101.
i i
i I
-i Approved: August 29, 1984 22 l
~
. PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 l
PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE NRC l OFFICE OF NUCLEAR REGULATORY RESEARCH BY DOE LABORATORIES WITH JCP-ADTHORIZED FEDERAL PRINTING PLANTS A. DOCUMENTATION
- 1. Applicability l
- a. The requirements of this part apply to NRC staff who are responsible for agreements with DOE Laboratories and their l I
contractors who print regulatory and technical reports re-quired by NRC. (See also Chapter NRC41102).
- b. With respect to sensitive unclassified and classified reports the requirements set forth in Part V of this appendix shall be used in conjunction with NRC Appendix 2101. ,
- c. The requirements of this part do not apply to consultants and contractors to the NRC boards, panels and advisory committees l which report directly to the Commission. l
- 2. Front Cover and Title Page
- a. Separate covers (of different paper than that of the text) and title page are required.*
- b. Items such as those shown in Exhibits 3 and 4 and discussed l below shall appear on the front cover and title page, as appro-priate.** wWhile layouts and typefaces need not be exactly the same as in Exhibits 3 and 4, the items shall appear in approxi-mately the locations indicated and with the same relative prominence.
(1) NRC Report Number Each report shall be identified by an NRC-controlled alpha-numeric designation as the prime designation unique l to that document. The centralized report control . system for unique identification is maintained by the Division of Technical Information and Document Control. Numbers may The cover stock of the performing organization may be used; however it I must include the data elements shown in Exhibit 3.
These requirements meet the specifications of American National Standard l ANSI Z39.18-1974, " Guidelines for Format and Production of Scientific and Technical Reports," snd ANSI Z39.23-1974, " Technical Report Numbers . "
23 Approved: August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part IV UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS be obtained by calling the Division of Technical Informa-tion and Document Control or by submitting a copy of NRC Form 426A (Exhibit 5) with a request for a number.
The NRC identification number will have the form:
NUREG/CR-XXXX or NUREG/CP-XXXX The contractor's report number, if any, will be inserted below the NUREG number on the title page and cover, as shown in Exhibits 3 and 4, if desired by the contractor.
When a report consists of more than one volume or' bind-ing or is issued in more than one edition, an appropriate volume, supplement, part , or revision designation shall
. appear immediately below the report number (s). NRC report numbers on covers and title pages shall be shown entirely on one line to facilitate computer processing.
(2) Title and Subtitle (a) Use a brief title, which indicates clearly the subject matter covered in the report.
(b) When a report is prepared in more than one volume, repeat the primary title on each volume.
(c) If appropriate, show the type of report (e.g.,
annut.1 report, final report, etc.) and the period covered as part of the subtitle.
(3) Personal Author (s)' Name(s)
(a) Authors' names should be given on the title page and cover unless this is impractical, as in the case of annual reports which have many contributors. If 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 report.
(b) Authors may be identified on backstrips (spines) of bound volumes.
(4) Organization Identification j
(a) On the cover, provide the name of the contractor
. responsible for preparing the report, followed by
" Prepared for the U.S. Nuclear Regulatory i Commission. "
{
Approved: August 29, 1984 24
l
- PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 I UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV I (b) On the title page, prbvide information of the type l illustrated in Exhibit 4. , ,
(5) Basis for Report Dates (s) i 1
(a) The basis for dating may be shown along with the date on the title page. Various bases for dating are possible; e.g. , date report completed, date reviews completed , date published, date distributed, etc.
(b) More than one date, with the basis for each, may be shown where this is necessary. l
- 3. Availability and Price Information All forma reports will be made available for sale by NRC and NTls.
The statement shown in Exhibit 6 is required on the inside of the front cover.
- 4. Disclaimer The following notice shall be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by the United States Government .
Neither the United States Government nor any agency thereof, or any of their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any information, apparatus, product or process disclosed, or represents that its use by such third party would not infringe privately owned rights." The follow-ing additional statement, "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" will be printed below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed (see Part I .C. ,
Requirements for Draft Reports).
- 5. Previous Reports in Series If the report being prepared is one in an cngoing series, list all previous reports in the series. Include report numbers and issuance dates. Place this list on the back of the title page.
- 6. Abstract An abstract of 200 words or less shall be prepared for each formal report. Within the report, the abstract shall appear on a separate page between the list of previous documents in the series and the contents page.*
1 This preferred positioning of the abstract in the document need not be fol-l lowed if the style manual of the originating organization requires a different location .
l 25 Approved: August 29, 1984
NRC App:ndix 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part IV UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS
- 7. References and Bibborraphies Reports or other documents referenced in text, reference sections, bibliographies, and appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office, at the National Technical Information Service, or at other reference or sales outlets) or in the NRC Public Document Room. This means that references should not be made to personal communications and interviews , unpublished information and information with restricted distribution (e.g.,
proprietary, national security, official use only, etc.). If the unretrievable information is important and unrestricted, it can be quoted in the text, in footnotes, or in appendixes. If credit is due to individuals, they can be mentioned in the text or in an acknow-ledgement section. Availability may be stateil collectively for all entries. (see Exhibit 6).
Guidelines for developing and presenting reference material are provided in NUREG-0650, " Technical Writing Style Guide," pub-lished in November 1979 (see Appendix A, pp.19-23, for specific guidance) and Supplement I dated February 1982.
- 8. Bibliographic Data Sheet NRC Form 335 (Exhibit 7) shall be prepared and included in the camera-ready copy as the final right-hand page.
B. PATENT AND SECURITY REVIEWS
- 1. Patent Review s .
Patent implications shall be considered prior to approval of reports e for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor. The DOE Operations Office responsible for the contractor should perform the patent review.
The results of such review shall be reported by the contractor on NRC Form 426A in item 11 (Exhibit 5).
- 2. Security Review In most cases, reports will be unclassified. Should a report of sen-sitive unclassified or classified work be required, however, the NRC project manager must work with the Division of Security to establish the appropriate classification procedures and inform the contractor. The standards for marking and handling such reports are given in Part V of this appendix and NRC Appendix 2101.
Approved: August 29, 1984 26
l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV C. PROCEDURES FOR PRINTING AND DISTRIBUTING
- . Printing '
Contractor reports may be printed only by a JCP-authorized print-ing plant and then only if prepared for the NRC Office of Nuclear Regulatory Research . Reports printed by the contractor and one reproducible master shall be submitted to the Division of Technical Information and Document Control, with completed NRC Form 426A.
