Text

Contract: Consolidation,Operation & Maint of NRC Computer Ctrs, Awarded to Sba/Statistica,Inc
	ML20244E396
Person / Time
Issue date:	06/05/1989
From:	Mark Flynn, Laura Smith; NRC OFFICE OF ADMINISTRATION (ADM), SMALL BUSINESS ADMINISTRATION
To:	;
Shared Package
ML20244E391	List: ML20244E389; ML20244E396;
References
	CON-FIN-D-1387-9, CON-NRC-33-89-144 NUDOCS 8906200314
	Download: ML20244E396 (154)
	v • d • e

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At. L ve 6' Au t h L THIS CONTR ACT IS A RATLD ORDE R j "" ' ' N" AWARD / CONTRACT UNDER DPAS (15 CF R 350) ]. j 55

' L (. G Fe i h M d rpc. Jr a, ident.p NO. J. EF F ECTIVL DAll ~4. HLLduibl e 60N W1H CMa.bL R EQUES T fPHOJECT NO.

N RC-33 14'4 June 5, 1989 ARM-89-144

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6. ADMINIST E RE D B Y tl/ .iah. , " tan f arm /3; d.S'. Nuclear Regulatory Comission Division of Contracts & Property Management Washington, DC 20555

7. NAME AND ADDR LS5 OF CONT R ACT OR .ho., s,,rei, cs,y. co.n ay. 6,.ar .nd /Jf' Codr # 8. DELI VE RY PRIBE: U.S. Small Business Administration Baltimore District Office O FOB ORIGIN OTHE R ,sec erlow)

The Equitable Bldg., Third Floor 9. oisCOUNT rOR PROMPT PAvMcNT 10 North Calvert Street Baltimore, MD 21202 N/A SUBi STATISTICA, INC.

6301 Trotter Road i . SUBMIT INVOICES . IsTEM (4 coPnes .nless usher.

Cl a rh uill o MO 7107Q wisc ,Pecarieds TO THE 12 CODE IFACILITY CODE l ADDRESS SHOWN IN-Ah bHIP IO/MAHK f OH 12. PAv MLN1 WILL UL MADL ts y CODE l U.S. Nuclear Regulatory Commie 3M Div. of Accounting & Finance, GOV /COM Section Washington, DC 20555 13, AUTHORITY FOR USING OT HE R THAN F ULL AND OPEN COMPETIT 14. ACCOUNTING AND APPROPRt A TION DAT A B&R No. : 940-20-0725, FIN No. : D13879

,APPRO. No.: 31X0200.940 AMOUNT: $290,000.00 C io u.S C. 23o4:en )

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- 15A. ITEM NO. 158. SUPPLIES /SE RVICES 15C. QU ANTITY 115D UNIT 15E. UNIT PRICE I 15F AMOUNT Consoli dation, Operation and Maintenance of NRC's Computer Centers as described y herein ance with Statistica, Inc. , technical dated March 14, 1989 as and in accor/pril revised on A 4,1989, Aprii 10, 1989,A # pril 24,qroposa) 1989 an d May. 30,1989 which are incorporated herein and made a part hereof. l

. I s906200314 N M l b 3 -G -144 PDC .

16. TABLE OF CONTENTS 15G. TOTAL AMOUNT OF CONTRACT kiS 347.395.0.0._

k) ISEC. I DESCRIPTION I P AGE (S) W) lSEC l ~ ESCRIPTION lPAGESt PART I- THE SCHEDULE PART il - CONT R ACT CLAUSES xiA SOLICITATION / CONTRACT FORM j l y l I l CONTR ACT CLAUSES I 34 X}B SUPPLIES OR SERVICES AND PRICES / COSTS l7 PART lli - LIST OF DOCUMENTS. EXHIBITS AND OTHER ATTACH.

xl C DESCRIPTION /SPECSJWORK STATEMENT l8 y lJ l UST OF ATTACHMENTS ! 55 X D PACK AGING AND MARKING l 19 PART IV - REPRESENTATIONS AND INSTRUCTIONS y E INSPECTION AND ACCEPTANCE l 20 K REPRESENTATIONS. CERTIFICATIONS AND y F DELIVERi!5 'R PERFORMANCE l 21 OTHER ST ATEMENT9 OF OFFERORS yl G CONTR ACT ADMINISTR ATION DATA l 24 L INSTRS.. CONDS . .*.ND NOTICES TO OF F F.RORS yIH SPECIAL CONTRACT REQUIREMENTS I 27 M EVALUATION F ACTORS FOR AWARD CONTRACTING 0FFICER WilL COMPL ETE ITEM 17 OR 18 AS APPLICABL E l at. AWARE, ,Conaracaer is no, reg.sre - s vyn ahis dor. men,.) You,

17. { cont RACTOR'S NEGOTIATED AGREEMENT , Con,r.capr es re.

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, ne 19A. NAME AN R (Type or prm,s 20A. NAME OF CONT R ACTING OF FICER CONTRACTING OmCER Mark J. Flynn 19C. DALE 51GNLO 208. UNIT f' O ST TE5 F ME RIC A 20C. DATE $iGNED 198. N A EDF CONT RACTOR .)

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2. CON T R AC T # Proc. Jnst. Jden t.; NO. 3. LP F ECT a vL DAT E 4. HEQU658 i svNWUHLMASE REQUEST, PROJECT NO.

S&3-Bc/-/ -m3 June 5, 1989 A%.89-14 ___

b. 465UED is Y th ADMINIST ERCD BY (J/ other fnen firm SJ l

U.S. Small Business AdminisSSation U.S. Nuclear Regulatory Commission Baltimore District Office Division of Contracts and Property The Equitable Bldg. , Third Floor Management 10 North Calvert Street Washington, DC 20555 Baltimore, MD 21202

7. NAME AND ADDRESS OF CONT R ACTOR (No. afreef. caty, county, State and 44P Codr/ 8. DELIVE R Y FOB ORIGIN OTHE R (Sec below A STATISTICA, Inc.

9. DiSCOvNT rOR PROMPT PAYMENT 6301 Trotter Road Clarksville, MD 21029 N/A

10. SUBMIT INVOICES jiTEM (4 copses unless other-wuse specutieda TO THE 12 l FACILITY CODE ADDRESS SHUWN IN-CODE

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CODEI COQE l U.S. Nuclear Regulatory Commission vis on of Account no and Finance V C M Account 1n ection was inntnn- nr pn gs

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i 16A. ITEM NO 158. SUPPLIE S/SE R VICES 15C. QU ANTITY 150. UNIT I 15E. UNIT PRICE 15F AMOUNT Consolidation, Operation and Maintenance of the NRC 's Computer Centers (See Prime ContractL '

See Page 2 for special 8(a) Subcontract Clause Cost Plus Fixed Fee Contra'ct:

15G. TOTAL AMOUNT OF CONTRACT &l5347.395 00 _

16. TABLE OF CONTENTS VI lSEC. } DESCRIPTION lP AGE {S) V) lSEC- l DESCRIPTION lPAGE(S!

PART I-THE SCHEDULE PART (1 - CONT R ACT CLAUSES X A SOLICITATION /CONTR ACT FORM i 1 Xl 1 l CONTR ACT CLAUSES l 9 8 SUPPLIES OR SERVICES AND PRICES / COSTS PART lit - LIST OF DOCUMENTS. E XHIBITS AND OTHER ATT ACH.

C DESCRIPTION /SPECSJWORK STATEMENT lJ l LIST OF ATTACHMENTS l D PACK AGING AND MARKING l PART IV - REPRESENTATIONS AND INST RUCTIONS E INSPECTION AND ACCEPTANCE K R EP RE SE NTATIONS. CE RT IF IC AT IONS AND F DELIVERIES OR PERFORMANCE OTHER STATEMENT 9 OF OFFERORS G CONTR ACT ADMINISTRATION DATA L l INSTRS . CONDS., AND NOTICES TO OF F E RORS H SPECIAL CONTR ACT REQUIREMENTS M l EVALUATION F ACTORS FOR AWARD CONTRACTING OFFICER WIL L COMPL ETEITEM 17 OR 18 AS APPLICABLE

17. CONT RACTOR'S NEGOTIATED AGREEMENT (Contmetor is re- 18. AWARD (Contractor O not recuarrd to s##n this document.) Your extred to aura this documen* *md ~eturn A connes to issume office.> otter on Soutstatson Number '

C+ ntractor agrees to turnisn ena ras.ver an etems or oerf orm au the services set mesucing the socitions or enances maos Oy you wnicn acostions or chances' fortn or otherwise scentiteso en.,ve ano on any contmuation sneets for tne are set forth m f uit above. .s nereoy acceotea as to the stems listed above ana Ensideration stateg neiem. T6.e rients anc ontecations of tne oarties to tnis .)n any continuation sheets. This avvaro consummates tne contract wn cn con.

I c nteact snait be suciect to ena governeo by the tonowmg oocuments: (a) tnis sests of tne tonowmg cocuments: ia) tne Government's soucitation and your l

r waracontract. (c) the soucitation, it any, and Ic) suen orovisions, reoresenta- otter, and (D) toes awara/ contract. neu f urtner contractual occument is neces-

! trans, certitetations, ano soecstications as are attacned or mcorporatea by sary, roterLace nerem. Attachments are kated herrenJ 29A. NAME A LE R (Type or prant) 20A. NAME OF CONT RACT.NG or FICER 3% DA VIM i RUSIDENT,, FINA WCE 198. NAM ' ' NT A 'CTOR 19C. D ATE SIG ED

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Page 2 52.219-12 SPECIAL 8(a) SUBCONTRACTING CONDITIONS (APR 1984)

(a) The Small Business Adminstration (SBA) has entered into Contract No. NRC-33-89-144 with the U. S.- Nuclear Regulatory Commission to furnish the supplier or services as described .therein. A copy of the contract is attached hereto and made a part hereof.

(b) Statistica, Inc., hereafter referred to as the subcontractor, agrees and acknowledges as follows:

(1) That it will, for and on behalf of the'SBA, fulfill and perform all of the requirements of Contract No. NRC-33-89-144 for the consideration stated herein and that it has read and is familiar with each and every part of the contract.

(2) That the SBA has delegated responsibility for the administration of this subcontract to the U. S. Nuclear Regulatory Commission with complete authority to take any action on behalf of the Government under the terms and conditions of.this subcontract.

(3) That it will not subcontract the performance of any of the requirements of this subcontract to any' lower tier subcontractor without -

the prior written approval of the SBA and the designated Contracting Officer of the U. S. Nuclear Regulatory Commission.

(c) Payments, including.any progress payments under-this subcontract, will be made directly to the subcontractor by the U. S. Nuclear Regulatory Commission.

(End of Clause) l 4

V 3 ._ .o j ' TABLE OF CONTENTS PAGE

. SOLICITATION, OFFER AND AWARD. . . . . . . . . . . . . . . . . . . . - 1 TABLE.0F CONTENTS. . . . . . . . . . . . . . . . . . . . . . . . . . 3 PART I - THE SCHEDULE. . . . . . . . . . . . . . . . . . . . . . . . 7 SECTION B ' SUPPLIES OR SERVICES AND PRICE / COSTS . . . . . . . . . . 7

.B.1 BRIEF DESCRIPTION OF WORK (MAR 1987). . . . . . . . . . . . .

7 B.2 CONSIDERATION AND OBLIGATION--COST PLUS FIXED FEE . . . . . 7 (JUNE 1988)~ ALTERNATE I (JUNE 1988)

SECTION C - DESCRIPTION / SPECIFICATION. . . . . . . . . . . . . . . . 8

/ WORK STATEMENT C.1 STATEMENT OF WORK (MAR 1987). . . . . . . . . . . . . . . . 8 SECTION D - PACKAGING AND MARKING. . . . . . . . . . . . . . . . . . 19 D.1 PACKAGING AND MARKING (MAR 1987). . . . . . . . . . . . . . 19

.SECTION E - INSPECTION AND ACCEPTANCE. . . . . . . . . . . . . . . . 20 E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE . 20 SECTION F - DELIVERIES OR PERFORMANCE. . . . . . . . . . . . . . . . 21 F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE . 21 F. 2 PREPARATION OF TECHNICAL REPORTS (JUNE 1988). . . . . . . . 21 F.3 TECHNICAL PROGRESS REPORT (JUNE 1988) . . . . . . . . . . . 21

(OMB CLEARANCE NUMBER 3150-0112)

F.4 FINANCIAL STATUS REPORT (JUNE 1988) . . . . . . . . . . . .. 22 (OMB CLEARANCE NUMBER 3150-0112)

F.5 PLACE OF DELIVERY--REPORTS (JUNE 1988). . . . . . . . . . . 22 F.6 DURATION OF CONTRACT PERIOD (MAR 1987). . . . . . . . . . . 23 ALTERNATE II (MAR 1987)

SECTION G - CONTRACT ADMINISTRATION DATA . . . . . . . . . . . . . . 24 G.1 INDIRECT COST RATES (JUNE 1988) . . . . . . . . . . . . . . 24 G.2 PROJECT OFFICER AUTHORITY (JUNE 1988) . . . . . . . . . . . 24 G.3 REMITTANCE ADDRESS (MAR 1987) . . . . . . . . . . . . . . . 26 SECTION H - SPECIAL CONTRACT REQUIREMENTS. . . . . . . . . . . . . . 27

. H.: KEY PERSONNEL (JUNE 1988) . . . . . . . . . . . . . . . . . 27 H.2 SAFETY, HEALTH, AND FIRE PROTECTION (MAR 1987). . . . . . . 28 H.3 DISSEMINATION OF CONTRACT INFORMATION (MAR 1987). . . . . . 28 1

H.4 PRIVATE USE OF CONTRACT INFORMATION AND DATA (JUNE 1988). . 28 H.5 DRAWINGS, DESIGNS,'AND SPECIFICATIONS (JUN 1988). . . . . . 28 H.6 SECURITY (JUNE 1988) (OMB CLEARANCE NUMBER 3150-0112) . . . 29 H.7 ORGANIZATIONAL CONFLICTS OF INTEREST. . . . . . . . . . . . 31 (OMB CLEARANCE NUMBER 3150-0112) (JUNE 1988)

H.8 DETERMINATION OF MINIMUM WAGES AND FRINGE BENEFITS. . . . . 33 (JUNE 1988) l- H.9 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED . . 33 (JUNE 1988)

H.10 SITE ACCESS BADGE REQUIREMENTS (JUNE 1988). . . . . ... 33 PART II - CONTRACT CLAUSES. . . . . . . . . . . . . . . . . . . . . 34

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

TABLE OF CONTENTS- PAGE SECTION I -

CONTRACT CLAUSES . . . . . . . . . . . . . . . . . . . 34 I.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE . 34 I.2 OPTION TO EXTEND THE TERM OF THE CONTRACT--SERVICES . . . . 35 (FAR 52.217-9) (APR 1984)

I.3 SPECIAL 8(A) CONTRACT CONDITIONS. . . . . . . . . . . . . . 36 (FAR 52.219-11) (APR 1984)

I.4 LIMITATIONS ON SU8 CONTRACTING . . . . . . . . . . . . . . . 36 (FAR 52.219-14) (OCT 1987)

I.5 PAYMENT FOR OVERTIME PREMIUMS . . . . . . . . . . . . . . . 37 (FAR 52.222-2) (APR 1984)

'I 6 PROMPT PAYMENT (FAR 52.232-25) ......... 38 (APR 1989) ,

42 I.7 DISCOUNTS FOR PROMPT PAYMENT (FAR 52.232-8). . . . . . . .

(APR 1989) 43 I.8 ELECTRONIC FUNDS TRANSFER PAYMENT METHODS. . . . . . . . .

(FAR 52.232-28)(APR 1989) 44 I.9 CLAUSES INCORPORATED BY REFERENCE. . . . . . . . . . . . .

(FAR 52.252.2)(JUN 1988) 44 1.10 SERVICE CONTRACT ACT OF 1965 (I-FSS-222-41)(APR 1984). . .

52 l . I.11 DRUG-FREE WORKPLACE (FAR 52.223-6) . . . . . . . . . . . .

< PART III - LIST OF DOCUMENTS, EXHIBITS . . . . . . . . . . , . . . . 55 AND OTHER ATTACHMENTS SECTION J - LIST OF ATTACHMENTS. . . . . . . . . . . . . . . . . . . 55 J.1 ATTACHMENTS (MAR 1987). . . . . . . . . . . . . . . . . . . 55 1

- - - _ _ _ _ _ _ _ _ _ = - _ - _ _ - _

p Page 6 PAGES 4 THROUGH 6 ARE INTENTIONALLY LEFT BLANK 9

' Section B

,,. ,. RS-ARM-89-144

~

PART I - THE SCHEDULE SECTION B - SUPPLIES OR SERVICES AND PRICE / COSTS B.1 BRIEF DESCRIPTION OF WORK (MAR 1987)

The Contractor shall manage and operate NRC's multiple computer facilities and, at the time the agency consolidates its Headquarters at Two White Flint North (TWFN), physically consolidate into a single computer facility, supported by Backup Tape Storage and Remote Job Entry facilities in One White Flint North (OWFN).

/

(End of Clause)

B.2 . CONSIDERATION AND OBLIGATION--COST PLUS FIXED FEE (JUNE 1988) ALTERNATE I (JUNE 1988)

a. The total cost to the Government for full performance of this contract is $347,395.00, of which the sum of $321,662.00 represents the estimated reimbursable costs, and of which $25,733.00 represents the fixed fee,

b. There shall be no adjustment in the amount of the Contractor's fixed fee by reason of differences between any estimate of cost for performance of the work under this contract and the actual cost for performance of that work.

c. The amount presently obligated by the Government with respect to this contract is $290,000.00.

d. It is estimated that the amount currently allotted will cover performance through April 5,1990.

e. The total estimated option year cost for the second year of contract performance is $349,514.00, of which $323,624.00 represents the estimated reimbursable costs, and of which $25,890.00 represents the fixed fee.

h. Notwithstanding paragraph e above, the reflection of total estimated option year costs does not obligate the Government to exercise the option.

(EndofClause)

RS-ARM-89-144 SGetion C SECTION C - DESCRIPTION / SPECIFICATION

/ WORK STATEMENT C.1 STATEMENT 0F WORK (MAR 1987)

C.1 Statement of Work C.I.1 Background To achieve a more efficient, responsive and cost-effective program for the management and operations of its automated data processing resources, the agency intends to consolidate the management and operations of its multiple computer facilities, and at the time the agency consolidates its Headquarters at Two White Flint North (TWFN), physically consolidate into a single computer facility, supported by Backup Tape Sterage and Remote Job Entry facilities in One White Flint North (OWFN). The agency will continue to maintain access to timesharing computing resources at the National Institutes of Health, Idaho National Engineering Laboratory, and other facilities.

The. current NRC computer facilities are located in the Rockville-Bethesda area. There are six separate facilities. All facilities will operate on a 24-hour standby basis.

Maintenance agreements are in place for all NRC-owned and leased hardware and software. Attachment 6 lists existing minicomputer hardware. Other equipment includes that which is typically associated with computer center operations, e.g. power distribution units, printers, UPS, etc. Operating Systems include VM and AOS/VS and Applications System Software used in the NRC centers and timeshare facilities includes DB2, INQUIRE, PROFS,.

INFOS, IDMS, RAMIS, ORACLE, C0CS, and other products that directly support operations and communications. The contractor shall be prepared to operate and perform routine operator maintenance for both hardware and software, including the installation of any put or update tapes. The Contractor shall assume operation and maintenance of the following NRC Computer Centers on June 23, 1989:

Phillips Facility located at: Phillips Building 7920 Norfolk Ave.

6th Floor Bethesda, MD 20814 Emergency Operations Center located at: Maryland National Bank Building 7735 Old Georgetown Road Basement Bethesda, MD 20814

Page 39 Section I .

RS-ARM-89-144 (1) The due date for meat and meat food products, as defined in Section 2(a)(3) of the Packers and Stockyard Act of 1921 (7 U.S.C.

182(3)) and further defined in Pub. L.98-181 to include any edible fresh or frozen poultry seat, an perishable poultry meat food product, fresh eggs, and any perishable egg product, will be as close as possible to, but not later than, the 7th day after product delivery.

(11) The due date for perishable agricultural commodities, as defined in Section 1(4) of the Perishable Agricultural Commodities Act of 1930 (7 U.S.C. 499a(44)), will be as close as possible to, but not later than, the 10th day after product delivery, unless another date is specified in the contract.

(iii) The due date for dairy products, as defined in Section 111(e) of the Dairy Production Stabilization Act of 1983 (7 U.S.C.

4502(e)), edible fats or oils, and food products prepared from edible fats or oils, will be as close as possible to, but not later than the 10th day after the date on which a proper invoice has been received.

(4) An invoice is the Contractor's bill or written request for oayment under the contract for supplies delivered or services performed. An invoice shall be prepared and submitted to the designated billing officer specified in the contract. A proper invoice must include the items listed in subdivisions (a)(4)(1) through (a)(4)(viii) of this clause. If the invoice does not comply with these requirements, then the Contractor will be notified of the defect within 7 days after receipt of the invoice at the designated billing office (3 days for meat and meat food products and 5 days for perishable agricultural commodities, edible fats or uils, and food products prepared from edible fats or oils). Untimely notification will be taken into account in the computation of any interest penalty owed the Contractor in the manner described in subparagraph (a)(6) of this clause.

(i) Name and address of the Contracter.

(ii) Invoice date.

(iii) Contract number or other authorization for supplies delivered or services performed (including order number and contract line item number).

(iv) Description, quantity, unit of measure, unit price, and extended price of supplies delivered or services performed.

(v) Shipping and payment terms (e.g., shipment number and date of shipment, prompt payment discount terms). Bill of lading number and weight of shipment will be shown for shipments on Government bills of lading.

(vi) Name and address of Contractor official to whom payment is to be sent (must be the same as that in the contract or in a proper

rage *u

.,,. . RS-ARll-89-144 Section I )

noticeofassignment).

(vii) Name-(where practicable), title, phone number and mailin address of person .to be notified in' event of a defective invoice.g (viii) Any other information or documentation required by other requirements of the contract (such as evidence of shipment).

(5) An interest penalty shall be paid automatically by the Government, without request from the Contractor, if payment is not made by the due date and the conditions listed in subdivisions (a)(5)(1) thrsugh (a)(5)(iii) of this clause are met, if applicable.

- An interest : penalty shall not be paid on contracts awarded to foreign vendors outside the United States for work performed outside the' United States.

(1) A proper invoice was received by the designated billing office.

(ii) A receiving report or other Government documentation -

authorizing payment was processed and there was no disagreement over quantity, quality, or contractor compliance with any contract term or condition.

(iii) In the case of a final invoice for any balance of funds due the Contractor for suppites delivered or services performed, the amount was not subject to further contract settlement actions

between the Government and the Centractor.

(6) The interest penalty shall be the rate established by the Secretary of the Treasury under Section 12 of the Contract Disputes Act of 1978 (41 U.S.C. 611) that is in effect on the day after the due date, except where the interest penalty is prescribed by other governmental authority. This rate is referred to as the

" Renegotiation Board Interest Rate," and it is published in the Federal Register semiannually on or about January 1 and July 1. The interest penalty shall accrue daily on the invoice payment amount approved by the Government and be compounded in 30-day increments inclusive frem the first day after the due date through the payment ,

date. That is, interest accrued at the end of any 30-day' period will be added to the approved invoice payment amount and be subject to interest penalties if not paid in the succeeding 30-day period. If the designated billing office failed to notify the contractor of a defective intoice within the periods prescribed in paragraph (a)(4) of this clause, then the due date on the corrected invoice will be adjusted by 1;ubtracting the numoer of days taken beyond the prescribed notification of defects period. Any interest penalty owed the Contractor will be based on this adjusted due date. Adjustment; will be made by the designated payment office for errors in calculating interest penalties, if requested by the Contractor.

(1) For the sole purpose of c:mputing an interest penalty that might be due the Contractor, Government acewptance shall be deemed to have occurred constructively on the 7th day (unless othentise specified in this contract) after the Contractor delivered the

Page 41 Section I RS-ARM-09-144 f.

supplies or performed the services in accordance with the terms and conditions of the contract, unless there is a disagreement over quantity, quality, or contractor compliance with a contract

-provision. In the event that actual acceptance occurs within the constructive acceptance period, the determination of an interest penalty shall be based on the actual date of acceptance. The constructive acceptance requirement does not, however, compel Government officials to accept suppites or services, perform contract administration functions, or make payment prior to l

fulfilling their responsibilities.

(ii) The following periods of time will not be included in the determination of an interest penalty:

(A) The period taken to notify the Contractor of defects in invoices submitted to the Government, but this may not exceed 7 days (3 days for meat and meat food products and 5 days for perishable agricultural commodities, dairy products, edible fats or oils, and food products prepared from edible fats or oils).

(B) The period between the defects notice and resubmission of the corrected invoice by the Contractor.

(iii) Interest penalties will not continue to accrue after the filing of a claim for such penalties under the clause at 52.233-1, Disputes, or for more than 1 year. Interest penalties of less than

$1.00 need not be paid.

