Text

Contract: Technical Assistance to Support Operator Licensing Activities, Awarded to Sonalysts,Inc
	ML20245G331
Person / Time
Issue date:	07/10/1989
From:	Skraba F, Wiggins E; NRC OFFICE OF ADMINISTRATION (ADM), SONALYSTS, INC.
To:	;
Shared Package
ML20245G318	List: ML20245G314; ML20245G331;
References
	CON-FIN-L-1289, CON-NRC-03-89-031, CON-NRC-3-89-31 NUDOCS 8908150366
	Download: ML20245G331 (168)
	v • d • e

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L c0 D ORDER WARD / CONTRACT

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3. EFF ECT svE DAT E

4. REQui&6 DON /PURCHAbE REQUES's /PMoJEC T No..

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5. ISSUED Sy

6. ADM4NtSTERED BY fit other in.n item As CODE CODE

[ U.S. Nuclear Regulatory Commission Division of Contracts &~ Property Mgmt. Washington, DC 20555 ~

7. NAME AND ADORES $ OF CONT R ACT O R (No.. se,res, city, countv. St.te.n. /JP Code #

8. OEL4 VE RY e

h OTHER isu belows F B RGN Sonalysts, Inc. '- ' ' ' " " ' " " " " " " ' " ^ " " ' " ' Attn: F.J. Skraba 215 Parkway North Post Office Box 280 N/A l l .Waterford, Connecticut BeOm m H copscs unless other. wise specalleds TO THE 12 CODE ' lF ACILITY CODE ADDRESS $HO'.*lN IN-

11. bM69 T Q/M A RM, F Q H g

12. PAY MEN T WILL BE MADE BY l

.See Section F.5 U.S. Nuclear Regulatory Commission Division of Accounting & Finance GOV /COM Section Washington, DC 20555 }3. AUTHOR 6TY FOR USING QTHER THAN FULL AND OPEN COMPET6

14. ACCOUNisNG AND APPROPRt AT 60N DATA B&R No.20-19-30-03-02 FIN No.L-1289 O n u.s C.253 eit 0 to u s C. 23o4teit i

Appro. No.31X0200.209 Oblio.Amt. i 15A. ITEM NOl 158. SUPPLIES / SERVICES 15C. QUANTITY ' l15D. UNIT 15E. dr1JfMhtd I pe!?F LU.DUNT The U.S. Nuclear Regulatory Commiss-on hereby acceplts Sonalysts, Inc.'s technical proposal dated May 1, 1989 in response to RFP N6. RS-NRR-89J031 entitled, " Technical Assistance to Administer Exam" nation $ to Nuclear Plant Applicants", and as amended on Apri' 17, 1989, all of whi6h are incorporated into this contract by reference, to perform this' effort as specified herein. See attached pages for incorporation of administra ive chances. Total Estima ed Contract Ceilina RN-0TGering) 15G. TOTAL AMOUNT OF CONTRACT $t4_nja c4Q, 4

16. TABLE OF CONTENTS VIiSEC.I DESCRIPTION

{PAGE(S) VIiSEC 1 DESCRIPTION lPAGEIS) DART t - THE SCHCOULE PART 11 - CONT R ACT CLAUSES 4l 1 l CONTR ACT CLAUSES I JD A A, A SOLICITATION /CONTR ACT FORM ^ B SUPPLIES OR SERVICES AND PRICES / COSTS { PART it - Li$T OF DOCUMENTS. EXHIBITS AND OTNER ATT ACH. A C DE SCR IPTION/SPE CS.iWOR K ST ATEME NT ^lJ l LIST OF ATTACHMENTS I 4J W IN PART IV - REPRESENT ATIONS AND INST RUCTIONS ^ D PACK AOlNG ANO MARKING A E INSPECTION AND ACCEPTANCE AD K REPRESENTATIONS. CERTIFICATIONS AND A F DELIVERIES OR PERFORMANCE 10 OTHER STATEMENTc;OF CFFERORS ^ G CONTRACT ADMINISTR ATION DATA 19 L INSTRS. CONOS.. AND NOTICE S TO OF FE RORS ^ H SPECIAL CONTR ACT REQUIREMENTS JU M EVALUATION F ACTORS FOR AWARD CONTRACTING OFFICER WIL L COMPL ETE ITEM U OR 18 AS APPLICABL E 17. CONTRACTOR'S NEGOTIATE. REEMENT (Contr cfor as.re-18. AWARD (Coa. tractor as not required to esan this docu,nent ; vou-B""S*c0in'.Ti5"??:%":"=n:EliYA:".2 "YM %"G2"iG1" =," :pw::,==:,":=r:":::