The number of copies specified by the Statement of Work for stand-ard and incidental distribution shall be provided. The appropriate identifying number (NUREG/CR _) may be obtained as discussed in Section A.2.b. (1).
1
- 2. Reprinting Requests for reprinting of any report at NRC expense subsequent I
to the initial printing requires approval of the Division of Technical Information and Document Control. The request shall include a written justification and the project managers approval for the re-printing, along with address labels for the recipients.
- 3. Distribution of Reports All copies of unclassified formal contractor reports will be distrib-uted by the Division of Technical Information and Document Control l in accordance with instructions on NRC Form 426A (Exhibit 5).
NRC Form 426A must be signed by a contractor official authorized by the project manager. Such authorization shall be reported in writing to the Division of Technical Information and Document Cont rol .
If any distribution is to be made other than, or in addition to, the standard distribution established for the report, written justification and the project manager's approval for printing additional copies ,
shall accompany the reproducible masters when submitted to the '
Division of Technical Information and Document Control . Address labels for the additional distribution must be supplied.
The Division of Technical Information and Document Control will arrange automatic distribution of these reports to the NRC Docu-ment Control System, the NRC Public Document Room, the National Technical Information Service (NTIS), the Government Printing Office and the Depository Library Service.
Distribution of sensitive (unclassified) and classified reports will be l made by the NRC project manager on a case-by-case basis. l l
1 l
i 27 Approved: August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART V
\
REPORTS CONTAINING SENSITIVE UNCLASSIFIED l AND CLASSIFIED INFORMATION i 1
A. APPLICABILITY These procedures and exhibits of this part apply to sensitive unclassi-fied and classified reports prepared by NRC contractors . These reports include those designated:
. Official Use Only Limited Official Use Proprietary Information Safeguards Information Confidential Secret Top Secret Only sufficient information is presented here to aid in the preparation of the properly marked covers, title pages, back covers, and text pages.
Details of the NRC Security Program and specific provisions for deter-mining when to use the markings exhibited are contained in NRC Appendix 2101.
The reports covered are defined as sensitive unclassified or classified.
Sensitive unclassified information refers to information designated Official Use Only , Lunited Official Use, and Proprietary Information .
Sensitive unclassified information also includes Safeguards Information that must be protected from unauthorized disclosure pursuant to 10 CFR 73.21 and Section 147 of the Atomic Energy Act of 1954, as amended, information withheld from public dissemination under the Freedom of Information Act or Privacy Act, and information not to be exported to or disclosed to foreign countries.
Classified information as used in this part includes Restricted Data, Formerly Restricted Data or National Security Information that requires protection in one of the three classification categories described in Executive Order 12356: Top Secret, Secret or Confidential.
The uses of each of the sensitive unclassified and classified categories and the markings required on reports are discussed and exhibitea in the following sections. All sensitive unclassified and classified reports are to be sent directly to the project manager.
B. OFFICI AL USE ONLY AND LIMITED OFFICIAL USE INFORMATION.
NRC regulations require an Official Use Only marking to be placed on a report only when the originator or other holder believes the marking is
- n- ~ .~ _
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC App;ndix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS essential to ensure proper handling. Reports designated Official Use Only will contain only unclassified information originated by or furnished i to an NRC contractor which.is to be withheld from public disclosure. The 1 report on which the marking appears must be reviewed at the time a l request for release is received to determine its releasability. The Official Use Only marking is notice of the originator's determination of the applica-bility of an exemption under the Freedom of Information Act or Privacy
.Act or both at the time of origination.
Official Use Only NRC contractor reports shall be marked as shown in Exhibits 8 through 10.
Limited Official Use information is information originated by the U.S.
Department of State. A report originated by an NRC contractor that contains Limited Official Use information shall be . marked as shown in Exhibits 11 through 13.
Procedures for reproducing, transmitting, protecting, and handling reports containing Official Use Only and Limited Official Use information and removing such reports from those categories are detailed in NRC Appendix 2101.
C. PROPRIETARY INFORMATION Proprietary information is a specific type of Official Use Only informa-tion . Proprietary information includes:
- 1. trade secrets.
- 2. privileged or confidential research, development , commercial or financial information exempt from mandatory disclosure under 10 CFR Part 2, " Rules of Practice for Domestic Licensing Proceed- ,
ings," Sections 2.740 and 2.790 and under 10 CFR Part 9, "Public Records," Section 9.5, " Exemptions."
- 3. information submitted in confidence to NRC by a foreign source.
which has been determined by NRC to be unclassified.
Unclassified NRC contractor reports containing proprietary information shall be marked as shown in Exhibits 14 through 18. In each instance, the optional wording that describes the material being presented should be selected.
If a report contains both Official Use Only information and proprietary information , the front cover shall be marked as proprietary information and may also be marked as Official Use Only information, if necessary.
Pages in the report that contain proprietary information may be marked accordingly , including, marginal or other indicators of the specific wording that is proprietary. Similarily, the pages that contain Official Use 'Only information without proprietary information may be marked Official Use Only Approved: August 29, 1984 30
1
. PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V Procedures for reproducing, transmitting, protecting and handling pro-prietary information reports and removing them from the proprietary .
information category are detailed in NRC Appendix 2101. A cover sheet !
(Exhibit 19) is to be placed on each hard copy of a report containing proprietary information.
D. SAFEGUARDS INFORMATION Safeguards information may be of three types: (1) classified informa-tion , which is marked and handled as indicated in Section E, (2) un- l classified information restricted under Section 147 of the Atomic Energy ,
Act, which is marked and handled as described in this Section, and (3) j unclassified information , which is publicly available and handled as 4 indicated in Parts I through IV. I
. 3
)
l The safeguards information that is to be protected as described here is i unclassu ied information used in a report which specifically identifies j certain licensee's or applicant's detailed- l i
- 1. security measures for the physical protection of special nuclear i material
- 2. security measures for the physical protection and location of certain 1 plant equipment vital to the safety of production or utilization l f acihties .
Unclassified NRC contractor reports containing safeguards information that is to be protected shall be marked as shown in Exhibits 20 through :
22.