(iv) Interest penalties are not required on payment delays due to disagreement between the Government and Contractor over the payment amount or other issues involving contract compliance or on amounts temocrarily withheld or retained in accordance with the terms of the contract. Claims involving disputes, and any interest that may be payable, will be resolved in accordance with the clause at 52.233-1 Disputes.

(7) An interest penalty shall also be paid automatically by the designated payment office, without request from the contractor, if a discount for prompt payment is taken improperly. The interest penaltywillbecalculatedasdescribedinsubparagraph(a)(6)of this clause on the amount of discount taken for the period beginning with the first day after the end of the discount period through the date when the Contractor is paid.

(8) If this contract was awarded on or after October 1,1989, a penalty amount, calculated in accordance with regulations issued by the Office of Management and Budget, shall be paid in addition to the interest penalty amount if the Contractor- .

(1) Is owed an interest penalty; (ii) Is not paid the interest penalty within 10 d'ys a after the date the invoice amount is paid; and (iii) Makes a written demand, not later than 40 days after the

,o ..

RS-ARM-89-144 date the invoice amount is paid, that the agency pay such a penalty.

(b) Contract Financing Payments (1) For purposes of this clause, " contract financing payment" means a Government disbursement of monies to a Contractor under a contract clause or other authorization prior to acceptance of supplies or services by the Government. Contract financing payments j include advance payments, progress payments based on cost under the clause at 52.232-16, Progress Payments, progress payments based on a percentage or stage of completion (32.102(e)(1)) other than those made under the clause at 52.232-5, Payments Under Ffxed-Price Construction Contracts, or the clause at 52.232-10, Payments Under Fixed-Price Architect-Engineer Contracts, and interim payments on cost type contracts.

(2) For contracts that provide for contract financing, requests for payment shall be submitted to the designated billing office as specified in this contract or as directed by the Contracting Officer. Contract financing payments shall be made on the (insert .

day as prescribed by Agency head; if not prescribed, insert 30th day.) day after receipt of a proper contract financing request by the designated billing office. In the event that an audit or other review of a specific financing request is required to ensure compliance with the terms and conditions of the contract, the designated payment office is not compelled to make payment by the due date specified.

(3) For advance payments, loans, or other arrangements that do not involve recurrent submissions of contract financing requests, payment shall be made in accoroance with the corresponding contract terms or as directed by the Contracting Officer.

f (4) Contract financing payments shall not be assessed an interest penalty for payment delays.

(c) If this contract contains the clause at 52.213-1, Fast Payment Procedure, payments will be made within 15 days after the date of receipt of the invoice.

(End of Clause)

I.7 DISCOUNTS FOR PROMPT PAYMENT (52.232-8) (APR 1989)

(a) Discounts for prompt payment will not be considered in the evaluation of offers. However, any offered discount will form a part of the award, and will be taken if payment is made within the discount period indicated in the offer by the offeror. As an alternative to offering a prompt payment discount in conjunction with the offer, offerors awarded contracts may include prompt payment discounts on individual invoices. (b) In connection with ariy discount offered for prompt payment, time shall be computed from the date of the invoice. For the purpose of computing the discount earned, payment shall be considered to have been made on the date which appears on the payment check or the date on which an electronic funds transfer was made. (End of Clause) 1

..- .. :RS-ARM-89-144 Section'I I.8 ELECTRONIC FUNDS TRANSFER PAYMENT METHODS (52.232-28) (APR 1989)

Payments under this contract will be made by the Government either by check or electronic funda transfer (through the Treasury Fedline Payment System (FEDLINE) or the Automated Clearing House (ACH)), at the option of the Government. After sward, but no later than 14 days before an invoice or contract financing request is submitted, the Contractor shall designate a financial institution for receipt of electronic funds transfer payments, and shall submit this designation to the Contracting Officer or other Government official, as directed.

(a) For payment through FEDLINE, the Contractor shall provide the following information:

-(1) Name, address, and telegraphic abbreviation of the financial institution receiving payment. .

(2) The American Bankers Association 9-digit identifying number for wire transfers of the financing institution receiving payment if the institution has access to the Federal Reserve Communications System.

(3) Payee's account number at the financial institution where funds are to be transfe ed.

(4) If the financial institution does not have access to the Federal Reserve Communications System, name, address, and telegraphic abbreviation of the correspondent financial _.

institution through which the financial institution receiving payment obtains wire transfer activity. Provide the telegraphic abbreviation and American Bankers Association identifying number for the correspondent institution.

(b) For payment through ACH, the Contractor shall provide the fallowing information:

(1) Routing transit number of the financial institution receiving payment (same as American Bankers Association identifying number used for FEDLINE).

(2) Number of account to which funds are to be deposited.

l (3) Type of depositor account ("C" for checking, "S" for savings).

(4) If the Contractor is a new enrollee to the ACH system, a "Peyment Information Ferm," SF 3881, must be completed before payment can be processed.

(c) In the event the Contractor, during the performance of this contract, elects to designate a different financial institution for the receipt of any payment made using electronic funds transfer procedures, notification of such change and the required information specified above must be received by the appropriate Government official 30 days prior to the data such change is to s-. . . s,. a . I

.. .. RS-ARM-89-144 Section I

-(d) The documents furnishing the information required in this clause must be dated and contain the signature, title, and telephone number of the Contractor official authorized to provida it, as well as the Contractor's name and contract number.

(e) Contractor failure to properly designate a financial institution or to provide appropriate payee bank account information may delay payments of amounts otherwise properly due.

l (End of Clause)

I.9 CLAUSES INCORPORATED BY REFERENCE (FAR 52.252-2) (JUN 1988)

This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available.

(End of Clause)

I.10 SERVICE CONTRACT ACT OF 1965 (I-FSS-222-41) (APR 1984) 1 (a) Service Contract Act of 1965, as amended: This contract is subject to the Service Contract Act of 1965, as amended (41 U.S.C.

351 et seq.) and is subject to the following provisions and to all other applicable provisions of the Act and regulations of the Secretary of Labor issued thereunder (29 CFR Part 4).

(b)(1) Each service employee employed in the performance of this contract by the Contractor or any subcontractor shall be paid not less than the minimum monetary wages and shall be furnished fringe benefits in accordance with the wages and fringe benefits determined by the Secretary of Labor or authorized representative, as specified in any wage determination attached to this contract.

(2)(1) If there is such a wage determination attached to this contract, the contracting officer shall require that any class of service employee which is not listed therein and which is to be employed under the contract (i.e., the work to be performed is not performed by any classifications listed in the wage determination),

be classified by the Contractor so as to provide a reasonable relationship (i.e., appropriate level of skill comparison) between such unlisted classifications and the classifications listed in the wage determination. Such conformed class of employees shall be paid the monetary wages and furnished the fringe benefits as are determined pursuant to the procedures in this section. (The information collection requirements contained in the following paragraphs of this section have been approved by the Office of Management and Budget under GMB control number 1215-0150.)

(ii) Such conforming procedure shall be initiated by the

Page 45

~ " RS-ARM-89-144 Section I Contractor prior to the performance of contract work by such unlisted class of employee. A written report of the proposed conforming action, including information regarding the agreement or disagreement of the authorized representative of the employees involved or, where there is no authorized representative, the employees themselves, shall be submitted by the Contractor to the contracting officer no later than 30 days after such unlisted class of employees performs any contract work. The contracting officer shall review the proposed action and promptly submit a report of the action, together with the agency's recommendation and all pertinent information including the position of the Contractor and the einployees, to the Wage and Hour Division, Employment Standards Administration, U.S. Department of Labor, for review. The Wage and Hour Division will approve, modify, or disapprove the action or render a final determination in the event of disagreement within 30 days of receipt or will notify the contracting officer within 30 days of receipt that additional time is necessary.

(iii) The final determination of the conformance action by the Wage and Hour Division shall be transmitted to the contracting officer who shall promptly notify the Contractor of the action taken. Each affected employee shall be furnished by the Contractor with a written copy of such determination or it shall be posted as a part of the wage determination.

(iv)(A) The process of establishing wage and fringe benefit rates that bear a reasonable relationship to those listed in a wage determination c2nnot be reduced to any single formula. The approach used may vary from wage determination to wage determination depending on the circumstances. Standard wage and salary administration practices which rank various job classifications by pay grade pursuant to point schemes or other job factors may, for example, be relied upon. Guidance may also be obtained from the way different jobs are rated under Federal pay systems (Federal Wage Board pay System and the General Schedule) or from other wage determinations issued in the same locality. Basic to the establishment of any conformable wage rate (s) is the concept that a pay relationship should be maintained between job classifications based on the skill required and the duties performed.

(B) In the case of a contract modification, an exercise of an option or extension of an existing contract, or in any other case where a Contractor succeeds a contract under which the classification in question was previously conformed pursuant to this section, a new conformed wage rate and fringe benefits may be assigned to such conformed classification by indexing (i.e.,

adjusting) the previous conformed rate and fringe benefits by an amount equal to the average (mean) percentage ;ncrease (or decrease, where appropriate) between the wages and fringe benefits specified for all classifications to be used on the contracts which are listed in the current wage determination, and those specified for the corresponding classifications in the previously applicable wage determination. Where conforming actions are accomplished in accordance with this paragraph prior to the performance of contract

Page 46 RS-ARM-89-144_ Section I l

work but the unlisted class of employees, the Contractor shail advise the contracting officer of the action taken by the other procedures in paragraph (b)(2)(11) of this section need not be followed.

(C) No employee engaged in performing work on this contract shall in any event be paid less than the currently applicable minimum wage specified under section 6(a)(1) of the Fair Labor Standards Act of 1938, as amended.

(v) The wage rate and fringe benefits finally determined pursuant to paragraphs (b)(2)(1) and (ii) of this section shall be paid to all employees performing in the classification from the first day on which contract work is performed by them in the classification. Failure to pay such unlisted employees the compensation agreed upon by the interested parties and/or finally determined by the Wage and Hour Division retroactive to the date such class of employees commenced contract work shall be a violation of the Act and this contract.

(vi) Upon discovery of failure to comply with paragraphs (b) (2)(1) through (v) of this section, the Wage and Hour Division shall make a final determination of conformed classification, wage rate, and/or fringe benefits which shall be retroactive to the date such class of employees commenced contract work.

(3) If, as authorized pursuant to section 4(d) of the Service Contract Act of 1965 as amended, the term of this contract is more than 1 year, the minimum monetary wages and fringe benefits required to be paid or furnished thereunder to service employees shall be subject to adjustment after 1 year and not less often than once every 2 years, pursuant to wage determinations to be issued by the Wage and Hour Division Employment Standards Administration of the Department of Labor as provided in such Act.

(c) The Contractor or subcontractor may discharge the obligation to furnish fringe benefits specified in the attachment of determined conformable thereto by furnishing any equivalent combinations of bona fide fringe benefits, or by making equivalent or differential payments in cash in accordance with the applicable rules set forth in Subpart 0 of 29 CFR Part 4, and not otherwise.

(d)(1) In the absence of a minimum wage attachment for this contract, neither the Contractor nor any subcontractor under this contract shall pay any person performing work under the contract (regardless of whether they are service employees) less than the minimum wage specified by section 6(a)(1) of the Fair Labor Standards Act of 1938. Nothing in this provision shall relieve the Contractor or any subcontractor of any other obligation under law or contract for the payment of a higher wage to any employee.

(2) If this contract succeeds a contract, subject to the Service Contract Act of 1965 as amended, under which substantially the same amended, under which substantially the same services were

__.__m___ ..__ _ _ _ _ _ _ _ _ _ . _

Page 47'

.. RS-ARM-89-144 Section I furnished in the same locality and service employees were paid wages and fringe benefits provided for in a collective bargaining.

agreement, in the. absence of the minimum wage attachment for this contract setting forth such collectively bargained wage rates and fringe benefits, neither the Contractor nor any subcontractor under this contract shall pay any service employee performing any of the contract work. (regardless of whether or not such employee was employed under the predecessor contract), less than the wages and fringe benefits provided for'in .such collective bargaining agreements, to which such employee would have been entitled if emplcyed under the predecessor contract, including accrued wages and fringe benefits and any prospective increases in wages and fringe benefits provided for under such agreement. No Contractor or subcontractor under this contract may be relieved of the foregoing obligation unless the limitations of Section 4.Ib(b) of 29 CFR Part 4 apply or unless the Secretary of Labor or his authorized representative finds, after a hearing as provided in Section 4.10 of 29 CFR Part 4 that the wages and/or fringe benefits provided services of a character similar in the locality, or determines, as provided in Section 4.11 of 29 CFR Part 4, that the collective '

bargaining agreement applicable to service employees employed under the predecessor contract was not entered into as a result of arm's length negotiations. Where it is found in accordance with the review procedures provided in 29 CFR 4.10 and/or 4.11 and Parts 6 and 8 that some or all of the wages and/or fringe benefits contained in a predecessor Contractor's collective bargaining agreement are substantially at variance with those which prevail for services of a character similar in the locality, and/or that the collective bargaining agreement applicable to service employees employed under the predecessor contract was not entered into as a result of arm's length negotiations, the Department will issue a new or re. vised wage determination setting forth the applicable wage rates and fringe benefits. Such determination shall be made part of the contract or subcontract, in accordance with the decision of the Administrator, the Administrative Law Judge, or the Board of Service Contract Appeals as the case may be,-irrespective of whether such issuance occurs prior to or after the award of a contract or subcontract 53 Comp. Gen. 401 (1973). In the case of a wage determination issued solely as a result of a finding of substantial variance, such determination shall be effective as of the date of the final administrative decision.

(e) The Contractor and any subcontractor under this contract shall notify each service employee commencing work on this contract of the minimum monetary wage and any fringe benefits required to be paid pursuant to this contract, or shall post the wage determination attached to this contract. The poster provided by the Department of Labor (Publication WH 1313) shall be posted in a prominent and accessible place at the worksite. Failure to comoly with this requirement is a violation of section 2(a)(4) of the Act and of this contract. (Approved by the Office of Management and Budget under OMB control number 1215- 0150.)

(f) The Contractor or subcontractor shall not permit any part of the services called for by this contract to be performed in

Page 48

.- RS-ARM-89-144 Section I building or surroundings or under working conditions provided by or under the control or supervision of the Contractor or subcontractor which are unsanitary or hazardous or dangerous to the health or safety of service employees engaged to furnish these services, and the Contractor or subcontractor shall comply with the safety and health standards applied under 29 CFR Part 1925.

(g)(1) The Contractor and each subcontractor performing work subject to the Act shall make and maintain for 3 years from the completion of the work records containing the information specified in paragraphs (g)(1) (1) through (vi) of this section for each employee subject to the Act and shall make them available for inspection and transcription by authorized representatives of the Wage and Hour Division, Employment Standards Administration of the U.S. Department of Labor. (Sections 4.6(g)(1)(1) through (vi) approved by the Office of Management and Budget under OMB control number 1215-0017 and sections 4.6(g)(1)(v) and (vi) approved under OMB control number 1215-0150.):

(i) Name and address and social security number of each employee.

(ii) The correct work classification or classification, rate or rates of monetary wages paid and fringe benefits provided, rate or rates of fringe benefit payments in lieu thereof, and total daily and weekly compensation of each employee.

(iii) The number of daily and weekly hours so worked by each employee.

(iv) Any deductions, rebates, or refunds from the total daily or weekly compensation of each employee.

(v) A list of monetary wages and fringe benefits for those classes of service employees not included in the wage determination attached to this contract but for which such wage rates or fringe benefits have been determined by the interested parties or by the Administrator or authorized representative pursuant to the labor standards clause in paragraph (b) of this section. A copy of the report required by the clause in paragraph (b)(2)(ii) of this section shall be deemed to be such a list.

(vi) Any list of the predecessor Contractor's employees which had been furnished to the Contractor pursuant to Section 4.6(1)(2).

(2) The Contractor shall also make available a copy of this contract for inspection or transcription by authorized representatives of the Wage and Hour Division.

l (3) Failure to make and maintain or to make available such l records for inspection and transcription shall be a violation of the regulations and this contract, and in the case of failure to produce such records, the contracting officer, upon direction of the Department of Labor and notification of the Contractor, shall take

p L

Page 49

, ,. RS-ARM-89-144 Section I i

action to cause suspension of any further payment of advance of I

funds until such violation ceases.

(4) The Contractor shall permit authorized representatives of the Wage and Hour Division to conduct interviews with employees at the worksite during normal working hours.

(h) The Contractor shall unconditionally pay to each employee subject to the Act all wages due free and clear and without subsequent deduction (except as otherwise provided by law or Regulations, 29 CFR Part 4), rebate, or kickback on any account.

Such payments shall be made no later than one pay period following the end of the regular pay period in which such wages were earned or accured. A pay period under this Act may not be of any duration longer than semi-monthly.

(1) The contracting officer shall withhold or cause to be withheld from the Government prime Contractor under this or any other Government contract with the prime Contractor such sums as an appropriate official of the Department of Labor requests or such sums as the contracting officer decides may be necessary to pay underpaid employees employed by the Contractor or subcontractor in the event of failure to pay any employees subject to the Act all or part of the wages or fringe benefits due under the Act, the agency may, after authorization or by direction of the Department of Labor and written notification to the Contractor, take action to cause suspension of any further payment or advance of funds until such violations have ceased. Additionally, any failure to comply with the requirements of these clauses relating to the Service Contract Act of 1965, may be grounds for termination of the right to proceed with the contract work. In such event, the Government may enter into other contracts or arrangements for completion of the work, charging the Contractor in default with any additional cost.

(j) The Contractor agrees to insert these clauses in this section relating to the Service Contract Act of 1965 in all subcontracts subject to the Act. The term " Contractor" as used in these clauses in any subcontract, shall be deemed to refer to the subcontractor, ecept in the term " Government prime Contractor."

(k)(1) As usr.d in these clauses, the term " service employee" means any persor. engaged in the performance of this contract other than any person employed in a bona fide executive, administrative, or professional capacity, as those terms are defined in Part 541 of Title 29, Code of Federal Regulations, as of July 30, 1976, and any subsequent revision of those regulations. The term " service ,

employee" includes all such persons regardless of any contractual l relationship that may be alleged to exist between a Contractor or subcontractor and such persons.

(2) The following statement is included in contracts pursuant to section 2(a)(5) of the Act and is for informational purposes only: The following classes of service employees expected to be employed under the contract with the Government would be subject, if employed by the contracting agency, to the provisions of 5 U.S.C.

Page 50 RS-ARM-89-144 Sectien I 5341 or 5 U.S.C. 5332 and would, if so employed, be paid not less than the following rates of wages and fringe benefits:

Employee class Monetary wage-fringe benefits (1)(1) If wages to be paid or fringe benefits to be furnished any service employees employed by the Government prime Contractor or any subcontractor under the contract are provided for in a collective bargaining agreement which is or will be effective during any period in which the contract is being performed, the Government prime Contractor shall report such fact to the contracting officer, together will full information as to the application and accrual of such wages and fringe benefits, including any prospective increases, to service employees engaged in work on the contract, and a copy of -

the collective bargaining agreement. Such report shall be made upon commencing performance of the contract, in the case of collective bargaining agreements effective at such time, and in the case of such agreements or provisions or amendments thereof effective at a later time during the period of contract performance, such agreements shall be reported promptly after negotiation thereof.

(Approval by the Office of Management and Budget under OMB control number 1215-0150.)

(2) Not less than 10 days prior to completion of any contract being performed at a Federal facility where service employees may be retained in the performance of the succeeding contract and subject to a wage determination which contains vacation or other benefit provisions based upon length of service with a Contractor (predecessor) or successor (Section 4.173 of Regulations 29 CFR Part 4), the incumbent prime Contractor shall furnish to the contracting officer a certified list of the names of all service employees on the Contractor's or subcontractor's payroll during the last month of contract performance. Such list shall also contain anniversary dates of employment on the contract either with the current or predecessor Contractors of each such service employee. The contracting officer shall turn over such list to the successor Contractor at the commencement of the succeeding contract. (Approved by the Office of Management and Budget under OMB control number 1215-0150.)

(m) Rulings and interpretations of the Service Contract Act of 1965, as amended, are contained in Regulations, 29 CFR Part 4.

(n)(1) By entering into this contract, the Contractor (and officials thereof) certifies that neither it (nor he or she) nor any person or firm who has a substantial interest in the Contractor's firm is a person or firm ineligible to be awarded Government contracts by virtue of the sanctions imposed pursuant to section 5 of the Act.

(2) No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract pursuant to section 5 of the Act.

- - RS-ARM-89-144 Section I (3) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001.

(o) Notwithstanding any of the clauses in paragraphs (b) through (m) of this section relating to the Service Contract Act of 1965, the following employees may be employed in accordance with the following variations, tolerances, and exemptions, which the Secretary of Labor, pursuant to section 4(b) of the Act prior to its amendment by Pub. L.92-473, found to be necessary and proper in the public interest or to avoid serious impairment of the conduct of Government business:

(1) Apprentices, student-learners, and workers whose earning capacity is impaired by age, physical, or mental deficiency or injury may be employed at wages lower than the minimum wages otherwise required by section 2(a)(1) or 2(b)(1) of the Service Contract Act without diminishing any fringe benefits or cash payments in lieu thereof required under section 2(a)(2) of that Act, in accordance with the conditions and procedures prescribed for the employment of apprentices , student-learners, handicapped persons, and handicapped clients of sheltered workshops under section 14 of the Fair Labor Standards Act of 1938, in the regulations issued by the Administrator (29 CFR Parts 520, 521, 524, and 525).

(2) The Administrator will issue certificates under the Service Contract Act for the employment of apprentices, student-learners, handicapped persons, or handicapped clients of sheltered workshops not subject to the Fair Labor Standards Act of 1938, or subject to different minimum rates of pay under the two acts, authorizing appropriate rates of minimum wages (but without changing requirements concerning fringe benefits or supplementary cash payments in lieu thereof), applying procedures prescribed by the applicable regulations issued under the Fair Labor Standards Act of 1938 (29 CFR Parts 520, 521, 524, and 525).

(3) The Administrator will also withdraw, annul, or cancel such certificates in accordance with the regulations in Parts 525 and 528 of Title 29 of the Code of Federal Regulations.

l (p) Apprentices will be permitted to work at less than the predetermined rate for the work they perform when they are employed l and individually registered in a bona fide apprenticeship program registered with a State Apprenticeship Agency which is recognized by l

the U.S. Department of Labor, or if no such recognized agency exists in a State, under a program registered with the Bureau of Apprenticeship and Training, Employment and Training Administration, U.S. Department of Labor. Any employee who is not registered as an apprentice in an approved program shall be paid the wage rate and fringe benefits contained in the applicable wage determination for the journeyman classification of work actually performed. The wage rates paid apprentices shall not be less than the wage rate for their level of progress set forth in the registered program, expressed as the appropriate percentage of the journeyman's rate contained in the applicable wage determination.

The allowable ratio of apprentices to journeymen employed on the L

Page 52 4 - RS-ARM-89-144 Section I contract' work in any craft classification shall not be greater than the ratio permitted to the Contractor as to his entire work force under the registered program.

(q) An employee engaged in an occupation in which he or she customarily and regularly receives more than $30 a month in tips may have the amount of tips credited by the employer against the minimum wage required by section 2(a)(1) or section 2(b)(1) of the Act in accordance with section 3(m) of the Fair Labor Standards Act and Regulations, 29 CFR Part 331: Provided, however, that the. amount of such credit may not exceed $1.24 per hour beginning January 1, 1980, and $1.34 per hour after December 31, 1980. To utilize this provision:

(1) The employer must inform tipped employees about this tip credit allowance before the credit is utilized; (2) The employees must be allowed to retain all tips (individually or through a pooling arrangement and regardless of whether the employer elects to take a credit for tips received);

(3) The employer must be able to show by records that the employee receives at least the applicable Service Contract Act minimum wage through the combination of direct wages and tip credit; (approved by the Office of Management and Budget under OMB control number .1215-0017);

(4) The use of such tip credit must have been permitted under any predecessor collective bargaining agreement applicable by virtue of section 4(c) of the Act.

(r) Disputes concerning labor standards. Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the i Department of Labor set forth in 29 CFR Parts 4, 6, and 8. Disputes l within the meaning of this clause include disputes between the Contractor (or any of its subcontractors) and the contracting agency, the U.S. Department of Labor, or the employees or their representatives.

l (FPR Temporary Regulation 76)

I.11 DRUG-FREE WORKPLACE (FAR 52.223-6)

(a) Definitions. As used in this clause,

" Controlled substance" means a controlled substance in schedules I through V of section 202 of the Controlled Substances Act (21 U.S.C. 812) and as further defined in regulation at 21 CFR 1308.11-1308.15.

" Conviction" means a finding of guilt (including a plea of nolo contendere) or imposition of sentence, or both, by any judicial body charged with the responsibility to determine violations of the I

RS-ARM-89-144 SGction I Federal or State. criminal drug statutes.

" Criminal drug statute" means a Federal or non-Federal criminal statute involving the manufacture, distribution, dispensing, possession or use of any controlled substance.

i

" Drug-free workplace" means a site for the performance of work L done in connection with a specific contract at which employees of the contractor are prohibited from engaging in the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance.

" Employee" means an employee of a contractor directly engaged in the performance of work under a Government contract.

l

" Individual" means an offeror / contractor that has no more than one employee including the offeror / contractor.