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. =:= := ;.m;;:= =:===:, =L'i 0,'7'""'*"****'*""*"'"'"""""*""**"""'"""" f".fl*'%."e.*.3..n. m.'":nr,n n'!.s.'A.i,M,.n,',"';.'".*.".'an.il l,"1"A "O.'f," 3,.cn a t a a,~.n., mnc n 19A. NAME AND TeTLE OF S6GNER tType or prants 20A. NAME OF CONT RACTING OF F1CER . F. J. SKRABA 9908150366 890710 Elois J. Wi'ggins PDR CONTR COMPTROLLER 192. NAME OF CONTR AC.1Q 19C. DATE lag,NED 208. U a 05 L OF MEN.. E f// /[ 777 jgg By av ,s . -.1 a. .nor....o...n, <s n.n,..i con mn, 011,nr, v- . _,_ ST,ANDARD F,ORM 26 (REv. a st rnN T540 03152.a069 , _,,_...,.,,,_, _ _,,, _ _, _, _,,.. _ _ 2 6:l o f,,, _ _,__

E p 8' r '-'5 "~' A !?*/ 9OTh fkp Y[;j.1! MD dMN A + 4. Paragraph a, of Section G.1 entitled, Indirect Rates (Mar 1987) is hereby_ completed as follows: G.1 INDIRECT RATES (MAR 1987) a. Pending the establishment of final indirect rates which shall be negotiated based on audit of actual costs, the, Contractor shall be reimbursed for allowable indirect costs as follows: CATEGORY RATE (%) C_0ST BASE-APPLICABLE PERIOD 5. Paragraph a. of Sectioh G.2 entitled, Project Officer Autfiority is hereby completed as follows: a. The Contracting Officer's authorized representative hereinafter referred to as the Project Officer for this contract is: Name: Karen Pulsipher Address: U.S. Nuclear Regulatory Commission Mail Stop OWFN 11-H-22 Washington, DC 20555 Te'1ephone Number 301/492-1215

6. -Paragraph a. of Section G.3 entitled, Travel Reimbursement (Mar 1987) is hereby completed as folicws:

a. Total expenditure for domestic travel shall not exceed $409,634.00 without prior approval of the Contracting Officer. 7. Section G.4 entitled, Remittance Address is hereby deleted in its entirety. 8. Paragraph a. of Section H.1 entitled, Key Personnel (Mar 1987) is hereby completed as follows: H.1 KEY PERSONNEL (MAR 1987) a. The following individuals are considered to be essential to the successful performance of work hereunder. r- .e

s. l r i s e 4 9. Section I entitled, Contract Clauses is revised to add the following clause at 52.223.6 Drug-Free Workplace Clause. 10. Section I entitled, Contract Clauses is revised to delete the following clause 52.215.31 Waiver of Facilities Capital Cost of Money. i 11. Section J entitled, Attachments is revised to delete Attachment No. 2 Billing Instructions and insert current Billing Instructions dated April 1989. 4 e s e r 4 h-.-__ _.__-__...___m_

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3 4J 209 1.CONmm%

6

AGE OF#AOL i,

.DMENT OF SOLICITATION / MODIFICATION OF CONTRACT 1 l 3 WMENT/MOQiFsCATION NO. J. F.FFECTIVE DATE

4. REOutS4 T ech/ PURCHASE REQ. t..

! s. PROJEC T NO. [ w (1)- 4/17/89 RS-NRR-8's-031 AVEQ SY,

1. AQM4Ni&TERED SV (jf other taan aidm 6) 1.S. Nuclear Regulatory C88bsion CODE l Division of Contracts & Property Management Mail Stop,P-1042' Washington, DC 20555

a. N AME ANo AooRE5s OF CONT R ACTOR tuo...,r,,s.,oun,y, s ta,, ano z;r Co.,,

y, j9A. AMENOMENT OF SOLICITATION NO. Sonalysts Inc. X RS-NRR-89-031 e P.O. Box 280

98. DATED (SEE HE.W Hs ALL OFFER 0RS 215 Parkway North 3/21/89 I

Waterford, CT 06385 2cA. MODIFICATION OF CONTa ACTecROer NO. Aud. DATEQ tsEE JIEN J JJ CODE 1L297 IFACILITY CODE

11. THIS ITEM ONLY APPLIES TO AMENOMENTS OF SOLICITATIONS The above numbered solicitation is amended as set forth in item 14. The hour and cate specified for receipt of Offers is extenced;

