Text

Requests That Grantee Review & Sign Document Certifying That Certification Re Drug Free Workplace Will Be Complied W/ Before Grant Awarded
	ML20244E165
Person / Time
Issue date:	03/27/1989
From:	Smith P; NRC OFFICE OF ADMINISTRATION (ADM)
To:	Spencer H; GEORGE WASHINGTON UNIV., WASHINGTON, DC
Shared Package
ML20244E111	List: ML20244E108; ML20244E165;
References
	CON-NRC-04-89-104, CON-NRC-4-89-104 NUDOCS 8904240323
	Download: ML20244E165 (88)
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- . UNITED STATES p g NUCLEAR REGULATORY COMMISSION

' g[ C' WASHINGTON, D. C. 20555

,,,,,+ MAR 17 1989 The George Washington University

' Attn: Mrs. Helen Spencer, Director ,

Office of Sponsored Research 1 2121 I Street, N.W. 6th Floor Washington,'DC 20052

Dear Mrs. Spencer:

SUBJECT:

NEW GRANT NO. NRC-04-89-104 FOR A PROJECT ENTITLED, "RESEARCH ON snMF CllRP.EPT ORA.CTPAL CONCEM' IN RELIAP,ILITY" 'j n

The Drug-Free Workplace Act of 1988 requires that all grantees certify that E

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they will compy with the provisions of the enclosed Certification ,

Regardina a Drug-Free Workplace prior to the award of a grant.

Please review the Certification and sign in the space provided below certifying that you will comply with the Provisions of the Act. Please send

.a copy of this letter with your original signature to the undersigned and retain a ~ copy for your records.

.Please also note that the enclosed Provision entitled Drug-Free Workpi ge shall be made part of the grant and you must comply with the Provision.

Should you have any questions regarding these requirements, please contact !

Mrs. Deborah DeMarco at (301) 492-4279.

Sincerely, eEd M Patricia A. Smith, Contracting Officer Division of Contracts and Property Management THE GEORGE WASHINGTON UNIVERSITY:

I certify that I will comply with the provisions of the Certification RegardingaDrug-FreeWorkplace.

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Helen Spencer,4 1 rector, Office of Sponsored Resea'r'ch '

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Enclosures:

As stated 1

8904240323 890417 h _of- 104 PNUi

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NRC PROJECT GRANT PROVISIONS FOR INSTITUTIONS OF HIGHER EDUCATION AND UTilER NONPROFIT ORGANIZATIONS l /

This grant is subject to the following provisions:

1. General !

4. This grant is composed of a grant face page (which may incorporate the grantee's proposal by reference) aN the NRC Project Grant Provisions for Institutions of Higher Education and Other Nonprofit Organizations.

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b. This award constitutes acceptance by the U.S. Nuclear Regulatory Comission (NRC).of the grantee's proposal and budget unless otherwise indicated on the face page.

c. The grantee is obligated to conduct such project oversight as may be appropriate, to manage the funds with prudence, and to comply ,

with the provisions outlined herein. Within this framework, the Principal Investigator (PI) named on the grant face page is responsible for the scientific or. technical direction of the project and for preparation of the project performance reports.

d. This grant is funded on a cost reimbursement basis not to exceeo the amo* nt awarded as indicated on the face page and is subject to a refund of unexpended funds to NRC.

e. This grant award is subject to the policies prescribed in OM3 Circular A-110, dated July 30, 1976.

2. Reportino Procram Technical Performance Grantees are responsible for the performance under grants and other agreemencs and, where appropriate, ensure that time schedules are being met, projected work units by time periods are being accomplished, and other performance goals are being achieved.

a. Frecuency of Perforinance Reports .

Performance reports will be submitted in letter format within 30 calendar days after the end of every second calendar quarter and a final report 40 later than the expiration date of the grant period indicated on the face page,

b. Copies of Performance Reports One copy of the letter report shall be submitted to the Division of Contracts and Property Management, three copies to tha NRC Program Office (at the address indicated on the face page).

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c. Content of Performance Report

The report content shall be as follows: -

(1), A comparison of actual accomplishments with the goals ,

established for _ the period, the findings of the investigator. . -

or both. . If- the output of programs or projects can be readi.ly quantified such quantitative data should be related to cost data for computation of unit costs.

(2) Reasons why established goals were not met.

'(3) ' Other pertinent- infonnation including,,when appropriate, analysis and explanation of anticipate &. cost overruns or nign unit costs.

.(4) Between the reovired perfonnar.Je reporting dates, events _may occur that have significant impact upon the project or. program.

In such instances, the recipient shall inform the Guclear Hegulatory Consnission as soon as the following types 'of condi '

tions become known: *

(a) Problems, deiays, or adverse conditions that will materially affect the ability to attain program objectives. Drevent the meeting of time schedules.

'e and. goais, er preclude the attainment of project work units by established tin'c periods. This disclosure shall be accompanied by a statement nf the. action taken, or contemplated, and any Federal assistance needed to resolve the situation.

(b) favorable developments or events'that enable time schedules to be met sooner than anticipated or more work units to be produced than originally projected.

(c) If any performance review conducted by the grantee discloses the need for. change in the budget estimates in accordance with the criteria established in Attacnment J to Circula'r A-110, the grantee shall suenit a req est for badget r evision.

d. Publication of Results .

The general conditions of the assistance instrument will specify the publications requirements of the award and a provision for the granting to the Government a royalty free, nonexclusive, irrevo-cable license to reproduce, translate, publish, use and dispose of all copyrightable material first produced or composed in the grantee's/

cooperator's performance under the grant or cooperative agreement.

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1 Grantees or cooperators may be required to produce reports !

to be published by NRC in accordance with the provisions of Hanual: Chapter 3202_ or be given the option of publication in li a recognized technical journal.

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Each journal article submission must be accompanied by the j following statemkat "The submitted manuscript has been authored by a grantee of the U.S. Government under Grant No. . Accordingly, the U.S. Government has a nonexclusive, royalty-free license to publish or reproduce the published fann of this contribution, or allow others to do so, for U.S. Government purposes."

All open literature publications prepared under this grant shall contain the following statement:

This paper was prepared with the support of the U.S. Nuclear Regulatory Commission (NRC) under Grant flo. . The opinions, findings, conclusions ano recommendations expressed herein are those of the author (s) and do not necessarily reflect the views of the NRC.

If requested by the journal or other publisher to transfer the copyright, the author shall respond to the journal or other publisher, in writing, in accoroance with the sample ,

letter shown below:

Sample Letter on Copyright Agreement

Dear :

l He recently received a document for signature assigning copyright and republication rights in the submittJd article (title) to (name of publication). This letter is offered in lieu of the document as a means of completing the transfer I

of ownership. Accordingly assign our rights of owners, hip in the above cited work towe (nane of publisher). .

You are advised, however, that the above assignment and a to the followingor publication republication Government rights: of the above cited work is subject The submitted manuscript has been authored by a contractor (grantee) of the U.S. Government under contract (grant)

No.

Accordingly, the U.S. Government has a nonexclusive, royalty-free license to publish or repro -

duce the published form of this contr-ibution, or allow others to do so, for U.S. Government purpcseC Sincerelye "

e.

Reorints of Publications At such time ar any article resulting frcm work uncer tne grant

' is published in a scientific, technical or professional ournal or j publication, two reDrints of the publication shculd be sent to the cognizant fiRC Program Officer, clearly laoeled with the grant numeer and otner appropriate identifying infon.ation.

3.

Suscension or Temination for Cause _

a.

comply with the terms and conditions of a grant.1 suspend the grant or (2) terminate the grant for cause.

b.

iRC prefers that deficiencies be cort cree wnenever practicable.

When it is believed tnat a grantee has faileo to comply witn one or more of the terms and conditions of a grant, will advise the grantee oy letter of the nature the Grants of theOfficer

roblem anc that failure of termination tothe correct tne deficiency may resuit in susoension grant.- or l

in writ 1ng within 30 days' of receipt of sucn let er, cescribing action taken or the plan designeo to correct the ceficiency. Cocies of (PI)sucn and tocorrespondence will be furnished to tne Frincipal the llRC Program Officer, Investigato if a satisfset:ry respnnse is Officer may issue a notice susper. ding authori y to grant funds, in wnole or in part. t witn a cony to the P!.sent by certifiec mail (return receipt reouestec The notice will set forta tne activities covered action re by the suspension and its effective care. and tne corrective riowever, quired by the grantee in order o lift tne sus:ension.

clination when such action is reasonable uncer the circum necessary to protect tne interests of ths Govar--aa*

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c.

If a grant is suspended pursuant to this article, no obligaticas incurred by the grantee during the period of suspension will be allowable under the suspended grant other than necessary and n proper costs that the grantee could not reasonably avoid during the period ~of suspension; provided that such costs would other- -

wise be allowable under the applicable Federal cost principles.

d.

. The suspension will remain in effect for a maximum of 90 days during which time the grantee will take corrective action to the satisfaction of NRC or give assurances satisfactory to HRC that corrective action will be taken. , In that event, the Grants Officer will . issue a notification,. to the grantee, that the suspension is lifted.

e.

In the event-the deficiency is not corrected to the satisfaction ,

of NRC, the Grants Officer may issue a notice of temination. The -

notice will establish the reasons for the' action and its effective

-date.

f. If a grant is terminated pursuant to this article, financial obligations incurred by the grantee prior to the effective date of temination shall be allowable to the extent they would have been allowable had the grant not been tenninated, except that no obligation incurred during the period in which the grant was suspended (except those allowed pursuant to c, above) will be allowed.

The settlement of temination costs will be in accordance with the applicable Federal cost principles.

9 Within 90 days of the effective date of termination, the grantee-will furnish an itemized accounting of funds expended for allowable costs balance.

grant prior to the effective ,date of termination and the unexpended

4. Temination for Convenience -

a.

Circtsnstancesmay~ariseinwhicheitherNRdorthegranteewishes .

to terminate its perfomance of a project in whole or in part.

If both parties agree, the grant may'be teminated by mutual agreement.

b. If the grantee wishes to tem,inate the project, it shall advise the NRC Grants Officer, with a copy to the cognizant NRC Program Officer.

c. If NRC wishes to teminate the project, the Grants Officer will advise the Program grantee with copies to the PI and the engnizant NRC Officer.

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Within 30 days after reccipt of a request from either party for

. termination by mutual appropriate written acreement the other party will provide an respense.

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-e.

Inithe event of disagreement .between the parties, the Grants O '

will make a final' decision subject to the review procedures describ !

. in the following article entitled " Dispute Review Frocedure."

- f.

'The grantee shall not incur new obligations for the terminated portion af ter threffective date, and shall. cancel as many out-sion shall. allow full credit to the grantee fte the F Drior to terTninatior..of the noncancellable obligations, propef}y in

5. Di:ql. deview Procedure '

a.

Any request.for review of a notice of termination or other' adverse decision should:be addressed to the GrantsItOfficer. must be postmarked ~no later than 30 days af ter the postmarked date of such notice.

b.

The request for review must contain a full statement of the grantee's position position. and the pertinent facts and reasons in support of such y

c.

for_ review and shall fon ard it to the Director, Off of tnree persons.tration,who shall appoint a review connittee consisting of a d.

Pending resolution of the request for review, the NRC may withhold or defer payments under the grant during the review proceedings.

e'. !

Tne termination review committee will requbt the Grants Officer wno issued the notice of termination to provide copies of all relevant background materials and doc'uments. It may, at its oiscretion, invite representatives of the grantee and the NRC program office to discuss pertinent issues and to submit such additional information as it deems appropriate. The chairman ofproceedings or the review are connittee willinsure adequhtely documented. that all review activities 1

f.

Based on its review, the committee will prepare its recommendations to the Director parMes concerne Office of Administration, who will advise the d of his decision.

_______.__m._._______

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.b. ,lra vel Douestic travel is an appropriate charge to this grant, and prior authorization for specific trips is not required. Foreign travel wst be clearly essential to the grant effort and mu renardless of its inclusion in the approved grant budget.

Allthecouaon of travel. carrier travel reimbursable bereunder tr. notated that economy class accommodations e.

were not a r irst-class air travel is not authorized. ,.

7. l'y of U.S.'Flao Carriers d

The Comptroller General of the United States, by Decision 8-13894?

of June 17,197S, as amended. provided guidelines for impleraentation nf Section Frectices Act5ofof1974 the International Air Transportation Fair Competitive O.

Any air transportation to, from, between, or within a country other than the U.S. of persons or property, the expense of which will be af sisted by NRC funding, rust be performed on a U.S. flao carrier if services provided by sucn carrier is "available."

6 fer t.ne purposes of tnis rea.siremen::

(1)

Passenger or freight service by a certificated air carrier is r;onsidered "available" even though: j (a) Comparable or a dhfer.ent kind' of service by a noncertifi,cated air carrier costs less, or (b)

Service by a noncertificated air c.arrier can be paid for in excess foreign, currency, or (c) Service by a noncertificated air carrier is l preferreri by the grantee, cnntractor, or traveler needing air transportation, or (ri) S$rvicebyanonce[tificatedaircarrieris i convenient for the grantee, contractor or traveler needing air transportation.

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(2) i Passenger service by a certificated air carrier is considered !

to be "unavailabic":

(a) When the traveler, wnile enroute, has to wait 6 hours6.944444e-5 days 0.00167 hours 9.920635e-6 weeks 2.283e-6 months or more for an available U.S. carrier, or (b)

When any flicht by a U.S. flag carrier is interrupted by a stop anticianted to be 6 hours6.944444e-5 days 0.00167 hours 9.920635e-6 weeks 2.283e-6 months or more for refueling, reloading, reaairs, etc., and no other flight by a U.S.

air carrier is available during the 6 hour6.944444e-5 days 0.00167 hours 9.920635e-6 weeks 2.283e-6 months period, or (c) When the fiicat by a U.S. air carrier takes 12 or more nours longen usan a foreign carfi er,

d. Allowable Costs

a. .