I l Procedures for reproducing, transmitting, protecting, and handling safe-guards information reports and removing them from the safeguards information category are detailed in NRC Appendix 2101. A cover sheet (Exhibit 23) is to be placed on each hard copy of a report containing safeguards information.
l l E. CLASSIFIED INFORMATION Classified information is limited to Restricted Data, Formerly Restricted Data and National Security Information . The procedures for making classification determinations and for marking, reproducing, transmitting, protecting, and handling reports containing classified infomation and removing such reports from classified categories are detailed in NRC Appendix 2101. These procedures are too complex for summarizing here.
i Classification determinations regarding NRC information may be made l solely by authorized classifiers designated by NRC or DOE. Authorized l classifiers are responsible for insuring that reports they determine to l
be classified are marked and protected in accordance with the provisions i of NRC Appendix 2101.
31 Approved: August 29, 1984
PUBLICATION OF TECHNICAL REPORTS ' PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS It is important to note that information may not be classified in order to prevent or delay the release :of information that does not require protection in the interest of national; security. . Basic scientific research information not clearly related to national security may not be classified.
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. 1
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Approved: August 29, 1984 32
- 1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202
. UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V l
l EXHlBIT 8 -
SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY NUREGICR XXXX (S)
Title Subtitle and Type Of Report Author (s). (d. tor (s) er for U,$. Nuclear Regulatory Commission l
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~33 Approved: August 29, 1984
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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC App ndix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED-Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHlBIT9 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING .
OFFICIAL USE ONLY INFORMATION I OFRCIAl. USE ONLY NUAEG/CR XXXX (S)
Title Subtmo and Type of Report c% a ae, t"" OL m 4 ter w)hg,' arm ***""
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Approved : August 29. 1984 34 t
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EXHIBIT 10 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION l
i OFFICIAL USE ONLY i
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OFFICIAL USE ONLY 35 Approved : August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC ^ Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V ' UNDFR OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 11 SAMPl.E COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION '
1 uurrao omem.uss NUREGICR XXXX (Si
. l Title Subtitle and Type of Report l
^J** ""*' l Nwc t Repudetery Commlee6en witHNOLD PROM Pv8 lac Of$CLC$ vat LIMITED OFFICIAL USE Approved: August 29, 1984 36 I
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. EXHIBIT 12 -
SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION ,
l uMmo omc At.UsE I NUREG/CR XXXX (S) i Title 1 Sutmtle and Twm of Report "
um=== comem.o inse.i or e, I
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UMmo omCIAL USE 37 Approved: August 29, 1984.
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC App ndix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHlBIT 13 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING
. LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE 3
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LIMITED OFFICIAL USE Approved: August 29., 1984 33 I
PUBLICATION OF TECHNICAL REPORTS PREPARED BY :
NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 l o UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Part V
~ ~
EXHIBIT 14 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION I
PROPRIETARY INFORMATION I
l NUREGICR XXXX (P)
Title Subtitle and Type of Report Aute.oets!, Edaorts)
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PROPRIETARY INFORMATION 39 Approved: August 29, 1984
.I PUBLICATION OF TECHNICAL REPORTS PREPARED BY-NRC Appendix 3202 ' NRC CONTRACTORS, INCLUDING REPORTS PREPARED- .,
Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS j i
EXHIBIT 15 '
SAMPLE COVER PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE PROPRIETARY INFORMATION
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Tnie i Subtitle and Type of Report -
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,_ . l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 l UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V !
l i
l EXHIBIT 16 -
SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING ,
PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION I i
l PROPRIETARY INFORMATION I l s NUREGICR XXXX (P) 1 l
Title Subtrbe and Type of Report I
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U.S. Nucteer Reguletory Commission WesNngton, D.C. 2CE66 NRC Flh No.
taa0f SicatT on parvitfGID on CONFIDENTIAL COMWinci A6 On Fa*ANCiAL INFOmuATION in., ni contesi, c,0,meison swDmmeo
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PROPRIETARY INFORMATION 41 Approved: August 29, 1984
PUBLICATION OF TECHN1 CAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 17 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE PROPRIETARY INFORMATION NUREGICA XXXX (P)
Title Subdde and Type of Report Um Y '",'i AwePuertal fossorts)
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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 l UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V EXHIBIT 18 - -
SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING !
PROPRIETARY INFORMATION l
PROPRIETARY INFORMATION l
l 1
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i 43 Approved: Aug1.ast 29,1984
_ _ _ - - _ _ _ _ - - - - - - - _ _ - - _ _ . - - - _ - - - - - - - - _ _ - _ - - _ - - - - - . - - - _ _J
PUBLICATION OF TECHNICAL REPORTS PREPARED BY-NRC' Appendix 3203 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V _ UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 19 COVER SHEET FOR REPORT CONTAINING PROPRIETARY INFORMATION PROPRIETARY INFORMATION 8
NOTICE
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PROPRIETARY INFORM ATION Anoroves oecemose 10.19eo Approved: August 29, 1984 44
. . s PUBLICATION OF TECHNICAL' REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annanriiv 3907 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Part V t
EXHIBIT 20 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION ,
SAFEQUARDS INFORMATION
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NUREG/CR XXXX (SG) l Title 1 Subtitle and Type of Report i l
Author (s). Editor (s)
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SAFEGUARDS INFORMATION 45 Approved: August 29, 1984
l PUBLICATION'OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS INCLUDING REPORTS PREPARED :
Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 1
l
. _. EXHIBIT 21--- --- -- ~ ~ -
SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING j UNCLASSIFIED SAFEGUARDS INFORMATION 1 i
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SAFEGUARDb INFORMATION Approved: August 29, 1984 46
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Anoendix 3202 e UNDER OR PURSUANT TO INTERAGENCfl AGREEMENTS Part V EXHl8IT 22 ,
SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUAMDS INFORMATION l
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L Approved: August 29, 1984 I
PUBLICATION 0F TECHNICAL REPORTS PREPARED BY-NRC Appendix 3202 - NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS CXlilBIT 23 ;
COVER SHEET FOR A CONTRACTOR REPORT CONTAINING l' UNCLASSIFIED SAFEGUARDS INFORMATION I .E .
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THIS DOCUMENT CONTAINS INFORMATION WHICH MUST BE. PROTECTED FROM - 1 UNAUTHORIZED DISCLOSURE.10 CFR 73.21 AND SECTION 147. ATOMIC ENERGY
./g-"
ACT OF 1954 APPLY. VIOLATIONS ARE SUBJECT TO CIVIL OH CRIMINAL PENAL. TIES.