(b) The Contractor, if other than an individual, shall --

(1) Publish a statement notifying its employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the contractor's workplace and specifying the actions that will be taken against employees for violations of such prohibition; (2)' Establish a drug-free awareness program to inform such employees about--

(1) The dangers of drug abuse in the workplace; (ii) The contractor's policy of maintaining a drug-free workplace; (iii) Any available drug counseling, rehabilitation, and employee assistance programs; and (iv) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace.

(3) Provide all employees engaged in performance of the contract with a copy of the statement required by subparagraph (b)(1) of this clause; (4) Notify such employees in the statement required by subparagraph (b)(1) of this clause, that as a condition of continued employment on this contract, the employee will --

(1) Abide by the terms of the statement; and

Page 54 RS-ARM-89-144 Section I (11) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five (5) days after such conviction.

(5) Notify the contracting officer within ten (10) days after receiving notice under subdivision (a)(4)(fi) of this clause, from an employee or otherwise receiving actual notice of such conviction; (6) Within 30 days after receiving notice under subparagraph (a)(4) of this clause of a conviction, . impose the following sanctions or remedial measures on any employee who is convicted of drug abuse violations occurring in the workplace:

(1) Taking appropriate personnel action against such employee, up to and including termination; or (ii) Require such employee to satisfactorily participate in a ;

drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or j other appropriate agency.

(7) Make a good faith effort to maintain a drug-free workplace through implementation of subparagraphs (b)(1) through (b)(6) of ;

this clause.

(c) The Contractor, if an individual, agrees by award of the contract or acceptance of a purchase order, not to engage in the '

unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance in the performance of this contract. ;

(d) In addition to other remedies available to the Government, the Contractor's failure to comply with the requirements of paragraphs (b) and (c) of this clause may, pursuant to FAR 23.506, i render the contractor subject to suspension of contract payments, termination of the contract for default, and suspension or debarment. ,

1 (End of Clause)

I I

l i

1

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Page 55 f--

.RS-ARM-89-144 Sec+ ion J PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS SECTION J - LIST OF ATTACHMENTS l

I l' J.1 ATTACHMENTS (MAR 1987) l Attachment Number Title 1 Billing Instructions 2 NRC Contractor Organizational Conflicts of ;

Interest (41 CFR Part 20) .!

3 NRC Form 187 - Security / Classification !

Requirements i 4 Wage Determination 5 NRC Manual Chapter 3202 6 Minicomputer Hardware List l

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c bT"'5EjgRAC E D ORDE R AWARD / CONTRACT u s, IS,AcR' I

2. 00f4T R ACT ff' roc. Anas. Adans.s NO. 3. EF F ECT IVL DA1 L 4. kLQutb6 e SON /PvRCHAhE kEQUEST/PROJLCT Nu.

S&3-BW -Ro73 June 5,1989 ARM-89-144

s. issuCD e y 6. ADMtNebiLRLD 8Y (if other shen 4dem 6) g U.Se Small-BusinessAdminisStanion U.S. Nuclear Regulatory Commission Baltimore District Office Division of Contracts and Property The Equitable Bldg., Third Floor Management 10 North Calvert Street Washington, DC 20555 Baltimore eMD 21202 7 NAME AND ADDRES$ OF CONT R ACTOR (No..ssreet, esty. county. Stare ano 441' Coors 8. DELIV E R Y OTHER (see lerfows STATISTICA,Inc. O fos ORiclN

e. oiscOvNT F OR PROMPi PAvMLNT 6301 Trotter Road Clarksville, MD 21029 N/A

10. SUBMIT INVOICES PTEM (4 copsen unless other-wese seccaried) TO THE i 12 FACILITY CODE ADDRESS SHOWN IN- l.

CODE l an.sMip 1O/MARn # OR CODE I CODE U.S Nuclear Regulatory Commission .

Div GOVS10n COM Account of Account 1no se 4nSt1onand Finance Wu inntnn- Dr 70444 T3. AuTHORary FoR usiNG oTHER THAN FULL AND OPEN COMPEtl. - 14. ACCOONT SNG AND APPROPRB AT ION DAT A TIONs O io us c.23oaic" d' u.S C.25aicu s 16A. ITEM NO. l 158. SUPPLIES /SE RVICES 15C. QUANTITY 15D. UNIT 115E. UNIT PRICE 15F AMOUNT Consolidation sOperation and Maintenance of the NRC 's Computer. Centers (See Prime ContractJ See Page 2 for special 8(a) Subcontract Clause Cost Plus Fixed Fee Contract:

15G. TOTAL AMOUNT OF CONTRACT bl$ 34 7,305. 00

16. TABLE OF CONTENTS V) l$EC. I DESCRIPTION lPAGE(S) V){SECl DESCRIPTION lPAGEtS)

PART l- THE SCHEDULE PART fl- CONT R ACT CLAUSES

i. X A SOLICITATION /CONTR ACT FORM 1 Xl l CONTR ACT CLAUSES l 7 8 SUPPLIES OR SERVICES AND PRICES / COSTS PART 4tt - LIST OF DOCvMENTS EXHIBITS AND OTHE R ATT ACH.

C DESCRIPTION / SPECS./ WORK STATEMENT lJ l LIST OF ATTACHMENTS l D PACK AGING AND MARKING PART IV - REPRESENTATIONS AND INSTRUCTIONS E ' INSPECTION AND ACCEPTANCE K REPRESENTATIONS. CERTIFICATIONS AND F l DELIVE RIES OR PE RFORMANCE OTHER STATEMENT % OF OFFERORS G CONTRACT ADMINISTRATION DATA L INSTRS . CONDS., AND NOTICES TO OF FE RORS H L SPECIAL CONTRACT REQUIREMENTS M EVALUATION F ACTORS FOR AWARD CONTRACTING OFFICER WilL COMPLETEITEM 17 OR 18 AS APPLICABL E

37. CONT RACTOR'S NEGOTIATED AGREEMENT (Contractor is re. 18. AWARD (Contractor es not regatared to asan this dor ment.) Your G?icBEA,5"5".':"LiWi(":"ol:nd;"E."Et"".ETEtM t s YMe%'E',"R'ii"Gl%:::,m.:::av:s"t: t=:=o::::i consioerosion states herem Tne rio..s one obusations on the partie an any contmustion sneers. This ows o consummates tne contract wn.cn con.

tontract snais be suorect to ano coverneo ey one sonowmc cocum"a.smto. sus this sists os ene sonow.no cocuments: tap the Government's soucitation eno your iW r"a.e.c'MiA.'"Inf.

.e.e.ence.

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19A. NAME A TIT Gf R fType or prints 20A. NAME OF CONT R ACT4NG OF F 6CER 2.DA J>LEEksEw VICEt WD. DENT,, FINANCE $*nN?nerim 20C. DATE $IGN E.D 195. NAME -

W W 19C.DATELIG LD *LD bl AT E$ OT KME RICA' '

200.u er N1RfCTOR (Sessnessee of person eushorsaes so esyn) G 05 29 ev %mNNN (Sagnefore of Conersecang Otherr)

O 2/P9

Page 2 52.219-12 SPECIAL 8(a) SUBCONTRACTING CONDITIONS (APR1984)

(a) The Small Business Adminstration (SBA) has entered into Contract No. NRC-33-89-144 with the U. S. Nuclear. Regulatory Commission to furnish the supplies or services as described.therein. A copy of the contract is attached hereto and made a part hereof.

(b) Statistica, Inc., hereafter referred to as the subcontractor, agrees and acknowledges as follows:

(1) That it will, for arti on behalf of the SBA, fulfill and perform all .of the requirements' of Contract No. NRC-33-89-144 for the consideration stated herein and that it has read and is familiar with each and every part of the contract.

(2) That the SBA has delegated responsibility for the administration of this subcontract to the U. S. Nuclear Regulatory Commission with complete authority to take any action on behalf of the Government under the terms and conditions of this subcontract.

(3) That it will not subcontract the performance of any of the requirements of this subcontract to any lower tier subcontractor without -

the prior written approval. of the SBA and the designated Contracting Officer of the U. S. Nuclear Regulatory Commission.

(c) Payments, including any progress payments under this subcontract, will be made directly to the subcontractor by the U. S. Nuclear Regulatory Commission.

(EndofClause)

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

7, ' Attachment 1

/

(REVISED - 7/88)

BILLING INSTRUCTIONS FOR NRC COST-TYPE CONTRACTS General. The contractor shall submit vouchers for cost-reimbursement in thr. Panner and format described herein and as illustrated in the sample voucher.

Number of Copies. An original and three copies should be mailed to:

US Nuclear Regulatory Commission Division of Accounting and Finance ATTN: GOV /COM Accounts Section Washington, DC 20555 Frecuency. The contractor shall submit claims for reimbursement once each month unless otherwise authorized by the Contracting Officer.

Form. Claims shall be submitted in the format depicted on the attached sample entitled " Voucher for Purchases and Services Other Than Personal." Additzonal copies of the form are available from the Contracting Officer. The instructions for preparation and itemization i of the voucher are shown on the form.

Task Ordering Contracts. The contractor shall provide detailed cost information for each task order with each invoice submission. This includes all applicable cost elements discussed in paragraphs (h) through (o) of the attached instructions, together with appropriate supporting information.

Billing of Costs After Expiration of Contract. If costs are incurred during the contract period and claimed after the contract has expired, the period during which these costs were incurred must be cited.

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

Supersession. These instructions supersede all previous billing instructions.

l

m . . _ - - _ - _ _ - - _ - _ _ _ _ _ _ _ _ _ - _ _ _ _ _ - _ - _ _

:i <

.V0UCHERS FOR PURCHASES AND SERVICES OTHER THAN PERSONAL Payor's Name and Address .

(a) Contract Number 0.S. Nuclear Regulatory Commission Task Order No. (If Applicable)

Division of Accounting and Finance ATTN: GOV /COM Accounts Section (b) . Title of Project .

Idashington, DC 20555 Payee's Name and Address (c) Voucher Number (d) Date Voucher Prepared (e) Total Estimated Cost of Contract -

Individual 'o t Contact Ragarding This Voucher:

Name: (f) Total, Fixed-Fee Tel..No.:

(g) This voucher represents reimbursable costs from thru ,

Amount Billed (k) Current Period (1) Inception to Date (h) Direct Costs (1) Direct t. abor *

(2) Fringe Benefits @ %

(if computed as percentaae)

(3) Capitalized NonexpenoLble

.Eauipment *

-(4) Materials, Supplies and Noncapitalized Equipment *

(5) Premium Pav (6) Consultants *

'(7) Travel - Domestic

Forelan *

(8) Subcontract *

(9). Other costs * *

(1) INDIRECT COSTS A) Overneao % of (Indicate Base)

Subtotal ,

B) General & Administrative Expense

'; of Cost Elements Nos. .

Total Costs (j)' FIXED-FEE EARNED (Formula)

(m) Total Amounts Claimed

'(n) Adjustments

' Outstanding Suspensions (o) Grand Totals _

(REQUIRES SUPPORTING INFORMATION )

. (SEE ATTACHED.)

7/88

$;-}

r

. s-1

. l INSTRUCTIONS FOR PREPARING COST d

INFORMATION FOR NRC CONTRACT 5 '! '

i Preparation and Itemization of the Voucher. The contractor shall furnish the information: set forth in the explanatory notes below.

j These notes are keyed to the entries on the sample voucher.

i Payor's Name and Address'. Address the original voucher (with 3 l copies) to: U.S. Nuclear Regulatory Commission. Division of Accounting.and Finance, ATTN:: GOV /COM Accounts Section, Washington, DC. 20555-Any questions regarding vouchers yet to be paid by the NRC should j be addressed to the Division of. Accounting and Finance (301-492-8010).- Any questions regarding vouchers for which payment has been received (either in full or partially with suspensions or disallowances) should be addressed to the Contracting Officer. ' i Payee's Name and' Address. Show the name of the contractor as it l appears in the contract and its correct address. When an approved

1 assignment has been made by the contractor, or a different payee or addressee has been designated, insert the name and. address of .

the payee. -Indicate the individual responsible for answering any l questions that the NRC may have regarding the invoice (name and l' phone number).

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

Task Order:No. (If Aeolicable) - Insert the tack order numoer. l (b) Title of Project - List the full title of the project being performeo unoer this contract.

(c) Voucher Number - Insert the appropriate serial number of the voucner ceginning with 001 for this contract.

Contractors may also include individual intertal accounting numbers in addition to tne three digit. number.

(d) Date of Voucher - Insert the date the voucher is prepared.

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

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

(g) Billing Period - Insert the beginning and ending dates L

' (day, month, and year) of the period in which costs were incurred and for which reimbursement is claimed.

L ,

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

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

Labor Labor Hours Hours Cumulative Category Negotiated Billed Rate Total Hours Billed (2) ' Fringe Benefits - This represents fringe benefits applicable to direct labor and' billed as a direct cost.

Where a rate is used, indicate the rate. Fringe benefits-included in direct labor or in other indirect cost pools should not be identified here. -

(3) Direct Eouipment - For educational institutions, list each item costing $500 or more and having a life expectancy of more than one year. For contractors other than educations institutions, list each item costing

$200 or more and having a life expectancy of more than one year. List only those items of equipment for which reimbursement is requested. A reference shall be made to the following (as applicable): (a) the-item number for the specific piece of equipment listed in the property schedule of the contract; (b) the Contracting Officer's approval letter if the equipment is not covered by the property schedule; or (c) be preceded by an asterisk (*) if the equipment is below the approval level. Further itemization of vouchers shall only.be required for items having specific limitations set forth in the contract.

(4) Materials. Sueolies, and Other Expendable Items -

These are consumacle materiais, supplies, ano equipment other than that described in (3) above.

(5) Premium Pay - This is remuneration in excess of the basic hourly rate. (Requires written approval of the Contracting Officer.)

(6) Consultant's Fee - The supporting information must incluoe the name, hourly or daily rate of the consultant, and reference the NRC approval (if not specifically approved in the original contract).

w - >. . ,

. . :. -n

'(7) -Travel - Domestic travel is travel within the United States, its territories, possessions, and Canada. It should be billed separately from foreign travel.

L

-All costs associated with each trip nmst be shown in the format:

Date Traveler Destination Purpose Cost

'From To From To $

(8) Subcontracts - Include separate detailed breakdown of all costs paid to approved subcontractors during the billing period.

(9) Other - List all other direct costs be cost element and "Hollar arount separately.

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

(j) ' Fixed-Fee - If the contract provides for a fixed-fee,,it must ce claimed er provided for by the contract. Cite the formula or method of computation. The contractor may bill for fixed-fee only up to 85% of total fee. .

(k) Amount Billed for Current Period - Insert the amount billed for the major cost elements, adjustments, and total. amount for the period.

(1) Cumulative Amount from Inception to Date of this Billino -

Insert the cumulative amounts Dillec for the major cost elements and adjusted amounts cinimed during this contract.

im) Total Amounts Claimed - Insert the total amounts claimed for the current anc cumulative periods.

(n) Adjustments - This includes cumulative amounts billed that have been suspended er disallowed.

(o) Grand Totals

.. , VOUCHERS FOR PURCHASES AND SERVICES OTHER THAN PERSONAL Payor's Name and Address (a) Contract Number NRC-10-81-624 0.S. Nuclear Regulatory Connission Division of Accounting and Finance Task Order No. (If Applicable) 002 6 ATTN: GOV /COM Accounts Section (b) Title of Project " Study of Nuclear Waste Washington, DC 20555 Payee's Name and Address Concepts" ABC Corporation The National Bank 100 Main Street or Anywhere, U.S.A. 003 Anywhere, U.S.A. Assignee for.ABC Corp. (c) Voucher Number Anywhere U.S.A. (d) Date Voucher Prepared 10-18-82 Individual to Contac{When Payments Assigned (e) Total Estimated Cost of Contract Regarding This Voucher: $350,000.00 Name: Harry Murohy l Tel. No.: 21d-341-dbb4 (f) Total Fixed-Fee 517,500.00 '

(g) This voucher represents reimbursable costs from 3/182 thru 3/30/82 .

Amount Billed (k) Current Period (1) Inception to Date (1) Direct Labor * $2,400 (6. Ann (2) Fringe benefits (o 10.d% '

(if comouted as percentace) 600 1,200 (3) Capitalized t4onexpenoaole Ecutoment + 5,000 8,000 (4) Materials, Supplies and Noncacitalized Eauipment + 2,000 4,000 (5) Premium Pav LOO 150

-(6) Consultants

LOO 100 (7) Trave) - Domestic

200 2nn foreton *

'(8) Subcontract

200 200 4,U00 9,000 (9) Otner Costs *

(i) INDIRECT COSTS A) $13,600 529,650 1 Overneaa (Indicate base_13)of Total Of rect Costs Suatotal $27,200 $59,300

~

B) General & Administrative Expense 12 *; of Cost Elements hos.1-9. A 3,254 6,450 Total Costs $30,464 pg.7:;n (j ) . FIXED-FEE EARNEO (Formula) 1,523 3.400 (n) Total Amounts Claimed $31,987 $69.150 (n) Adjustments Outstanding Suspensions 1,700 1,700 (o) Grand Totals $30.287 K67,450

(REQUIRES SUPPORTING INFORMATION.)

(SEE ATTACHED.)

7/88

$ AMPLE SUPPORTING INFORMATION

1) Direct Labor - $2400 Labor Labor Hours Hours Cumulative Category Negotiated Billed Rate Total Hours Billed Senior Engineer I 2400 100 $14.00 $1400 975 Engineer 1500 50 $10.00 $500 465 Computer Analyst 700 100 $5.00 $500 320 IN57

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

4) Materials, Supplies & Other Expendable Items IL ,,4 don Tubes 9 $110.00 = $1100.00 6 Pairs Electrostatic Gloves,9 $150.00 = $900.00 32000.00

5) Premium Pay Walter Murphy - 10 hours1.157407e-4 days 0.00278 hours 1.653439e-5 weeks 3.805e-6 months .9 $10.00 Per Hour = $100 (This was approved by NRC in letter dated 3/6/82.)

,6 ) Coy ultants' Fee Dr. Cerney - 1 hour1.157407e-5 days 2.777778e-4 hours 1.653439e-6 weeks 3.805e-7 months 9 $100 = $100

7) Travel Date Traveler Destination Purpose Costs From To From To 3/1/82 3/6/82 William King Chicago, Wash., Meeting with $200 IL DC Project Officer i

~

i 3,

8) Subcontracts XYZ CORP. (CPFF)

Direct Labor: - 80 hours9.259259e-4 days 0.0222 hours 1.322751e-4 weeks 3.044e-5 months # $20.00 per hour = $1600.00 0/H 9 50% = $800.00 Travel - 2 Trips - Wash., DC 9 $200 = $400.00 to Boston, MA Profit 9 7% = $200.00 TOTAL: IRRRCM (j) Fixed-Fee (Formula)

(5%)

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

$27.200 X 5% = $1360 Fee Billed for this Period (n) Ad_iustments

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

9 O

i

_____-----,--,.---__._---x- - - - - - - - - - - - - ' '

~

.: , " J .

~

l Attachment 2 L

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

i 20-1.5401 Scope and policy.

l 20-1.5402 De.finitions.

I 20-1.5403 Criteria for recognizing contractor organizational ~

conflicts of interest.

20-1.5404 Representation.

20-1.5405 Contract clauses.

20-1.5405-1 General contract clause.

20-1.5405-2 Special contract provisions.

20-1.5406 Evaluation, findings, and contract award.

20-1.5407 Conflicts identified after award. !

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

20-1.5411 Waiver.

20-1.5412 Remedies.

AUTHORITY: Sec. 8, Pub. L.95-601, adding Sec.170A to Pub. L.83-703, 68 Stat. 919, as amended (42 U.S.C. ch.14)

I20-1.5401 Scope and Policy

~

(NRC)(a) It is the policy of the U.S. Nuclear Regulatory Consnissionto a of interest. The NRC achieves this objective'by requiring all prospective contractors to submit ir; formation describing relationships. if any, with organizations or persons (including there regulated by NRC) which may give rise to actual or potential conflicts of interest in the event of contract award.

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

(c) The conflict of interest rule contained in this subpart applies to contractors and offerors only. Individuals or finns who have other relationships with NRC (e.g., parties to'a licensing proceeding) are not

. . covered by this regulation. This rule does not apply to the acquisition of consulting services through the personnel appointment orocess, NRC

_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ a

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,mrif ,nosrep yna snaem "roreffo" ro "rotcartnoc evitcepsorP" )i(

l .ssel ro 000,01$ fo stnuoma ni stcartnocbus dna seilppus lrofstcartnocbustpecxeCRNehthtiwtcartnocarednukrowsmrofrep hcihw reit yna fo rotcartnocbus yna snaem "rotcartnocbuS" )h(

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fo setailiffa era hcihw snrecnoc ssenisub snaem "setailiffA" )g(

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,noitaicossa detaroprocninu ,mrif ,nosrep yna snaem "rotcartnoC" )f(

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snoitinif eD 2045 1-021 i

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,snoitazinagro lanoitanretni ,seicnega tnemnrevog rehto htiw stnemeerga s

10-0957

j. ;,l -

7590-01

)

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

I20-1.5403 Criteria for recognizing contractor organizational conflicts of interest (a) General. ' Two questions will be asked in detemining whether

' actual or potential organizational conflicts of interest exist: (1)Are there conflicting roles which might bias a contractor's judgment in relation to its work for the NRC? (2) May the contractor be given an unfair competitive advantage based on the perfomance of the contract? .

The ultimate determination by NRC 'as to whether organizational conflicts of interest exist will be made in light of connon sense and good business judgment based upon the relevant facts disclosed and the work to be perfomed. While it is difficult to identify and to prescribe in advance a specific method for avoiding all of the various situations or relationships which might involve potential organizational conflicts of interest, NRC personnel will pay particular attention to proposed contractual requirements which call for the rendering of advice, consultation or evaluation activities, or similar activities that lay direct groundwork for the NRC's decisions on regulatory activities, future procurement, and research programs.

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

(i) Where the offeror or contractor provides advice and recommendations to the NRC in a technical area in which it is kiso providing consulting arsistance in the same aren to any organization regulated by the NRC.

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

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

(iv) Where the award of a contract would otherwise result in placing the offeror or contractor in a conflicting role in which its s

judgment may be biased in relation to its work for the NRC or may otherwise result in an unfair competitive advantage for the offeror or contractor.

.: l

' ~

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10-0957

)

.,,e -

L 7590-01 Guidance. An NRC contract normally could be awarded to the ABC i Corp. because no conflict of-interest exists which would motivate bias with respect to the work. An appropriate clause would be included in the contract to preclude the ABC Corp. from subsequently contracting for work during the performance of the NRC contract with the private sector which could create a conflict. For example, ABC Corp. would be precluded from the performance of similar work for the company developing the advanced reactor mentioned in the example.

'(3) Example. As a result of operating problems in a certain type of commercial nuclear facility, it is imperative that NRC secure specific data on various. operational aspects of that type of plant so as.to assure adequate safety' protection of the public. Only one manufacturer has extensive experience with that type of plant. Consequently, that company is the only one with whom NRC can contract which can develop and conduct the testing programs required to obtain the data in reasonable time. That company has a definite interest in any NRC decisions that might result from the data produced because those decihions affect the reactor's design and thus the company's costs.

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

Since the nature of the work required is vitally important in terms of NRC's responsibilities and no reasonable alternative exists, a waiver of the policy may be warranted. Any such waiver shall be fully documented and coordinated in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms to guard against bias.

(4) Example. The ABC Co. submits a proposa'l for a new system for evaluating a specific reactor component's performance for the purpose of developing standards that are important to the hRC progrum. The ABC Co. {<

'nas advised NRC that it intads to sell the new syste to industry once its practicability has been demonstrated. Other companies in this business are using older systens for evaluation of the specific reactor component.