Tne allocability of cc:ts arid cost allocation methods for work performed under tnis crt.at, up to the amount specified in the grant instrument, shall be determined in accordance with the anoli-cable Federal Cost Principies in effect on the e He:tive date of the grant and the tems of the grant.

i b.

The Federal Cost Principles applicable to specific types of grantees are as follo::::

- (1) Institutions of .tigner f.eu:ation. OMB Circular l-21 is applicable to bou. 4.d lic and private institutions of nigher educatior.,

(2) Nonprofit Organi::n.w - 0::C Circular A-12.'

9.

ketention and Custodial ke::uis c cnts for Records Grantees by shallA-110 0MB Circular retain and ' permit examination of . records as required requirements on sub-gr Attatn.: ant C.

10.

antees as specified by that attacnment. Grantees shall place app Payment and Financial Reoortino Recuirem'en'ts Grantee requests for payment, HRC payments, and gra .

A-110, Attachments G and'. I. reporting requireluents shall be made in accord

11. Property llanaaement Standards PropertyA-110, Circular shall Attachment be accoun.ed I;. for and managed in accordance with OMS i

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W. - Cgoy,r,3g ~ ~

Unless otherwise provided in the grant instrument, the grantee may copyright any books, publications, films, or. other copyrightable

. materials developed in the course of or under this grant. However, any such copyrighted materials shall be subject to a royalty-free, irrevocable, worldwide, nonexclusive. license in the United States -

Government to reproduce, perform, translate, and otherwise use and t

to authorize others to use such materials for_ Goverroent purposes. ,

13.

Patent Rights (Small Busihess I. ires *or Non-Profit Organizations, July,1981)

a. Definitions (1)

"Invention" means any invention or discovery which is or may be patentable or otherwise prote'ctable under Title 35 of the United States Code (USC). '

(2) 3

" Subject invention" means any invention of the orantee con-ceived or first actually reduced to practice in the perform-ance of work under this grant. *

(3)

" Practical Application" means to manufacture in the. case of a composition or product, to practice in the ca's,e of a process

- or method, or to operate in the case of a machine or system; .

and, in each case, under such conditions as to establish that the invention is being utili2ed and that its benefits are, to the extent permitted by law or Government regulations,' avail-able to the public on reasonable terms.

5 (4)' "Made" uhen used in relation to any invention means the con-ception or first actual reduction te practice of such invention.

(5)

"Small at Section Business 2 of PublicTirm" means a small business concern as defined Law 054536 (15 USC 632) and implementing regulations of the Administrator.,of tra tion. For the purpose of this clause, the Small Business Adminis-the size standard for small business concerns involved in Government procurement.

contained in 13 CFR 121.3-8, and in subcorttracting, contained 3 in 13 CFR 121.3-12, will be used.'.', -

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- j (6) lon-profit Organization" means universities and other institu-1

_tions of higner education of an organization of the type des-cribec in section 501(c)(3) of the internal Revenue Code of 1954 (26 USC Sola) or any non-profit scientific or educational organization qualified under a state non-profit organization statute.

b. Allocation of Principal Richts t

The grantee may retain the entire right, title, and interest through-out of this theclause.

world to each subject invention 56bject to the provisions With respect to any subje'ct invention in which the

' grantee retains title, the Federal Government shall have a non- .

jeaclusive, nontransferable, irrevocable, paid-up license to prac-tice or have practiced for or on behalf of the United States any subject Invention throughout the world for which the grantee has j elected to retain title. ;

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c.

Ippfications by GranteeInvention Disclosure. Election of T

'(1)

After a subject invention has been disclosed in writing by the inventor (s) to gra'ntee personnel responsible for the administration of patent matters, the grantee will:

(i)

Disclose such invention to the Nuclear Regulatory Commission (NRC) within six months; (ii)'

Elect whether or not to retain title to any such invention by notifying the NRC, within twelve months of disc 1*osure to'the grantee; (iii) File its initial patent 'lipplication on an elected invention within two years after elect. ion; and .

(iv)

File patent applications in additional countries within either ten months of the corresponding initial patent application, or six months from the date a license is granted by the Commissioner of Patents and Trademarks to file foreign patent applications-when such filing was prohibited for security reasons.

-(2)

N Notwithstanding the requirements of subparagraph c(1) above:

(i)

Disclosure to the NRC shall be made immediately af ter grantee personnel responsible for th' e administration of patent matters become aware of any manuscript describing the invention accepted for publication, or any publica-tion, on sale or public use of such invention; and (ii) In any case where publication, or sale or public use has initiated 'the one year statutory period wherein valid patent protection can still be obtained in the United States, the period for election of title and filing .

of a United States patent' application may be shortened by the NRC to a date that is no more than 45 days prior to the end of the statutory period.

(3) '

Requests for' extension o,f the time for disclosure to the NRC ,

election and filing, where reasonable, will normally be granted.

(a)

The disclosure to the NRC shall be in the form of a written report and shall identify the grant under which the invention was made and the inventor (s). It shall be suf ficiently complete in technical detail to convey a clear understa.nding of the nature, purpose, oper-ation, and, to the extent known, thei physical, chemical, biological or electric 6 characteristics of the invention.

also ider.sfy any publication, on sale or public use of theThe report shall i.'..=1.on and whether a manuscript describing the invention has been closure. submitted for publication and accepted at the time of dis- '

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-d. Forfeiture of Title

-(1)

The title tograntee any subject will convey to the NRC. upon written request.

invention:

(1)

If the grantee fails to disclose or elect the subject invention within the times specified

!L in c above, or elects not'to retain title. q

'(11)

'In those countries in which the grantee fails to file patent applications within the times specified in c above; provided. however, that if the grantee 4 has filed a patent.applicati.on in a, country after the-times specified in c above but prior to its

,- , receipt of the written request of the NRC, the grantee country; or shall continue to retain title in that (iii) In any country in which the grantee decides not to continue the prosecution of any application for. to pay the maintenance fees on, or defend in a reexam-ination or opposition proceeding o6, a patent M.

a subject invention

e. Minimum Rights to Grantee

." The' grantee will retain a non-exclusive. oyalty-free license throughout the world in each subject invention to which the Government obtains title except if the grantee fails to disclose the subject invention within the times specified in c above.

.This license extends to and is revocable and transferable, as Bulletin 81-22 dated Junespecified 30 '1981. -

in Part 5b(2) of Office of Federal f.

Grantee Action to Protect Government's Interest (1)

The grantee agrees to execute or to halve executed and promptly deliver to the NRC al.1. instruments necessary to: ,

(1)

Establish or corifirm the rights the Government has throughout the world in those subject inventions for which the contractor retains title; and (ii) Convey tit;1e to the NRC when requested under (d) above and to enable the Government to obtain patent protection throughout the world in that subject invention.

(2)

The grantee agrees to require, by written agreement, its employees, other than clerical and non-technical employees.

to disclose promptly in writing to personnel identified as responsible for the administration of patent matters and

in a format suggested by the grantee each subject invention

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made under this gant in order that the grantee can comply with the disclosure provisions of c above and to execute all papers necessary to file patent applications on subject inven-

.tions and to establish the Government's rights in the subject inventions.

the information requested by subparagraph The grantee c(4) above!

I shall instruct such employees through the employee agreements or other suitable educational programs on the imp!

cations prior to ll.S. or foreign statutory bars.

(3)

Tne grantee will notify the NRC of any decision not to continue prosecution of a patent application, pay maintenance fees, or defend in a reexamination or opposition proceeding on a patent. -

in any country, not less than thirty days before the expiration '

of the response period required by the relevant patent office.

(4)' The grantee agrees to include, within the specification of any United : States patent application and any patent

issuing thereon covering a subject invention, the following statement, "This invention was made with Government support under (identify the grant) awarded by.the Nuclear Regulatory Comission. The Govern-ment has certain rights in this invention."

g Subcontracts (1). The grantee will include this clause, suitably modified to identify the parties, in all subcontracts regardless of tier, for experimental,' developmental or researc,h work to be performed in the United States by a sdall business firm or a non-profit organization.

The subcontractor will retain all rights provided for the grantee in this clause,'and the grantee will not, as part of the consider ~ation for awarding the subcontract, obtain ,

rights in the subcontractor's subject inventions. (

(2) ' .

The grantee will include in all other subcontracts, regardless of tier, for experimental, developmental or research work the patent 5(a). clause required by Federal Procurement Regulation 1-9.107-rights

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h 1 Reporting on Util'iration of Subject Inventions i

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The grantee agrees to submit on regn.t periodic reports v., more frequently than annually on the utilization of a subject invention or en efforts at obtaining such utilization that are being made by the grantee or its licensees or assignees. Such reports shall include information regarding the status of development, date of first commer-cial sale or use, gross royalties received by the grantee.,and such ,

other data and infomation as the NRC may reasonable specify. The grantee also agrees to provide additional reports as may be requested NRC in accordance with paragraph Toj of this clause.by the N the ex, tent data

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g.,

or information supplied under this section is considered by the 4

grantee its licensee or assignee to be priviledged and confidential and is so marked, the NRC agrees that, to the extent pemitted by 35 USC 202(c)(5) it will not disclose such informattun to persons-outside the Government.

i.

Preference for United States Industry Notwithstanding any other provision of. this clause, the grantee agrees that neither it nor any assignee will grant to any person the exclusive right to use or sell any subject invention in the United States unless such person agrees that any products embodying the subject invention ~

or produced through the use of the subject invention will by manufac-tured substantially in the United States.

the requirement for. such an agreement .may be waived by the N showing by the grantee or its assignee.that reasonable but unsuccessfu

> licensees that would be likely to manufacture sub United is States feasible.

not commercially or that under the circumstances domestic ma j.. March-in Rights The grantee agrees that with respect to any subject invention in which it has acquired title, the NRC has the right in accordance with the

^ procedures in OH8 Bulletin 81-22 to require .the grantee, an assignee or exclusive licensee of a subject invention to grant a non-exclusive, partially exclusive, or exclusive license in any field of use to a responsible-applicant or applicants, upon terms that are reasonable under the circumstances, and if the grantee assignee, or exclusive licensee refuses such a request, the NRC has .the right to grant such a license itself if the NRC determines that:

(1)

Such action is necessary because the grantee or assignee has not taken, or is not expected to take within a reasonable time, effec-

< tive steps tion in suchto field achieve practical application of the subject inven-of use; -

(2) Such which actior.

are no 's necessary to alteviate health or safety needs their licensees; reasonably satisfied by the grantee, assignee, or

'm (3) Such action is necessary*,to eet requirements for public use specified by Federal regulations and such requirements are not reasonably satisfied by the grantee, assignee, or licensees; or

.(4)

Such action is necessary because the agreement required by para-graph i of this clause has not been obtained or waived or because a licensee or the exclusive right to use or sell any subject inven-tion in the United States is breach of such agreement.

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_Special Provisions for Grants _ with Non-profit Organizations i

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1 If the grantee is a non-profit organization, it agrees that: l (1) Rights to a subject invention in the United States may n$t be assigned without the approval of the NRC, except where such assignment is made to an organization which has as one of its primary functions the management of inventions and which is not, itself, engaged in or does not hold a substantial interest irt other organizations engaged in the manufacture or sale of products or the use of processes that might utilize the inven-tion or be in co@etition with embodiments of the inventioa (pro-vided that such assignee will be subject to the same provisions as the grantee);

(2)

The grantee nay not grant exclusive licenses under U4ted States I patents or patent application in subject inventions to persons -

other than small business firms for a period in excess of the earlier of:

(i) five years from first comercial sale or use of the invention; or *

(ii) eight yens from the date of the exclusive license excepting that time before regulatory agencies necessary to obtain pre-market clearance unless on a case-by-case

'. basis, the Federal agency apprc,ves a longer exclusive license.

If exclusive field of use licenses are granted, comercial sale of use in one field of use will not be deemed comercial sale or use as to other fields of use, and a first comercial sale or use with respect to. a product of the;invention will not be deemed to end the exclusive period to different subsequent pro-ducts covered.by the invention.

(3)

The grantee will share any royalties collected on a subject inven-tion with the inventor; and "

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(4)

The balance of any royalties.or 1ncome earned by the grantee with respect to subject inventions, after payment of expenses (including payments to inventors) incidental to the administration of subject inventions., will be utilized for the support of scientific research or education. ,

h, . * - 14 c Notice and hi 'f. ..:M Recardin L er.t and Copyright Infringement

-this.

The grantprovisions exceeds 510.000. cf thit clause shall be applicable of only if th v a.

reasonable written detail, each novice or cla copyright infringement based on the of which the grantee has knowledge. performance *of _this grant b.

In the event of any claim or suit against the Govermnent on out of the performance of this grant or out of 1

grantee shall furnish to the Government whe Grants Officer, all evidence and information in possession of the grantee pertaining to such suit or claim.

Such evidence and ir. formation shall be furnished t at ' he expense of the Governm c.

except where the grantee has agreed to indemnify the Government .

This clause shall be included in all subcontracts. . .

-15. Recorting of-Royalties

' payments are directly involved in the grant or_ are r to tne Patent Counsel. NRC (with notification by Patent -

Grants Officer) during the perfor1 nance of this grant and prior to its

. completion or final settlement the amount of any royalties or other payments paid or to be paid by it directly to others in connection of licensors to who sucn payments are made and eith involved or sucn other information as will permit the identification of the patents or other basis on which the royalties are to be paid. The approval of HRC of any individual payments or royalt or scope are made. of, or title to. any patent under which a royalty or payments lo. Procuremen e ' S tandards I

a.