THIS DOCUMENT IS NOT TO BE LEFT UNATTENDED OR ACCESSIBLE TO UNAUTHORIZED PERSONS. WHEN NOT IN USE,IT MUST BE STORED IN A LOCKED SECURITY STORAGE pr CONTAINER.
IT IS YOUR RESPONSIBILITY TO PROTECT THE INFORMATION CONTAINED IN THIS DOCUMENT FROM COMPROMISE, THEFT OR UNAUTHORIZED DISCLOSURE l.r 5 ? 1.
- /
/
I SAFEGUARDS INFORMAT!ON -
7 i
. Approved: August 29, 1984 48
. PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 e
=
PART VI i HANDLING OF UNCLASSIFIED INFORMATION Oh NRC COOPERATIVE PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS l AND WITH U.S. INDUSTRY The Nuclear Regulatory Commission has requested that its Program Offices l establish, to the extent feasible, cooperative nuclear safety research programs that involve either or both U.S. industry and foreign governments and orga-nizations . Such involvement includes monetary contributions , information exchange, and comments on program plans and results. This is authorized in 42 U.S.C. 5801.- To this end, international and U.S. industry agreements l have been signed that provide for transmitting uncla.ssified information from i l NRC to participants. These procedures apply only to NRC-managed work not l programmatically funded by DOE.
The interests of all NRC cooperative nuclear safety research program partici-pants are served best by early, rapid dissemination for comment of informa-tion on these programs developed for NRC by NRC contractors. This can be accomplished by distribution of " Draft Preliminary Reports (or Codes)" for comment for a specified period of time, followed by issue as formal NUREG/CR reports , with the concurrence of the participants. Specific procedures for accomplishing these goals and for transmitting information prepared by the NRC and DOE facilities and contractors and their subcontractors working on these programs are presented in the following sections. The procedures de-tailed here have been agreed to by DOE and have been provided to the responsible DOE Operations Officers and NRC Program and Project Managers as guidance.
A. PREPARATION 07 DRAFT PRELIMINARY REPORTS FOR COMMENT The first issuane of. information by a contractor shall be designated
" Draft Preliminary Report (or Code)," and shall include the cover sheet shown in Exhibit 24.
The following notice is to be printed on the bottom of the cover sheet (Exhibit 24):
NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM l This report was prepered in contemplation of Commission I action . It has not have received patent review and may con-l tain information received in confidence. Therefore, the con-I tents of this report should neither be disclosed to others nor reproduced, wholly or partially, unless written permission to do so has been obtained from the appropriate USNRC office.
The recipient is requested to take the necessary action to ensure the protection of this report.
49 Approved: August 29, 1984
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' PUBLICATION OF TECHNICAL REPORTS PREPARED' BY NRC Apprndix 3202 . NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS t .
- . . .m , . .
This notice has been agreed to by the. legal staffs of both NRC and DOE and is not to be ~added to or changed. Any problem in this regard shall be brought to the attention of the NitC project manager, who will consult with the NRC legal staff.: . ., ..w.,
The " Draft .P.reliminary Report (or Code)" shall be submitted by first class or. express ymail by the contractor to the NRC'~ project manager, with the letter shown in ' Exhibit 25, in the number of copies specified by the project manager (in most instances this will be' fewer than 20 . copies)
The contractor (DOE facility, contractor or subcontractor or other con-tractor) may retain copies only for internal use. DOE facilities and contractors and their subcontractors - shall not distribute. copies of this draft report to DOE /TIDC. Draft reports may be distributed to interested DOE program offices. Subsequent issues of the information shall also be designated " Draft Preliminary Report (or Code)" 'until the NRC project manager authorizes preparation of a NUREG/CR report-.
" Draft Preliminary Reports (or Codes)" shall not be identified as NUREG/CR reports or carry any contractor report number or NRC dis-tribution codes.
B. DISTRIBUTION BY NRC PROJECT MANAGERS . '
The NRC project manager.will' distribute the copies received only to (1) the participants in the program, (2) the NRC staff with a need-to-know, and (3) others authorized by the program or project manager. Trans-mittal to participants shall be by first class or express mail, including air r. ail to foreign participants. If premium cost mail services are to be used, a Division Director or comparable or higher authority must certify to the need on NRC Form 420 " Request for Premium Cost Mail s Service . " Premium cost mail is:
. 1. Express Mail, Priority Mail (First Class weighing more than 12 ounces)
- 2. International Express Mail (Air Mail weighing more than 10 ounces)
(See Chapter NRC-0255-058 and NRC Appendix 0255, Part V, Annex A)
C. COMMENT FERIOD AND ISSUANCE OF NUREG/[CR REPORT A minimum of six months will be allowed for comments and resolution of comments. At. the end of the comment period, the NRC project manager shall, with the concurrence of the participants, authorize the contractor ;
to issue the information as a NUREG/CR report in accordance with the provisions of ihis Chapter.
D. REPORT IDENTIFIERS i The "Draf t' Preliminary Reports (or Codes)" will be uniquely identified only by the Financial Identification Numt ar (FIN) assigned by NRC and 1 l
Approved: August 29, 1984 50
0 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI n
the appropriate periodic notation , if any , included in the title (Ex-hibit 24). They shall not be given standard report nomenclature until '
the NRC project manager authorizes publication as a NUREG/CR~ report.
At that time , the contractor may add its own designation below the !
NUREG/CR number, as shown in Exhibits 3 and 4.
1 E. MAILING TO PROGRAM P5RTICIPANTS The physical transmission of reports from NRC to program participants shall be handled by the Document Management Branch (DMB), Division of Technical Information and Document Control (TIDC), based on address labels of participants supplied by the project manager. The transmittal sheet shown in Exhibit 26 shall be used to transmit the documents and the labels to DMB.
F. SECURITY If information included in the report or code has been determined to be sensitive unclassified or classified information (see statement of work) the procedures of Part V also apply. The report (or code) may ny be classified solely for the purpose of' limiting distribution to the partici-pants.
l .
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'" Approved: August 29, 1984
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PUBLICATION OF TECHNICAL REPORTS PREPARED BY; NRC App:ndix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXMIBIT 24
- AMPLE COVER FOR A ORAFT PRELIMINARY REPORT (CODE)
FOR COMMENT ;
i DRAFT PRELIMINARY REPORT (CODE) FOR C0!HENT FIN NO. _ _
i i
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l
. Title of Program Subtitle for This Report, Including Appropriate Periodic Notation, If Any (e.g., First Quarter, Issue No. 1) l l
I l
1 Prepared by (Name e.' 00E Facility, Contractor and/or Subcontractors, if any) for i
U.S. Nuclear Regulatory Commission l
NOTICE I l
THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM ,
i This report was prepared in contemplation of Comission action. It has not '
received patent review and may contain information received in confidence.