Guidance. A contract could be awarded to t5e ABC Co. provided that the contract stipulates that no information produced under the contract will be used in the contractor's private activities unless such information has been reported to NRC. Information which is reported to NRC by contractors will normally be disseminated by NRC to others so as to preclude an unfair competitive advantage that might otherwise accrue. When NRC furnishes information to the contractor for the performance of contract work, it shall not be used in the contractor's private activities unless such information is generally available to others. Further,. the contract will stipulate that the contractor will inform the NRC contracting officer of all situations in which the information developed under the contract is proposed to be used.

s

=D - _ _ _ _ _ - - _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ - - - _ _ _ _ - - - - -

i 1 ,

s -

.deriuqer eb llahs tnemetats hcus fo gnitadpu na ylno ,deifidom gnieb. tcartnoc eht ot drager htiw dettimbus neeb ylsuoiverp sah noisivorp noitatneserper tseretni fo stcilfnoc lanoitazinagro eht yb deriuqer epyt eht fo tnemetats a

,revewoh ,erehW .esualc segnahc eht rednu deussi esoht tpecxe tcartnoc eht rednu troffe lano"itidda ro"f snoitacifidom lla ot ylppa osla llahs tnemeriuqer noitatneserper sihT .tcartnoc gnitluser eot ni dedulcni eb -

dluow dna noitaticilos eht ni deton era snoisivorp tseretni fo stcilfnoc lanoitazinagro laiceps erehw snoitautis lautcartnoc rehto )4( dna ;hcraeser )3(

secivres troppus tnineganam.dna gnitlusnoc lacinhcet )2( ;seitivitca .

ro secivres noitaulavE )1( :rof slasoporp deticilosnu dna snoitaticilos lla ni dedulcni eb llahs noisivorp noitatneserper tseretni fo stcilfnoc lanoitazinagro gniwollof ehT .erudecorp noitatneserpeR )b(

.rotcartnoc ro roreffo ralucitrap a ot tcepser htiw tseretni fo stcilfnoc lanoitazinagro etutitsnoc yam hcihw tsixe spihsnoitaler ro snoitautis rehtehw gninimreted ni reciffo gnitcartnoc CRN eht'tsissa ot dengised era serudecorp gniwollof ehT )a(

noitatneserpeR 4045 1-021

.sisab ecruos elos a ro evititepmoc a no dedrawa si tcartnoc a taht ro

,devlovni ton si tnemerucorp no-wollof a taht ro ,tseretni fo stcilfnoc lanoitazinagro morf esira hcihw snoitatpmet tsiser ot elba gnieb fo noitatuper .

lanoisseforp eht sah rotcartnoc eht taht tnaveler ton si tI )2(

.tcartnoc a fo drawa eht ot roirp stcilfnoc hcus fo ecnetsixe eht fo noitanimreted a ot tnaveler ton si tcartnoc a fo ecnamofrep eht morf gnisira stcilfnoc lanoitazinagro laitnetop yna ezilartuen ro ,etanimile ,diova retal dna yfitnedi nac CRN eht taht tcaf ehT )1( .snoitaredisnoc rehtO )d( '

j .tseretni fo tcilfnoc a etaerc dluoc hcihw tcartnoc CRN eht fo met eht gnirud krow gnitpecca morf . proc CBA edulcerp dluow )c(1-50451 '

-021 fo' esualc srehto rof krow ahT .desaib eb thgim tnemgduj sti erehw elor gnitcilfnoc a ni . proc CBA ecalp ton dluow tcartnoc a fo drawa taht edulcnoc yllamon dluow reciffo gitcartnoc ehT 2cnadiuG

.yduts CRN eht yb l detalpmetnec aera cihpargoeg eht nihtiw era setis eht fo enon tub setatS detinU nretsaE eht ni seitilitu lareves rof seiduts laci'golomsies gniod yltneserp si ti taht CRN eht smofni . proc CBA ,)1()1()b(30451-021 dna PFR eht ni noitatneserper eht htiw ecnadrocca nI .tleb dlof naihcalappA eht fo serutaef lacigolomsies niatrec gniwohs pam a elbmessa ot sesoporp PFR a ot esnopser ni ,. proc CBA ehT .elpmaxE )5(

10-0957 s

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~

75h0-01 c-1 l0 ORGANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION I represent to the best of my knowledge and belief that:

, The award to of a contract or the modification of an.

\ existing contract does ( ) or does not ( ) involve situations or relationships the type set forth is 41 CFR's20-1.5403(b)(1).

~(c) Instructions to offerors. The following shall be included in all NRC solicitations: (1) If the representation as completed indicates that situations or relationships of the type set forth in 41 CFR 5 20-1.5403(b)(1) are involved, or the contracting officer otherwise detemines that potential organizational conflicts exist, the offeror shall provide a statement in writing which describes in a concise manner all relevant facts bearing on his representation to the contracting officer.- If the contracting officer detemines that organizational (1) Impose appropriate .

conflicts exist, the following actions conditions which avoid such conflicts. (ii may)be taken: disqualify the offerer, or (iii) determine that it is otherwise in the best interest of the United States to seek award of the contract under the waiver provisions of I20-1.5411. ,

(2) The refusal to provide the representation required by 5 20-1.5404(b) or upon request of the contracting officer the facts required by '520-1.5404(c), shall result in disqualification of the offeror for award. The nondisclosure or misrepresentation of any relevant interest may also result in the disqualification of the offeror _ for award; or if such nondisclosure or misrepresentation is discovered after award, the resulting contract may be terminated. The offeror may also be disqualified from subsequent related NRC contracts and be subject to such other remedial actions provided by law or the resulting contract.

(d) The offeror may, because of actual or potential organizational conflicts of interest, propose to exclude specific kinds of work from the statements of work contained in a RFP unless the RFP specifically prohibits such exclusion. Any such proposed exclusion by an offeror will be considered by tiie NRC in the evaluation of proposals. If the NRC. considers the proposed excluded work to be an essential or integral part of the required work and its exclusion would work to the detriment of the competitive posture of the other offerors, the proposal must be rejected as unacceptable.

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

I 20-1.5405 Contract clauses s s 20-1.5405-1 General contract clause

-L

-K-

'*l desab noissimoC eht rof krow rof etepmoc )ii( ;cilbup eht ot desaeler neeb sah noitamrofni eht litnu esoprup etavirp yna rof noitamrofni hcus esU )1( :og ton seerga rotcarthoc eht ,cilbup eht ot desaeler neeb ton 1 sah hcihw atad ro ,)975-39 .L .buP,( 4791 fo tcA ycavirP eht yb,detcetorp I l atad lanretni ,snalp laicnanif seiduts ,stroper ,seicilop snalp CRN l j sa hcus ,noitamrofni ot ssecca sniatbo tcartnoc.siht fo ecnamrofrep eht ni rotcartnoc eht fI )1( .noitamrofni fo esu dna ot sseccA )e(

ot noitanimret hcus smeed ti fi l

.tnemnrevog ecneinevnoc ehtrof fo tcartnoc stseretnieht tseb eht ni eb,revewoh , yam CRN ehT etanimet .stcilf noc hcus etagitim ro diova ot ekat ot sesoporp ro nekat sah rotcartnoc eht hcihw noitca eht fo noitpircsed a edulcni llahs tnemetats sihT

.reciffo gnitcartnoc eht ot gnitirw ni erusolcsid lluf dna etaidemi -

na ekam llahs ti ,tcartnoc siht ot tcepser htiw tseretni fo stcilfnoc lanoitazinagro srevocsid ti drawa retf a fi taht seerga rotcartnoc ehT )2(

.)a(2045 1-025 RFC 14 ni den fo stcilfnoc lanoitazinagro yna evah ton seod ti ,ifed sa ,tseretni tcartnoc siht ni htrof tes esiwrehto sa tpecxe dna feilet dna egdelwonk sti fo tseb eht .

ot taht stnarraw rotcartnoc ehT )1( .drawa retf a erusolcsiD )d(

.tnemegnarra lautcartnoc hcus fo noitucexe ot roirp reciffo gnitcartnoc eht fo lavorppa nettirw eht niatbo llahs rotcartnoc eht ,tseretni fo tcilfnoc laitnetop a evlovni yam noitazinagro l ro mif yna htiw tnemegnarra lautcartnoc rehto ro tnatlusnoc desoporp yna taht eeyolpme hcus yna ro flesti ot tcepser htiw seveileb rotcartnoc eht f,I .esualc siht. fo noisivorp eht yb ediba tcartnoc siht rednu ,yna fi lennosrep yek sa detangised seeyolpme dna tcartnoc siht rednu emit lluf deyolpme era ohw seeyolpme lla taht erusne llahs rotcartnoc ehT

.tcartnoc siht rednu demrofrep gnieb krow eht ot tcepser htiw tseretni fo '

tcilfnoc a ot esir evig yam hcihw fo tluser eht ,noitazinagro ro mrif yna !

htiw stnemegnarra lautcartnoc rehto ro gnitlusnoc otni gniretne ogerof ot seergi.rotcartnoc eht ,tcartnoc siht fo mret eht gnirud ,tcartnoc siht fo noisivorp rehto yna gnidnatshtiwtoN .srehto rof kroW )c{

.esualc siht yb derevoc seitititca eht ni )f(2045 1-02 I RFC 14 ni denifed sa rotcarthoc eht yb noitapicitrap ro ecnamrofrep ot ylppa llahs niereh debircsed snoitcirtser ehT .epocS )b(

.tcartnoc siht fo ecnamrofrep sti fo eutriv yb seitrap rehto r:tvo egatnavda evititepmoc riafnu na niatbo ton seod

)2( dna ,tcartnoc siht rednu : row eht ot etaler hcihw )esiwrehto ro

,lanoitazinagro ,lautcartnoc ,laicnanif( tseretni dennalp ro tnerruc fo esuaceb elor gnitcilfnoc a ni decalp ton sI )1( :rotcartnoc eht taht gnirusne ni dia ot si esualc siht fo esoprup yramirp ehT .esopruP )a(

sesualc gniwollof eht edulcni llahs )b(4045 1-02i ni htrof tes sepyt eht fo stcartnoc llA 10-0957

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j,y*

7590-01 on such information for a period of six (6) months after_either the completion of this contract or the release of such information to the public, whichever is first, (iii) submit an unsolicited proposal to the government based on such infohnation until one year after the release of such information to the public, or (iv) release the information without prior written approval.by the contracting officer unless such information has previously been released to the public by the NRC.*

(2) In addition, the contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L.93-579), or other confidential or privileged technical, business, or financial information under this contract, the contractor shall treat such information in accordance with restrictions placed on use of the information.

(3) The contractor shall have, subject to patent and security provisions of_ this contract, the right to use technical data it produces ,

under this contract for private purposes provided that all requirements ;

of this contract have been met. t (f) Subcon' tracts . Except as provided in 41 CFR 5 20-1.5402(h), the I contractor shall include this clause, including this paragraph, in subcontracts of any tier.. The terms " contract," " contractor," and

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

(g) Remedies. For breach of any of the above proscriptions or for l intentional nondisclosure or misrepresentation cf any relevant interest l required to be disclosed concermng this contract or fcr such erroneous '

representations as necessarily imply bad faith, the government may terminate the contract for default, disqualify the contractor from subsequent contractual efforts, and pursue other remedies as may be permitted by law or this contract. ;

(h) Waiver. A request for waiver under this clause shell be directed in writing through the contracting officer to the Executive I Director for Operations (EDO) in accordance with the procedures outlined in520-1.5411.

I20-1.5405-2 Special contract provisions.

(a) If it is determined from the nature of the proposed contract I that organizational conflicts of interest exist, the contracting officer may determine that such conflict can be avoided or after obtaining a waiver in accordance with 520-1.5411, neutralized through the use of an appropriate special contract provision. If appropriate, the offeror may negotiate the terms and conditions of these clauses, including the extent and time period of any such restriction. These provisions include

! ' but are not limited to:

-& ---_--__---__________________9

___________________________________C. ,

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,drawa morf roreffo ent.yfilauqsiD )a( !

rentie llahs recif fo gnitcartnoc ent neht ,tsixe tseretni

fo stcilfnoc taht denimreted neeo sah ti fI .roreffo ralucitrap a ot tcepser htiw tsixe tseretni fo stcilfnoc lanoitazinagro rehtehw reciffo cnitcartnoc eht yb edam eb lliw gnidnif a ,30451-02 3 fo airetirc eht t*sniaga

. noitamrofni siht gnitaulave retf A .noitamrofni tnaveler rehto dna

)b(4045 1-02$ fo stnemeriuqer noitatneserper eht ot tnausrup roreffo na yb

. dettimbus stcaf tnaveler lla etaulave lliw reciffo gnitcartnoc ehT drawa tcartnoc dna ,sgnidnif ,noitaulavE 6045 1-02.s

.tnemnrevog eht ot smeti laicrensnoc dradnats sti gnilles ro gnireffo mo'rf rotcartnoc eht edulcerp llahs hpargarap siht ni gnihtoN )3(

.ylppa ton llahs hpargarapbus siht'ni noitcirtser eht esac hcihw ni ,reciffo-gnitcartnoc eht yb.gnitirw ni detcerid os sselnu snoitacificeps ro krow fo tnemetats hcus ni secivres ro stcudorp sti etaroprocni ton llahs rotcartnoc ehT .snoitacificeps ro krow fo tnemetats hcus no desab si hcihw troffe lautcartnoc laitini eht ni etapicitrap ro mrofrep ot elbigileni eb llahs rotcartnoc eht ,snoitacificeps ro krow fo tnemetats etelpmoc yllaitnesse ro etelpmoc a seraperp tcartnoc siht red'nu rotcartnoc eht fI )2(

.secivres ro stcudorp hcus fo gnitekram ro tnempoleved eht ni devlovni

. yllaitnatsbus neeb sah rotcartnoc eht fi mrif rehtona fo secivres ro stcudorp eht ro secivres ro stcudorp sti fo yna no tcartnoc siht rednu seitivitca noitaulave ro krow secivres troppus tnemeganam ro gnitlusnoc ,

lacinhcet yna mrofrep ton llahs rotcartnoc eht ,reciffo gnitcartnoc eht yb gnitirw ni detcerid os sselnu ,eromrehtruF .tcartnoc siht rednu krow fo ecnamrofrep s.

deticilos( rof ereht s'rotcartnoc eh,t morf yltcerid lasoporp ro stcartnocbus mets

,stcartnoc CRN hcihw )deticilosnu ro ni etapicitrap ot elbigileni eb'llahs rotcartnoc ehT )1( .troffe no-wolloF )i(

.tseretni fo tcilfnoc lanoitazinagro na etutitsno. dluow tcartnoc no-wollof a fo drawa tant denimreted si ti nehw 1-5045 1-02 1ni htrof tes esualc eht ni )i( noitces sa dedulcni eb yam esualc tcartnoc lanoitidda gniwollof ehT )b(

.esu dezirohtuanu sti tsniaga draug dna atad laitnedifnoc fo noitcetorp rof edivorp hcihw ;:esualC )4(

dna ;tseretni fo stcilfnoc lanoitazinagro niatrec diova ot )lennosrep yek sih fo niatrec dna( rotcartnoc eht eriuqer hcihw sesualC )3(

sesualc noisulcxe erawtfoS )2(

l

rotcartnoc eht yb demrofrep l ylsuoiverp tcartnoc noitcudorpnon detaler a gniwollof stcartnoc noitcudorp fo ecnatpecca eht tibihorp hcihw sesualc noisulcxe erawdraH )1(

s 10-0957

s

, . . . :.3 7590-01

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

520-1.5407 Conflicts identified after award. !

If potential organizational conflicts of interest are identified af ter award with respect to a particular contractor, the contracting officer determines that such conflicts do, in fact, exist and that it would not be in the best interests of the government to terminate the contract as provided in the clauses required by 120-1.5405, the contracting officer will take every reasonable action to avoid, eliminate.-or, after obtaining a waiver in accordance with 620-1.5411, neutralize the effects of the identified conflict. .

520-1.5408 (Reserved) 520-1.5409 (Reserved) 120-1.5410 Subcontracts The contracting officer shall require offerors and contractors to submit'a representation statement in accordance with !20-1.5404(b) from subcontractors and consultants. The contracting officer shall require the contractor to include contract clauses in accordance with 520-1.5405 in consultant agreements or subcontracts involving performance of work under a prime contract covered by th%s subsection.

A 20-1.5411 Vaiver in the first instance, determination with respect to the aced to seek a waiver for specific contract awards shall be made by the contracting officer with the advice and concurrence of the program office director and the Office of Executive Legal Director. Upon the recommendation of the contracting officer, and af ter consultation with the Office of the General Counsel, the E00 may waive the policy in specific cases if he determines that it is in the best interest of the United States to do so. ]

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

(1) The work to be performed under contract is vital to the NRC program; (2) the work cannot be satisfactorily performed except by a contractor whose interests give rise to a question of conflict of interest; and (3) contractual and/or technical review and supervision methods can be employed by NRC to neutralize the conflict. For any such waivers, the justification and approval occuments shall be placed in the Public Document Room.

s. 1

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noissimmoC'eht fo yraterceS klihC .J leumaS .

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noissimmoC yrotalugeR raelcuN eht roF 9791 hcraM fo yad

' h'72 siht C.0 .notcnihsaW ta detaD

.stcartnoc CRN tn,uqesbus e morf rotcartnoc eht rabed yam CRN eht ,noitces siht rof dedivorp eb ot *deriuqer tseretni tnaveler yna fo erusolcsidnon lanoitnetni ro noitatneserpersim lanoitnetni yna rof ro trapbus siht ni snoitcirtser eht fo hcaerb a r6f tcartnoc ro wal yb dettimrep eb yam sa seidemer rehto hcus ot noitidda nI

' seidemeR 2145 1-025 10-0957

L. ,

Page 9 Section C RS-ARM-89-144 l

Maryland National Bank Facility located at: Maryland National. Bank Building 7735 Old Georgetown Road Room 11606 Bethesda, MD 20814 0WFN Computer Center located at: One White Flint North 11555 Rockville Pike 2nd Floor Rockville, MD 20852 The Contractor shall, in Phase I, propose dates for the assumption of the operation and maintenance of NRC's Computer Centers located at the Ford and Woodmont Facilities.

This effort is to result in more cost-effective operation and management of NRC Computer Facilities and greater assurance that NRC is attaining the highest utilization of existing hardware, software and facilities. This contract shall be comprised of four phases. In Phase I the contractor shall analyze and review the operations and operational procedures of the existing computer facilities and develop plans and procedures (referred to as a Configuration Management Plan and Standard and Specialized Operating Procedures), for more efficient and cost-effective operations. In Phase II the contractor shall be responsible for the successful operations and maintenance of NRC's existing computer centers, utilizing the plans and procedures developed in Phase I. Additionally, the contractor shall have.the capability and rescurces to provide to NRC, as required, (1) technical assistance for conversion from current operating environments, including hardware and software conversions and migrations; (2) technical assistance in the development, integration operation and uiaintenance of COM, Optical disk, and (3) technical assistar.ce for routine code verification and validation, and performance

. measurement and evaluation. These areas shall be appropriate!y !

planned for ano adfressed in the Standard Operating Procedures and the Configuration Management plans. Performance of the tas's are to be scheduled and performed at the direction of HRC. NRC envisions contractor responsibility for establishing and operating a Maintenance Control Center approach. This should be addressed in the Standard Operating Procedures, including a phase-in plan for the contractor to assume direct maintenance responsibilities.

In Phase III the contractor shall assist in the development of design specifications and a plan for relocating and integrating all pertinent computer equipment into a consolidated facility in Two White Flint North. In Phase IV the contractor shall provide technical assistance in developing the procedures and specifications, including those for staffing, performance, equipment and environment for the successful operation of the new, consolidated White Flint Computer Center.

.- < Page 10 j RS-ADM-89-144 Section C Phase I shall be completed within six months of contract award with NRC's acceptance of the Configuration Management Plan and Standard and Specialized Operating Procedures. Phase II, operation and maintenance of NRC's existing computer ccnters, shall connence on June 23, 1989.

The Government will provide phase-in training for the Contractor's computer operators starting on June 16,1989. Phases III and IV shall be conducted on a schedule consistent with the planning requirements for the design and construction and relocation to TWFN, which is currently scheduled to be completed by August 1992. Efforts in these phases begin as early as May 1989 with providing technical assistance in planning a preliminary design for the NRC Computer Facility at TWFN. All design and space planning activities shall be coordinated, through the NRC. Project Officer, with the NRC Office of Consolidation.

C.I.2 Scope of Work

- A. Phase I - Develop Configuration Management Plan and Standard and Specialized Operating Procedures The contractor shall review current operations and develop a Configuration Management Plan and detailed procedures for effective,-efficient central remote management and on-site operation and maintenance of existing NRC computer facilities.

The plan shall include a schedule under which the contractor will assume the staffing, operations, and maintenance and management of the Ford and Woodmont facilities.

The contractor's review shall, at a minimum, include an analysis of the following functions and related procedures:

1. Operation of all computers, RJE stations, related support equipment, and communication devices, including staffing, work schedules, environmental monitoring, and incidental maintenance.

2. Scheduling and execution of backup procedures for all sysums.

3. User support services for access to various timesharing facilities, as based on eser workloads, requests, and pre-defined schedules.

4. Other user support services, including:

- breaking apart and placing listing and other computer generated outputs and related inputs in output storage bins, and assuring the delivery of computer center products.

mounting and dismounting tapes as users request, either orally or via system messages

- accepting batch jobs for execution and scheduling of such,

Page 11 RS-ADM-89-144 Section C assisting users as to job procedures and standards, resolving user reports of operations related l problems.

5. Control of work flow to and from other contract and timesharing services as needed.

6. _ Training of staff to maintain a sufficient level of competence and awareness, and maintaining a highly competent staff with a customer service orientation.

7. Providing weekly reports of supplies on hand versus expended and assist in establishing and maintaining reorder points.

8. Maintaining clean, quality tapes for all functions; maintaining tape libraries and tape accounting system; creating and issuing tape reports.

9. Management and control of all hardware and software problems through the assigned maintenance or lease agreement, includes the placing of "put" tapes or other

" fixes" as prescribed by vendor.

10. Establishing and maintaining machine-to-machine communications, including the NIH, SWRI, INEL, NSAC (and other "timeshare" facilities), and the NRC's five Regional offices so that users can access all centers to which they have access and can utilize the available E-mail systems most effectively.

11. providing ttchnical assistance and expert consultation to NRC relevant to the replacement of existing hardware / software or the installation of new hardware / software.

12. Performing general hardware preventive maintenance (PM),

for example, Tape heed cleaning CRT screen cleaning Printer path, guides, and drums / bands / chains Laser printer internals, etc.

13. Maintaining facility in operable mode by assuring that all VTAM, RENEX, other modem devices and telecommunication links are maintained and operational.

14. Ensuring that all facilities are in a constant state of readiness. The hours of service and time allocated for shutdown will vary at each center, but in no instance will the overall configuration for support provide less than 100% availability to users from 7:00 a.m. to 7:00 p.m. from Monday-Saturday.

Page 12 RS-ARM-89-144 Section C 1

15. Identifying problem areas and suggesting / implementing solutions.

16. Maintaining Standard and Specialized Operational Procedures.

17. Maintaining any activity logs that contribute to the overall, successful management of facility operations, for example,

- hardware maintenance logs

- records of batch jobs submitted by user and time

- record of wall clock times actually connected to each timesharing device

- records of temperature and environmental monitoring

- records of connect time by user ID. .

18. Protection of sensitive data in accordance with Facility '.

and/or Systems Security Plans.

19. Identifying, rectifying when possible, and/or reporting all telecommunications problems to the NRC Project Officer, including security violations, or his/her assignee, and maintenance personnel as directed by the Project Officer.

20. Preparing and assuring the efficacy of Security Plans and Contingency Plans; and testing and implementing Contingency Plans as required.

21. Performing conversions, migrations, code verification and validation, and performance measurement and evalution.

22. Establishing and operating the Maintenance Control Center.

23. Specific, i.e. " specialized" procedures unique to each existing facility operations, for example, IFMIS/ Payroll.

The above list is meant only as a sample. NRC wants the Plan and Procedures to address all functions that are involved in a well-run and responsive Computer Facility, e.g., performing diagnostics, monitoring temperature, providing emergency numbers, procedures for evacuation in emergency situations, etc., should be included. The NRC understands that the most effective CMP may require the relocation of equipment, the replacement of aged equipment, the transfer and reinstallation of some software systems, and'the implementation of new backup and contingency strategies.

(Any acquisition of hardware or software shall be accomplished by NRC.)

Page 13 RS-ARM-89-144 Section C Once the Configuration Management Plan and Standards and Specialized Operating Procedures are accepted by the NRC, they shall be incorporated into this contract by Modification. The Plan and Procedures shall, at a minimum, address the items identified above and those requirements identified in the Phases below.

B. Phase II - Existing Computer Operations Until a new Configuration Management Plan and Standard and Specialized Operating Procedures are developed under Phase I, the !

contractor shall be responsible for operation and maintenance of each NRC computer facility as it is currently configured, and in accordance with existing procedures. The IFMIS/ Payroll Computer Facility is used below as an example of the kinds of procedures and schedules that are involved. Similar requirements and protocols shall apply to each of the existing facilities at the i

time the contractor becomes responsible for their operation and maintenance.

1. Payroll System Operation Payroll Operations Manual. Shall be revised and updated as required in Phase I. Revisions become part of the a

scope of work of this contract. Specific duties and i operational requirements and procedures for the automated i payroll system are outlined in detail in the Payroll Operations Manual. This manual shall be followed daily for the two-week pay cycle plus special processing for quarterly requirements, pay year-end, leave year-end, fiscal year-end, W-2 processing, mass change processing and other processes as required.

Payroll Schedule. The Project Officer will provide a copy of the schedule to the Facility Manager by the first day of the payroll processing cycle. :

o This schedule shows changes from normal processing requirements due to holidays, the timing of special '

processing, data entry schedule requiring the presence of the operator, etc. l o This schedule reflects non-standard hours anticipated for the pay cycle. However, additional !

coverage on short notice may be required due to unanticipated needs in order to maintain the overall i schedule. The schedule reflects the usual extended coverage for recuired processing for the first Friday and Saturday and the second Monday and Tuesday of the two-week cycle.

General duties in addition to or clarifications of the I duties specified in the Payroll Operations Manual include:

o Operates the minicomputers and various types of peripheral computer equipment such as high-speed printers.