HRC grantees shall follow the requirgnents 'of Attachment 0 to ~

OMS Circular A-110. .

b.

In addition, unless these provhsions provide otherwise, prior written approval shall be obtained from the before: ., -

NRC Grants Officer (1)

Any of the research*cr other substantive project effort is contracted or otherwise transferred.

(2) Contracting for the commercial production or distribution of books, films, or similar materials.

c.

NRC approvals will be made by the Gracts Officer, who will specify which requirements of this grant must 'be flowed-down to satisfy the purposes of ONS Circular A-110.

d.

Grantee requeste for approvals shall include an explanation of tac; need for tne contracting, a proposed performance statement, justification for the price or estimated cost (including a detailed the basis budget for cost-reimbursement for selecting the contrartne type arrangements), and

g > . . . ,

17. .u.-

Eevision of rir.ancial' Plans -

'ofGrant budget 0118 Circular activny A-110, under

' Attachment J. this grant h :.;;Sject rements to the requ 18.. Prpgram Income L '

'.i Attat.hment Program D, income is subject to the policy p rescribed by OMB Circular A-110 i

19. Statutorf Requirements

a. Civil Rights :

E ~ This grant is subject to Title VI of the Civil -

I III, and 'IV '(for grants over $10,000 tion, Parts Act ofII, 1974, an{

within a twelve month period). I The grantee agrees .that no person in the Uhited States , on shall the ground of race, sex, color or national origin, be excluded from participation in, be deprived the benefits of .

or be otherwise -

which the grantee receives financial support from .

-b.

Nondiscrimination Under Federal Grants -

of 1973, Public Law 93-112. Dis grant is subject to the provisio otherwise qualified handicapped individual in the United St defined in section 7(6) of the Act), shall solely by reason of his handicap, be =xcluded from the participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance." Further, this grant is subject to the provisions of the Age Discrimination Act of 1975 (42 U.S.C. 6101).

discrimination will occur under this Federally assisted pro .

c.

Clean Air - Clean Water .

(Applicable only if the grant exceeds $100,000, or a facility to be used has been (42 U.S.C. 1857c-8(c the subject of a conviction under the Clean Air Act -

(33 U.S.C.1319(c), a)n(d is listed by EPA.1) or the Federa) Water (a) The Grantee agrees as follows:

(1)

To comply with aT1 the requirements of section li4 of the Clean Air Act, as amended (42 U.S.C.1857, et se.l., as amended by Public Law 91-604) and section 308 of the !

Federal Water Pollution Control Act (33 U.S.C.1251 et seq., as amended by Public Law 92-500), respective'.y.

information, as well as other requirements specifi

- section 114 and section 308 of the Clean Air Act and the ~

Water Act, respectively, and all regulations and guidelines issued thereunder before the award of this grant.

mm _m___m___m_ _ _ _ _ _ __.m. - - _ _ -

. i c

e

- 17 .

l

.j (2)

That no portion of the work required by this grant will be performed in a facility listed on the Environmental Protec-tion Agency List of Violating Facilities on the date that I 4

this grant was awarded unless and until the EPA eliminates the name of such facility or facilities frce such listing .

i '

(3)

To use his best efforts to comply with clean air standards and clean grant water is being standards at the facility in which the perfomed. h s

(4)

To insert the substance of the provisions of this clause into any nonexempt subcontract, including this paragraph i( .

(b)- The terms used in this clause have the following meanin 4

(1) '

The tem " Air Act" means the Clean Air Act, as amended (42 U.S.C. 1857 et seq., as amended by Public Law 91-604 (2)

The tem "Watee Act" means the Federal Water Pollutio Control Act, as amended (33 U.S.C.1251 et seq., as amended by Pubite Law 92-500).

(3)

The term " clean air standards" means any enforceable rules, regulations, guidelines, standards, limitations, orders, controls, prohibitions, or other requirements

. which are contained in, issued under, or otherwise adopted pursuant to the Air Act or E.xecutive Order 11738, an applicable implementation procedure as ,

t described in section 110 (d) of the Clean Air Act (42 U.S.C.1857c-5(d), an. approved implementation procedure or plan under section 111(c) or section 111(d),

respectively, of the Air Act (42 U.S.C.1857c-6(c) or (d), or an approved implementation procedure unc'er section 112(d) of the Air Act (42 U.S.C.1857c-7(d).

(4)

The tem " clean water standards" means any enforceable 4

limitation, control, condition, prohibition, standard, or other requirement which is promulgated pursuant to -

the Water Act or contained in a pemit issued to a discharger by the ,Enytion' mental Protection Agency or by a State under an approved program, as authorized by section 402 cf the Water Act (33 U.S.C.1342) or by local Government to ensure compliance with retreatment

regulations as required by section 307 of the Water Act (33U.S.C.1317).

)

(5) !

I The tem " compliance" means compliance with clean air l or water standards. Compliance shall also mean compliance !

i with a schedule or plan ordered or approved by a court of

{. cortpetent jurisdiction, the Environmental Protection Agency or an air or water pollution control agency in accordance with the requiranents of .the Air Act or Water Act and

regulations issued pursuant thereto.

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

.1 '

- 18~-

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l (6) tion, structure, mine, vessel or other ,

vised by the grantee or subcontrac the' performance of work under a grant or subcontract Where a location or site of operations contains or .

includes more than one building, plant, installation structure, the entire location or sita , or to be a facility except where the Direcw 31 ,be deemed Office of Federal Activities, Environmental Protection Agency, detertaines one geographical that area.independent facil,ities are collocated in

20. Liability and Losses '

of any activities undertaken with the financial su I 21.

_ Chances in Principal' Investigator or Technical Objectives' a.

The grantee shall be permitted to change the methods and procedure employed in perfoming the researth without the need to makc special reports on proposed actions or obtain NRC approval. Significat.

changes in methods or procedures shall be reported to NRC in s*.atus reports.and final technical reports. However, in the event the

- methodology or experiment is proposed as a specific stated objective

-of the research Grants Of ficer. work, it shall not he changed without approval of the b.

The stated objective of the research effort shall not be changed, except with the approval of the NRC Grants Officer.

c.

of research, shall not be changed except with the p of the NRC Grants Officer.

d.

The grantee shali obtain the approval of the NRC Grants Officer to change the principal investigator, or to continue the research work during a continuous period in ettcess:of three months without the participation of an approved principal investigator.

e.

The grantee shall consult with the NRC Grants Officer if the prin-cipal investigator plans to, .or becomes aware that he will, devote substantially approved proposal. less effort to the work than that anticipated in the If NRC determines that the reduction of effort would be so substantial as to impair tne successful prosecution of the research, it may request a change of principal investigator or other appropriate modification of the grant or may suspend or Suscension or Termination for Cause and Termination b Aereement, respectively.

1 y .

-I3-

22. Site Visits 3.

The NRC, through' authorized representatives, has the right, at all reasonable times, to make site vists to review project accomp11'shments u and management control systems and to provide such technical. assistance of the grantee or G contractor under a grant, the gra and shall. require his contractors to provide all reasonable facilities and. assistance for the safety and convenience of the Government representa tives in the' performance of their duties-. j All site visits and evaluations shall be performed in such a manner as will not unduly delay the work. i

23. }

Title to Ecuioment - l Unless otherwise. specified in the grant instrument, title to equipment!

' purchased or. fabricated with NRC grant funds by a college or. unive , .

vest in the grantee institution,-with the understan ment (or a suitable replacement obtained as a trade in) will remain in

use for the specific' project for which it was obttined.

24 Organizational Prior Acoroval System '.

a.

In order to carry out its responsibilities for monitoring project perfomance and for adhering to grant tems and conditions, each performing organization shall have a system to ensure tnat appro-

., priate authorized officials provide necessary organizational reviews and approvals in advance of any action that would result in either the' performance or modification of an NRC-supported activity where such approvals are required by the grant instrument, including the obligation.or. expenditure of funds where the governing cost principles either prescribe conditions or require approvals.

b. ,

The organization shall designate an appropriate official or officials to review in a, above. and approve the types of actions described Preferabl official (s) who sign (s)y, the official (s) should be the same that require submission to and approval by' NRC.or countersign (s) thos official (s) shall not be the princMal investigator or anyThe designated official having direct responsibility for the actual conduct of

, the project, or a subordinate of such individual,

25. _ Audit and Records i 4.

Financial records, supporting documents, statistical records, and other records pertinent to this grant shall be retained Final Report.by the grantee for a period of 3 years from submission of th (1)

Records that relate to audits, appeals, litigation, or the settlement of claims arising out of the performance of the project shall be retained.until such audits, appeals, litigation, not less thanor3 claims years after have final been report su ' disposed but in of,bmis any event s on.

i

~

TO -

a 1

(2f Records relating to projects subject to e requirement for reporting-income expires.end of t

b. >

of their duly authorized representativesThe NRC andk .

shall have access to organization, and of the performing organizati to make audits, examinations, excerpts and transcripts . Further, any contract in excess of $10,000i made by the Comptroller General, or any of their duly euthorized represen -

tatives, shall purposes. have access to pertinent records for similar

c. ,

In order to avoid duplicate recordkeeping, NRC may make spec arrangements for joint use. with grantees to retain any records that are needed .

not needed by the grantee when it determines that 'th possess long-term retention value. .

applicable to the grantee.to or maintained by NRC. the 3 year In the event that these provisions are exercised NRC will negotiate a mutually agreeable arrangement with

. the grantee regarding reimbursement of costs.

.. 26.

Standards for Financial Manacement Systems NRC grantees shall have financial management systems e that meet th requirements of Attachment F to OMB Circular A-110. -

Y e

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L - ,

1.3 .

/ o g UNITED STATES .

g. NUCLEAR REGULATORY COMMISSION

-'g

{ E 4 WASHINGTON, D. C. 20555

MAR 2 7 ' 1989 The George Washington University Attn.: Mrs. Helen Spencer, Director Office of Sponsored Research 2121 I Street, N.W. 6th Floor Washington, DC 20052

Dear Mrs.. Spencer:

SUBJECT:

NEW GRANT NO. NRC-04-89-104 FOR A PROJECT ENTITLED, "RESEARCH ON E ROME C!lRRENT ORArTirAi_ r0NCErNE IN RELIf.0!LITy" tj -

The Drug-Free Workplace Act of 1988 requires'that all grantees certify that =

5

^

they will compy with the provisions of the enclosed Certification ,

Regarding a Drug-Free Workplace prior to the award of a grant.

Please review the Certification and sign in the space provided below

. certifying that you will comply with the Provisions of the Act. Please send a copy of this' letter with your original signature to the undersigned and retain a copy for your' records.

Please also note that the enclosed Provision entitled Drua-Free Workplace shall be made part of the grant and you must comply with the Provision.

Should you have any questions regarding these requirements, please contact Mrs. Deborah DeMarco at (301) 492-4279.

Sincerely,

$55 h Patricia A. Smith, Contracting Officer Division of Contracts and Property Management THE GEORGE WASHINGTON UNIVERSITY:

I certify that I will comply with the provisions of the Certification Regardin a Drug-Free Workplace.

r Date: Y.

'gh Helen Spencer,W irector, Office of Sponsored Resea'rhh '

Enclosures:

As stated

' Form NRC 489 -

(1 76)

. U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL TRANSMITTAL NOTICE CHAPZR I;hC-3202 PGLICATION OF TECHNICAL REPORTS PEPAED BY NRC CONTRA 0IDRS, INCLUDING EPORTS PEPAED UNDER OR PA9) ANT 'ID INTERAGENW AGREEMENPS SUPERSEDED: TRANSMITTED:

Number Date Nurnber Date TN 3200-21 Chapter NRC-32t2 h/29/82 Chapter NRC-3202 8/29/64 Page Page Appendix I!E2-32 2 h/29/82 Appendix E -3202 E/29/Sa REMARKS:

Tnis revision of Chapter 3202 expands the chapter from coverace of unclassified reports to include the markirs and handling of sensitive unclassified ir/6:ntion (Official Use Only and Limited Official Use Information, Safeguan$s Informtion, Proprietary Information) and classified information (Top Secret, Secret, and Confidential). A secticn has also beer, added tc set forth procedures for the handling cf un. classified rep:rts on E cooperative programs with foreign g:ve=.er.ts ar.d crgar.izaticr.s and with U.S. industry.

l l

l L-_____- . _ _ _ _

L

[

'- l'.S. NUCLEAR REGULATORY COMMISSION NRC MANUAL l

3000 Information and Foreign Activities Volume:

Part . 3200- Technical Information and Document Control ADM 1

CHAPTER 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 3202 COVERAGE This chapter and its appendix handbook establish responsibilities , basic requiremen ts , standards and procedures for the documentation, production and dissemination of technical reports prepared by NRC consultants and grantees and by NRC contractors and their subcontractors, including reports prepared under or pursuant to interagency agreements or memorandums of understanding. These reports are hereaf ter referred to as _ contractor re-ports. This chapter does not cover NRC staff-generated documents , NRC docket material. or the documents generated by NRC boards, panels .

[ advisory committees and Offices that report to the Commission.

\

3203-02 OBJECTIVES 0 21 to assure production and dissemination of technical reports as required by the Energy Reorganization Act of 1974 and the Freedom of Infor-mation AM 022 to assure that dissemination of technical reports is consistent with requirements for public availability of information.

023 to assure that national security, patent rights, copyrights, proprie-tary rights and rights in other sensitive unclassified information are not compromised by the release, distribution, or dissemination of technical reports from NRC.