Therefore, the contents of this report should neither be disclosed to others nor reproduced, wholly or partially, unless written permission to do so has been obtained from the appropriate USNRC office. The recipient is requested to take the necessary action to ensure the protection of this report.
Approved: August 29, 1984 52 u__._____ ________ .______.___m_
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part E 6 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS EXHIBIT 25 TRANSMITTAL LETTER FROM CONTRACTOR TO NRC , sOJECT MANAGER FOR DRAFT PRELIMINARY REPORT T0: NRC Project Manager
SUBJECT:
ORAFT PRELIMINARY REPORT (CODE) ON (PROGRAM TITLE) FOR Com ENT The enclosed " Draft Preliminary Report (Code)" is being submitted for comment.
It is our understanding that the comment period shall extend six months from the date of mailing of the draft to the participants. Upon resolution of the comments after t! t period and with concurrence of the cooperative program participants, the NRC Program Manager will authorize publication of this report in the NUREG/CR series under the provisions of NRC Manual Chapter 1102 or 3202.
- DOE Facility or Contractor Representative 53 Approved: August 29, 1984
PUBLICATION OF TECHNICAL REPORTS PREPARED BY- l NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 {
UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI i l
1 EXHIBIT 26 TRANSMITTAL SHEET FOR REQUESTING MAILING TO COOPERATIVE PROGRAM 3 PARTICIPANTS Recipients: Addresses on attached labels j
Method.af Nailing- - - - - - -
--..~.-~ .. .__._.. ..._. _ . , _ , , ,
C/ First Class Postal Service to U. S. addresses C/ Express mail to U. S. addresses * '-
/-/ Air mail to foreign addresses *
/-/ Surface mail to foreign addresses (may require up to three (3) months)
THIS MAILING CONTAINS NO PROPRIETARY INFORMATION OR OTHER SENSITIVE UNCLASSIFIED INFORMATION Special Instructions:
Individual Requesting Mailing:
Project Manager or High Authority
Enclosures:
- 1. Address labels l
- 2. Documents to be maned
- If premium cost mail' services are to be used, a Division Director or compar- ,
able or higher authority must certify to the need on NRC Form 420, " Request i for Premium Cost Mail Service," Premium cost mail is:
- 1. Express Mail, Priority Mail (First Class wei;;;hing more than 12 ounces)
- 2. International Express Mail (Air Mail weighing more than 10 ounces)
(See Chapter NRC 0255-058 and NRC Appendix 0255, Part V. Annex A) 1 l
54 Approved: August 29, 1984
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- "2 "o-CONTRACT PRICING PROPOSAL COVER SHEET -
3090-0116 NOTE This forra es used in contreet setions if sutimission of cost or pricing date is require'd fsee FA A 15.8044/b11
- 2. NAML AND ADDR E55 OF OF F EROR IJnesude Zlf Code / 3A. NAME ANO TITLE OF OFFEROR'S POINT 35, T ELEPHONE NO.
OF CONTACT C
- 4. TYPE OF CONTRACT ACTION (Chech)
A. NEW CONTR ACT D. LETTER CONTRACT B. CHANGE ORDER E bNPRICED ORDER C. PRICE REvtSION/ '
REDETE RMINATION
- 5. T VP1 - CONTR ac T (Checht 6. PROPOSED COST (A+s *J
]FFP ]CPFF CPIF CPAF A. CO5T s. PROF iT/F EE C. TOT AL
] FPI ] OTHE R (speci/y/ $ ,
$ $ l 7~i3 LACE (5) ANO PE R sooth) OF PERF ORMANCE B. List and reference the noentdecation. Quentity and total price proposed for each contract line item. A line item cost breakdown supporting this recap is re. !
owired unless otherwise specified by the Contracting Of ficer. (Contsnue on reeeree, and then en pista paper, if neevesery. Der same headings.;
A LINE ITEM NO. B. IDE NOTIFICATION C. QU ANTITY O' TOTAL PRICE E . R E_F I
1 9 PROVIDE N AME. ADDRESS. AND TELEPHONE NUMBER FOR THE FOLLOWING (If eeadlebie)
A. CONT R ACT ADMiNi&T R ATION OF F ICE 8. AVOIT OFF4CE 10.WILL YOU REQUIRE THE USE OF AN Y GOVERNMENT PROPERTY 11 A. 00 YOU REQUIR E GOVERN. 113. T YPE OF FI N AN C 6 NG (s' e m /
6N THE PE RFORMANCE OF THis WORM 7 (If "Yes " adentity) MENT CONTR ACT FIN ANCING TO PE RFORM THIS PROPOSEO ADVANCE PROGRES
,C,0NgC T r (if "Yes," somade s' PAYMENTS PAYMENT OVES NO vES J NO D Ouaaa~TEEo 'O^Ns
- 12. MAVE YOU BE E N AWARDED AN Y CONTRACTS OR SUSCONT R ACTS 13. S TMt5140POSAL CONSISTENT wlTM YOUR EST ASLt&MED 6.Y FOR TML 5AME OR SIMILAR ITEM 5 WITMIN THE PAST 3 YEAR 57 MATING AND ACCOUNTING PRACTICE 5 ANO PROCEDURES AND (1/ "Yes."idennfy deem ts), custonsertas and eparrect num6er(s)) FAR PART 31 COST PRINCIPLE 57 (jf "No,"espeeJn)
]YES ]NO YES NO 1
- 14. COST ACCOUNTING STANDARDS BOARD (CASB) DATA spe60e Lear 81378 as amended and FAA PAAf 30)
A, wlLL T Mab CONT RACT ACT 60N BE SUBJECT TO CAS8 REGULA. 5. MAVE YOU EUBM6TTED A CA5B DISCLOSURE ST ATEMENT T CON 5 ? (If "No," espietn in gnopanet) (CABB D8 8 or 2)! (11"Yee."ePeetly > proPoest tRe efface to achich embmitard and if deerrmmed to be eseemeer)
YES NO ]YES hNO C.MiAVE YOU BEEN NOTIFIED THAT YOU ARE OR MAY SE #N NON. D.15 ANY ASPECT OF THIS PROPOSAL 4FCON5:5 TENT wiTM YOUR COMPLt ANCE wlTM YOUR 015 CLOSURE STATEMENT C A COST OtSCLOSED PRACTICE 5 OR APPLICABLE COST ACCOUNTING ACCOUNTING ST ANOAR05F(Jf " Yes."eapassa m proposef) S Y AN D A R DS ? (if "Yes," espaman in proposed)
VES O~O O vEs O ~o This proposal is submitted in response to the R FP contract, modification etc. in item 1 ene reflects our et estimeims and/or actunt costs as of this oste.