_ __ _ ___ Q

r Page 14 RS-ARM-89-144 Section C l

o Monitors the operation of the minicomputers and peripheral equipment and support equipment (e.g.,

electrical, HVAC) to assure that equipment problems are quickly detected and corrected by the appropriate maintenance personnel, o Receives computer printouts and reviews, the computer operating system generated messages to assure that the processing procedures have been satisfactorily completed. Determines, in cases where problems occur in the computer run, whether the problem is a result of improper data, incorrect processing sequence, or a computer malfunction in the hardware or software. Determines necessary recovery techniques to be used to restore files or tapes back to the correct status prior to rerunning procedures in order to prevent errors of duplication or excessive rerun costs. -

o Maintains facility in operable mode by removing all empty boxes and arranging supplies and other items so that the area is conducive to effective working conditions.

o Ensures that the facility is always in a ready state.

o Identifies, rectifies when possible, and/or reports all telecommunications problems to the NRC Project Officer.

o Directs flow of work to and from other contract services as needed. See Pay Period Schedule for generation of microfiche tapes which are sent out to a contractor. Operator arranges for pickup of tapes; verifies that all microfiche are received and quality standards are met upon receipt of microfiche; and distributes to Payroll Section Chief. The master copies of all microfiche shall be stored in a locked cabinet by the operator.

o Checks supplies daily. Provides on a weekly basis a report of supplies on hand versus expended and assists in establishing and maintaining reorder points. Supplies are ordered through the Project Officer. See Section 2.18 of the Payroll Operations Manual for maintaining proper inventory of supplies.

o Reports all system hardware and software problems, air conditioner malfunctions, power supply printouts, and humidity control problems immediately to the Project Officer, and maintenance personnel as d1rected by the Project Officer.

. n Page 15 Section C RS-ARM-89-144 i

o Performs general hardware preventive maintenance in accordance with the Payroll Operations Manual.

Remains in the Computer Center during pre-scheduled preventive maintenance by maintenance contractor and while any parties other than access-approved staff are performing any services in the computer room, o Controls access to the Computer Center, admitting only those persons for whom access has been approved in accordance with the Payroll Operations Manual, Section 1.61.

o Maintains production, operation and supply records for the Computer Center. This includes maintaining the log books in accordance with instructions in the Payroll Operations Manual. Maintains data backup tape log and grandfather file. Arranges for ,

periodic rotation to offsite storage facilities maintained by the Division of Automated Information Services.

o Backs up Payroll System in accordance with the Operations Manual ano the pay period schedule.

Unusual conditions reouiring more frequent backup can occur, such as pending thunderstorms, high volume of data entry, equipment problems, etc.

o Provides other user services which in:1ude:

- Breaks apart ano delivers all payroll reports to the Payroll Section Chief and secures initials confirming receipt on the checklist of reports in accordance with the Pay Period Schedule.

- Mounts and dismounts tapes for generating prior pay period reports or other special processing requirements as specified by the Technical Monitor.

- Attempts to resolve user reports of operations-related problems.

o Maintains security procedures required by NRC policy and procedures for operating systems containing sensitive data and data subject to the Privacy Act.

Section 1.6 and 2.16 of the Payroll Operations Manual address these areas in detail.

o Follows emergency procedures in Section 2.15 of the Payroll Operations Manual.

o Picks up keypunch listings and reports as required by the Project Officer on a daily basis. Delivers to the Accounting Chief. Delivers code sheets to

-- <. su.- .>... nzza... .. .

________________w

RS-ARM-89-144 Section C Other conditions as follows apply to the operation and maintenance of NRC's existing facilities:

1. -All proposed personnel who staff any facility shall be-available to work non-standard hours including evenings, weekends, and holidays as needed.

2. All proposed operators shall be cross-trained at each facility to ensure that critical NRC systems will be operational'at all times, including non-standard working hoars.

3. Due to the critical nature of the NRC computer facility, operators shall.be present as designated. The suggested number of operators for each facility per shift will be determined on the basis of the accepted Configuration Management Plan.

Each " team' of operators assigned to a given shift shall remain resiient and become expert at all operational functions and assigned duties. Operators shall be cross-trained and be reouired to spend, via pre-assigned schedule, a minimum of 4 hours4.62963e-5 days 0.00111 hours 6.613757e-6 weeks 1.522e-6 months per week on the other team to assure adequate and assigned duties for that shift / team. Each operator must be completely cross-trained to ensure adequate expert coverage of each shift / team.

4. All shifts shall be covered by key personnel and in operation during normal work hours 6:00 a.m. until 7:00 p.m., Monday through Saturday (and as late as necessary to complete any scheduled processing.) All scheduled maintenance will be performed on Sunday. All backups will be performed at 6:00 a.m. or after 7:00 p.m. .All batch processing will be performed in a manner that does not disrupt online, active operations.

5. All operators shall be trained to operate IBM 9370's 3081's, 4381's, Data General minicomputer equipment, various RJE equipment and related ADP support software and equipment as required, including VTAM, RENEX, modems, and other peripherals (such as plotters, printers) monitors and diagnostics equipment software.

6. The operators shall maintain operations log for each shift. Such logs shall be comprised of equipment problems, batch job entry, or other logs as identified L under specific shift requirements.

7. All shifts shall be run in accordance with policies and procedures set up for each shift requirement. Such procedures manuals and automated help facilities shall be maintained by the contractor in accordance with Standard i i

Operating Procedures.

E_____.______. ._ _. _ _ _ _ . _ ___.

Section C '

RS-ARM-89-144

8. The contractor shall establish a Diagnostics Program that will facilitate the identification, location and correction of operating systems, hardware and peripherals l

maintained in the NRC computer facilities.

9. The contractor shall map all existing cabling and communications and prepare a configuration management program for them to include all necessary diagrams showing connections, routing and related diagnostics.

The objective is to enable the contractor's operators and managers to be able to detern.ine the impacts and requirements involved in the proposed installation, deinsta11ation and rearrangement of any equipment, peripherals or software and to be positioned to identify failure points in the event of malfunctions.

The existing Procedures and Manuals will be used until replaced by the new ones that are developed by the contractor. NRC realizes that the new Configuration Management Plan will require substantial revision to existing procedures, as new printer locations, new backup scenarios, new load' scheduling techniques and other changes will contribute to an overall more productive computing environment.

C. Phase III - Technical Assistance in Computer Facility Design and Relocation Plan. All design and space planning activities shall be coordinated, through the NRC Project Officer, with the NRC Office of Consolidation.

Task 1 Provide technical assistance in de.veloping a Preliminary Design for the kRC Computer Facility, based on an analysis of the optimal efficiency that can be attained through consolidation of NRC's ADP environment in a single facility. The contractor shall review current operations and growth potential and propose an equicment configuration for an efficient, consolidated computer facility at TWFN; develop basic security criteria (e.g. physical access control) and prepare a preliminary design for a facility security system; prepare an initial site layout, a preliminary design for cost estimate purposes, and a preliminary design for construction scheduling purposes.

Task 2 Provide technical assistance for Procurement / Specifications / Site Acceptance. The contractor shall provide technical assistance and consultation to NRC for any hardware / software procurement that may be required, including the acceptance of the site. (Contractor cannot provide any hardware / software to NRC.) Among related tasks, the contractor shall: (1) provide project coordination, (2) provide on-site inspection, (3) attend meetings and job progress meetings,

_ . _ _ . . - _ _ . .- _ _ . _ . _ . ____._.m_-_._._--_.____m -__m - . _ _ _ _ _ _ . _ _ _ - - - _ - - - - _ _ _ _ - - - _ - _ _ . - _ _ - _ _ . _ - _ _ - _ _ _ _ - - ---- ..:.

s- o RS-ARM-69-144 Section C (5) review drawings, (6) provide final acceptance of the site, and provide and maintain mapping of all cabling connections and routes.

Task 3 Provide technical assistance in the development of a detailed plan and schedule (Relocation Plan) for moving the current computer centers, including hardware, software, peripherals and supplies, to the new NRC White Flint Computer Center, including technical assistance as required to implement the plan and bring the Center to operational readiness without unplanned disruption of essential agency ADP support.

D. Phase IV Technical assistance in the development of a Plan and Procedures for the Management and Operations of NRC's White Flint Computer Facility. This would include the development of an appropriate Security Plan and Contingency Plan.

In Phase IV, the contractor shall provide assistance in the development of a plan and specifications, including an implementation schedule, for the startup and ongoing management and operations of the NRC's White Flint Computer Center and ancillary Backup Tape Library, RJE Sites, and Timesharing facilities, and any relevant cost estimates for follow-on procurement. The Contractor shall prepare the final Plans and Procedures which will include the development of Security and Contingency Plans. The Plans and Procedures shall include sufficient time to procure contractor services to staff the Center and to train staff in new operatior,al modes, methods, protocols, and procecures. The Plan and Procedures shall also include all requisite schedules and specifications for any procurement reouired to implement the Plan with regard to testing, diagnostics, mapping, staffing, operational requirements and equipment.

This Phase must be completed and accepted by NRC no later than twelve (12) months prior to the scheduled relocation of the NRC's computer canters at TWFM.

l

RS-ARM-89-144 Section D SECTION D - PACKAGING AND MARKING D.1 PACKAGING AND MARKING (MAR 1987)

The Contractor shall package material for shipment to the NRC in such a manner that will insure acceptance by common carrier and safe delivery at destination. Containers and closures shall comply with the Interstate Commerce Commission Regulations, Uniform Freight Classification Rules, or regulations of other carriers as applicable to the mode of transportation. On the front of the package, the Contractor shall clearly identify the contract number urder which the product is being provided.

(End of Clause)

L I

i

b. -

4 RS-ARM-89-144 Page 20 Section E SECTION E - INSPECTION AND ACCEPTANCE E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE l

NOTICE: 1he following solicitation provisions and/or contract clauses pertinent to this section are hereby incorporated by reference:

FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) l NUMBER DATE TITLE 52.246-5 APR 1984 INSPECTION OF SERVICES--

COST-REIMBURSEMENT

' -' Page 21 RS-ARM-89-144 Section F SECTION F - DELIVERIES OR PERFORMANCE l

F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE NOTICE: The following solicitation provisions and/or contract clauses pertinent to this section are hereby incorporated by reference:

FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1)

NUMBER DATE TITLE 52.212-13 APR 1984 STOP-WORK ORDER ALTERNATE I (APR 1984) .

F.2 PREPARATION OF TECHNICAL REPORTS (JUNE 1988)

All technical reports required by Section C and all Technical Progress Reports. required by Section F are to be prepared in accordance with the attached NRC Manual Chapter 3202. NRC Manual Chapter 3202 is not applicable to any Contractor Spending Plan (CSP) and any Financial Status Report that may be included in this contract. '(See Section J for List of Attachments).

(End of Clause)

F.3 TECHNICAL PROGRESS REPORT (JUNE 1988)

(OMB CLEARANCE NUMBER 3150-0112)

The Contractor shall provide a monthly Technical Progress Report to the Project Officer and the Contracting Officer. The report is due within 15 calendar days after the end of the report period and shall identify the title of the project, the contract number, project manager and/or principal- investigator, the contract period of performance, and the period covered by the report. Each report shall include the following for each discrete task:

a. A listing of the efforts completed during the period; milestones reached or, if missed, an explanation provided;

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

c. A summary of progress to date; and

d. Plans for the next reporting period.

-o i- Page 22 I RS-ARM-89-144 Section F l (End of Clause)

F. 4 FINANCIAL STATUS REPORT (JUNE 1988)

(OMB CLEARANCE NUMBER 3150-0112)

The Contractor shall provide a monthly Financial Status Report to the Project Officer and the Contracting Officer. The report is due within 15 calendar days after the end of the report period and shall identify the title of the project, the contract number, project manager and/or principal investigator, the contract period of performance, and the period covered by the report. Each report shall include the following for each discrete task:

a. Provide total estimated cost (value) of the project as reflected in the contract, the amount of funds available in the contract to date, and the balance of funds required to complete the work as follows:

1) Total EstimEhd Contract Amount. l

2) Total Funds Obligated To Date.

3) Total Costs Incurred This Reporting Period.

4) Total Costs Incurred To Date.

5) Balance of Obligations Remaining.

6) Balance of Funds Required To Complete Contract.

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

c. Update the approved Contractor Spending Plan (CSP) if required under this contract. If there have been no changes to the projections, a certification to that effect may be provided with the Financial Stat.us Report in lieu of the CSP.

(End of Clause)

F. 5 PLACE OF DELIVERY--REPORTS (JUNE 1988)

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

a. Project Officer (3 copies)

U.S. Nuclear Regulatory Commission Attention: Rashida Alam, Project Officer Division of Information Support Services Computer and Telephone Operations Branch Washington, DC 20555

b. Contracting Officer (1 copy)

U.S. Nuclear Regulatory Commission Contract Number: NRC-39-89-144 Division of Contracts and Property Management Contract Administration Branch Washington, DC 20555

, 4 Page 23 RS-ARM-89-144 Section F F.6 DURATION OF CONTRACT PERIOD (MAR 1987)

ALTERNATE II (MAR 1987)

This contract shall commence on June 5,1989 and will expire on June 4, 1990. The term of this contract may be extended at the L option of the Government for an additional one-year period.

(End of Clause)

F.7 DELIVERABLES

a. Phase I, Configuration Management Plan and Standard and Specialized Operating Procedures to be delivered to the NRC Project Officer within six months of contract award.

b. Phase III, Task 1, Preliminary Computer Facility Design and Relocation Plan to be delivered to the NRC Project Officer by April 15, 1990.

c. Phase III, Task 3, Relocation Plan to be delivered to the NRC Project Officer by March 31, 1991.

d. Phase IV, Plans and Procedures for the Managenent and Operations of NRC's White Flint Computer Facility, Including Security and Contingency Plans, due to be delivered to the NRC Project Officer by March 31, 1991.

Should the Government not exercise the option to extend this contract for an additional one-year perica, the Contractor shall deliver, within 30 days of notification of intent not to exercise the option, a report summarizing the work to date in Phase IV.

i

RS-ARM-89-144 Section G g i SECTION G - CONTRACT ADMINISTRATION DATA G.1 INDIRECT COST RATES (JUNE 1988)

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

Overhead (Government Site): 2% of Government-Site Direct Labor Overhead (Contractor Site): 28.22% of Contractor-Site Direct Labor Fringe Benefits: 31.34% of Direct Labor G&A: 15% of Total Estimated Cost

b. The Contracting Officer may adjust the above rates as appropriate during the term of the contract upon acceptance of any revisions proposed by the Contractor. It is the Contractor's responsibility to notify the Contracting Officer in accordance with 52.232 Limitation of Cost or 52.232 Limitation of Funds ,

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

(End of Clause) ;

G.2 PROJECT OFFICER AUTHORITY (JUNE 1988)

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

Name: Rashida Alam i

Address: U. S. Nuclear Regulatory Commission Computer and Telephone Operations Branch Division of Information Support Services 1 Washington, DC 20555 !

L Telephone No.: (301)492-9900 )

b. Performance of the work under this contract shall be subject to the technical direction of the NRC Project Officer. The term " Technical Direction" is defined to include the following:

1

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

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

3) Review and, where required by the contract, approval L-_ _ . - - .

L l Page 25 RS-ARM-89-144 Section G of technical reports, drawings, specifications and technical information to be delivered by the Contractor to the Government under the contract.

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

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

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

3) In any way causes an increase or decrease in the total estimated contract cost, the fixed fee, if any, or the time required for contract performance.

4) Changes any of the expressed terms, conditions er specifications of the contract.

5) Terminates the contract, settles any claim or dispute arisi..g under the contract, or issues any unilateral directive whatever.

d. All technical directions shall be issued in writing by the Project Officer or shall be confirmed by such person in writing within ten (10) working days af ter verbal issuance. A copy of said written direction shall be furnished to the Contracting Officer.

e. The Contractor shall proceed promptly with the performance of technical directions duly issued by the Project Officer in the manner prescribed by this clause and within such person's authority under the provisions of this clause.

f. If, in the opinion of the Contractor, any instruction or direction issued by the Project Officer is within one of the categories as defined in c above, the Contractor shall not proceed but shall notify the Contracting Officer in writing within five (5) working days after the receipt of any such instruction or direction and shall request the Contracting Officer to modify the contract accordingly. Upon receiving such notification from the Contractor, the Contracting Officer shall issue an appropriate contract modification or advise the Contractor in writing that, in the Contracting Officer's opinion, the technical direction is within the scope of this article and does not constitute a change under the Changes Clause.

g. Any unauthorized commitment or direction issued by the Project Officer may result in an unnecessary delay in the Contractor's performance and may even result in the Contractor expending funds for unallowable costs under the contract.

h. A failure of the parties to agree upon the nature of the instruction or direction or upon the contract action to be taken

i Page 26 .q

, g RS-ARM-89-144 S;ction G l i,

with respect thereto shall be subject to 52.233 Disputes.

1. 'n addition to providing technical direction as defined above, the Project Officer is responsible for:

1) Monitoring the Contractor's technical progress, including surveillance and assessment of performance, and recommending to the Contracting Officer changes in requirements.

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

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

(EndofClause)

G.3 REMITTANCE ADDRESS (MAR 1987)

If item 15C. of the Standard Form 33 has been checked, enter the remittance address below.

Name:

Address:

(End of Clause) l

Page 27 RS-ARM-89-144 Section H

% 4 SECTION H - SPECIAL CONTRACT REQUIREMENTS H.1 KEY PERSONNEL (JUNE 1988)

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

Henry Schuchardt, Project Manager Robert Wilson, Senior Analyst Stan Dems'ter, Consultant Kenneth Watkins, Computer Operator, Supervisor The Contractor agrees that such personnel shall not be removed from the contract work or replaced without compliance with paragraphs b and c hereof.

b. If one or more of the key personnel, for whatever reason becomes, or is expected to become unavailable for work under this contract for a continuous period exceeding 30 work days, or is expected to devote substantially less effort to the work than indicated in the proposal or initially anticipated, the Contractor shall immediately notify the Contracting Officer and shall, subject to the concurrence of the Contracting Officer, promptly replace such personnel with personnel of at least substantially equal ability and qualifications.

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

d. If the Contracting Officer determines that:

1) Suitable and timely replacement of key personnel who have been reassigned, terminated or have otherwise become unavailable for the contract work is not reasonably forthcoming; or

2) That the resultant reduction of effort would be so substantie' M to brair the successful completion of the contract, the contrm may be terminated by the Contracting Officer for default or for the convenience of the Government, as appropriate. If the Contracting Officer finds the Contractor at fault for the condition, the contract price or fixed fee may be equitably adjusted downward to compensate the Government for any resultant delay, loss or damage.

Page 28

, , RS-ARM-89-144 Section H (End of Clause)

H.2 SAFETY, HEALTH, AND FIRE PROTECTION (MAR 1987)

The Contractor shall take all reasonable precautions in the performance of the work under this contract to protect the health and safety of employees and of members of the public and to minimize danger from all hazards to life and property and shall comply with all applicable health, safety, and fire protection regulations and requirements (including reporting requirements) of the Commission and the Department of Labor. In the event that the Contractor fails to comply with these regulations or requirements, the Contracting Officer, may, without prejudice to any other legal or contractual rights of the Commission, issue an order stopping all or any part of the work; thereafter, a start order for resumption of work mey be issued at the discretion of the Contracting Officer. The Contractor shall make no claim for an extension of time or for compensation or damages by reason of or in connection with such work stoppage. '

(End of Clause)

H.3 DISSEMINATION OF CONTRACT INFORMATION (MAR 1987)

The Contractor shall comply with the requirements of the attached NRC Manual Chapters 3202 and 3206 (See Section J for List of Attachments) regarding publications or dissemination to the public of any information, oral or written, concerning the work performed under this contract. Failure to comply with this clause shall be grounds for termination of this contract.

(End of Clause)

H.4 PRIVATE USE OF CONTRACT INFORMATION AND DATA (JUNE 1988)

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

(End of Clause)

H.5 DRAWINGS, DESIGNS, AND SPECIFICATIONS (JUN 1988)

All drawings, sketches, designs, design data, specifications, notebooks, technical and scientific data, and all photographs, negatives, reports, findings, recommendations, data and memoranda of every description relating thereto, as well as all copies of the foregoing relating to the work or any part thereto, are subject to inspection by the Commission at all reasonable times (for which inspection the proper facilities must be afforded the Commission by the Contractor and its subcontractors), are the property of the Government and may be used by the Government for any purpose whatsoever without any claim on the part of the Contractor and its

Page 29 T f RS-ARM-89-144 S;ction H subcontractors and vendors for additional compensation and must, subject to the right of the Contractor to retain a. copy of the material for its own use, be delivered to the Government, or otherwise disposed of by the Contractor either as the Contracting

Officer may from time to time direct during the progress of the work or in any event as the Contracting Officer shall direct upon completion or termination of this contract. The Contractor's right of retention and use is subject to the security, patent, and use of information provisions, if any, of this contract.

(End of Clause)

H.6 SECURITY (JUNE 1988) (OMB CLEARANCE NUMBER 3150-0112)

a. Security / Classification Requirements Form. The attached NRC Form 187 (See Section J for List of Attachments) furnishes the basis for providing security and classification requirements to prime contractors, subcontractors or others. (e.g., bidders) who have or may have an NRC contractual relationship which requires access to .

classified information or matter, access on a continuing basis (in excess of 30 days) to NRC Headquarters controlled buildings or otherwise requires NRC photo identification or card-key badges.

b. It is the Contractor's duty to safeguard Restricted Data, Formerly Restricted Data, and other classified information. The Contractor shall, in accordance with the Commission's security regulations and requirements, be responsible for safeguarding Restricted Data, Formerly Restricted Data, and other classified information and protecting against sabotage, espionage, loss and theft, the classified documents and material in the Contractor's possession in connection with the performance of work under this contract. Except as otherwise expressly provided in this contract, the Contractor shall, upon completion or termination of this contract, transmit to the Commission any classified matter in the possession of the Contractor or any person under the Contractor's control in connection with performance of this contract. If retention by the Contractor of any classified matter is required after the completion or termination of the contract and such retention is approved by the Contracting Officer, the Contractor will complete a certificate of possession to be furnished to the Commission specifying the classified matter to be retained. The certification shall identify the items and types or categories of matter retained, the conditions governing the retention of the matter and their period of retenLion, if known. If the retention is approved by the Contracting Officer, the security provisions of the contract will continue to be applicable to the matter retained.

j- c. In connection with the performance of the work under this j contract, the Contractor may be furnished, or may develop or acquire, proprietary data (trade secrets) or confidential or privileged technical, business, or financial information, including Commission plans, policies, reports, financial plans, internal data protected by the Privacy Act of 1974 (P.L.93-579), or other information which has not been released to the public or has been determined by the Commission to be otherwise exempt from disclosure L-_ _ __ :_ __ __ _ - __ _ _ _ _ _ _ _ _ _ _ -

i Page 30

( 4 RS-ARM-89-144 Section H to the public. The Contractor agrees to hold such information in confidence and not to directly or indirectly duplicate, disseminate, or disclose such information in whole or in part to any other person or organization except as may be necessary to perform the work under this contract. The Contractor agrees to return such information to the Commission or otherwise dispose of it either as the Contracting Officer may from time to time direct during the progress of the work or in any event as the Contracting Officer shall direct upon completion or termination of this contract. Failure to comply with this clause shall be grounds for termination of this contract.

d. Regulations. The Contractor agrees to conform to all security regulations and requirements of the Commission.

e. Definition of Restricted Data. The term " Restricted Data,"

as used in this clause, means all data concerning (1) design, manufacture, or utilization of atomic weapons; (2) the production of special nuclear material; or (3) the use of special nuclear material in the production of energy, but shall not include data declassified or removed from the Restricted Data category pursuant to section 142 of the Atomic Energy Act of 1954, as amended.

f. Definition of Formerly Restricted Data. The term "Formerly Restricted Data," as used in this clause, means all data removed from the Restricted Data category under section 142-d. of the Atomic Energy Act of 1954, as amended.

g. Security Clearance Personnel. The Contractor shall not permit any individual to have access to Restricted Data, Formerly Restricted Data, or other classified information, except in accordance with the Atomic Energy Act of 1954, as amended, and the Commission's regulations or requirements applicable to the particular type or category of classified information to which access is required.

h. Criminal liabilities. It is understood that disclosure of Restricted Data, Formerly Restricted Data, or other classified information relating to the work or services ordered hereunder to any person not entitled to receive it, or failure to safeguard any Restricted Data, Formerly Restricted Data, or any other classified matter that may come to the Contractor or any person under the Contractor's control in connection with work under this contract, may subject the Contractor, its agents, employees, or subcontractors to criminal liability under the laws of the United States. (See the Atomic Energy Act of 1954, as amended, 42 U.S.C. 2011 et seq.; 18 U.S.C. 793 and 794; and Executive Order 12356.)

1. Subcontracts and Purchase Orders. Except as otherwise authorized in writing by the Contracting Officer, the Contractor shall insert-provisions similar to the foregoing in all subcontracts cnd purchase orders unde this contract.

j. In performing the contract work, the Contractor shall assign classifications to all documents, material, and equipment originated or generated by the Contractor in accordance with classification

1 Page 31 RS-ARM-89-144 Section H guidance by the Commission. Every subcontract and purchase order issued hereunder involving the origination or generation of l classified documents, material, or equipment shall provide that the

, subcontractor or supplier assign classifications to all such I

documents, material, and equipment in accordance with classification guidance furnished by the Contractor.