024 to assure that formal NRC contractor reports will carry the regis-tered NRC designation NUREG/CR or NUREG/CP as the prime identification.

025 to provide for coordination of press or other media releases.

3202-03 RESPONSIBILITIES AND AUTHORITIES 031 The Director. Office of Administration:

. a. develops and maintains , in consultation with Directors of Offices and Divisions and Regional Administrators, NRC standards, proce-

{L dures and guides for the production and dissemination of technical contractor reports.

Approved: August 29, 1984

w-1 >

2 , .

' '~

l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING. REPORTS :' PREPARED .

, NRC-3202-032 UNDER OR' PURSUANT TO INTERAGENCY - AGREEMENTS y b. < periodicallyLsurveys report activities throughout NRC to ascertain that the provisions Lof this chapter are adequate !and are being ,

' implemented; makes any changes.needed.

l032: The. Director. Division of Technical Information and Document e

Control: 1 develops and administers a central report control system for identi-K a, fying, printing and. distributing contractor reports and responding to requests for unclassified reports.

.b develops and ' maintains guides and standards for the documentation, formatting, printing, dissemination, : and public sale of unclassified -

contractor reports.

g c. assures that a ' system exists for review of unclassified contractor

! reports for adherence to patent, copyright and disclosu'e r 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 adherence to the Government Printing- and Binding Regulations issued by the Joint Committee on Printing (JCP), Congress of the United States;

e. in . response. to requests of Directors of Offices and Regional Administrators, establishes distribution data banks, maintains official standard distribution lists for automatic distribution of unclassified contractor reports, and controls distribution to assure adherence to the Government Printing and Binding Regulations, the Privacy Act.

. and the Freedom of Information Act.

033 Directors of Offices and Regional Administrators:

a. establish the contract or Standard Order for Work

provisions, including those required by this chapter and its appendix; Chapter NRC-3203, Distribution of Unclassified NRC Staff- and Contractor-Generated. Documents- and its appendix; Chapter NRC-0260, Print-ing , Copying, Graphics and Photography and its appendix; and Chapter NRC-Il02, Procedures for Placement of Work with the Department of Energy. In the Statement of Work:

(1) specify what reports will be reviewed for policy, management, and legal issues by NRC staff in draft prior to printing and distribution. If the report is to be reviewed by NRC staff, give the conditions under which the contractor may publish documents in the event of unresolvable differences relative to the draft, including the type of disclaimer to be used in 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

.y .

PUBLICATION OF TECHNICAL REPORTS PREPARED BY 4

- NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTER AGENCY 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). specify whether formal reports shall be printed by NRC or 'ne contractor if the contractor has a JCP-authorized federal print-ing plant (see Appendix Parts 11 and IV).

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

(6) establish the number of copies the contractor may retain or request for internal and external distribution and charge against NRC. Written justification must be provided , and approval obtained of the NRC JCP representative (the Director, Division of Technical Information and Document Control) when the number exceeds the 50 copies authorized by JCP for unclassified reports.

l'i) assure the protection of classified and sensitive unclassified information . if any. in contractor reports (see Appendix.

Part V).

b. assure adherence to instructions and authorizations regarding the reproduction and distribution of reports.

c. recommend standard distribution category (ies) for contractor reports to the Division of Technical Information and Document Control.

d. provide changes to the official standard distribution lists to the Division of Technical Information and Document Control.

e. establish procedures for review of contractor's proposed press and other media releases.

034 The Office of the Executive legal Director provides legal review and advice to NRC staff on questions regarding inventions, patents, proprietary information, use of copyrighted material, national security, and other sensitive unclassified and classified information.

035 The Director. Office of Public Affairs, upon request of the project manager, reviews proposed contractor's press or other media releases for appropriateness s .

Approved: August 29, 1984 .

I>

Pl'BLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED .

- NRC-3202-03G l'NDER OR PURSUANT TO INTERAGENCY AGREEMENTS 036 The Director. Division of Security: ;

a. administers the overall information security program which includes management of the security classification program and other programs for the protection of sensitive unclassified information. .

b. advises staff of NRC Offices and Regions on the preparation and handling of reports containing classified, proprietary and other sen-sitive unclassified information.

037 The Director, Division of Contracts:

a.. coordinates the flow of all reports to and from contractors (other than DOE contractors) where such reports may result in alterations in the terms and conditions of applicable contracts as they pertain to report production and distribution.

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

c. provides contractor with copies of NRC Chapters 0260, 3202, 3203, 3207, and 3210, when appropriate.

d. determines when requests for proposals and invitations for bids, as well as subsequent contracts, should include statements requiring contractor compliance with Chapters NRC-3202, 3207, and 3210 and the Government Printing and Binding Regulations.

e. ensures that appropriate clauses are included in contracts regarding the private use and protection of classified, proprietary and other sensitive unclassified information.

3202-04 DEFINITIONS

041 camera-ready copy - pages ready for printing by the offset printing process. This is a colloquial term used even though the printing process may not involve the so-called copy camera (see also reproducible masters).

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

043 contractor report - record of work done (a report) prepared in accordance with the provisions of a contract or under or pursuant to an interagency agreement.

w Words underscored in definitions are also defined in list.

Approved: August 29, 1984

, ,a PUBLICATION OF . TECHNICAL REPORTS PREPARED BY NRC. CONTRACTORS, INCLUDING REPORTS PREPARED y- UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS ' N RC-3202-044 I

x 044 copyright - a form of protection provided by the laws of the United States (Title- li, 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.

047 documentation - classification and associated markings required for

- classified or sensitive unclassified . documents, the NRC report number unique. to the report, title (and subtitle, if any), author or correspondent (if any). organization identification and contract number (or FIN number), date

. and availability.

048 draft or final material for inclusion in " Safety Evaluation Reports"

( or " Environmental Statements" (ES) - written material requested for input to SERs or ESs to be issued as NUREGs. Such material may be edited or modi-fied at the discretion of the NRC staff.

049 formal technical reports - the final product of research, an original investigation , or a significant compilation of information. This product is a formal technical report for publication in the NUREG/CR series. For extensive long-term projects, formal monthly, quarterly or semiannual and annual peri-odic technical reports may be required. A draft of the final or periodic report may be requested for comment prior to preparation of the camera-ready copy.

0410 NRC project manager - the NRC staff member responsible for the work performed by consultants or contractors and their subcontractors, or for work performed under or pursuant to an interagency agreement.

l 0411 patent review - examination by legal staff to assure protection rights in inventions.

0412 proprietary information - trade secrets; privileged or confidential research, development, commercial or financial information, exempt from manda-tory disclosure under 10 CFR Part 2 (Sections 2.740 and 2.790) and under 10 CFR Part 9 (Section 9.5); and other information submitted in confidence to the NRC by a foreign source and detennined to be unclassified by the NRC.

l 0413 publicly available documents - information (reports and references) which is available in the NRC Pubhc Document Room (PDR) for public inspec-( tion and copying or available in the public domain.

I Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY ,

NRC CONTRACTORS, INCLUDING REPORTS PREPARED . )

N R C-3202-0414 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS l 0414 reproducible masters -' camera-ready copy which includes (1) origi-nals of lint drawmgs (or prmts that can be copied), (2) glossy prmts of '

black and white photographs (colored photographs cannot be reproduced). I (3) original typed or printed text, tables, cover, title page, contents and abstract, or (4) other forms of the materials listed in (1), (2) and (3) that a .

printer can reproduce.

0415 technical reports - information on the technical aspects of contract work. These may be interim or final technical letter reports, draft or final formal technical reports for publication in the NUREG/CR or NUREG/CP series, or draft or final material for inclusion in SERs or ESs.

0416 technical letter reports (also called technical evaluation reports)

- interim. or final letters that provide information on the technical aspects of contract work. Interim technical letter reports may be required at various stages of a project. These reports usually are followed by a final technical letter report or a formal technical report. Final technical letter reports are usually specified in situations where the technical work is review and eval-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, quick-look reports , data reports. 1 status summary reports, project descriptions , pre-tested predictions, model verifications , experiment safety analyses, experiment operating procedures, facility certification reports, and test result reports. ;

0417 unique identification - NRC identification used on a report and its attachments , revisions , and supplements that is not used on any other report .

l 3202-05 BASIC REQUIREMENTS 0 51 Applicability. The provisions of this chapter and its appendix apply to NRC consultants, grantees, contractors and subcontractors, including those working under interagency agreements, whose contracts require the prepara-tion of technical reports. Because of the unique requirements of NRC boards, panels , advisory committees and Offices which report directly to the Commission, the handling of reports prepared by consultants and contractors to them are governed by the Board or Panel Chairman and, in the case of advisory committees, by the Advisory Committee Management Officer, or the Commission . These exceptions do not preclude the use of the NUREG/CR series designation on reports prepared for these entities that are to be given 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 procedees ,

for the preparation of reporting requirement portions of Statements of Work, ) i and for the documentation, production, and dissemination of technical reports i prepared by contractors and other government agencies in accordance with contract requirements or interagency agreements.

Approved: August 29, 1984

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-PUBLICATION OF TECHNICAL REPORTS PREPARED BY c< NRC CONTRACTORS. INCLUDING REPORTS PREPARED

-UNDER OR PURSCANT TO INTER AGENCY AGREEMENTS NRC-3202-054 A

054 Preparation Requirements

a. 1 Reports to be Printed by NRC. All contractor reports to be printed

, by NRCIihall 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 Form 335.

b. Reports Printed by Authorized Federal Printing Plants. All contrac-tor reports to be printed by the contractor (as specified by the contract , agreement, or standard order for work) shall be prepared according to Appendix 3202, and a reproducible master and suffi-cient copies for. standard and incidental distribution shall be sup-plied to the Division of Technical Information and Document Control.

accompanied by completed NRC Form 426A, signed by the authorized contractor official. Each such report shall include, as the last pa;;e.

a completed NRC Form 335.

055 References. The NRC chapters ref erenced and NUREG-0794 (ref. j) and NUREG-0650 (ref. i) are available from the Division of Technical Informa-tion and Document Cont rol . The other publications are available from the Government Printing Office.

- 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 I;RC Staff- and Contractor-Generated Documents."

d. Chapter N R C- 110 . " Procedures for Placement of Work with the Department of Energy."

e. Chapter NRC-3206. "NRC Cantractor Speeches, Papers and Journal Articles on Regulatory and Technical Subjects."

f. Chapter NRC-3207, " Conferences and Conference Proceedings . "

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

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

i. Title 5. U.S. Code, " Government Organ!zation and Employees ."

Government Printing Office.

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Approved: August 29, 1984

_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ - - - - - - - - - - - _ _ _ _ . _ _ i

8 a

PUBLIC'ATION OF TECHNICAL REPORTS PREPARED BY' NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC-3202-055 UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS n

j. " Technical Writing- Style Guide." A. W. Savolainen et al. . . compilers.

U.S. NRC. Report NUREG-0650, November 1979, and Supplement 1.

February 1982.

k. " Protection of Unclassified Safeguards Information," D. J. Kasun. .

USNRC Report NUREG-0794, October 1981.

1. Chapter NRC-0255, " Mail Management," and Appendix 0255, Part V.

Annex A.

e i

l

- Approved: August 29, 1984

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' PUBLICATION OF TECHNICAL REPORTS PREPARED BY

.. NRC CONTR ACTORS. INCLUDING REPORTS PREPARED L l'NDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendir 3202 CONTENTS PAGE PART I PREPARATION OF REPORTING-REQUIREMENTS PORTIONS OF STATEMENTS OF WORK FOR CONTdACTS, GRANTS AND STANDARD ORDERS FOR DOE WORK A. LIST'0F TECHNICAL REPORT REQUIREMENTS......................... 1 2

B. REQUIREMENTS FOR FORMAL REPORT 5...............................

2 C .' REQUIREMENTS FOR DRAFT REP 0RTS................................-

D. PUBLISHING UNCLASSIFIED, NON-SENSITIVE INFORMATION

.lN OPEN LITERATURE AND PRESENTING PAPER5...................... 3 e

TYP0 GRAPHY.................................................... 4 E.

F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMAT10N........................................ 4 G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND WORKSHOP 5.................................................

4 r.

WRITIN3 AND PUBLISHING UNCLASSIFIED B00KS..................... 5 g H.

5

1. DISTRIBUTION OF REPORTS TO CONTRACTOR 5........................

J. COORDINATION OF PRESS OR OTHER MEDIA RELEASES OF UNCLASSIFIED INFORMAT10N................................... 5 7

PART 11 UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC...

.... .. ............................. 7 A. DOCUMENTATION...... ....

Applicability... ........................................ 7 1.

Front Cover and Title Page. ............................. 7 2.

Availability Information................................. 9 3.

4. 9 Disclaimer........................................ ......

Previous Reports in 5eries............................... 9 5.

9

6. Abstract.................................................

References and Bibliographies............................ 9 7.

Bibliographic Data 5heet................................. 10 8.