' 15. N AM E ANO T 6T LE (Typri 16. N AME Of FIRM
- 17. ElGN AT U R E 16. DATE OF SusMI5510N NSN 75ep-01-143M 3433301 STANDARD
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- 1. SF 1411 provides a vehicle for the offeror to submit to the Government a pricing proposal of estimated and/or incurred costs by contract line item with supporting in formation, adequately cross-referenced, suitable for detailed analysis. A cost-element breakdown, using the applicable format prescribed in 7A, 8, or C below, shall be attached for each proposed .line item and must reflect any specific requirements established by the Contracting Officer. Support'ing breakdowns must be furnished for each cost element, consistent with offeror's cost accounting system. ;
When more than one contract line item is ' proposed, summary total amounts l covering all line items must be furnished for each cost element. If I agreement has been reached with Government representatives on use of forward I pricing rates / factors, identify the agreement, include a copy, and describe i its nature. Depending on offeror's system, breakdowns shall be provided for l the following basic elements of cost, as applicable: .
Materials - Provide a consolidated priced sumary of individual material l quantities included in the various tasks, orders, or contract line items l bein proposed and the basis for pricing (vendor quotes, invoice prices, i l
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 centrect. For each subcontract over $500,000, the support should provide a listing by source, item quantity, price, -type of subcontract, i degree of competition, and basis for establishing source and reasonableness ,
of price, as well as the results of review an1 evaluation of subcontract i proposals when required by FAR 15.806. !
Standard Commercial Items - Consists of itens that offeror nonnally i fabricates, in whole or in part...and that are generally stocked in !
inventory. Provide an appropriate explanation of the basis for pricing. If I price is based on cost, provide a cost breakdown; if priced at other than I cost, provide justification for exemption from submission of cost or pricing 3 data, as required by FAR 15.804-3(e).
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Interorganizational Transfer (at other than cost) - Explain pricing method used. (See FAR 31.205-26).
Raw Material - Consists of materiel in a form or state that requires further processing. Provide priced quantities of itams required for the proposal. ,
i Purchased Parts - Includes material items not covered above. Provide priced !
quantities of items required for the proposal. j interorganizational Transfer (at cost) - Include separate breakdown of cost be 'lement.
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breakdown of .I'ab[ hours.: ra te s ,1 a nd i c5 sib"y a pp rop"r"i a te[ca tesiciy ,~Ui fumish basas 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' t' ooling.s.. travel, computer 'and consultant services, preservation, . packaging. and packing, spoilage and rework, and Federal excise tax on finished articles) and provide bases for' pricing.,
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Royalties 'If more than $250, provide the following information on separate-page for each separate royalty; er license fee:' name . and address of licensor; . date of (license agreement;: patent ' numbers,3 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 royaity is payable);> percentage or dollar rate of -
royalty per . unit; unit price of contract item; number of, units; and total .
dollar amount of' royalties. In addition, if specifically requested by the Contracting Officer, provide a copy of' the current . license agreement and identification of applicable claims of specific patents.
(See FAR 27.204 and31.205-37). ..
Facilities Capital Cost of Money' -
When 'the offeror elects to claim facilities capital cost of money as an' allowable L cost, the offeror must submit Form CASB-CMF and show the calculation of the proposed amount l(see FAR 31.205-10). -
As part of the specific' information req'uired, the offeror must -submit with-
- 2. i offervr's proposa'1, 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 infonnation j reasonably required to explain' offeror's estimating process, including;-
- a. The judgmental factors applied ~'and the mathematical or otner methods i used in the estimate, including those usedLin projecting from known l l data; and l !
I b. The nature and amount of any contingencies included in the proposed j 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 l offerer have been submitted, either actually or by specific identification, 'l to the Contracting Officer or - an authorized representative. As 11ater ;
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. 3 l
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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 infonnation i accompanying or identified in the proposal . In addition, any future additions and/or revisions, up to the date of agreement on price, must be annotated on a supplemental index.
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- 5. By submitting offeror's proposal, the offeror, if selected for negotiation, .
grants, the Contracting Officer or an authorized representative the right to examine those books, records, documents, and other supporting data that will i pennit adequate evaluation of the proposed price. This right may be I exercised at any time before award.
- 6. As soon as practicable after final agreement on price, but before the award j resulting from the proposal, the offeror shall, under the conditions stated 3 in FAR 15.804-4, submit a Certificate of Current Cost or Pricing Data.
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- 7. Headings for Submission of Line-Item Sunmaries: ;
A. New Contracts (including Letter contracts).
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l Proposed Contract Proposed Contract =
l Cost Elements Estimate-Total Cost Estimate-Unit Cost Reference .
s (1) (2) (3) (4) l j
i Under Column (1) - Enter appropriate cost elements. )
Under Column (2) - Enter those necessary and reasonable costs that in offeror's judgment will properly be incurred in efficient contract
! performance. When any of the costs in this column have already been incurred (e.g., under a letter contract or unpriced order), describe them on an attached supporting schedule. When 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 information supporting the specific cost element may be found. Attach separate pages as necessary.
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B.- Change' Oniers (modifications).
Cost Of Estimated: Deleted Cost of All .Work Cost Work Already Net Cost To Cost Of Net Cost Of Elements Deleted Perfanned Be Deleted Work Added Change ' Reference (1) (2) (3) (4) (5) (6) (7)
Under Column (1) - Enter appropriate cost elements.
Under Column (2) - Include-(1) current estimates of what the cost would have been. to complete deleted work not yet 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.
Under Column (4) - Enter the net cost to be deleted which is the estimated cost of all deleted work less the cost of deleted work already performed. Column (2) less Column (3) = column (4).
Under Column (5) - Enter the offeror's estimate for cost of work added by the change. When nonrecurring costs are significant, or when specifically requested to do so by the Contracting Officer, provide full identification and explanation of them.