(End of Clause)

H.7 ORGANIZATIONAL CONFLICTS OF INTEREST (OMB CLEARANCE NUMBER 3150-0112) (JUNE 1988)

a. Purpose. The primary purpose of this clause is to aid in ensuring that the Contractor:

1) Is not placed in a conflicting role because of current or planned interests (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and

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

b. Scepe. The restrictions described apply to performance or participation by the Contractor as defined in 48 CFR 2009.570-2 in the activities covered by this clause.

c. Work for others. Notwithstanding any other provision of this contract, during the term of this contract, the Contractor agrees to forgo entering into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being performed under this contract. The Contractor shall ensure that all employees under this contract abide by the provision of this clause.

If the Contractor believes with respect to itself or any employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the Contractor shall obtain the written approval of the Contracting Officer prior to execution of such contractual arrangement.

d. Disclosure after award. ,

1) The Contractor warrants to the best of its knowledge and belief, and except as otherwise set forth in this contract, that it does not have any organizational conflicts of interest, as defined in 48 CFR 2009.570-2.

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

Page 32 s i RS-ARM-89-144 Section H

e. Access to and use of information.

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

(i) Use this information for any private purpose until the information has been released tc the pubitc;

. (ii) Compete for work for the Commission based on the information for a period of six (6) months after either the completion of this contract or the release of the information to the public, whichever is first; (iii) Submit an unsolicited proposal to the Government based on the information until one year after the release of the .

information to the public, or (iv) Release the information without prior written approval by the Contracting Officer unless the information has previously been released to the public by the NRC.

2) In addition, the Contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L.93-579), or other confidential or privileged technical, business, or financial information under this contract, the Contractor shall treat the information in accordance with restrictions placed on use of the information.

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

f. Subcontracts. Except as provided in 48 CFR 2009.570-2(g),

the Contractor shall include this clause, including this paragraph, in subcontracts of any tier. The terms " contract," " Contractor,"

and " Contracting Officer," must be appropriately modified to preserve the Government's rights.

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

h. Waiver. A request for waiver under this clause must be directed in writing through the Contracting Officer to the Executive Director for Operations (EDO) in accordance with the procedures outlined in 48 CFR 2009.570-9.

RS-ARM-89-144 Section H

% o-(End of Clause)

H.8-- DETERMINATION OF MINIMUM WAGES AND FRINGE BENEFITS (JUNE 1988)

Each employee of the Contractor or any subcontractor performing services under this contract shall be paid at least the minimum allowable monetary wage and fringe benefits prescribed under Wage Determination Numbers 86-1255 (Rev.5) and 86-1259. (Rev.5) dated 9/22/88 which are attached (Attachment 4).

(End of Clause)

H.9 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY The NRC will provide office space and office furniture / equipment to the Contractor in the on-site performance of this contract. The Government will maintain the Government's official property records in connection with the furniture / equipment provided to the Contractor. ,

(End of Clause)

H.10 SITE ACCESS BADGE REQUIREMENTS (JUNE 1988)

During the life.of this contract, the rights of ingress and egress for contractor personnel shall be made available as required. In this regard, all contractor personnel whose duties under this contract require their presence on-site shall be clearly identifiable by a distinctive badge furnished by the Government.

The Project Officer will assist the Contractor in obtaining the badges for the contractor personnel. It.is the sole responsibility of the Contractor to insure that each employee has proper identification at all times. All prescribed identification shall be immediately delivered to the Security Office for cancellation or disposition upon the termination of employment of-any contractor personnel. Contract personnel must have this identification in their possession during on-site performance under this contract. It is the Contractor's_ duty to assure the safeguarding of any Government records or data that contractor personnel may come into contact with. Adherence with special requirements for Foreign Nationals,.in accordance with NRC Manual Chapter 2101, Part VII.C is the responsibility of the Contractor.

(End of Clause)

Page 34

.RS-ARM-89-144 Ssetten I-PART II - CONTRACT CLAUSES SECTION I -

CONTRACT CLAUSES I.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE NOTICE: The following solicitation provisions and/or contract clauses pertinent to this section are hereby incorporated by reference:

FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1)

NUMBER DATE- TITLE .,

52.202-1 APR 1984 DEFINITIONS 52.203-1 APR 1984 0FFICIALS NOT TO BENEFIT 52.203-3 APR 1984 GRATUITIES 52.203-5 APR 1984 COVENANT AGAINST CONTINGENT FEES 52.203-6 JUL 1985 RESTRICTIONS ON SUBCONTRACTOR SALES TO THE GOVERNMENT 52.203-7 OCT 1988 ANTI-KICKBACK PROCEDURES 52.215-1 APR 1984 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL 52.215-2 APR 1988 AUDIT -- NEGOTIATION 52.215-22 APR 1988 PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA 52.215-24 APR 1985 SUBCONTRACTOR COST OR PRICING DATA 52.215-31 SEP 1987 WAIVER OF FACILITIES CAPITAL COST 0F MONEY 52.215-33 JAN 1986 ORDER OF PRECEDENCE 52.216-7 APR 1984 ALLOWABLE COST AND PAYMENT 52.216-8 APR 1984 FIXED FEE 52.219-8 JUN 1985 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL DISADVANTAGED BUSINESS CONCERNS 52.219-13 AUG 1986 UTILIZATION OF WOMEN-OWNED SMALL BUSINESSES 52.220-3 APR 1984 UTILIZATION OF LABOR SURPLUS AREA CONCERNS l 52.222-1 APR 1984 NOTICE TO THE GOVERNMENT l OF LABOR DISPUTES 52.222-3 APR 1984 CONVICT LABOR 52.222-26 APR 1984 EQUAL OPPORTUNITY 52.222-28 APR 1984 EQUAL OPPORTUNITY PREAWARD CLEARANCE OF SUBCONTRACTS 52.222-35 APR 1984 AFFIRMATIVE ACTION FOR SPECIAL DISABLED AND VIETNAM ERA VETERANS 52.237-3 APR 1984 CONTINUITY OF SERVICES I-

. _ _ _ _ _ ___ - _ -__ - - _ - __ _ D

Page 35-

( l RS-ARM-89-144. Section-I L

52.222-36 -APR 1984 AFFIRMATIVE ACTION.FOR HANDICAPPED WORKERS.

52.222-37 JAN 1988 ~ EMPLOYMENT REPORTS ON SPECIAL DISABLED VETERANS AND VETERANS OF THE VIETNAM ERA 52.223-2 APR 1984 CLEAN AIR AND WATER 52.224-1 APR 1984 PRIVACY ACT NOTIFICATION 52.224-2 APR.1984 PRIVACY ACT.

52.227 APR 19841 AUTHORIZATION AND CONSENT 52.227-2 APR 1984 NOTICE AND ASSISTANCE REGARDING PATENT AND COPYRIGHT INFRINGEMENT 52.227-14 JUN 1987 RIGHTS-IN DATA--GENERAL' 52.227-17 JUN 1987 RIGHTS IN DATA--SPECIAL WORKS 52.228 APR 1984 INSURANCE -- LIABILITY TO THIRD PERSONS 52.232-17' APR 1984- INTEREST 52.232 APR 1984 LIMITATION OF FUNDS 52.232 JAN 1986- ASSIGNMENT OF CLAIMS 52.233-1 APR 1984 DISPUTES ALTERNATE I (APR-1984)

'52.233-3^ JUN 1985' ' PROTEST AFTER AWARD ALTERNATE I (JUN 1985) 52.237-2 APR 1984 PROTECTION OF GOVERNMENT BUILDINGS, EQUIPMENT,-

-AND VEGETATION 52.'242 APR 1984 NOTICE OF INTENT TO DISALLOW COSTS 52.243-2 AUG 1987 CHANGES - COST-REIMBURSEMENT ALTERNATE I (APR 1984) 52.244 JUL 1985 SUBCONTRACTS

-(COST-REIMBURSEMENT AND LETTER CONTRACTS)-

52.244-5 APR 1984 COMPETITION IN SUBCONTRACTING 52.245-5 JAN 1986 GOVERNMENT PROPERTY (COST-REIM-BURSEMENT,-TIME-AND-MATERIAL, OR LABOR-HOUR CONTRACTS) 52.249-6 MAY 1986 TERMINATION (COST-REIMBURSEMENT) 52.249-14 APR 1984 EXCUSABLE DELAYS I.2: OPTION TO EXTEND THE TERM OF THE CONTRACT--SERVICES

-(FAR 52.217-9) ( APR 1984)

(a) The Government may extend the term of this contract by written notice to the Contractor within the time specified in the Schedule; provided, that the Government shall give the Contractor a preliminary written notice of its intent to extend at least 60 days before the contract expires. The preliminary notice does not commit the Government to an extension.

(b)'If the Government exercises this option, the extended contract shall be considered to include this option provision.

.(c) The' total duration of this contract, including the exercise of any options under this clause, shall not exceed 2 years.

(End of Clause)

Page 36

RS-ARM-89-144 Section I I.3 SPECIAL 8(A) CONTRACT CONDITIONS l

(FAR 52.219-11) (APR 1984)

The Small Business Administration (SBA) agrees to the following:

(a) To furnish the supplies or services set forth in this contract according to the specifications and the terms and conditions hereof by subcontracting with an eligible concern pursuant to the provisions.of section 8(a) of the Small Business Act, as amended (15 U.S.C. 637(a)).

(b) That in the event SBA does not award a subcontract for all or a part of the work hereunder, this contract may be terminated either in whole or in part without cost to either party.

(c) Delegates to the U.S. Nuclear RegulatoryCommission the responsibility for administering the subcontract to be awarded -

hereunder with complete authority to take any action on behalf of the Government under the terms and conditions of the subcontract; provided, however, that the U.S. Nuclear RegulatoryCommission shall give advance notice to the SBA before it issues a final notice terminating the right of a subcontractor to proceed with further performance, either in whole or in part, under the subcontract for default or for the convenience of the Government.

-(d) That payments to be made under any subcontract awarded under this contract will be made directly to the subcontractor by the U.S.

Nuclear RegulatoryCommission.

(e) That the subcontractor awarded a subcontract hereunder shall have the rignt of appeal from decisions of the Contracting Officer cognizable under the " Disputes" clause of said subcontract.

(End of Clause)

I.4 LIMITATIONS ON SUBCONTRACTING (FAR 52.219-14) (OCT 1987)

By submission of an offer and execution of a contract, the Offeror / Contractor agrees that in performance of the contract in the case of a contract for--

(a) SERVICES (EXCEPT CONSTRUCTION). At least 50 percent of the cost of contract performance incurred for personnel shall be expended for employees of the concern.

(b) SUPPLIES (OTHER THAN PROCUREMENT FROM A REGULAR DEALER IN SUCH SUPPLIES). The concern shall perform work for at least 50 percent of the cost of manufacturing the supplies, not including the cost of materials.

(c) GENERAL CONSTRUCTION. The concern will perform at least 15

Page 37 v 5 RS-ARM-89-144 Section I percent of the cost of the contract, not including the cost of materials, with its own employees.

(d) CONSTRUCTION BY SPECIAL TRADE CONTRACTORS. The concern will perform at least 25 percent of the cost of the contract, not including the cost of materials, with its own employees.

(End of Clause)

I.5 PAYMENT FOR OVERTIME PREMIUMS (FAR 52.222-2) (APR 1984)

(a) The use of overtime is authorized under this contract if the overtime premium cost does not exceed $18,595. In addition to this dollar ceiling, overtime is permitted only for work--

(1) Necessary to cope with emergencies such as those resulting from accidents, natural disasters, breakdowns of production equipment, or occasional production bottlenecks of a sporadic nature; (2) By indirect-labor employees such as those performing duties in connection with administration, protection, transportation, maintenance, standby plant protection, operation of utilities, or accounting; (3) To perform tests, industrial processes, laboratory procedures, loading or unloading of transportation conveyances, and operations in flight or sfloat that are continuous in nature and cannot reasonably be interrupted or completed otherwise; or (4) That will result in lower overall costs to the Government.

(b) Any request for estimated overtime premiums that exceeds the amount specified above shall include all estimated overtime for contract completion and shall--

(1) Identify the work unit; e.g., department or section in which the requested overtime will be used, together with present workload, staffing, and other data of the affected unit sufficient to permit the Contracting Officer to evaluate the necessity for the overtime; (2) Demonstrate the effect that denial of the request will have on the contract delivery or performance schedule; (3) Identify the extent to which approval of overtime would affect the performance or payments in connection with other Government contracts, together with identification of each affected I contract; and 1

(4) Provide reasons why the required work cannot be performed by using multishift operations or by employing additional personnel.

l (End of Clause)

RS-ARN-89-144 Section I I.6 PROMPT PAYMENT (52.232-25) (APR 1989)

Notwithstanding any other payment clause in this contract,.the Government will.make invoice payments and contract financing payments under the terms and conditions specified in this clause.

Payment shall be considered as being made on the day a check is dated or an electronic funds transfer is made. Definitions of pertinent terms are set forth in 32.902. All days referred to in this clause are calendar days, unless otherwise specified.

(a) Invoice Payments (1) For purposes of this clause, " invoice payment" means a Government disbursement of monies to a Contractor under a contract or other authorization for supplies or services accepted by the Government. This includes payments for partial deliveries that have been accepted by the Government and final cost or fee payments where amounts owed have been settled between the Government and the Contractor.

(2) Except as indicated in subparagraph (a)(3) and paragraph (c) of this clause, the due date for making invoice payments by the designated payment office shall be the later of the following two events:

(i) The 30th day after the designated billing office has received a procer invoice from the Contractor.

(ii) The 30th day after Government acceptance of supplies delivered or services performed by the Contractor. On a final invoice where the payment amount is subject to contract settlement actiens, acceptance shall be deemed to have occurred on the effective date of the contract settlement. However, if the designated billing office fails to annotate the invoice with the actual date of receipt, the invoice payment due date shall be deemed to be the 30th day after the date the Contractor's invoice is dated, provided a proper invoice is received and there is no disagreement over quantity, quality, or Contractor compliance with contract requirements.

(3) The due date on contracts for meat and meat food products, contracts for perishable agricultural commodities, contracts for dairy products, edible fats or oils, and food products prepared from edible fats or oils, and contracts not requiring submission of an invoice shall be as follows:

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6. PmOJECT TITLE AND OTHE M IDENTIF YtNG INFORMATION Consolidation, Operation and Maintenance of NRC'S Computer Centers YES i NO i TS S I C: NSI ( RD

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' for ADP operations and 2101, Part IV for any documents.

NRC photo identification badges issued under this contract are solely for use in performing work directly related to this contract. Use for personal or comerical. reasons which creates, or appears to create, unfair competitive advantage or conflict of interest will result in imediate revocation and retrival of badge (s) with resultant denial of building access.

10. CLASSIFICATION REVIEW OF CONTRACTOR /SU8 CONTRACTOR REPORT (S) AND OTHER DOCUMENTS WILL sE, CONDUCTED sY NAME OF AND TITLE OF POSITION OF AUTHORIZED CLA$siFIER O O oivision or seCua:Tv i

11. REQUIRED Dl5TRIBUTION OF NRC FORM 187 (C/m* worooners acesssit X X PRIME CONTMACTOR times,es SPONSORING NRC OFFICE OR olVOION tir-se fJer sveCoNTaACTea<<e s.,

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12. THE SECURITY / CLASSIFICATION REQUIREMENTS AND ATTACHMENTS REFERENCED HEREIN HAVE SEE APPROVED BY THE OFFICIALS NAMED IN 12s AND b BELOW. FINAL CONTRACTING APPROVAL SY THE DIRECTOR, OlVISION OF CONTRACTS OR HIS REPRESENTATIVE IS TO 8E INCLUDED IN 12c SELOW!

SIGNATURE oATE NAME a DIRECTOR. OFFICE OR OlvislON 2//,[f'f R. Stechen Scott, Acting Director, ARM /DISS ,

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dearmseest eprarihti uccirsi oot mio nif a ft t eu Et t penttda e yb f vc moit g i i spqe T st nwt r i a neox eh Oi o o o e u y r r n h n u ni e W i t( cert Nl nccdfbwdat asiDs

Form NRC.4E9 (176)

U. 5. NUCLEAR REGULATORY COMMISSION NRC MANUAL j

9' TRANSMITTAL NOTICE 8 CS.W..h30-3202 PT:LICATION OF 7ECHNICAL REPORIS PREPARED BY NRO C0!CRACIORS, INCWDING REPORTS PREPARED U)ER OR l

' PGSU/E TO IhWPlaENCY AGREEMDES SUPERSEDED: TRANSMITTED:

Date Number Date Number TN 3200-21 h/29/82 Chapter NRC-3202 6/29/e4 Chapter NRO-32:2 Page Page h/29/82 Appendix NRC-3202 8/29/64 Appendix I E -32~2 REMARKS:

Tr.is revision cf Chapter 3202 expands the chapter from coverate cf unclassified repe- s to include the rarkirs and handling of sensitive unclassified irferation (Official Use Only and Lirated Official Use Ir.fcmatien, SafeE eds Infomation, Proprietary Infomation) and classified irlemation (Top Secret, Secret, and Confidential). A see:icn has also beer. added to set forth procedures for the handling cf unclassified rep:r:s en h?: cooperative pmgrar:s with foreign l goverrr.er.ts Fr.d Tc. anizations and with U.S. industry.

t

}

___.m______

U.S. NUCLEAR REGULATORY COMMISSION NRC MANUAL Volute: 3000 Information and Foreign Activities Part . 3200 lechn'ial Information and Document Control ADM CHAPTER 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY' AGREEMENTS 3202-01 COVERAGE

' Thi> chapter - and it s appendix handbook establish responsibilities , basic requirements. standards and procedures for the documentation, production.

and d.is s emin a tit - of technical reports prepared by NRC consultants - and grantees and by. NRC contractors and their subcontractors, including reports prepared under or pursuant to interagency agreements or memorandums of understanding. These reports are hereafter referred to as contractor re-port s . This chapter does not cover NRC staff-generated documents. NRC docket material, or the documents generated by NRC boards, panels .

-f . advisory committees and Offices that report to the Commission.

t 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-cati <.r. A ct 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 ir other sensitive unclassified information, are not l

compromised by the release, distribution, or dissemination of technical reports from NRC.

1 024 to assure that formal NRC contractor reports will carry the regis-tered NRC designation NUREG/CR or NUREG/CP as the prime identification.

02i> to provide for coordination of press or other media releases.

3202-03 RESPONSIBILITIES AND AUTHORITIES i

031 The Director. Office of Administration:

1 .

.. a. de-elops and maintains , in consultation with Directors of Offi~ ces i' and Divisions and Regional Administrators, NRC standards, proce-dures and guides for the production and dissemination of technical contractor reports.

Approved: August 29, 1984 p.

PUBLICATION OF TECHNICAL REPORTS PREPARED BY i

NRC CONTRACTORS, INCLUDING REPORTS PREPARED

! NRC-3202-032 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS periodically surveys report activities throughout NRC to ascertain b.

that the provisions of this chapter are adequate and are being implemented, makes any changes needed.

032 The Director. Division of Technical Information and Document Control:

a, develops and administers a central report control syst4m for identi-fying. printing and distributing contractor reports and responding to requests for unclassified reports.

b. develops and maintains guides and standards for the documentation, formattin g , printing , dissemination , and public sale of unclassified contractor reports.

c. assures that a system exists for review of unclassified contractor reports for adherence to patent, copyright and disclosure policies prior to dissemmation.

d. establishes and administers interagency agreements necessary for the dissemination and public sale of unclassified contractor reports and controls dupbcation 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. m response to requests of Directors of Offices and Regional Admmistrators, establishes distribution data banks maintaint afficial standard distribution lists for automatic distribution of unc6.sified contractor reports, and controls distribution to assure adherence tc the Government Prmting and Binding Regulations the Privacy Act.

and the Freedom of Inf ormation Act.

033 Directors of Offices and Regional Administrators:

a. establish the contrert or Standard Order for Work

provisions.

meluding those regt red by this chapter and its appendix; Chapter NRC-3203, Distribuuon of Unclassified NRC Staff- and Contractor-Generated Documents and its appendix; Chapter NRC-0260, Print-in g , Copying , Graphics and Photography and its appendix; and Chapter NR C-1102, Procedures for Placement of Work with the Department of I:.nergy. In the Statement of Work:

I (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 draf t , including the type of disclaimer to be used in addi- ,

t ion to the standard government disclauner (see Exhibit 0).

"In the case of DOE work, this is NRC Fonn 173, Standard Order for DOE Work See Chapter NRC-1102.

Approved . August 29, 1984

I[

PUBLICATION OF TECHNICAL REPORTS PNEPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-034 (2) provide for the . reviews necessary - to insure that the national security, . patent rights , copyrights , proprietary rights and o 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 appen dix .

N) 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.

(0) establish the. number of copies the contractor may retain' or

.( request for internal and external distribution and charge i, . again s t 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.

G) assure the protection of classified and sensitive unclassified information . if . ar y . in contractor reports (see Appendix.

Part V).

b. assure adherence to instructions and authorizations regarding the reproducten and dis ~ibution of reports.

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

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

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

034 The Off5 ce of the Executive IerJO Director provides legal

review and advice to NRC staff on questions regarding inventions, patents, proprietary info: mation , use of copyrighted material national security, and

[ other sensitive unclassified and classified information.

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

Approved: August 29, 1984 .

PUBLIC ATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED

- N R C-3202-020 UNDER OR PURSU ANT-TO INTER AGENCY AGREEMENTS 03f. The D2 rector. 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 aD 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 fro::. the government for performance of the ecntract .

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 in'ormation.

3202-04 DEFINIT]ONS*

04' camera-ready com - aages ready for printing by the offset printing process. This as a colloquial t erm 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 pohcies, procedures and guides needed to identify and produce regulatory and technical reports and to assure adherence to requirements and standards for documentation. formatting. printing and distribution.

043 contractor report - record of work done (a report) prepared in .'

accordance with the provisions of a contract or under or pursuant to an L interagency agreement.

"Words underscored in definitions are also defined in list.

l Approved: August 29, 1984

. .i a,-

PUBLICATION OF TECHNICAL REPORTS PREPARED BY

. NRC CONTRACTORS INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS ' NRC-3202-044 '

y (r .

044 copyright - a form of protection provided by the laws' of the United States (Title 17 U.S. Code) to the authors.of. " original works of authorship".

including literary, dramatic, musical, artistic, and. certain other intellectual works. This protection is available to both published and unpublished works.

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

045 disseminate - to announce the publication of reports and make them available for free distribution, sale or copying.

046 distribute . to dispense reports 'to specific organizations and indi-viduals- to assure their participation in the regulatory process and support of research and technological investigations, Such distribution may be accom-plished by the use of standard distribution data banks established and main-tained by the Division of Technical Information and Document Control based on the requests of the originating Office or Region.

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.

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

[ written material requested for input to t, or " Environmental Statements" (ES) -

SEhs or ESs to be assued 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 inves tigation . cr a significar.t- 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 l may be requested for comment prior to preparation of the camera-ready copy 0410 NRC project manuier - 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.

0411 patent review - examination by legel 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 detemined to be unclassified by the NRC.

0413 pplicly available documents - information (reports and references)

( which is available in the NRC Pubbe Document Room (PDR) for public inspec-tion and copying or available in the public domain.

Approved: August 29, 1984

]

l S. 8 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS. INCLUDING REPORTS PREPARED NRC-3202-0414 UNDER OR PURSU ANT TO IN TERAGENCY AGREEMENTS t .

0414 reproducible masters - camera-ready copy which includes (1) origi-nals of 1me drawmgs (or prints that can be copied), (2) glossy prmts of black and white photographs (colored photographs cannot be reproduced). ,

(3). original typed or printed text, tables, cover, title page, contents and abstract, or (4) other forms of the materials listed in (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 fmal technical letter reoorts, draft or final formal technical reports for publication in the NUREG'7CF or NUREG/CP series, or draf t or fmal material for inclusion in SERs or ESs.

0416 technical letter reports (also called technical evaluation reports)

- interim or fmal letters that provide information on the technical aspects of contract work. Interim technical letter reports may be required at various stages of a project. These reports usually are followed by a final technical letter report or a formal technical report. Final technical letter reports are usually specified in situations where the technical work is review and eval-uation of work of others or work to be used by the staff in the licensing and 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-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 .

3202-05 B ASIC REQUIREMENTS 0 51 Applicability. The previsions 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. Beerase of the unique requirements of NRC boards, panels , advisory committee 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 the appendix. .

053 Appendix 3202. This appendix contains standards and procedures ,I for the preparation of reporting requirement portions of Statements of Work, and for the documentation, production, and dissemination of technical reports prepared by contractors and other government agencies in accordance with contract requirements or interagency agreements. .

Approved: August 29, 1984

I PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSC ANT TO INTERAGENCY AGREEMENTS NRC-3202-054 054 Preparation Requirements

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

by NRC shall be prepared according to Appendix 3202. The repro-ducible masters for the requisite distribution shall be transmitted to the Division of Technical Information and Document Control accom-panied by completed NRC Form 426A and NRC Form 335.