10 B. PATENT AND SECURITY REVIEW 5...................................

10 j

1. Patent Review. .......................................... '

Security Review.......................................... 10 2.

i Approved: August 29, 1984

. J W,

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5 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 l'NDER OR PURSUANT TO INTERAGENCY AGREEMENTS CONTENTS (Continued)

PAGE C. i PROCEDURES FOR PRINTING AND DISTRIBUTING...................... 11 (

1

1. Printing............................................... . 11

2. Reprinting......................................... . .. 11

3. Distribution of Reports.................................. 11 i

EXHIBITS j

1. Sample Cover for Unclassified Formal Contractor-Prepared Reports. l Excluding Those Printed by DOE Laboratories with JCP Authorized Federa.1 Printing Plants... ....................................... 13 i l

2. Sample Title Page for Unclassified Formal Contractor-Prepared Reoorts, Excluding Those Printed by DOE Laboratories with JCP ;

Au".horized Federal Printing Plants............. ............. .... 14 )

3. Sample Cover for Unclassified Formal Reports Printed by DOE Laboratories with JCP Authorized Federal Printing Plants........ 15

4. Sample Title Page for Unclassified Formal Reports Printed j L by DOE Laboratories with JCP Authorized Federal Printing 1 Plants...... .................................................... 16 1

5. NRC form 426A, Publications Release............................ . 17

{

i

6. Disclaimer and Availability 5tatements............................ 18 1

7. NRC Form 335, Bibliographic Data 5heet............................ 19 PART III UNCLASSIFIED TECHNICAL LETTER REPORTS.... ................... 21 A. FORMAT...... .................... ............. ........... 21

1. Applicability........................................... 21

2. Requirements............................................ 21 B. PATENT AND SECURITY REVIEW 5................................. 21

1. Patent Review.......................................... 21

l. 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 PLANT 5...................... 23 )

A. DOCUMENTATION................................ ......... ... 23

1. l Applicability....... ............................. .. 23

2. Front Cover and Title Page..... ........... ...... 23 t

Approved: August 29, 1984 ii i

r 7-

,...,.s" ..

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- PU' BLICATION OF TECHNICAL REPORTS PREPARED BY'-

l 'NRC CONTRACTORS. INCLUDING REPORTS PREPARED .

l 1, UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS - NRC api,endix 3202 Wr k,. CONTENTS (Con'tinued)

A PAGE

3. ' Availability and Price Information.............. ...... 25

4. Disclaimer........................................... . 25 g 5. Previous Reports in 5eries............................. -25 .

1

6. Abstract............................................... 25

~7. References and Bibliographies........................... 26

-8. Bibliographic Data 5heet............................... '26 B. PATENT'AND SECURITY REVIEW 5................................. 26

1. Patent Review.......................................... 26

-2 Security Review........................................ 26 C. PROCEDURES FOR PRINTING AND DISTRIBUTING.................... 27

1. Printing .............................................. 27

2. Reprinting............................................. 27

3. Distribution of Reports.......................... .. . 4 27

'PART.V REPORTS CONTAINING SENSITIVE UNCLASSIFIED ~AND-CLASSIFIED INFORMATION...................................... 29-

[ .A. APPLICABILITY... .... .... .............................. . 29 4 B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION...... 29 C. PROPRIETARY INFORMAT10N..................................... 30 C. SAFEGUARDS INFORMAT10N..................... ..... .......... 31 E. CLA551FIED INFORMATION...................................... 31 EXHIBITS B .' Sample Cover for a Contractor Report Containing Official Use l 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 Sample Title Page for a Contractor Report Containing Limited

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12.

37

- Official Use Information... ......................................

i.

iii Approved: August 29, 1984

- - _ . - - . _ - . _ . - - - D

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 l'NDER 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 Contractor Report Containing Proprietary Information Obtained from a U.S. Organization.... ................ 39

15. Sample Cover Page for t. . mtractor Report Containing Proprietary Inf ormation 3tained f rom a Foreign Source. . . . . . . . . . . . 40

16. Sample Title Page for a Contractor Report Containing Proprietary Information Obtained from a U.S. Organization......... 41

17. Sample Title Page for a Contractor Report Containing Proprietary Information Obtained from a Fore'ign 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 MANAGER 5......................... 50 C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT............... 50 D. REPORT IDENTIFIERS........................................... 50 E. MAILING TO PROGRAM PARTICIPANTS........................... .. 51 F. SECURITY... .. .. . . ........ ........ .. . ....... .... 51 Approved: Augu st 29, 1984 iv L - - - -

! . c' .

Pl'BLICATION OF TECHNICAL REPORTS- PREPARED BY

' NRC . CONTRACTORS. INCLUDING REPORTS PREPARED

'l'NDER OR PURSl? ANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 CONTENTS (Continued)

I; . PAGE EXHIBITS L'- 24. Sample Cover for a Draft Preliminary Report (Code) for Comment... 52

25. Transmittal Letter f rom Contractor to NRC Project Manager for Draft Preliminary Report (Code)...................................

~

53

' 26. Transmittal Sheet for Requesting Mailing to Cooperative Program Participants...................................................... 54

(

l k.

v Approved: August 29, 1984

p 3 ( n.

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS..lNCLUDING REPORTS PREPARED

-UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 j g

l l Ac i

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PART l' PREPAR ATION 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 unclassified or classified . Standards for each of these categories are .I 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, draft or final formal technical reports for publication in the NUREG/CR or NUREG/CP series , or draft or final material for inclusion in SERs or ESs (see definitions below).

technical letter reports (hlso called technical evaluation reports) -

interim 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 usuaHy specified in situations where the technical work is review and evaluation of work of others or work to be used by the staff in the licensing and regulation process. Interim letter 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. experiment operating procedures , facility certification reports; and test result reports. These reports must be identified !

with ' the financial number (FIN) assigned to the project. They are i 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 1

?

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Apoendix 3202 NRC CONTR ACTORS INCLUDING REPORTS - PREPARED Part '

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS .

draft or final material for publication or inclusion in SERs. ESs.

letters. or license amendments - written material requested for use .

In the NRC licensing process. Such material may be (1) abstracted in a NUREG report or attached to a NUREG report. (2) attached to a letter or an amendment to the license, or (3) abstracted and used as necessary ty 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 r umber.

For purposes of this Part, contractor means a private contractor, con-sultant. grantee, another State or Federal Agency workifig under an interagency agreement, or a DOE / facility or National Laboratory (con-tractor) and subcontractors.

B. REQUIREMENTS FOR FORMAL REPORTS If the contractor is to prepare a final formal technical report for publi-cation. state that it will be printed and distributed by NRC from camera-ready copy submitted by the contractor, unless the work is being done for the Office of Nuclear Regulatory Research by a DOE facility or Laboratory with a JCP-authorized printing plant. The camera-ready copy is to be prepared in accordance with the provisions of this appen-dix. Parts 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 it is unclassified, the camera-ready copy is to be submitted by the contractor to the Director.

Division of TechnicalInformation and Document Control, NRC. Washington.

D.C. 20555. by first class mail. For handling of sensitive unclassified and classified reports see Part V of this appendix and NRC Appendix 2101.

Unclassified reports printed for the Office of Nuclear Regulatory Research should be handled in accordance with Parts IV and V of this appendix and/or Chapter 1102.

C. REQUIREMENTS FOR DRAFT REPORTS 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 after receiving NRC and/or participant comntents on the draft. State that all j draft material should be submitted to the cognizant project manager. !

When the contractor is to submit draft material for comment prior to tne preparation of the final report, state that if there are NRC program and/or participant comments the contractor will be asked to make changes.

If agreement on the changes is reached, the NRC manager will authoriae 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 Approved: August 29, 1984 2 l

h

m -- e .

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- i eg .,

PUBLICATION 'OF TECHNICAL REPORTS PREPARED BY .

. NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT ~TO INTER AGENCY AGREEMENTS - Part I came ready . copy for printing and distribution. - This is to be' done to

. assu. proper publication,. handling, and distribution and, among other things. ~ to preclJde further changes' that might nullify the agreement. If caveats-were agreed to and the project manager wishes to check the final

~

document for their presence, hc/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 426 A .

Also- state that if agreement on changes to a formal technical report to be issued in the NUREG/CR series is not reached, the NRC project manager may request the contractor to pWpare the camera-ready copy.

with, in addition to the standard disclaimer required on all contractor formal reports (see Exhibit 6), any caveats deemed necessary to cover NRC . objections . Such caveats may range from the "The vieb., expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" to the addition cf a preface setting forth the NRC opinion or footnotes at appropriate locations within the text.

State that if NRC objections cannot be covered in this manner, NRC can refuse _ to ' publish the . report. in the case of DOE / National Laboratory reports, the DOE Operations Office Manager responsible' for that labora-tory should be informed by the NRC Office Director or Regional Adminis-trator of the decision and the reasons therefor, with a copy to the fg Labcratory Director. In the case of another Federal agency,' a State, or a private- contractor, the person who executed the contract should simi-larly _be informed by the NRC Contracting Officer. The contractor is then free to publish without NRC identification of the report. Project 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 f; 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 submicsion for publication, state this in the Statement of Work, as follows:

The principal investigator (s) may publish the results of this work in the open literature instead of submitting a final report and/or pre-sent papers at public or association meetings at interim stages of the

(. work, if the article or paper has been reviewed by the NRC project 3 Approved: August 29, 1984 I i

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED'.

Part 1 - 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-Il02 must. be: followed j If agreement is not' reached, NRC may also ask'that the paper include .

in. addition - to the standard statement " Work supported by the U.S.

Nuclear Regulatory Commission," any. caveats deemed. necessary . toi ;

cover NRC objections. If NRC objections cannot be covered in this j manner NRC can refuse to authorize publication in the'open litera- {

ture and/or presentation of _ papers. /

In ' the latter : case. NRC will inform the contractor of the decision, as stated above for formal reports (see Section C, paragraphs '3 and 4).

n '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 oe appealed to the NRC

~ Executive' Director for Operations.

If the. contractor proposes to publish in _ the open literature or present the' information at meetings in addition to submitting. the required tech -

nical reports, approval of the proposed article or presentation should' be obtained- from the NRC project manager. The NRC project manager shall either approve the material as submitted, . approve it subject to NRC-suggested _ revisions,' or disapprove it. .in any event, a project manager may : disapprove or delay. presentation or' publication of papers on infor-mation that is subject to Commissioner approval that has not been ruleo

~

upon _ or which has been disapproved.

(See Chapter 3206 for provisions relating to payment of page charges and

' travel costs for presentation of papers.) ;

'E. TYPOGRAPHY The text of reports' must be single spaced on 8 x 11-in. paper, unless otherwise c specifically authorized. Occasionally, reports with many sym-bols and mathematical expressions may require one and one-half spacing to provide. for superscripts and subscripts . This spacing should be allowed where needed, but should be considered an exception, not the standard .

F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION Details of the marking of reports etsignated Official Use Only, l.imited Official Use, Proprietary Information , Safeguards Information , and classified (Confidential, Secret, and Top Secret) are provided in Part V of this appendix and in NRC Appendix 2101.

G; PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND WORKSHOPS' NRC publishes or assists in the publication of compilations of papers

" presented st meetings , conferences, and symposiums in which NRC l

1 Approved: August 29, 1984 4 .

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC' CONTRACTORS. INCLUDING REPORTS PREPARED ' NRC Appendix 3202 '

< UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 1 participates as a sponsor or cosponsor. Chapter NRC-3207, " Conferences

-( and Conference Proceedings," provides general information and guidance

. for this . More detailed guidance is available from TIDC upon request.

H. WRITING AND PUBLISHING UNCLASSIFIED BOOKS NRC. may , under certain circumstances, publish _ books prepared by grantees or contractors. For general information and guidance on book publishing, see Chapter NRC-3210, " Book Writing and Publishing."

1. DISTRIBUTION OF REPORTS TO CONTRACTORS Up to 50 copies .of unclassified formal technical ter orts may be retained by or will be bulk shipped to the cor. tractor' 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 inchtded 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 shoulo. De addressed to the NRC project manager. with a copy to NRC/TIDC. If the additional distribution is approved by the NRC project . manager, the contractor shall send these copies (if printing is done by the contractor) and address labels, even if printing is done by.

NRC. to NRC/TIDC, where the distribution will- be made along with the

, standard distribution. Distribution of sensitive unclassified and classi-fied reports will be made by the project manager on a case-by-case basis.

J. COORDINATION - OF PRESS OR OTHER MEDI A RELEASES OF UNCLASSI-FIED INFORMATION A contractor may request permission to issue a press or- other media.

relebse 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 coraractor may not issue a press release on-nonroutine information without this prior coordination. This coordination may be accomplished by telephone, with the NRC project manager respon-sible for expeditious handling. Decisions not to release information or delays in handling by the project manager may be appealed to the NRC Executive Director for Operations.

i l

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f d' 5 Approved: August 29, 1984 ,

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMTNTS NRC Appendix 3202 PART 11 UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC I

A. DOCUMENTATION i

1. Applicability

a. The requirements of this part apply to contractor and inter-agency agreement reports that are to be printed by NRC.

Contractors may not print reports prepared for NRC except those DOE laboratories with JCP-authorized printing plants and then only those reports prepared for NRC's Office of Nucl.:ar rlegulatory 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 a greemen ts ) . *

b. The items shown in Exhibits 1 through 4 and discussed below shall appear on the titic page and cover, as appropriate.**

i (1) NRC Report Number Each report shall be identified by an NRC-controlled alpha-numeric designation as the prime designation unique to that report. The centralized report control system for unique identification is maintain ed by the Division of Technical Information and Document Control. Numbers may be obtained by calling the Division of Technical Infor-mation and Document Control or by submitting a copy of NRC Form 426A (Exhibit 5) with a request for a number Reproducible copy of the cover of the performing organization may be sub-mitted ; however, the data elements shown in Exhibit 1 must be included.

These requirements meet the specifications of American National Standard r ANSI 239.18-1974, Guidelines for Format and Production of Scientific and (k Technical Reports, and ANSI Z39.23-1974, Technical Report Numbers.

7 Approved: August 29, 1984

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' Pl*BLICATION OF TECHNICAL REPORTS PREPARED Bf

, . NRC Appendik 3202 -NRC- CONTRACTORS, INCLUDING REPORTS PREPARED - -

Part 11 ltNDER OR PI'RSUANT TO INTERAGENCY AGREEMENTS The NRC identification number will have the form:

NUREG/CR-XXXX or NUREG/CP-XXXX -

- where CP indicates conference proceeding. , The. contrac-tor's report number, if any, may be inserted below. the .