Under Coluari (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 attachment in which the infonnation l supporting the specific cost element may be found. Attach separate j pages as necessary. I l
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. C. Price Revisien/ Redetermination -
Number of Nurrber of Redetermine-Units . Units To Be Contract tion Proposal Cutoff Date Completed Completed . Amount Amount- Difference i (1) (2) (3) (4) (5) (6)
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Incurred Incurred Incurred Cost- Cost- . Cost- Total Estimated .
Cost Preproduc- Completed Work In Incurred Cost To Estimated 'l Elements tion Units Process Cost Complete Total Cost Reference (7) (( (9) (10) (11) (12) (13) (14) l Under Column (1) - Enter the cutoff date required by the contract, if applicable. ;
Under Column (2) - Enter the number of units completed during the period 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 riidetemination proposal amount.
Under Column (6) - Enter the differance between the contract amount and the redetermination proposal amount. When this result is negative, place the amount in parenthesis. Column (4) less Cnlumn (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-redeteminable arrangements should be net of the fair markt:t value of such . inventory. In support of subcontract costs, submit a listing of all subcontracts subject to repricing action, annotated as to theii 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 l rearrangement, training program, and any identifiable nonrecurring costs l
such as initial rework, spoilage, pilot runs, etc. In the event the amounts are not segregated in or otherwise available from offeror's records, enter in this column offervr's ' best estimates. Explain the basis for each estimate and how the costs are charged on offeror's accounting records
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(o.g.. included 'in producticn ecsts as direct engineering labar, charged to ' ,
manufacturing cvsrhead, etc.). Also how the costs would be allocated to the !
units at their varicus states of contract completien, Under Columns-(9) and (10) - Enter in Column (9) the production costs from offeror's books and records - (exclusive of reproduction costs reported in.
Column (8) of the units completed as of the cutoff date. Enter in Column (10) the costs of work in process as determined from_ offeror's records er J inventories- at the cutoff date. "When the amounts for work in process are
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not available in Contractor's records but reliable estimates for them can be and enter in Column -(9) the made, enterbetween differences the estimated the total amounts incurred in Column costs (10)(exclusive reproduction of '
costs) as of the cutoff date and these estimates. Explain the basis for the estimates,. including identification of any provision for ex.perienced .or anticipated allowances, such as shrinkage, rework, design changes,' etc.
Furnsih experienced unit or 71t 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 (1.1) - Enter total incurred costs (Total of Columns (8), (9),
and~(10)).
Under Column (12) - Enter those necessary and reasonable costs that in-Contractor's judgment will properly be incurred in completing the remaining work to be perfonned under the contract with respect to the item (s) to which Contractor's proposal relates.
Under Column (13) - Enter total estimated. cost (Total of Columns (11) and (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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Attachment 5 I
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i Spending Plan Instructions I
To be incorporated into any resultant contract 4
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ATTACMMENT 0 S. .LL' BUSINESS AND SMALL DISADVANTlWID l 4
, BUSINESS SUBCONTRACTING PLAN U."T.:
C'2.*T C R: . -_ 1 l
ADDR.SS:
331CITAT3ON OR CCrTTRACT NUM2DL-ITIM/S M ICE:
he folicwing, tegether with a.ny attachments, is hereb/ subsitted ar. a l Suteentracting Plan to satisfy the applicable requirements of Public Law g5 507 as implemented by,OTPP Policy latter SC>-2.
- 1. (a) he fo11cuits percentage goals (expressed in terms of a percentage of total planned sub:entracting douars) are appilcable to the cent.ract cited abcue or to the centract awarde$ urder the solicitation cited.
(i) sel ksiness concerns: of total plamed subcontracting l
dollars u:r'.er this centraec will go to sub::entracters who are r sr.r.11 businass coree.rns. .
(ii) Stuu Disadvantaged ksiness Cevrarns: 4 of total planned l
subcontracting dollars under this contract wx11 go to subcon-tractces who are small businese corcerns cwwd ard centround by socially and &cally disadvantaged individuals. This percentage is ircluded in the percentage shcwn under 1. (a)(i),
ateve, as a subset.
(b) he fetucwirg dollar values ocurrespord to the percentage goals shwn in (a) abene.
(i) 7btal dellars planned to be subcontracted to sumil business !
corcerns: $ .
(ii) Tbtal douars plamed to be stk. contracted to small disadvantaged business concerns: 8 . This dollar accunt is ircluded in the amount shcwn urder 1. (b)(i), ab:we, as a submet. .
(c) he total estimated Mhr value of all plamed mutecetractirg (to a31 types of business careerns) under t.his centract is $
i (d) he fo11csing prircipal products and/cc saryicas will be sub:entracted '
under this contract, ard the distributicri among sman ard small disadvantaged business carcerns is as follcus (Prcoucts/ services planned to be scbcontrais.e6 to small bcsiness corr: erns are ident,1fied by *-To small disadvantaged laasiness ccmcerns by ")
_ _ _ _ _ _ _ _ . _ _ _ _ _ _ . _ _ _ _ _ _ ________m
tas ani so4acwang petn:x3 w:: arn2 in Geve2cpirg subcontrac.t goals (10,,
Statment exploir.ir '... th: tr=het and carvico as to be ;
subcontracted ware t.*.M ::2.c.f, h:w the areas to be subcontracted to 1 i small and small dis.:idvatupod basiness cercarns vere determined, ard, ;
hcw saml1 and small diss.$vantapod busiress carcerns' capabilities w.re '
determined', to ircitde identification of source lists ut.ilir.ed in makirg those determinations). .
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(f) Indirect and overhead costs (check one balcw): I l
-have been -have ret been i included in the goals specified in 1(a) ard 1(b). 3 i
(g) If "have been" is checked, explain the method used in dete.:rinirq the prop:rtionate share of irdirect ard overhead cost to be allocated as j subcontracts to small business.zercarns and small disadvaigted busiress l eercerns. j ll 1
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- 2. 'the fellcwirg irdividual Viu af-inister the sentractire 7 ::9 am::
j Mares Maress & 'helej:hene s
Titier Tnis irdividual's spe:ific duties, as they relate to the firm's I stdz:cntractirg program,' are as felicms:
General overall responsibility fcc this cecpany's Sbe.1132siness Prcgram, the deve1coment, preparatico ard executicn cf individual ,
j sutzentractirq plans and for menitorirs perfo: .sn=e relative to.
certtractual schrentracti q requirements centained in this plan, i irclu$ing but rot limited to:
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i (a) Develccirs ard r.aintainfrg bidders lists of small' ard sr..u i disadvantaged business corcerns fro: all possible sources. .