L. 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 Divisien of Technical Information and Document Control.

accompanied by completed NRC Form 426A, signed by the authon7ed contractor official. Each such report shall include, as the last pa,,e.

a completed NRC Form 335.

055 References. The NRC chapters referenced and NUREG-Oi94 (ref. j) and NUREG-005U (r(f. if are available from the Division of Technical Informa-tion and Docunent Con t rol . The other publications are available from the Government Prating Office .

a. Chapter NRC-0260. " Printing. Copying. Graphics and Photography "

L Chapter and Appendix NRC-2101. "NRC Security Program."

c. Chapter NRC-3203. " Dis t ribu tion of Unclassified NRC Staff- and Contractor-Generated Documents."

d. Chapu r NRC-Il02. " Procedures for Placement of Work with the Department of Energy "

e Chapter NRC-3200. "NEC Contractor 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 Printmg and Binding Regulations of the Joint Committee on Printing. Congress of the United States. No. 24, April 1977 (JCP Regulation s ) . Government Printing Office.

i Title 5. U S. Code. " Government Organization and Employees ."

Government Printing Office.

i i

Approved: August 29, 1984

m

'^

. .i t .s '

t.

. PUBLICATION OF TECHN] CAL REPORTS PREPARED BY .

NRC CONTRACTORS. INCLUD]NG REPORTS PREPARED

= NRC 3202-055 - UNDER OR PURSU ANT -TO INTER^

AGENCY AGREEMENTS .

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. Nasun.

USNRC Report NUREG-0794. October 1981,

1. Chapter NRC-0255 " Mail Management." and Appendix.0555, Part V.

Annex A.

I Approved: August 29, 1984 w__--__-______----_______ _ _ _ _ _

b f

g . .. . . . . . .

q ,.

I .

PUBLICATION OF TECHNICAL REPORTS PREPARED BY

, NRC- CONTRACTORS -INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Apperidix 3202 ll CONTENTS l

l.

PAGE l- PART I PREPARATION OF REPORTING-REQUIREMENTS PORTIONS OF STATEMENTS OF WORK FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR 00E WORK-A. LIST OF TECHNICAL REPORT REQUIREMENTS..................... . 1 E. REQUIREMENTS FOR FORMAL REPORT 5................................ 2 C .. REQUIREMENTS FOR DRAFT REPORT 5................................ 2 D. PUELISHIN3 UNCLASSIFIED, NON-SENSITIVE INFORM..(ION IN OPEN LIT ER ATURE AND PRESENTING PAPERS. . . . . . . . . . . . . . . . . . . . 3 TYPOGRAPHi..... . ... . ...................................... 4 E.

F. REPORTS CONTAIN]NG SENSITIVE UNCLASSIFIED AND 4

CLASSIFIED INFORMATION.. ... .. ....... .................. .

G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES 4

AND WORKSHOPS. ........ .. ... . ......................... ..

f f

' H. -WRITIN3 ANC PUELISHING UNCLASSIFIED B00K5...... .... .. ..... 5 DISTRIBUTION OF REPDRTS TO CONTRACTOR 5.... ... ............. .5 1

J. COORDINATION Or PRESS OR OTHER MEDIA RELEASES 5

OF U G A55]FIED INr0Rt1AT10N.. .......... . . . .... ......

7 PART !! UNCLASSIFIED FORMAL C3NTRACTOR REPORTS TO BE PRINTED BY NRC.

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

..... .. 7

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

F ront Cover e id T i tle Page. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 2.

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

9

4. Disclaimer. ......... ... .... . ............. ... ..

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

..................... ... 9

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

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

Bibliographic Data Sheet. . ......... .............. . . 10 6.

' 10 B. P AT E NT AND SE CURIT Y REVIEWS. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

10

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

10

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

i i Approved: August 29, 1984 i f

l' .

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS CONTENTS (Continued)

PAGE C. PROC EDURE S FOR PRINTING AND DISTRIBUTING. . . . . . . . . . . . . . . . . . . . . . Il

1. Printing....... ..... ............. ................. .. Il

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

3. Distribution of Reports. ............... . ... . .. .... II EXHIB]TS

1. Sample Cover for Unclassified Formal Contractor-Prepared Reports.

Excluding Those Printed by DOE Laboratories with JCP Authorized Federal Printing Plants. ....... ............................. 13

2. Sample Title Page for Unclassified Formal Contractor-Prepared Reports. Exclucing Those Printed by DOE Laboratories with JCP Authorizeo Federal Printing P1 ants....................... ... . 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' by DDE Laboratories with JCP Authorized Federal Printing Plants. . . . . .. ..... . .. .. ... .......... .. .... 16

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

6. Disclaimer and Availability Statements... . . ....... . . .... .. IE

7. NRC Form 335, Bibliographic Data Sheet........... .... . .. ...... 19 PART 11] UNCLASSIFIED TECHNICAL LETTER REP 0RTS....................... 21 A. FORMAT........ . . ........ . .. ...... .... .... 21

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

2. Requirements.... ....................................... 21 B. PATENT AND SECURITY REVIEWS...... ............... ...... ... 21

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

2. Security Review.... .. . . . . . . . . . ................. ... 22

^

PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE OFFICE OF NUCLEAR F.EGULATORY RESEARCH BY DOE LABORATORIES WITH JCP-AUTHORI2ED FEDERAL PRINTING PLANTS..................... 23 A. DOCUMENTATION. . ... ...... .. ... .... . . ...... . . 23 l

1. Applicability.. . . . . . . . .. 2*

Front Cover and Title Page. 23

2. . . .. . .. .... .

Approved: August 29, 1954 ii

PUBLICATION-OF TECHNICAL REPORTS PREPARED BY

- NRC~ CONTR ACTORS. INCLUDING REPORTS PREPARED ~ NRC Appendix 3202

- UNDER OR PURSU ANT TO INTER AGENCY ' AGREEMENTS f' CONTENTS (Continued)

PAGE

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

4. Disclaimer..............................................

25 Previous Reports in 5eries.............................. 25 5.

6. Abstract........................... ................... -25 References and Bibliographies.......................... 26 7.

Bibliographic Data Sheet ... ............... ... 26

8. ....

26 B. P AT E NT AND SE CURIT Y REVI EWS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

26

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

~26

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

27 C. PROCEDURES FOR PRINTING AND DISTRIBUTING.....................

P.rinting ..... .............. ... .................... 27 1.

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

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

PART v REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND 29 CLA551FIED INFORMATION. . . . . ... ........ .. ................

.29

( A. APPL]CASILITY. . . ... .. ......... ............ ....

v

( 29 E. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION......

.. . ........ . 30 C. PROPRIET ARY INFORMATION. . .. ...... ......

..... .. . . ... 31 C. SAFEGUARDS INFORMATlor . . .. .. . ....

...........,................ ... . 31 E. CLASSIFIED INFORMATION .

EXHIBIT 5

8. Sample Cover for a Contru tor Report Containing Official Use 33 Only Information. ..... . .... .......... ............... .

9. Sample Title Page for a Contractor Report Containing Official 34 Use Only Information. . . .. ............ .... .......

5

10. Sample Back Cover for a Contractor Report Containing Official 35 Use Only Information. .. ...

11. Sample Cover for a Contractor Report Containing Limited 36 Official Use Information. . . .. ......... ..................

12. Sample Tit 4 Page for a Contractor Report Centaining Limited 37 Official Lae Information. . . ........ . ..... .. ..... ..

I iii Approved: August 29, 1964

- ---------______m_______

l P1'BLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS. INCLUDING REPORTS PREPARED NRC Appenda 3202 1*NDER OR PURSU ANT TO INTER AGENCY 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 Octained from a U.S. Organization.................'-.... 39 l

15. Sample Cover Page for a Contractor Report Containing Propr-ietary Inf ormation Obtained f rom a Foreign Source. . . . . . . . . . . 40

16. Sample Title Page for a Contractor R'eport Containing Proprietary Inf ormation Obtained f rom a U.S. Organization. ..... . 41

17. Sample.Titie Page for a Contractor Report Containing Proprietary Inf orrration Obtaineo f rom a Foreign Source. . . . .. 42

12. Sample Eack Cose- for a Contractor Report Containing Proprietary Inf crmation. . .. .. . .. . ......... . 43

19. Cover Sheet for Reports Containing Proprietary Information. ...... 44

20. Sample Cover for e Contractor Report Containing Unclassified Safeguards Information...... . .............. 45

21. Sample Title Page for a Contractor Report Containing Unclassified Safeguards Information. . . .... .. . ... . . . .. . 4E

22. Sample Eack Cover for a Contractor Report Containing Unclassified Sefeguarcs Information.. . ...... . ... . . 47

23. Cover Sheet f or a Contractor Report Containing Unclassified Safeguards Information.. .. ...... ....... ....... .. .. .. . . 4E PART VI. HANDLING OF UNCLASSIFnD INFORMATION ON NRC COOPERATIVE PROGRAMS WITH FOREIGb GOVERNMENTS AND ORGANIZATIONS AND WilH 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. SECUR11Y.. . . .. . . .. .. ..... .. ......... .. 51 i

Approved: August 29. 1984 iv

Pl'BLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED l'NDER OR Pl'RSl' ANT TO INTER AGENCY AGREEMENTS NRC Appendix 3202

, ( CONTENTS (Continued)

PAGE I

ExH]EITS 24 Sar.ple Cover for a Draf t Preliminary Report (Code) for Comment. 52

25. Transmittal Letter from Contractor to NRC Project Manager for Draft Prelinirary Report (Code). ... .. ... ... ..... .. . 53 2E. Transmittal Sheet for Requesting Mailing to Cooperative Program Participants. . ... ... .............. ......... ... . 51 I

t.

A r

i 1 .

l v Approved : August 29, 1984

I q

PUBLICATION OF TECHNICAL REPORTS ' PREPARED BY NRC CONTRACTORS. lNCLUDING REPORTS PREPARED UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS NRC Appendix 3202 -

PARTI

^

PREPAR ATION OF REPORTING REQUIREMENT PORTIONS OF STATEMENTS OF WORN FOR CONTRACTS. GRANTS AND STANDARD ORDERS FOR DOE WORK A. LIST OF TECHNICAL REPORT REQUIREMENTS t

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 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 techn5 cal letter reports, draft or. final formal technical reports for publication in the NUREG/CR or NUREG/CP series , or draf t or final material .fginclusion in SERs or ESs (see definitions below).

technical letter reports (also called technical evaluation reports) -

interim or final letters that provide information on the technical

' [. aspects of the contract work. Interim technical letter reports may g

be required at various stages of a project. These interim letters usually are followed by a final technical letter report or a formal technical report. Final technical letter reports are usually specified in situations where the technical work is review and evaluation of wctk 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, inf >rmal (interim) progress reports . quick-look -

reports, data reports, status summary reports, project descriptions, pre- te st prediction s , 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 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 instigation. 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 perwdic technical reports may be required . A draft of the final or periodic report may be requested for comment prior to preparation of the camera-ready copy. l t

\

1 Approved: August 29, 1984

. _ - _ , . _ _ . _ _ _ _ _ . . _ ___..m_ _ _ _ . _ _ _ _ _ _ _ . _ _ _ _ _ . _ _ - _ _ _

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NBC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Fa rt 1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS draf t or final material- for publication or inclusion in SERs . Ess.

letten. cr heense amendments - written material requested for use in the NRC heensing process. Such material may be (1) abstracted -

it a NUREG report or attached to a NUREG report. (2) attached to a letter or an amendment to the license, or (3) abstracted and used as necessary by the ' NRC staff. NRC requires patent review and full management review of this material by the performing organiza-txn. This material is to be submitted to NRC as a technical letter report addressed to the project manager and identified by the FIN number.

For purposes of this Part, contractor means a private contractor, con-sultant grantee . ancther State or Federal Agency working under an

- intera gen cy a greemen t , 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-cati:n. 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-rea dy 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-0050). 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 Technical r. formation and Document Control, NRC, Washington, D.C. 20555. by first class mail. For handling of sensitive unclassified and classified reports see Ptrt 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.

l C. REQUIREMENTS FOR DRAFT REPORTS 1

If a draf t 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 NBC and/or participant comntents on the draft. State that all draft material should be submitted to the cognizant project manager. ,

When the contractor is to submit draft material for comment prior to the preparation of the final report, state that if there are NRC program and/or pa;12cipant 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 at is a letter report or input to an SER or ES, or to the D2recter. Division of Technical Information and Document Control, if it 2s l

Approved: August 29, 1964 2 I

[: _ . _ _ _ _ - - _ _ _ - _ -

1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS.. INCLUDING REPORTS PREPARED NRC Appendix 3202

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 1 camera-ready - copy for printing and distribution. This is to be done to assure proper publication, handling, and distribution and, among other -

thmgs, to preclude 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, he/she should inform TIDC of that desire, in that case, upon receipt of the camera-ready copy by TIDC, the project manager will be informed and requested to prepare and sign the NRC Form 426A.

Also state that if agreement on changes to a formal technical report to be issued in the NUREG/CR series is n_ot reached, the NRC project manager may request the contractor to prepare the camera-ready copy with , in addition to the standard disclaimer required on all contractor -

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

State that if NRC objections cannot be covered in this manner, NRC can refuse to publish -the report. In the case of . DOE / National Laboratory reports, the DOE Operations Office Manager responsible for that Jabora-tory should be informed by the NRC Office Director or Regional Adminis-trator of the decision and the reasons therefor, with a copy to the

[ Laboratory Director. In the case of another Federal agency, a State, or g 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 ins, sad of submitting a final report and/or present papers at pubhc or association meetings during the course of the work, add the following state:nent 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 meetints at interim stages of the work.

4 If the project manager wants to review the paper or journal article prior to presentation or submission for publication, state this in the Statement of Work, as f ollows:

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

PUBLICATION OF TECHNICAL REPORTS ' PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part 1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS manager in draf t 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.

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 tc cover NRC objections. If NRC objections cannot be covered in this manner, NRC can refuse to authorize publication in the'open litera-ture and/or presentation of papers.

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

The contractor is then free to publish without NRC identification of the information . This will not affect payment of the contract work costs.

Project manager or higher level decisions may be appealed to the NRC. j Executive- Director for Operations.

If the contractor proposes to publish in the open literature or present the information at meetings in addition to submitting the required tech-nical. reports, approval of the proposed article or presentation should be obtained from the NRC project manager. The NRC project manager shall either approve the material as submitted, approve it subject to NRC-suggested revisions, or disapprove it. In any event, a project manager may disapprove or delay presentation or publication of papers on infor-mation that is subject to- Commissioner approval that has not been ruled upon or which has been disapproved.

(See Chapter 3206 for provisions relating to payment of page charges and travel costs for presentation of papers.)

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

F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION Details of the marking of reports designated Official Use Only, Limited Official Use, Proprietary Information , Safeguards 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 '

l WORKSHOT5 l

1 l

NRC publishes or assists in the publication of compilations of papers i presented at meetin gs , conferences, and symposiums in which NRC l

Approved : August 29, 1984 4 .

i

Pl'BLICATION 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 detsiled guidance is available from TIDC upon request.

H. WRITING AND PL'BLISHING 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 reports may be retained by or will be bulk shipped to the contractor by NRC for internal use.

If fewer than 50 copies are needed, indicate the desired quantity on NRC Form 426A. Single copies for specific individuals in organizations other than the contractor's organization who are not included in the distribution requested by the NRC project manager may be requested on a project basis or on a report-by-report basis. The request, with written justifi-cation, should be addressed to the NRC project manager, with a copy to NRC/TIDC. If the additional distribution is approved by the NRC project manager, the contractor shall send these copies (if printing is done by the contractor) and address labels, even if printing is done by NRC. to NRC/TIDC, where the distribution will be made along with the

, standard distribution. Distribution of sensitive unclassified and classi-

[ fled reports will be made by the project manager on a case-by-case basis.

J. COORDIN ATION OF PRESS OR OTHER MEDI A RELEASES OF UNCLASSI-FIED INFORMATION A contractor may request permission to issue a press or other media release on the work being done. Such request shall be made to the project manager, who will consult with his/her management and with the Off2ce of Public Affairs. Tne contractor may not issue a press release on nonroutine information without this prior coordination. This coordination may be accomplished by telephone, with the NRC project manager respon-sibic for expeditious handling. Decisions not to release information or delays in handhng by t1e project manager may be appealed to the NRC Executive Director for Operations.

l l

5 Approved: August 29, 1984 l

l

L .

' PUBLICATION OF TECHNICAL REPORTS PREPARED BY.

NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART 11

, UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC A. DOCUMENTATION J. 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 Regulatory Research.

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

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

\ 2 F ront Cove r and Title Page a_ Separate covers and title pages are required (see Exhibits 1 and 2 for contractor reports and Exhibits 3 and 4 for reports prepared under or pursuant to interagency agreements).*

b. The items shawn in Exhibits -1 '.hrough 4 - and discussed below shall appear on the title page and cover, as appropriate,**

(1/ NRC Reriort 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 unigt:e identification is maintained 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 cepy of the cover of the performing organization may be sub-mitted; however, the data elements shown in Exhibit 1 must be included.

L ws These requ;rements meet the specifications of American National Standard ANS) Z09.18-1974, Guidelines for Format and Production of Scientific and

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

7 Apprcved: August 29, 2984

PUBLICATION OF TECHNICAL REPORTS ' PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Ptri 11 l'NDER OR PURSUANT 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.

L When s 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.

(5) Personal Author ( t r Name(s)

Authors' names should be given 'on the title page and cover unless this is impractical, as in the case of annual reports which have many contributors. If authors' contr>-

butions are as ed2 tors, compilers, etc. , so indicate on the title page fol!owing the names. In addition, list affiliation of each author only if affiliated with an organization other than the organization generating the document.

( -1 ) Organizatier Identification On the tide page and cover, provide information of the type illust. rated in Exhibits 3 through 4.

(5) Basis fr.r 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 Approved : August 29, 1984 8

H

' PUBLICATION OF TECHNICAL: REPORTS PREPARED BY

'NFC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 I'

l'NDER OR PURSUANT TO INTER AGENCY AGREEMENTS ' Part 11

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

1. Disclaimer The following notice will be added during the printing s'tep on.the .

inside front cover (Exhibit. 6): .'"This report was prepared as an account of work sponsored by an agency :of the United States Government. Neither the United States Government nor any agency thereof, or any of their employees, makes any. warranty, expressed or unplied, or assumes any legal liability or responsibility for any.

third pr ty'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. would not infringe privately owned righ t s . " The following additional statement. "The views expressed m this report are not necessarily those of the lE S.

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

5. Previous Reports in Series

(.

. If ' the report being prepared is one in an ongoing series, list all

\ previous reports in the seric. 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 Bib iographies Reports or other documents referenced in text, reference sections, bibliographies , end 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 w

This preferre' positioning of the abstract in the report need not be followed

' if the style manual of the originating organization reouires a different

( loca tion .

9 Approved: August 29, 1984 L

I i

L PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. lNCLUDING REPORTS PREPARED Part 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS .

information and information with restricted distribution (e.g., ,

proprieta ry , national- security, official use only , etc.). If the unretrievable information is important and unrestricted. it can be quoted in the text in footnotes, or in appendixes. If credit is due to individuals, they can be mentioned in the text or in an acknow ", .

ledgement section . Availability may be stated collectively for all entries -(see Exhibit 6).

Guidelines for developing and presenting reference , material are provided in NUREG-0650, " Technical Writing Style Guide '

published in November 1979 (see Appendix A, pp . 19- 25. 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. If the work being reported is contractually managed through another government agency (e.g.

DOE laboratories), that government agency should bc requested b.s the contractor to perform the patent review . The result of such review shad 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 certanty that the report contains no description of novel technical developments which may be of an inventive nature.

NRC Form 426A m. y be completed with the statement "Not Appli-cable" or "N/A" in the space for the Patent Counsel's signature. If there is a possibility that there is disclosure of developments of an inventive nature, the contracting officer shall request assistance from the NRC Patent Counsel, Office of the Executive Legal Director.

2. Security Review ,

In most cases, contractor reports wiD 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 .

Infor:a 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

f., ,

PUBLICATION OF -TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 11 1 C. PROCEDURES FOR PRINTING AND DISTRIBUTING 1

( 1. Printing Reproducible masters prepared in accordance with this appendix shall be transmitted to the Division of Technical Information and Document Control, accompanied by completed NRC Form 426A (Exhibit 5). NRC Form 426A must be signed by the NRC project manager or a contractor official authorized by the project manager.

Such authorization shall be reported in writing to TIDC.

The Division of Technical Information and Document Control will review the masters for adherence to the standards set forth in this chapter and appendix and will arrange for printing and distributing 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.

2. 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 Divisicn of Technical Information and Document Control in accordance with instructions on NRC Form 426A (Exhibit 5). The D2 vision 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 Inform nion Service (NTIS), the Government Printing Office and the Depository Library Service.

If any distributhn is to be made other than, or in addition to, the standard distribution established for the report, written justification and the project manager's approval for printing additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control . Address labels for the additional distribution must be supplied.

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

i 11 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PPRSPANT TO INTERAGENCY AGREEMENTS =c - :

EXHIBIT 1 SAMPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No. NUREG/CR-1676 Contractor Report No. (if any) NUSAC-566 Vol., Part, Rev., etc. (if any) Vol.1

~

m Using Advanced Process Monitoring to Improve Material Control Sutstitle and Type of Report Final Report

( Annual. Topicai, etc.) September 1979 September 1980 Author (s) **es.a ec t,

6 me..+i

L Lvace.A F Lumt Contractor WSAC tace roested NRC {7e eg e, n , , ,,

Commis* on l

13 Approved: August 29, 1984

l PUBLICATION OF TECHNICAL REPORTS PREPARED BY '

NRC Appendix 32C2 NRC CONTR ACTORS. INCLUDING REPORTS PREPARED Part 11_ _

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 2 SAMPLE TITLE PAGE FOR UNCLAS: ' A CORMAL CONTRACTOR.

PREPARED DOCUMENTS, EXCLUDING *i!.vsE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NUREG CR 1676 NRC REPORT No.

Contractor Report No (if any) {q$f 5%

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

Distribution Category No. (et any)

T,ue Using Advanced Process Monitoring to improve Materia! Control subtitle and Type of Report f e,e mepe t Septembet 1979 Septembe,1980 (Annual, Topicst, etc i Report Dates and Bases .., .c.eg .; 5.g.-w sine

.....e.,

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Compder ts), e tc I Contractor Name 54: .. .

and Address 2$.7*'/f t.

NRC Sponsorship p,ee.s.ee a,v o...

on ceon o o setee...,s.s re .ciee Meieeist sofeiv eas seteowseos u s %e .. mepu'eso. Co**ess e-NRC Contract No. ErNN us?

e 4

Approved: August 29, 1964 14

PUBLICATION OF TECHNICAL REPORTS PREPARED BY Nar Annendiv 't?n?

NRC CONTR ACTORS. INCLUDING REPORTS PREPARED :t

} UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS .a ,$.

EXHIBIT 3 SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No NUREG CR 1952 Contractor Report No SAND 810151 Vol., Part, Rev ., e tc LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks

! independent Verification Testing Program Type of Report e

Independent V:nficatlOn Test-1 or Subtitle

**#' ' 'n'Tjf,',i['e a ~'e"'7,,%,[ Um Author (st, E ditor (si w Contracter s. c. sei.one;La w .ie ei Sponsorsbo 5 i... m e s vi 'o'.

i.

15 Approved: August 29, 1984

PUBLICATION OF TECfiN] CAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part 11 _

t NDER OR P1'RSU ANT TO INTER AGENCY AGREEMENTS y EXHIBIT 4 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL REPORTS PREPARED j

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No.

Contractor's Report No.

Vol., Port, Rev., etc. S ANDe t-010 Distribution M Category l T,ii. LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal ,

Blocks !

Subtitle ina,p,neen; y,,,t c i.or Testing Prog'am inceDeMoe97 VerdiCat'0B Tesi 1 Report Dates u, ... . r <. ; -, e , ,y l La . S.,s e - w. * ]

Author (s). E ditorh) 7 ,

6., ,i ., , , , , ,,,, , , , , , , , , , , , , ,,,

v. s s . ,..o r a e ts c 48 ;

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Namt and Address I a NRC Sponsorship n'.eoe o .... . ei mes.eeni ee 'e- eao mee onei meecio, inspece,en oes.:e es easpeci. a er e e a+o,c.m.at u s nocwe. neggieve commise.ee OC NRC FIN No eSic I

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Approved August 29.19M 36

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRP Appendix 3202 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Pa t E EXHIBIT 5 NRC FORM 426A, PUBLICATIONS RELEASE FOR UNCLASSIFIED NRC CONTRACTOR AND CONSULTANT REPORTS

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3200 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Nt M UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS ,

EXHIBIT 6 DISCLAIMER AND AVAILABILITY STATEMENTS '

(BACK OF COVER)

I i

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T- .uper, es .up .s - of e.re u.ed - e. .d su. ;

Genernment. 8eorister the Usoted Gesem Genersautens nor any w enssuet, or sur of Wutr emotovuoi, aiskes any sorrenty. espouse er empted, or asmsmus muy engil tintiley of

spermeierty toe any thwd arty's uns, or seis esswen of assh iss, of any futunusulsh,appenis, presurt er resens easteend e esas report. y supremsnu shot en en by empi sued prey unsed not mirmy y=sicay ownse emphts te0TICE Ave,wbility of metrarse Meterest Cesed m N AC Pwhiassieru host oocumean cited m NRC pubiaterm unit to eenen6e trem ens of the tehouwig saurems 1 The hRC Pubist Document Room.1717 M Street.N W washerton. DC 20b65 2 The NRC/Geo $see Program. U.S huciese Repleiery Commenon, Washerton. DC 20655 3 The hetions' Techneet informeten $sevee. $semy'etd. V A 22181 Atthough the heting that toltown represents the masorety of semeniana ereed en NMC puthesperu, et e not enwnere to Ise enhowstree Retorenced occwmens selebie ter inspecten entf seeymg ter e fee trem the NAC PWesic Demu ment Room mciuse NRC corresponeonce end interest NRC nesseroses. NRC (Mfee of lausertson enc Enforcement tulletms creviers enfrmetoa notems puparten end ensusteesten sistassa.