NUREG number on the ' title page and cover, as shown in Exhibits 1 through 4, if desired by the contractor.

When a report consists of more than one 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;,

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

(3) Personal Author (s)' Name(s) l Authors' names should be~ given - on the titl'e page and cover unless this 's ' 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 the names. In addition, list affiliation of each author only if affiliated with an organization other than the organization generating the document.

(4) Organization Identification On the title page and cover, provide information of the type illustrated in Exhibits 1 through 4.

(5) Basis for Report Date(s)

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

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

t Approved: August 29, 1984 8 l l

_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ _ _ _ _ _ _ _ _ i

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 11

/

3. Availability Information k.

All- formal reports will be ' made available for sale by NRC and by the National Technical Information Service (NTIS). Exhibit 6 will be inserted on the inside of the front cover by the Division of Technical Information and Document Control. ;

4. Disclifmer The followeg notice will be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by an an,ency of the United States Government . Neither the United States Government nor any agency thereof, or any of their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any information.

apparatus , product or process disclosed in this report, or repre-sents that its use by such third party wnuld not infringe. privately owned righ t s . " The following additional statement , "The views expressed in this report are not necessarily these of the U.S.

Nuclear -Regulatory Commission" will be printed below the standard disclaimer, if appropriate . Other qualifying statements may be added, if needed (see Part 1.C. , Requirements for Draft Reports).

5. Previous Reports in Series

( If the report oeing prepared is one in an ongoing series, list all previous reports in the series. Include report numbers and issu-ance dates. Place this list on the back of the title page.

6. Abstract An abstract of 200 words or less shall be prepared for each formal report . Within the report, the abstract shall appear on a separate page between the list of previous documents in the series and the contents page.*

7. References and Bibliographies Reports or other documents referenced in text, reference sections, bibliographies , and appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office, at the National Technical Information Service , or at other reference or sales outlets) or in the NRC Public Document Room. This means that references should not be made to personal communications and interviews, unpublished This preferred positioning of the abstract in the report need not be followed

- if the style manual of' the originating organization requires a different '

location .

( .

9 Approved: August 29, 1984

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. _ ' PUBLICATION.0F TECHNICAL REPORTS PREPARED BY

. NRCL Appendix 3202 g: NRC CONTRACTORS. INCLUDING REPORTS PP.EPARED

'Part II UNDER OR-PURSUANT TO INTERAGENCY AGREEMENTS 1 i

- -information and. 'information with - restricted distribution (e.g.. 1 proprietary,; national: security , official use only, etc.). _ . lf- the' 1 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-i ledgement section. ' Availability may be stated collectively for all entries .(see Exhibit 6). -

Guidehnes: for ' developing and presenting. reference,, material ' are provided- in NUREG-0650, " Technical Writing Style G uide . "

published in- November 1979; (see Appendix A, pp . 19- 23. for '

specific guidance) and Supplement -1 dated February 1982.

8. Bibliographies Data Sheet NRCr Form 335 (Exhibit 7) shall be prepared and-included in the camera-ready copy as the final right-hand page.

! B. PATENT AND' SECURITY REVIEWS

1. Patent Review Patent 1 implications shall be considered prior to approval of reports c : for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor. If the work being reported

. is contractually managed through another government agency (e.g. .

DOE laboratories), that government agency should be requested by the contracter to perform the patent review. The result of such review sh'all be' reported' on NRC Form 426A in item 11 (Exhibit 5).

If NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the government agency administer-ing the. contract, the responsible NRC contracting officer shall be consulted, and the responsible NRC project manager shall consider 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 l inventive nature, the contracting officer shall request assistance from the NRC Patent Counsel, Office of the Executive Legal Director.

2. Security Review ,

E 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 L- _- ___ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ . __

PUBLICATION- OF TECHNICAL REPORTS PREPARED BY i MRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 d I - UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part II C. PROCEDURES FOR PRINTING AND DISTRIBUTING

1. Printing Reproducible masters prepared in accordance with this appendix ,

f shall be transmitted to the Division of Technical Informt. tion and

'- Document Control, accompanied by completed NRC Form 426A (Exhibit 5). NRC Form 426A must be signed by the NRC project manager or a contractor official authorized by the project manager.

Such authorization shall be reported in writing to TIDC. (

The Division of Technical Information and Document Control will review the masters for adherence te the standards set forth in this chapter and appendix and will arrange for printing and distributing the report. Unsatisfactory masters will be reported to the NRC '

project manager for appropriate contractual action by the contract-ing officer or, in the case of government agency or interagency agreement work, the publications manager of the performing organization .

9. Reprinting Requests for reprinting any report subsequent to the initial print-ing require approval of the Division of Technical Information and Document Control. Each request shall include a written justification and the project manager's approval for reprinting along with ad-dress labels for the recipients.

(-.

3. Distribution of Reports All copies of unclassified formal contractor reports will be distrib-uted by the Division of Technical Information and Document Control in accordance with instructions on NRC Form 426A (Exhibit 5). The Division of Technical Information and Document Control will also arrange automatic distribution of these reports to the NRC Docu-ment Control System, the NRC Public Document Room, the National Technical Information Service (NTIS), the Government Printing Office and the Depository Library Service.

If any distribution is to be made other than, or in addition to, the standard distribution established for the report, written justification ;

and the project manager's approval for printing additional copies l shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control, Address 1 labels for the additional distribution must be supplied.

Distribution of sensitive unclassified and chssified reports will be made by the NRC project manager on a case by-case basis.

1 i

i 11 Approved: August 29, 1984 l

)

sd .'

I PUBLICATION'OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 t UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 'mt ;;

L( l

, EXHlBIT 1 SAMPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS i

-i NRC Report No. NUREG/CR-1676 Contractor Report No. (if any) NUSAC-556

'.Vol., Part, Rev., etc. (if any)

Vol. I ntie Using Advanced Process Monitoring to Improve Material Control !

Subtitle .nd Type of Report Final Report (Annual, Topical, etc.) September 1979 September 1980 Author (s) Prepavec b, R L Hawk.ns R L Lynch. R F Lumb Contractor NusAC incorporated i

NRC p,7.;go,,, ,, ,,,,,,v Commission

.r'

.k l

13 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY.

NRC Appendix 3202 NRC CONTR ACTORS, INCLUDING REPORTS PREPARED Part 11 _

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS E.

EXHIB!T 2 SAMPLE TITLE PAGE FOR UNCLAS$1FIED FORMAL CONTRACTOR.

PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC REPORT No. NUREG CR 1676 Contractor Report No,(if any) gSAC-556~

Vol., Part, Rev., etc. (if any)

Distribution Category No (if any) ritie Using Advanced Process Monitoring to Improve Material Control Subtitle and Type of Report Final Report

( Annual, Topical, etc.) Septembe' 1979 September 1980 Report Dates and Bases u.,..,g. :o- .ge ser,.-w isec Author (s), Editor (s), e..,w.

, ,,,e,. ,, ,,

Compiler (s), etc.

Contractor Name A.st: - : r r. -

and Addreas N.7'Ods

u NRC Sponsorship pre,se,e fe.

Division of Safeguards Offece of Nuc6eer Meterial $efety and $sfegueres u s Nucieer neg~uieter, commission NRC Contract No, EEbN's"6437 I

Approved: August 29, 1984 14

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRr Annandiv 3909 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS ;a . !!

l k- EXHIBIT 3 1

I SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED {

i UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS I

NRC Report No. NUREG /CR-1952 Contractor Report No. SAND 810151 Vol., Part,'Rev., etc.

LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks

( Type of Report independent Verification Testing Program l

l i, '

Independent Verification Test 1

'or Subtitle Author (s), Editor (s) **'" k 'pek, ,,o, q s"$*e'n'Oi[UC e

Contractor s,no,, S,i,on,i t.e.,,io,,,,

Sponsorship b'7 'Ej ', n. ,ui io,,

Commission 1 .- ,

(.

15 Approved: August 29, 1984 E__--_--____

1 1 PUBLICATION OF- TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part 11 ._. l'NDER OR PURSU ANT TO INTER AGENCY AGREEMENTS

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

Contractor's Report No.

Vol., Part, Rev., etc. NUREG'CR 1952 Distribution hANN4151 Category Tim - LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks.

Subtstle inoepenaent ventilation Testing Program inoepencent Venfication Test 1

~*

, s,,[,[ ,e e1 N Author (s). Editor (s) ....e,

'. '.'C C.7 '.',"s*?.7.!s'.:' " ' "** ' * ' '

Contractor's 5.......,,,,.....,,

Name and Address -*d'*d

- "'8'*

NRC Sponsorship Prece'ed 'o' O.... on et me Office of enspctian s.nt and oneEnfo n.e.onei n. cio, an.p.ciien coment U $ Nuciose ne wistney Commiss.on NRC FIN No, n$$s'Etos Approved : August 29. 1984 16

- .s .

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRP Appendix 3202 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Pret U

(

EXHIBIT 5 NRC FORM 426A. PUBLICATIONS RELEASE FOR UNCLASSIFIED NRC CONTRACTOR AND CONSULTANT REPORTS

..c.... v4 .m8.. .. m. , u, . ......,.,..n... , . . ~ . .

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c 830 e.- c PUBLICATIONS RELEASE FOR UNCLASSIFIED o .. . . ... . .o c . .. so. . o NRC CONTRACTOR AND CONSULTANT REPORTS (P. Iyst 97 A*9ff .m.

u.w e 0 .o 3*,6. .D.w.,... .S . 4.a e.- .* ..e TT.,, .o .. .. .. .. . ..e .. ..

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17 Approved : August 29. 1984

i PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED 1%:t U UNDER OR PURSUANT TO INTER AGENCY AGREE.MENTS EXHIBIT 8 .

DISCLAIMER AND AVAILAB1UTY STATEMENTS (SACK OF COVER) i IIOTICE .

This suport ses pesared as en emmews of mort egenamed by se spuur af se ladesil gemens Gesernment. tesseher she Unned guem essersonant mer eiy ageur shuusi, er say of Weir onesevass make any arranty, espouse er imposed, er esssues eiy legal IIIbdNy of so-essreskley for any there party's asis, or seis remstes et asWiiso. of any tidaseuden, geestest, peshssi er resens destened in tems report, or sepassnes that les aus by meh stod party emedd not enermas yesteey esmed rights NOTICE Aveitability of Reforwee testerels Cned in NRC Puhkastiere Meet secunens citoo it. NRC pubiscetere unit he siestatie trem one of the toteseing suures

1. Tre h RC Pubi c Document Room.1717 H Street, N.W Washampion. DC 21566

2. The NRC/GPO leios Program. U.S. Nucisse Repstetery Commenen, j Washington, DC 3t565

3. The festional Technical Informeten $srvice. $srmpfeld. V A 22161 Atthough the lating that foliosus repressna the maiority of documena end 6n NRC pub 6essere n a not entended to be enhaustwo Retorensed Occunens ove*Lebte ter areescten oral espymg for e ese from the NRC Puh6sc Desu-ment Room incluse NRC serramensonce and miernst NRC momeroes; NRC Ottise of 6msesmen and Enforcement bulletms cercutors. enformeten notisse. mesecten and snusesyton naam.

).

Licensee Event Reports. vendor reporn and corresponderee Commmen papers; and applement eral heersue escumens end sortamenesnes The follouang documens in the NUREG sore ore sue 60stes for surufuse trem the NRC/GPO Sota Proyem: tormet NRC seN and sentracter reperu, NRCguenmored emneywise resumemes.and NRC hoekten and brochuru Also esoitette are Repsiseury Guses. NRC seedsteens an she Cost of Fespret Aspuietene. end Nuedser Assudsterr Commenen imusness.

Documens suedeb6e from the testenel Teshnmed eneemiseen tarvies instude NUREG eram repara and techrucel reports prussted by other tuseel egense and supers pesared by she Aeomac Energy Commamen, torerunner opency to the Nisolaar Repsistery W.

Desunene easiemme tem authe sus speelse omsedsat theoress mehsde op open immense tusse, esen es teoks, poumet and pariedent artetes. ese owessetens powoor aspear namess, suures and one espeisten.end eenyemeret resers een unussy be enesmed from shes itsenes Desunene asch es theme, eussrescere twelyi sesers end wenseseless, and non4eRC eenterense posednes are essentle ter papelum trem We orgwusselon tosseertup Wie pneesselon slag.

Single coo.n of NRC ere* reports are sveitsbee free, to the entent of suso8v.usen urinen rensest to tem Dwoon of Techneset Intermsten and Desument Centrol. U.S. taustest Repsisesry Com-manuen.Weesvision. DC 30866.

Geous of Wieustry eens and seendres und in a sweessnese msnmur h the 00RC pendutory poses are monomad et the NRC Library. 7930 feartssk Ausnue. tot'tands. IIsrytend, and se esensees there purchased ser referense ese by the from the enemstwig 36c. Onde erymasten andare er. If they sunspes are Anurisen esam#y gesemos empynpient ginegygi, em the and,,moy be Amorean testonet Genesses tretitute.142 Breceuey. lese VertL. NY 1tEp18.

l 1

cro e.ia=e es,,-

Approve d - August 20, 1981 18

. i PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Annendix 3202 UNDER OR PURSUANT TO INTER AGFNCY AGREEMENTS E m II

., EXHIBIT 7 NRC FORM 335 - BIBLIOGRAPHIC DATA SHEET

g. .