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-. tM thr.:rirg % pr.4uranent packages'are etn. . arts so permit *crA11' erd l
- .13 dir..6.'sntcyod ksiness concerns to panicipate to the caine.:
,..-- <r.ur.: possible. -
I (c) Arrrirg in:1u::icn of s sil a.-d EDS emecens in all solicitations for pr-4 arts or services Which they are capable of providirg. y (d) Pcvie irg solicitations to re: eve state:v.nts, clausgs, etc, V.-dch ray )
tend to restrict ce prohibit FB and SDB p:Lrticipation. ]
1 (e) hsrirg periodic rotation of potentia.1 sd: contractors on, bidders I lists.
l 1 (f) Insrirg that the bid preposal review board documents its reascas fc. )
l ret selecting low bids st2c.itted by small and azall disadvantaged I
hasiness concerns. ,
I (g) Ihasrirg the establisbant and saintenarce of recrats of I solicitations and submantract award activity.
(h) Attendirg ce arrangits for atte.-dance of eccpany counsellors at Business Opportunity Markshoj,s, Minority ksiness Enterprise -
Seminars, Trade Fairs, etc.
(1) Cerductire or arrargirg for ccL-duct of ser.ivational trainirg fcr perchesirs perstinnel pes.: ant to the intent of P.1 95-507. 1 l
($) M;rnitcrirg attairment of proposed gemis. j (K) Pre,tarirg and suber.ittirg periedic subcontracting repcess required.
9 (1) Coerdinatirg extractcr's activities durity the cerduct of cumpliarce ,
revio<s by Federal agencies. l l
fz) *locedinatirg the cerduct.of contracter's activit.ies involvirg its
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srall and small disadvantaged business subcontracting program.
(n) Miitiens to (or deletions from) the duties specifie! ahnive are as fo11cus:
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- 3. . Tne followirg efferts will be taken to assure that small ard s=all disadvantaged Msiness acreerns wi;L1 have an aguitable opportunity to cerqplete for subcontract:
.(a) Cutreach offorts will be sede as f=11 cars:
- -(i) Contacts with mincrity and small business trade assa:iatiens (ii) Ocntaets with ksiness development cesani=ations (iii) Attendaree at small aid aircrity ksiness proeure:n.t confererees and trade fairs
(b) The followin. 4nternal' efforts will be made t. W dei and crecurage l
buyars
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(i) *Markshop, se:sinars and trainirg programs will be conducted (ii) Activities will be eenitored to evaluate cenpliance with this suicentractirg plan.
(c) Small and small disa&ani. aged business eencern source lists, guides and other data identifying . trail and small disabantagu$ busirmss eencarns will be maintained and utilized by buyers in solicitirg sukontreets.
(d) Additicms to (or deletions from) the above listed offorts are as follows:
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- 4. ':he bidder (contractor) agrees that the eleuse antitled Utilir.atien of S.all ksiness Concerns and Sr.au ksiness Coreens cwned and controlled by socially and recranicany Disadvantaged Individuals will be Ireluded in ,
all subcontracts which offer further subcontracting opportunities, ard au subcontractors except small business concerns Who receive suhontracts in excess of $500,000 wiu be required to adapt and cer: ply with a subccrr-Eneting plan similar to this one. Such plane will be reviwad b/
c=qparirg them with the provisions of Public Law 95-507, ard assu:irg that all mird:: ram regaire.mts of an acceptable subcontracting plan have been satisfim*. 'the acceptability of percentage goals shall be' deter =ined on a case-by-c.r.se basis ,depe.-dirg on the supplies /sevices involved, the availability of potential srau ard arall disahantaged ssccentraeters,
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ard prior experiarce. Cnce approved ard implarentes, plans will be a nitered through the suhraissicn of perledic reports, and/or, as ti.me a.-d availability of funds perndt, pericdie visits to subcontractors facilities to review applicable reaccds ard sutrontractirq progran prcgress.
- 5. *:he bidder (centractiar) agrees to suiz it such periodic repo.is and c:eperate in any studies or surveys as may be repired by the contracti g agency or the S all hsiness Administration in ode to dete.mi.ne the artent of'ecr:pliarco by the bidde with the stccentractirg plan a.-d with the clause entitted Utilization of Small ksiness Corcerns ard S.au ksiness Corcens 0med ard Controlled tqt Socially and Ecen:xtically Dide@antaged Individuals, mantained in the contract.
- 6. We bidde (contractor) agrees that he will maintain at Isast the folicwire types of ~ recods to d:c.=ent e epliance with this suteentra tirg plan:
(a) tr.all ard Stan11 disaNantaged trasiness cencern source lists, guides and other data identifying SB/SD3': verdars.
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(b) Organizatis contacted for crall and disa anta,ed luriters c:xtees.
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(c)' ch a centreet-bfccmtract hesis, reconis on all sub:: r.t:.:t solicitations over $100,000, irdicating on each solicitet:=n (1) ,
4 ether sna11 tr.asiness screerna were solicited, and if re.. whj not; !
(2) eethe.: snell disaNantaged h:siness carecrns tete solicited, ard if rot, why ret: and (3) renacns for the failure of*solicitud sra.11 ce srm11 disabantaged hsiness acreens to receive,the s.6c:ntract award. 1 (d) 7ec=rds to sqp;crt other outrea:h ef fcets: Ccmtacts 6.ith, Mircarity and S all Eusiness Trade Associations, etc. Attendarce at sea.1.1 e.nd '
of..crity businesJr procureriant ocnf ererees and trade fairs.
(e) Pur:ords to support inte:rs.1 activities to guide .ard a: courage trr/ers:
terkshqps, ser.ina.rs, training programs, etc.. M:citerirg activities to eva.luate cenpl.iance.
.(f) On a centract-by-ccritract basis, reacros to styport sub:entract award!
data to irclu$e name and address of subcontractce. ,
(g) 7ecards to N maintaine$ in addition to the attive are as folicws:
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Si p ed:
W Nrme: _ ,
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Title:
Date:
Plan Accepted By: _
Contract.trg otucer Date N:rE '!O CDh%~tDC OFTICD.: tJpen ir wWetien of a plan into the ecntract indicate herein the estimated dollar value of Cbntract S t
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