Laccause Ewat Aeoorts sensor reports and corressenconce, Commenen poport, and appliesnt and hcensee escumens and servemoness:

The foiieweg soevavan m te Nunt G estas er, eesistas ter puruness hem she ofRC/GP0 Seem Progrra termet NRC su't and sear sciar esperu. NRCennserad omneweries pressushnes, and N aC toomwn ow a rechw en Also ess4bie m Aaptserv Gwiens.WRC septsesens an she Omar of herst Asyverens. end huedser Aeprestery Canunemen deneness Doeva nno eveinstoe from the 4 pons' Tessmus' ensermsten tevue 6metues NUAEG sye repers end tocancet repeau prem, ee by etour sussel aprese eW repara prepared try we Asems Energy Coasneen, torerunner er,ancy to som seusauer Repassary thusadamen Domeneau eundetes bem pueM eral apuust empouset tigrerie tuuhses eN essi musumpo Innes.

mseh as teoks. soumel end perserrest ortetes. end tropuertssas Feskref Ampuser neeens, tappel oral een apenwien. wid eenresuewi resere esa unen, to sensed eram shes utrones Desunent esch as teimms. demursters. foresyi espers and erweismens.end nandeAC emntemus l peousemps tre euestemte les purahums trem the opgesessmen.asuureig Wie publimenen sland.

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$mele copies of NRC Oft reports are avsetable free.to seu essent of supply.upon eressi semaest to the Desea et Technesel entormaten end Desument Centret. U.S. counteer Aapesesry Com soumen.Washwirton DC 20t66 Csees of meus"y esos end seneres used an a maksiemese monster en the NRC espesesry pesas are memomec et the NRC Lierary. 7920 fuerte8k Aessmas, ts#uses. tarvtsad.eW see onesets thre for re's ence um by Wu puniac. Quess and generves are eme#, empyrupiend sw nis7 he purchased kom the enemetag a>pmseten er, if gewy ye Anurmen sesseret Sapienses. trem sew Ams sea Astensi Senenres enrniste.1430 traseuey. 8ese Vert. NY 10018 G*o messe capt erus Apprcvf-d - August 9, 198) 18

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NBC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Annendix 3202 UNDER OR PURSUANT TO INTER AGTNCY AGREEMENTS eg - 23 EXHIBIT 7 NRC FORM 336 - BIBLIOGRAPHIC DATA SHEET

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1 19 Approved: Augus.1 29. 1981 1

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l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, lNCLUDING REPORTS PREPARED Part 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 7 (Continued)

BACK OF NRC FORM 335 i

DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT eNsTauCTiONs hac $0ew 33g gigLiccompMic DATA $ mitt t$ SA$1D ON GuiDELeasts 80m 90mWAT AND Pm00VCTs0's 08 SCetNTIFiC AND TICMhiCAL mt*0mts Ansi 23913.tpfe Ava:LacLt an0w AwameCAN ev&TIONAL STANDamDs eNsteTUTE 143C gm0AD* A v. htev v0*s. NY 1001t E ACM stpAmATE Lv 80VN0 mt90mt.sca E x AppLt, t ACM v0Luwt #N A WsLTiv0Luwt StT.SaALL MAvt 175 UNicut 8:evt0GmAPM8C DATA SMEiT

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6 IDENTIFilm8 AND 0*tes teeDED Timid 5 use ee*t-f.ees to* p* erect memes coes nomes. sovemean ses.gasto s e CATE at*0mf ISSUE D tec* *ecoat e%e , co e , e soie etc use eseneases toerwerest te+ms we ttea ia erecee'e' me.cet as moatm eae vee + pubussec 90= least see thew see,wts 80' wa.ca ao ereceete' esists sa one thosevevs T. Ptm80mWINC ORGANIZATI0ld $saut AttD B4AILeWC ADDa tSS G we home, street, c ett. siete sac 268 caos il AVAILASILtTY PATEMihif Deaete avb..e eteensb i't..

L et no me e thea twoirveis o*ea sepamaet.ow heeeca, 's esamese *vahanec". e' sem tsie* *** *eeseat o'%e-Deep.e, the meme o' the oepeaisenoa ensei., es so re.s ,*ea secue.i, D+s.o*. Ottice O*psmastea o+ Gove*ame *t sprace. ene eso eas 94. , JCumif y CLASSIF8 CAT 804. lave. U S Served, Cess '-

c- ** en aceseoeace meta U S Secuot e mesetateas I e .

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1 Approved : August 29, 1954 20

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

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 j PART 111 UNCLASSIFIED TECHNICAL LETTER REPORTS A. FORMAT 1 -. Applicability a, 'The requirements of this part apply t'o unclassified contractor 1 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 i accordance with the requirements of the Statement of Work in the j contract or in the Standard Order for DOE Work. Each such report must be identified with the financial number (FIN) assigned to the ;

project . The number of copies to be prepared and the distribution l of those copies wiU be specified by the project manager. 'If unclas- l

( sified and non-sensitive, the NRC project manager is responsible !

for naking such reports available in the NRC Public Document Room i (PDR) by sending them to the PDR through the NRC Document J Control System. ;

i B. PATENT AND SECURITY REVIEWS I

1. Patent Review )

l Patent implications shad be considered prior to approval of reports for public release so that disclosure wiD not adversely affect the '

patent rights cf l'RC. If the work being reported is contractuaDy managed through another government agency (e.g. , DOE labora-tories), that government agency should be requested by the con-tractor to perfor'n the patent review.

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 shan consider ;

- the patent implications. J If there is a possibility that there is disclosure of developments of an inventive nature, the NRC contracting officer shaU request )

asristance from the NRC Patent Counsel, Office of the Executive 1 Legal Director.

21 Approved: August 29, 1984

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, PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 'NRC CONTRACTORS INCLUDING REPORTS PREPARED Part' 111 1*NDER OR PURSUANT TO INTERAGENCY AGREEMENTS

2. Security Review In~ most cases, contractor technical letter reports will be uriclassi-

fle d . Should a report of. sensitive unclassified. or classified work .

be' required, however, the . project manager must work with ' the Division of Security to establish the appropriate security procedures and inform the contractor of such procedures. The standards for marking and - handling such reports are given in Part V of this appendix and NRC Appendix 2101.

i-1 I"

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Approved: Aui;'. .

29, 1984 22

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC -CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202

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PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE NRC .

. OFFICE OF. NUCLEAR REGULATORY RESEARCH BY DOE LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS A. . DOCUMENT ATION

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

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

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.

~e a'

2, Front Cover and Title Page

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

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

(2) 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 Inforn.ation and Document Control. Numbers may s

The cover stock of the performing organization may be used; however it

- must include the data elements shown in Exhibit 3. ,

se i- These requirements meet the specifications of American National Standard ANSI Z39.18-1974, " Guidelines for Format and Producti.on of Scientific and Technical Reports," and ANSI Z39.23-1974, " Technical Report Numbers . "

23 Approved: August 29, 1984

p PUBLICATION OF TECHNICAL REPORTS PREPARED Bi NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part 1\' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS be obtained by calling the Division of Technical Informa-tien and Document Control or by submitting a copy of NRC Form 426A (Exhibit 5) with a request for a number, ,

The NRC identification number will have the form:

NUREG/CR-XXXX or NUREG/CP-XXXX The contractor's report number, if any, will be inserted below the NUREG number on the title page and cover, as shown in Exhibits 3 and 4, if desired by the contractor.

When a report consists of more than one volume or bind-ing or is issued in more than one edition, an appropriate volume , supplement, part , or revision designation shall appear immediately below the report number (s) . NRC report numbers on covers and title pages shall be shown entirely on one . line to facilitate computer processing.

(2) Title and Subtitk (a) Use e 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 and cever unless this is impractical, as in the case of ar qual 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 Commis sion ."

Approved: August 29, 1984 24

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV

(

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

(5) Basis for Report Dates (s)

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

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

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

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

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

!, Neither the United States Government nor any agency thereof, or I 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 statemert , "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" will be printed belov the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed (see Part 1.C. ,

Requirements for Draf t Reports).

5. Previous Reports in 'ieries 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.*

e f f- 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 i

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

- Part IV UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS I j

7: References and Bibliographies Reports or other documents referenced in text, reference sections. "

bibbographies , 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 Pubbe Document Room. This means that references should not be made to personal communications and interviews , unpublished information and information with restricted . distribution (e.g.,

. proprietary . national security , official use only, etc.). If the unretrievable information is important and unrestricted, it can be l 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-E 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, "' echr.ical Writing Style Guide , pub-lished in November 1979 (see Appendix A, pp.19-23, for specific guidance) and Supplement I dated February 1982.

E. 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

-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 revie v.

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 append 2x and NRC Appendix 2101.

Approved: August 29, 1984 26

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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 IV C. PROCEDURES FOR PRINTING AND DISTRIBUTING

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 i Regulatory Research . Reports printed by the contractor and one reproducible master shall be submitted to the Division of Technical Information and Document Control, with completed NRC Form 426A.

The number of copies specified by the Statement of Work for stand-ard and incidental distribution shall be provided. The appropriate

!' identifying number (NUREG/CR _) may be obtained as discussed in Section A . 2.b . (1) .

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 shall include a written justification and the project managers. approval for the re-printing, along with address labels for the recipients.

3. Distribution of Reports

/

i 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).

NRC Form 426A must be signed by a contractor official authorized by the project manager. Such at .horization shall be reported in writing to the Division of Technical Information and Document Control .

If any distribution is to be made other than, or in addition to, the standard distribution established for the report,- written justification and the project manager's approval for printing additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control. Address labels for the aaditional distribution must be supplied.

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

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

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27 Approved: August 29, 1984

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

. UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202

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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.

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

Sensitive unclassified in!ormation also includes Safeguards Information that must be protected from unauthorized disclosure pursuant to 10 CFR 73.21 and Sectien 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 infor1 nation not to be '

exported to or disclosec' to foreign countries.

Classified information as used in this part includes Restricted Data, Formerly Restricted Dnta or National Security Information that requires protection in one of the three classification categories described in Executive Order 1235G: 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. OFFICI AL USE ONLY AND LIMITED OFFICIAL USE INFORMATION.

NRC regulations require an Official Use Only marking to be placed on a k-r report only when the originator or other holder believes the marking is 29 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 l

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 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 time of origiriation.

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 reprodu cing , transmitting , protecting , and handling reports containing Official Use Only and Limited Official Use information and removing such reports from those categories are detailed in NRC Appendix 2101.

C. PROPRIETARY INFORMATION Proprietary information is a specific type of Official Use Only informa-tion . Proprietary information includes:

1. trade secrets.

2. privilege d or confidential research, development , commercial or fmancial 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 submitte d in confidence to NRC by a foreign source, which has been detarmined by NRC to be unclassified.

Unclassified NRC contractor reports containing proprietary information shall be marked as shown in Exhibits 14 through 18. In each instance.

the optional wording that describes the material being presented should be selected.

If a report contains both Official Use Only information and proprietary information , the front cover shall be 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 , inclu ding , marginal or other indicators of the specific wording that is proprietary. Similarily, the pages that contain Official Use Only information without proprietar,, information may be marked Official Use Only Approved : August 29, 1984 30

PUBLICATION OF TECHNICAL REPORTS PREPARED BY p

NRC CONTR ACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSPANT TO INTERAGENCY AGREEMENTS Part V Procedures for reproducing, transmitting, protecting and handling pro-prietary mformation reports and removing them from the proprietary information category are detailed in NRC Appendix 2101. A cover sheet

- (Exhibit 19) is to be placed on each hard copy of a report containing proprietary information.

D. S AFEC'.*ARDS INFORM ATION 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 i Act, which is marked and handled as described in this Section, and (3) unclassified information , which is publicly available and handled as q

mdicated m Parts I through IV.

The sdeguards information that is to be protected as described here is I unclasse.ed mformation used in a report which specifically identifies certam licensee's or applicant's detailed: '

1. security measures for the physical protection of special nuclear I materia!

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

( facilities t"

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

I Procedura fcr reproducing. transmitting, protecting, and handling safe- l guards mfomation report s and removing them from the safeguards 1 information category are detailed in NRC Appendix 2101. A cover sheet (Exhibit 23) 25 to be place.d on each hard copy of a report containing i safeguards mformat2cn.

E. CLASSIFIED INTORMATIM Classified information 15 limited to Restricted Data, Formerly Restricted Data and National Sec urity 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

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r PUBL?OATION OF TECHNICAL REPORTS PREPARED BY L NRC. Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED' Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS -

It is important to note that' information may not be classified in order to prevent or delay ' the release of information that does- not require protection in the interest of national security. Basic scientific research information not clearly. related to national security may not be classified. -

I 32 Approved: August 29, 1984

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY ~

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

' f" Procedures for ' reproducing, transmitting, protecting and handling pro-prietary information. reports and . removing them from the proprietary information category are detailed in NRC Appendix 2101. A cover sheet

. (Exhibit 19) is to be placed on each hard copy of.a report containing proprietary information.

D. SAFEGUARDS INFORMATION' Safeguards information may be of three types: (1) classified informa-tion , which is marked and handled as indicated in Section E. (2) un-classified information restricted under Section 147 of the Atomic Energy Act, which is marked and handled as described in this Section, and (3)'

unclassified information , which is publicly available and handled as indicated in Parts I through IV.

The safeguards information that is to be protected as described here is unclas uned information used in a report which specifically identifies certain licensee's or applicant's detailed:

1 securit y 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

(

4' f acilitie s ,

Unclassif2ed NRC contractor reports containing safeguards information that is to be protected shall be marked as shown in Exhibits 20 through 22.

Procedures fer reproducing. transmitting, protecting, and handling safe- -

guards information report s and removing them from the safeguards information category are detailed in NRC Appendix 2101. A cover sheet (Exhibit 23) is to be placed on each hard copy of a report containing safeguards information E. CLASSIFIED INFORMATIM i 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 Arpendix 2101.

(.

31 Approved: August 29, 1984

._______-____.__m__ _ _ _ . _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ . _ _ _ _

l1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 1

It is important to note that information may not be classified in order to prevent or delay the ~ release of information that does not require protection in the interest of national security. Basic scientific re6earch !

information not clearly related to national security may not be classified. -

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Approved : August 29, 1984 32

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPAR"D NRC Appendix. 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEM" NTS Pa-t V EXHIBIT 8 -

SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING -

OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY NUREG'CR-XXXX (Si Title Subtitle and Type of Report Awtherts a, Idtto'isi Contreeto' Frepered for U $ Nwcmar Reguistory Commission

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1 l I OFFICIAL USE ONLY I

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33 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 PURSU ANT TO INTER AGENCY AGREEMENTS 9 EXHIBIT 9 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONiY INFORMATION OFFICIAL USE ONLY NUREG'CR.XXXX (5)

Title Subtme enc Type e' Repo-u ,,,w.o. como ,.e io...

o... e,we.e -,.- .

ace... s on....

co ,..n. a.w .ec.....u l

Peeeeeeefor Divisic h ON.c o U.5 hwciese Reguistory Commiss.on WesNmpton. O C ENSE hRO Flh hc a

OFFICIAL USE ONLY I

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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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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

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pa.MY EXHIBIT 14 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION PROPRIETARY INFORMATION NUREG'CR XXXX (Pi Title Subtitle and Type of Report Autho'ts). f 5itortsi Cont's:to' Prepared for U $ Nucteer Reguistory Commi.sion

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PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE PROPRIETARY INFORMATION NUREG:CR XXXX (P)

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EXHIBIT 18 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION PROPRIETARY INFORMATION PROPRIETARY INFORMATION

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43 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 19 COVER SHEET FOR REPORT CONTAINING PROPRIETARY INFORMATION .

PROPL*TARY INFORMATION NOTict Tel AMatMED 00CuwthT C0htaiht " pacta rtant m80s WATT 0h AhD SaouwD 98 mANDJD As wat "055eceAt U$t Dh v' eN8DawATson n EMOs D NOT St DISCUS $1D Oa 8 wast AwAJt t TO ANY PER60% h0i AIOJimeNG SUCM IN 0awa Tech th Tat CohDUCT 08 088sC*As estehtst ANC SaDuiD at

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Annanriiv '4'10'/

UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pm V k

EXHIBIT 20 SAMPt.E COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEQUARDS INFORMATION NUREG'CR XXXX (SGn Title Subtitle and Type of Report Autherts) Eastor(s)

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l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTR ACTORS. INCLUDING REPORTS PREPARED Part \' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 21 ~.

SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING .

UNCLASSIFIED SAFEGUARDS INFORMATION SAFEQUARDS INFORMATION NUREG'CR XXXX (SG)

Title Svetme end Type of Repon E*?! L*~"u ; '".':

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J PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS,' INCLUDING REPORTS PREPARED NRC Anoendix 3202 l'NDER OR Pl'RSl' ANT TO INTER AGENCY AGREEMENTS Pa.m V EXHIBIT 22

- SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORMATION i

f a SAFEGUARDS INFORMATION ,

47 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 EXHIBIT 23 J

COVER SHEET FOR A CONTRACTOR REPORT CONTAINING .

UNCLASSIFIED SAFEGUARDS INFORMATION

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F k . THIS DOCUMENT CONTAINS INFORM ATION WHICH MUST BE PROTECTED1 FROM

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. UNAUTHORIZED DISCLOSURE.10 CFR 73 21 AND SECTION 147, ATOMIC ENERGY l i f' -

g ACT OF 1954 APPLY.. VIOLATIONS ARE SUBJECT TO civil OR CRIMINAL PENALTIES. i-

, THf5 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 3 CONT AINER.

, ( IT IS YOUR RESPONSIBILITY TO F'iOTECT THE INFORMATION CONTAINED IN THIS DOCUMENT FROM COMPROMISE. THEFT OR UNAUTHORIZED DISCLOSURE.

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Approved : August 29, 1984 48

PUBLICATION OF TECHNICAL REPORTS' PREPARED BY NRC CONTR ACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART VI 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. industry and foreign governments and orga-nization s . Such involvement includes monetary contributions , information exchange,. and comments on program plans and results. This is authorized in 42 U.S.C. 5801. To this end, international and U.S. industry agreements have been signed that provide for transmitting unclassified information from NRC to participants. These procedures apply only to NRC-managed work not programmatically funded by DOE.

The interests of all NRC cooperative nuclear safety research program partici-pants are served best by early, rapid dissemination for comment of informa--

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 mformation by a contractor shall be designated

" Draft Prelm.inary ' Rep rt (or Code)," and shell include the cover sheet shown in Exhibit 24.

The following notice :s to be printed on the bottom of the cover sheet (Exhibit 24):

NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of Commission action , it has not have received patent review and may con-I tam information received in confidence. Therefore, the con-tents of this report should neither be disclosed to others nor l

[ reproduced, wholly or partially, unless written permission to do so has been obtained from the appropriate USNRC office.

The recipient is requested to take the necessary action to ensure the protection of this report.

49 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS This notice has been agreed to by the legal staffs of both NRC and DOE and is not te be added to or changed. Any problem in this regard shall be brcught to the attention of the NRC project manager, who wul consult -

with the NRC iegal staff.

The " Draft F rehminary Report (or Code)" shall be submitted by first class or express mail by the contractor to the NRC project manager, with the letter shown in Exhibit 25, in the number of copies specified by the project manager (in most instances this will be fewer than 20 copies).

The contractor (DOE facility, contractor or subcontractor or other con-tractor) may retain copies only for internal use. DOE facilities and contractors and their subcontractors shall not distribute copies of this draft report to DOE /TIDC. Draft reports may be distributed to interested DOE program offices . Subsequent issues of the information shall also be designated "Draf t Prehminary Report (or Code)" until the NRC project manager authorizes preparation of a NUREG/CR report.

"Draf t Preliminary Reports (or Codes)" sLall not be identified as NUREG/CR reports or carry any centractor report number or NRC dis-tributi:n codes .

B. DISTR]BUTION BY NRC PROJECT MANAGERS The NRC project manager will distribute the copies received only to (1) the partiet snts 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 cert 2f y to the need on NRC Form 420, " Request for Preniium Cost Mail Service Premium cost mad is:

1 Express Mail, Pr.ority Mail (First Class weighing more than 12 ounces) 2 International E'. press 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

?,

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

., UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI

( .

the appropriate . iodic 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 reports from NRC to program participants, shall be handled by the Document Management Branch (DMB), Division of Technical Information - and Document Control (TIDC), based on address labels of participants supplied by the project manager. The transmittal sheet shown in Exhibit 26 shall be used to transmit the documents and the labels to DMB.

F. SECURITY If information included in the report or code has been determined to be 5ensitive unclassified or classified information (see statement of work) the procedures of Part V also apply. The report (or code) may ny be classified soiely for the purpose of limiting distribution to the partici-pants, f

1 1 .

I.

s 51 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS e REPARED BY NRC Appendix 3202 NLC CONTRACTORS, INCLUDING REPORTS PREPARED Part V1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 24 SAMPLE COVER FOR A DRAFT PRELIMINARY REPORT (CODE)

FOR COMMENT ,

DRAFT PRELIMINARY REPORT (CODE) FOR COHMENT 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 ISSUEF UNLY TO PARTICIPANTS IN THE DESIGNATED COOPERAT!*T PROGRAM ,

This report was preiared in contemplation of Cornission action. It has not received patent review and my contain inforr4ation received in confidence.

Therefore, the cor, tents of this report should neither be disclosed to others nor reproduced, wholly or partially, unless written permission to do so has been obtained from the appropriate USNRC office. The recipient is requested to take the .1ecessary action to ensure the protection of this report.

Approvcd : August 29, 1984 52 .

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

(. EXHIBIT 25 TRANSMITTAL LETTER FROM CONTRACTOR TO NRC PROJECT MANAGER FOR DRAFT PRELIMINARY REPORT

.4 TO: NRC Project Manager

SUBJECT:

DPAFT PRELIMINARY REPORT (CODE) ON (PROGRAM TITLE) FOR COMMENT The enclosed "Dr6f t 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 t.. +he 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 f report in the NUREG/CR series under the provisions of NRC Manual Chapter 1102 or 3202.

DOE Facility or Contractor Representative i

{

i 53 Approved: Augus't 29, 1984 l

1 - _ - - - - -- -

[' .O l- a ,. ,

Pl'BLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS I?:CLUDING REPORTS PREPARED- .NRC Appendix 3202 ,

UNDER OR PURSI' ANT TO INTERAGENCY AGREEMENTS ' Part VI EXHIBIT 26 TRANSMITTAL SHEET FOR REQUESTING .

MAILING TO COOPERATIVE PROGRAM PARTICIPANTS Recipients : Addresses on attached labels Method of Mailing:

.C/ First Class Postal Service to U, S. addresses C/ Express mail to U. S. addresses

1, 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 l' UNCLASSIFIED INFORMATION Special instructions :

Individual Requestir.g Mailing:

Project Nanager or High 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 14RC 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 mad (Air Mail weighing more than 10 ounces)

(See Chapter NRC 0255-05B and NRC Appendix 0255, Part V, Annex A) 54 Approved: August 29, 1984

% t, 5 ATTACHMENT 6 4

MINIC0f1PUTER HARDWARE LIST DATA GENERAL HARDWARE-MY/8000 running A05/VS with a 900 LPM printer, 800/1600 BPI tape drive.

2 MV/15000 Mod 8 running A05/VS with a 1000 LMP Data Products printer on each system, plus a 2000 LPM printer which is shared, 1600/6250 tape drive on each.

2'MV/6000 running AOS/VS, a 436 LPM printer on each. These two systems are networked through X0DIAC, 800/1600 BPI tape drive on each.

2 MV/10,000 running AOS/VS une with a 300 and 900 LMP printer, and one with a 300 and 600 LPM printer. STC tape subsystem on each.

IBM HARDWARE IBM 9375 Model 60 IBM 9377 Model 90 IBM 9335 Disk Drives (8)

Telex 1589 1600/6250 Tape Drive (2)

(HP Laser Jet Printer)

Software Used VM/SP RSCS-VTAM PVM HEWLETT PACKARD HP/3000 Model 40 running MPE with MRJE, a 2680 laser printer, and a 1600 BPI tape drive.

HP/3000 XE running MPE with MRJE, a 2680 laser printer, and a 1600 BPI tape drive.

l l

L L

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ML20244E396

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ML20244E396

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