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..o 19 Approved : August 29. 1984 i

NRC Appendix 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part 11 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 eustAuCTnoone Wec F0mu 336. gigLeoGa APMic DATA SMEET. IS SASED ON CUiOELeNil 804 F0muAT AND Pm000 cts 04 08 SC8tNTaFIC AND TECHNICAL REPORTE. ANSI 233.18-107. AVAILABLE Fm0M AastRICAtd NATf0NAL STAfsDARDS eksTITUTE. 9830 Sm0ADWAv. 8stw V0mg. Ny 100 3 E ACM SEPARATELY SOUND REPORT FOR ERAMPLE. EACM VOLUME sN A MULTsv0LUME SET 5 MALL Mavt ITS UNiQut SISLs0GRAPMIC DATA SMEET.

1. AGPORT NUMetR. tocm iae.v,ewen, towne eeso,t onct

10. 8808d80 Rise 0 OASAtstIAfload List NaC o. . a. On.ce, eeny a wa ove sionenwmee.c eesigneten (NumtGI so.gase U S Naciese meswieter, Commies.ea. Wasa agiea. DC 20566 Dv the Devis.on of Tocan.ce, ea'oemeten one Documeat Controi. ADM. en ecceemence w.th Amee.cea Nei.eno 11. a. TYPS OF A8 PORT. Stew ere't. f.nr. peo.ea.nerv. tee co.

Stoneses AN$i 239.23 197e. Teenn.cc Re wt newmese tocan.csi. reewtetoev. overto v. etc . ene d escuteo's.

15TmNi Vee wppeecese setters. Aeon c numeret eiesnes. ene eacew s.ve astes hypaeas cais, es sa the tonowing esempies NumEG.Ct00.

NumEGICP.0010. NumtG'Cm.0100. one NumtGrem.0010 s. PERIOD CovtRED F oe escorts .a e seres see vo. , $ woo . mevxa one Aeosaew*. waea neceesery Aac conteacto, teow eee eeacee 12. SUPPtetetNTARY 0807E8. tater .atermet oa ao, .aciweee eseat.f cat.o* nwmese sie eavl esion NumEG nwmeen, e e , eise.nere thet weees w , swen es Preseese sa cooseest.oa won PN L.k m x x. 5 AND E m.x x x R. SAi.a m a x Presentee et conterence o' To me putionee Doctet No Wnea a esport es revisee. eno.cate wastae, one me.

2. TITLE AND $USTsTLE T.te showie .ne.cate cieen, eae repoei sweeessees or swep.emeans one once, repoet trie% two s.t.ect icoveregel of the repoet. ancive.ag ea, swetitie to the me.a tet e wnea e report is proceese sa moes inea cae voiwme. eeceet the primer, tetie see voewme awmese 13 AR$ TRACT. sacivos a tre' (200 = ores on nessi factwo sw a meer of the most saa.f acoat m'oemetea coateines ia tae saa encives swenitie for tee speedet voivme use wppee saa resort 18 the resort coate as e s.gadiceat e tiegreca, e-toar case etiers bwt cecitei ne comewtoe coes names Do e teretwee av e ver oc multipio voivmes meat.oa it mere Aesieset act use oceoavms saa saitas'ases en tities me, to eosee .a .e to es presseed er evinoe se prosoci meneese 00*e*thes t 3 Lt Avt SLANit te. DocuutedT ANALYS15

4. a. KEY Ws0A06/D80CAIPTOA8. Seect hem the t ae's, i DATE mtP0mt CotePLETED. Leen report enen ce++v e sete ano.cet.as moath one vee, proiectivasa comp eted Data Sese Sun ect Thesswews. DOEMIC 700m m 6 vae presee outnoe.see seems thet eesatiev the me o concooi

8. of the vesseech one are owe femativ esecdic pas precise to aWTMDR181. G.we nomeW a conventions, o'er de e . Jona me vees es enese entees for cetees.as A Doe. J Roeert Doet Lest swinor s emietea d it is edier.

eat from the performing #egemiration 6. IDENTIFitR$ A880 Optes.tesOt0 f tRMS Use meat.

f ers tot proiect nomes, come nomes. eavemeat ses.gastoes.

S. DATI REPORT tesutD. toch report snan caeer e soie ett use a m oneyworesi toems wortea .a sseceeve' ensicetsag menth er.s veer pwedehoe foem itsel toe taene swerects for enien no avecretor easses a the thesaurve T. PGAF0masseee ORCAesl2AT800d stAest Aas0 44AILise0 A00AESS. Gewe nome, street. city, state. one 21' cose i

18. e.'

AVAILABILITY STATOtetet? l L,st .o en.,e tesa two . eve,s .. ea . eneste,+ erarchy. e.e ee uni e.or. .e s-.tet Denote owei.c a 8.e esseces ove,reiseson',sete.

Desoter the nome of the secouseven enactiv ee tonows ehen secenty. i i

Omseo . Off.co. Organiesten or Geeernment agency, one seeress

96. SECURITY CLASSIF8CAff0N. Save. U S Seeweet, Cisse '

8. cateoa en accoreence wita U S 5etweet, megw st.eas i. e .

PRO.itCT/TASE/ WORK U8dif WUMSER. Use the pect4ct. vncieendwet test one work on.1 nummers waeer wn.ch the resoet mes 3 pressees ad ea,1 l 1T. teUMBER OF PA0tl. Leeve tent. IAeseo er NTill '

O. Pik OR GRAst? 88Ue4SER. daseet the FIN oe gesat avmeee unser which resort eves peeperse

10. PRICE. Leeve misak IAdnese tv NTist i

Approved: August 29, 1984 20

~

1

c. .

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART III UNCLASSIFIED TECHNICAL LETTER REPORTS A. FORMAT

1. Applicability

a. The requirements of this part apply t'o unclassified contractor technical letter reports. (See Part I. A for definition.)

b. The requirements of this part do not apply to consultants and contractors to the NRC boards, panels, and advisory commit-tees which report directly to the Commission.

2. Requirements Technical letter reports are prepared, duplicated and distributed in accordance with the requirements of the Statement of Work in the contract or in the Standard Order for DOE Work. Each such report must be identified with the financial number (FIN) assigned to the project . The number of copies to be prepared and the distribution f of those copies will be specified by the project manager. If unclas-sified and non-sensitive, the NRC project manager is responsible

( for making such reports available in the NRC Public Document Room (PDR) by sending them to the PDR through the NRC Document [

Control System.

B. PATENT AND SECURITY REVIEWS

1. Patent Review Patent implications shan he considered prior to approval of reports for public release so that disclosure will not adversely affect the l

patent rights of NRC. If the work being reported is contractually managed through another government agency (e.g. , DOE labora-tories), that government age.Jcy should be requested by the con-tractor to perform the patent review.

If NRC directly administers the contract or le contractor is unable to obtain a patent clearance from the government agency administer-l ing the contract, the responsible NRC contracting officer shall ae consulted, and the responsible NRC project manager shall consider the patent implications.

If there is a possibility that there is disclosure of developments of I an inventive nature , the NRC contracting officer shall request assistance from the NRC Patent Counsel, office of the Executive 1 Legal Director.

21 Approved: August 29, 1984 C__________.-.__.______

+

L . .

PUBLICATlJN OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS,-INCLUDING REPORTS PREPARED Part 111 ' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS .

2. Security Review In most ' cases, contractor technical letter reports will be unclassi-fied . Should. r' report of sensitive unclassified or classified work i 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 standsrds for marking and handling such reports are given in Part V of this appendix and NRC Appendix 2101.

I Approved: August 29, 1984 22

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

l [e .

PUBLICATION OF TECHNICAL REPORTS PREPARED BY I NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE NRC OFFICE OF NUCLEAR REGULATORY RESEARCH BI DOE LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS A. DOCUMENTATION

1. Applicability

a. The requirements of this part apply to NRC staff who are responsible for agreements with DOE Laboratories and their contractors who print regulatory and technical reports re-quired by NRC. (See also Chapter NPC-1102).

b. With respect to sensitive unclassified and classified reports the requirements set forth in Part V of this appendix shall be used in conjunction with NRC Appendix 2101.

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

f

\ Front Cover and Title Page

- 2.

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

b. Items such as those shown in Exhibits 3 and 4 and discussed below shall appear on the front cover and title page, as appro-priate .** While layouts and typefaces need not be exactly the same as in Exhibits 3 and 4, the items shall appear in approxi-mately the locations indicated and with the same relative prominence .

(1) NRC Report Number Each report shall be identified by an NRC-controlled alpha-numeric designation as the prime designation unique to that document. The centralized report control system for unique identification is maintained by the Division of Technical Information and Document Control. Numbers may The cover stock of the performing organization may be used; however it must include the data elements shown in Exhibit 3. ,

a These requirements meet the specifications of American National Standard

( ANSI Z39.18-1974, " Guidelines for Format and Production of Scientific and Technical Reports," and ANSI Z39.23-1974, " Technical Report Numbers . "

23 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part IV UNDER OR'PURSU ANT TO INTERAGENCY AGREEMENTS l

l be obtained by calling the Division of Technical Informa- i tion and Document Control or by submitting a copy of NRC Form 426A (Exhibit 5) with a request for a number. i l

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 shal:

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 subiect matter covered in the report.

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

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

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

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

(a) Authors' names should be given on the title page ar.d cover unless this is impractical, as in the case af 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 (a) On the cover, provide the name of the contractor responsible for preparing the report, followed by

" Prepared for the U.S. Nuclear Regulatory Commission . " f Approved: August 29, 1984 24

PUBLICATION OF' TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, . INCLUDING REPORTS PREPARED NRC Appendix 3202 ,

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV j

(- l (b) On the title page, provide information of the type 1 illustrated in Exhibit 4.

(5) Basis for Report Dates (s)

(a) The basis for dating may be shown along with the i 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 eact., may be shown where this is necessary.

3. Availability and Price Information All formal reports will be made available for sale by NRC and NTIS.

The statement shown in Exhibit 6 is required on the inside of the front cover.

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

[t Neither the Uniteo 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 Draf t Reports).

5. Previous Reports in Series If the report being prepared is one in an ongoing series, list all previous reports in the series. Include report numbers and issuance dates. Place this list on the back of the title page.

6. Abstract An abstract of 200 words or less shall be prepared for each formal report . Within the report, the abstract shall appear on a separate page between the list of previous documents in the series and the contents page.*

This preferred positioning of the abstract in the document need not be fol-( lowed if the style manual of the originating organization requires a different location .

25 Approved: August 29, 1984

L -

PUBL1 CATION OF TECHNICAL REPORTS PREPARED BY- ;

NRC Appendix-3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED

- ' Part IV UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

7. References and Bibliographies ,

Reports or other documents referenced in text, reference sections, bibliographies, and appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office, at the National 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 4 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 ccedit is due to individuals, they can be mentioned in the text or in an acknow-ledgement section , Availability may be stated collectively for all entries (see Exhibit 6).

Guidelines for developing and presenting reference material are 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 Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor. The DOE Operations Office 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

_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ - - - - _ _ _ -- -_ -- - 1

~ ~ . . _ . - . . . .

L.. . .

PUBLICATION OF TECHNICAL REPORTS PREPARED-BY NRC Appendix 3202

"~

NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Part IV 1

.(

s.

C. PROCEDURES FOR PRINTING AND DISTRIBUTING g

1. Printing Contractor reports may be printed only by a JCP-authorized print-ing plant and then only if prepared for the NRC Office of Nuclear Regulatory. Research. Reports printed 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 stan6 ard and incidental distribution shall be provided. The appropriate identifying number (NUREG/CR ,_) may be obtained as discussed in Section A.2.b.(1) .

2. Reprinting Requests 'for reprinting of any report at NRC expense subsequent to the initial printing requires approval of the Division of Technical Information and Document Control. The request shal: include- a written justification and the project managers approval for the re-printing, along with address labels for the recipients.

3. Distribution of Reports

.f Al] copies - of unclassified formal. contractor reports will be distrib-g'- uted by the Division of Technical Information and Document Control-in accordance with : instructions on NRC Form 426A (Exhibit 5).

NRC Form 426A must be signed by a contractor official aethorized -

by the project marager. Such authorization shall be repored in writing to the Division of Technical Information and Document Control .

If any distribution is to be made other than, or in addition to, the standard distribution established for the report, written justification and the project manager's approval for printing additional copies shall accompany the reproducible masters when submittedAddress to the l j

Division of Technical Information and Document Control.

labels for the additional distribution must be supplied.

Control will The Division of Technical Information and Document arrange automatic distribution of these reports to the NRC Docu- I ment Control System, the NRC Public Document Room, the National Technical Information Service (NTIS), the Government Printing Office and the Depository Library Service.

Distribution of sensitive (unclassified) and classified reports will be made by the NRC project manager on a case-by-case basis.

.c 27 Approved: August 29, 1984

g , .

PUBLICATION.OF TECHNICAL REPORTS PREPARED BY NRC. CONTRACTORS,- INCLUDING REPORTS PREPARED

+ UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202

!(;

PART V

. . REPORTS CONTAINING SENSITIVE UNCLASSIFIED -

AND CLASSIFIED INFORMATION

'A. ' APPLICABILITY These procedures and exhibits of this part apply to sensitive unclassi-fied and classified reports prepared by NRC contractors . These reports include those designated:

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

'(g Appendix 2101.

The reports covered are defined as sensitive unclassified or classified.

Sensitive unclassified information refers to information designated Official Use Only , Limited Official Use, and Proprietary Information.

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 infonnation not to be exported to or disclosed to foreign countries.

Classified information as used in this part includes Restricted Data, Formerly Restricted Data or National Security Information that requires protection in one of the three classification categories described in Executive Order 12356: Top Secret, ~ Secret or Confidential.

The uses of each of the sensitive unclassified and classified categories '

and the markings required on reports are discussed and exhibited in the following . sections. All sensitive unclassified and classified reports are to be sent directly to the project manager.

B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION. l NRC regulations require an Official Use Only marking to be placed on a

( report only when the originator or other holder believes the marking is

~ \

29 Approved: August 29, 1984

PUBLICATION OF . TECHNICAL REPORTS PREPARED BY

- NRCJ Appendix 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 .,

to an NRC contractor which is to be, withheld from public disclosure. The I report ' on which ' the marking . appears must be reviewed at the ' time a request for release is received to determine its releasability, The Official Use Only. marking is notice of the originator's determination of the applica- '

bility of an exemption under the Freedom of Information Act or Privacy.

Act or both at the 3.ime'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 L Proprietary information is a specific type of Official Use Only informa-l, tion . Proprietary information includes:

1 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 pmprietary 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.niarked 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 I

Use Only information without proprietary information may be marked Official Use Only Approved: August 29, 1984 30 j.,

r , '- ,- . . _

PUBLICATION OF TECHNICAL' REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS - Part-V

" . Procedures for reproducing, transmitting, protecting and handling pro-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 plcced on each hard copy of a report containing proprietary information.

D. SAFEGUARDS INFORMATION Safeguards information may be of three types: (1) classified informa-

~

tion , which is marked and handled as - indicated in Section E, (2) un-classified information restricted under Section 147 of the Atomic Energy .

Act, which is marked and handled as described in this Section, and (3) unclassified information, which is publicly available and handled as indicated in Parts I through IV.

The safeguards information that is to be protected as described here is unclasu: led information used in a report which specifically identifies certain 1.icensee's' or applicant's detailed:

1. security measures for the physical protection of special nuclear material

2. security measures for the physical protection and location of certain plant equipment vital to the safety of production or utilization

/. facilities .

1 Unclassified NRC contractor reports containing safeguards information that is to be protected shall be marked as shown in Exhibits 20 through 22.

Procedures for reproducing. transmitting, protectiac, and handling safe-guards information reports ' and removing them . rom the safeguards information category are detailed in NRC Appendix 2101. A cover sheet (Exhibit 23) is to be placed on each hard copy of a report containing safeguards information.

E. CLASSIFIED INFORMATION Classified information is limited to Restricted Data, Formerly Restricted Data and National Security Information. The procedures for making classification determinations and for marking, reproducing, transmitting, protecting, and handling reports containing classified information and removing such reports from classified categories are detailed in NRC Appendix 2101. These procedures are too complex for summarizing here.

Classification determinations regarding NRC information may be made solely by authorized classifiers designated by NRC or DOE. Authorized classifiers are responsible for insuring that reports they determine to be classified are marked and protected in accordance with the provisions 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 F- It is important to note that information may not b- classified in order to prevent or delay the release of information tL does not require protection in the interest of national security. Basw scientific research information not clearly related to national security may not be classified.

L .

I i

Approved: August 29, 1984 32

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PU9LICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V EXHIBIT 8 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY NUREGICR XXXX ISi Title Subtitle and Type of Report

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33 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part \' ._ l'NDER OR P1'RSPANT TO INTERAGENCY AGREEMENTS EXHIBIT S SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING OFFIC!AL USE ONLY INFORMATION OFFICIAL USE ONLY NUREG/CR.XXXX (S)

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OFFICIAL USE ONLY Approved: August 29, 1984 34

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. c PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 s

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS %FV EXHIBIT 10 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY f

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35 Approved: August 29, 1984

1

NRC Appendix 3202 PUBLICATION OF TECHNICAL REPORTS PRfPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDFR OR PURSUANT TO INTERAGENCY AGREEMENTS

. I EXH] BIT 11 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING

.y LIMITED OFFICIAL USE INFORMATION f

LIMITED OFFICIAL USE I NUREGICR XXXX (S)

Title Subtitle and Type of Report 20l2 """

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Approved: August 29, 1984 36 - l l

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS Pd if

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EXHIBIT 12 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE NUREG/CR XXXX (S)

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY L NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED-Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 13 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE LIMITED OFFICIAL USE Approved : August 29, 1984 38 i

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, . - , l l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 r

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V EXHIBIT 14 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION PROPRIETARY INFORMATION NUREG'CR XXXX (P)

Title Subtitle and Type of Report Authof tl). EditortSI Contracto.

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1 39 Approved: August 29, 1984

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l Pl!BLICATION OF TECHNICAL REPORTS PREPARED BY l NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part V _

ltNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 15 l SAMPLE COVER PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE PROPRIETARY INP 3RMATION l

NUREG CR XXXX (Pi Title Suotitle and Type of Report Actioets'. Edrtorist Coitractor Prope'ed for U.S PWuclear Regulatory Commiselon 50s tiGN iN80awavios

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1 Approved : August 29. 1984 40 , ,

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s PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pa-' Y

! EXHIBIT 16 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION l

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PROPRIETARY INFORMATION NUREGICR-XXXX (P)

Title Subttne and Type of Report

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k 41 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 . NRC CONTR ACTORS, INCLUDING REPORTS PREPARED Part Y 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 NUREGICR XXXX (P)

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Approved : August 29, 1984 42

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, , l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS rn- V

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P' 43 Approved: August 29, 1984

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS INCLUDING REPORTS PREPARED Part V- UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHlB!T 19 COVER SHEET FOR REPORT CONTAINING PROPRIETARY INFORMATION l

PROPRIETARY INFORMATION NOTICt TmE ATTACMfD DOCUWENT CONTAINS "PacemitTAmy mp0m.

N 0 A ON M UL NO SE D 5 ADE AwAILABLE TO ANT PERSON NOT RioutMWG SUCN WFO*MA.

TION m TME CONDUCT 08 08FICAL SuisNEES AND SMOULD St ST0*ED TRAN$f ERRED AND Dl5805tD OF BY LA*,M mtCIPIENT m a WANNER wniCm wiLL A5$Umf inAT ITS CONTENTS ARE NOT WADE AV AILABLE 10 UNAUTHORIZED PEASONS COPY.

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Approved : August 29, 1984 44

PUBLICATION OF TECHNICAL REPORTS PREPARED BY

' NRC CONTRACTORS INCLUDING REPORTS PREPARED NRC Annandiv 3907

, UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pa.M V EXHIBIT 20 SAMPLE COVEN FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION m SAFEOUARDS INFORMATION NUREGICR XXXX (SG)

Title Subtitle and Type of Report Author (sl. Editor (s)

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45 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part Y UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 21 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION .

SAFEGUARDS INFORMATION NUREGICR XXXX (SG)

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pa.~. Y EXHIBIT 22 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORMATION N

l SAFEGUARDS INFORMATION ,

47 Approved: August 29, 1984

o, a

PUBLICATION OF TECHNICAL REPORTS PREPARED BY '

NRC Appendix 3202 NRC CONTRACTORS INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

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THIS DOCUMENT CONTAINS INFORMATION WHICH MUST BE PROTECTEC FROM UNAUTHORIZED DISCLOSURE.10 CFR 73.21 AND SECTION 147, ATOMIC ENERGY {

ACT OF 1954 APPLY. VIOLATIONS ARE SUBJECT TO CIVIL OR CR!MINAL PENALTIES.

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 r CONT AINER.

IT IS YOUR RESPONSIBILITY TO PROTECT THE INFORMATION CONTAINED IN THIS DOCUMENT FROM COMPROMISE, THEFT OR UNAUTHORIZED DISCLOSURE.

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+ NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202' 1,

.- PART VI-l HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE PROGRAMS WITH FOREIGN GOVERNMENTS ' AND ORGANIZATIONS AND WITH U.S. INDUSTRY The Nuclear Regulatory Commission has requested that-its Program Offices -

establish, to the extent feasible, cooperative nuclear safety research programs that- involve either .or both U.S. Ldustry 'and foreign governments and c iga-

, nizations . Such involvement includes monetary ' contributions,. information exchange, and comments on program plans and results. This is authorized in 42 U.S.C. 5801. ~ To . this end, international and U.S. industry agreements have been signed. that provide for transmitting unclassified information from NRC to participants. These' procedures apply only to NRC-managed work not programmatically funded by DOE.

The interests of all NRC cooperative nuclear safety research program partici-pants are served best by early, rapid dissemination for_ comment of infonna-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 OF DRAFT PRELIMINARY REPORTS FOR COMMENT The first issuance of information by a contractor. shall be designated

" Draft Preliminary Report (or Code),* and shall include the cover sheet shown in Exhibit 24.

Th* following notice is to be printed on the bottom of the cover sheet (Exnibit 24):

NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of Commission action . It has not have received patent review and may con-tain information received in confidence. Therefore, the con-tents of this report should nei'.her be disclosed to others nor

(.s reproduced, wholly or partish, unless written permission to do so has been obtained froe 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

. 1

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS This notice has been agreed to by the legal staffs of both NRC and DOE and is not to be added to or changed. Any problem in this regard shall be brought to the attention of the NRC project manager, who will consult with the NRC legal staff.

The " Draft Preliminary Report (or Code)" shall be submitted by first class or express mail by the contractor to the NRC project manager, with the letter shown in Exhibit 25, in thc number of copies.specified by the project manager (in most instances thir 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 repor ts 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 reoort.

" Draft PreUminary 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 mail to foreign participants. If premium cost mail services are to be used, a Division Director or comparable or higher authority must certify to the need on NRC Form 420, " Request for Premium Cost Mail Service. Premium cost mail is:

1 Express Mail, Priority Mail (First Class weighing more than 12 ounces)

2. International Express Mail (Air Mail weighing more than 10 ounces)

(See Chapter NRC-0255-058 and NRC Appendix 0255, Part V, Annex A)

C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT A minimum of six months will be allowed for comments and resolution of comments . At the end of the comment , period, the NRC project manager shall, with the concurrence of the participants, authorize the contractor to issue the information as a NUREG/CR report in accordance with the provisions of this Chapter.

D. REPORT IDENTIFIERS The " Draft Preliminary Reports (or Codes)" will be uniquely identified only by the Financial Identification Number (FIN) assigned by NRC and Approved: August 29, 1984 50

7-

.i;~ 'o PUBLICATION OF TECHNICAL REPORTS 2 REPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202

. UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI

( '

. the appropriate periodic notation, if any , included in the title (Ex-hibit 24). They shall not be given standard report nomenclature until the NRC project manager authorizes publication as a NUREG/CR report.

At that time , the contractor may add its own designation below the NUREG/CR number, as shown in Exhibits 3 and 4.

E. MAILING TO PROGRAM PARTICIPANTS The physical transmission of reperts 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 m.inager. The transmittal sheet shown in Exhibit 26 shall be used to transmit the documents and the labels to DMB.

F. SECURITY If information included in the report or code has been determined to be sensitive unclassified or classified information (see statement of work) the procedures of Part V also apply. The report (or code) may not be classified solely for the purpose of limiting distribution to the partici-pants.

f

\

l I

l

(

l 51 Approved: August . 29, 1984

r_____________ - . - - ___ - . _ _ _ _ _ . -

x_ , c.wm-,,, _y _ _ _ _ . _ _ . _ _ . _ _ ___ - . . _

, s 4 'b PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS I*

i EXHIBIT 24

SAMPLE COVER FOR A DRAFT PRELIMINARY REPORT (CODE) -

FOR COMMENT DRAFT PRELIMINARY REPORT (CODE) FOR COPMENT FIN NO. --

Title of Program Subtitle for This Report, Including Appropriate Periodic Notation, If Any (e.g., First Quarter, Issue No. 1)

Prepared by (Name of DOE Facility, Contractor and/or Subcontractors, if any) for U.S. Nuclear Regulatory Commission NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of 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.

I Approved: August 29, 1984 52 .

- - - - - - - - - - - - - - - - - - ~

,e; 4 4

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING- REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part YI f

I L EXHIBIT 25 TRANSMITTAL LETTER FROM CONTRACTOR TO NRC PROJECT MANAGER FOR DRAFT PRELIMINARY REPORT T0: NRC Project Manager

SUBJECT:

DRAFT PRELIMINARY REPORT (CODE) ON (PROGRAM TITLE) FOR ComENT The enclosed " Draft Preliminary Report (Code)" is being submitted for comment.

It is our understanding that the comment period shall extend six months from the date of mailing of the draft to the participants. Upon resolution of the comments after that period and with concurrence of the cooperative program 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

s e

. g.

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED .NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI 9

. EXHIBIT 26 TRANSMITTl.L SHEET FOR REQUESTING MAILING TO COOPERATIVE PROGRAM .

t PARTICIPANTS Recipients: Addresses on attached labels Method of Mailing:

4 / First Class Postal Service to U. S. addresses C/ Express ma0 to U. S. addresses

C/ Air mail to foreign addresses

C/ Surface mail to foreign addresses (may require up to three (3) months)

. THIS MAILING -CONTAINS NO PROPRIETARY INFORMATION OR OTHER SENSITIVE UNCLASSIFIED INFORMATION Special Instructions:

Individual Requesting Mailing:

Project Manager or H2gh Authority Enclosures : -

1. Address labels

2. Documents to be maDed

1f premium cost mail services are to be used, a Division Director or compar-able or higher authority must certify to the need on NRC Form 420, " Request for Premium Cost Mail Service," Premium cost mail is:

1. Express Mail, Priority Mail (First Class weighing more than 12 ounces)

2. International Express Mail (Air Mail weighing more than 10 ounces)

(See Chapter NRC 0255-058 and NRC Appendix 0255, Part V, Annex A) 54 Approved: August 29, 1984

- _ _ _ - _ _ _ - - .

ML20244E165

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