. is not ex-tenceo. Off<srs must acknowiecsq! ano 15 ano returningegof tgis amggnyrgtogepog.gg'ggg in, tngig* ig mgedgge of the following metnoos: g g (a) By completing)Oerx copies of tne amenoment; tel By acanowieaging receipt or inis amenoment on eacn coov of the offer suomitted; or (c) By secarate letter or te!egram whicn incluces a reference to tne schcitation and amenament numoers, FAILURE OF YOUR ACKNOWLEDG MENTTO BE RECElVED AT THE PLACE DESIGNATED FOR THE RECEIPT OF OFFERS PRIOR TO THE HOUR AND DATE SPECIFIED MAY RESULT IN AEJECTION OF YOUR OFFER. If cy virtue of tnis amenoment you cesire to enance an offer aiready submittec.suen cnange. we maae ey teiegram or lettsr. provided eacn teiegram or letter mares reference to tne solicitation and this amenoment, and is received prior to the opening nour and dete specified, I

12. ACCOUNTING AND APPROPRI AT60N DATA f// requueos

13. THIS ITEM APPLIES ONLY TO MODIFICATIONS OF CONTRACTS / ORDERS, IT MODIFIES THE CONTR ACT/ ORDER NO. AS DESCRIBED IN ITEM 14 g

A. THis CMANGE ORDER 15155UEC PUR5UANT TO: (Specsty outnority) THE CHANGES SE T FOR TH iN ITEM 14 AR E MADE iN TME CON. i TR ACT O ROER NO. IN ITEM loa. B. THE ABOVE NUMBERED CONTR ACT/OROER 15 MOOlFtED TO REFLECT THE ADMINISTR ATIVE CHANGES (sucn as enanges in paysag office. appropriation date. etc.) SET FORTH iN ITEM la, PUR5tJANT TO THE AUTHORITY OF FAR 43.103(D). C. THi$ byPPl.EMENTAi,. AGREEMENT 15 ENT ERED 4N TO PURSUANT TO AUT MOR6T Y oft O. OTHER uSpecsfy type of maaitication ana autns.rstyp See Comment in Block 11 above E. IMPORTANT: Centractor b is not, is required to sign mis document and return ecoies to t9e issuing Office.

14. DESCRadT AON OF AMENOMENT/ MOO 6F ICATiON *Organseca ey UCF section henaangs ancsudans sotscatation/ contract supiect matter wnere feasicie.s j

This amendment is being issued: (1) to provide questions received and their responses, on the Subject Solicitation, to all offerors, (2) to revise Section H.6, entitled, " Contractor! Organizational Conflicts of Interest" and (3) to extend the due date for receipt of proposals. J E ce as proveceo nere n, all tarms ar.c concetions of the occument referenced an item 9A or loa, as theretofore enangea. remains unchangeo anc in full torce

b. NAME AND tit LE OF SiGr4ER (Type or prints 16A. N AME AND TIT LE OF CONT R ACT 4NG OF FiCER IType or prints F.J. Skreba, Comptroller Patricia A. Smith A bb. CON T R AC TORio 4

A bC. DAT E LiGNEO 10El. vNiT ED ST AT ES OF A SE R hCA AOC. CA{E SiGNt.C 5 b/ 7.,- ~ BY 46st%kWe of pfrnon outnorssed to signs bl]l0$ (Sveture of Cdn 'actsnt Uffacert l - - - e e-m - - --~a

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q - Question 1. If possible, we'would like to know the levelized monthly man-hour work effort which has been required under-the l present contract. Answer 1. The average monthly man-hours work effort required under the present contact is 7.25 staff months per month. Question 2. What is the average number of Task Assignments completed monthly by the incumbent? Answer 2. The average number of task assignments completed monthly by the incumeent.is 3 tasks per month. Question 3. In reference to qualified personnel on Page 10, second paragraph-which states, the contractor for this project shall be either currently or previously certified Reactor Operator Examiners: (a).Is this certification granted only by the NRC7 b) Define certification criteria? (c) If personnel-proposed are qualified under Step 1 or 2 what is the process for certifying these personnel as Reactor Operator Examiners? d) At whose expense will this certification be granted? Answer 3. a)' Operator examiner certification is granted only~by the NRC. b) The procedures for obtaining certification are contained in Operator Licensing Branch Manual Chapter 110 (OLB-MC-110 dateo 3/10/89). A copy of this manual chapter-is in the NRC Public. Document Room (PDR) located at the Gelman Building,'2120 L Street, N.W., Washington, DC, (301) 634-3237. c) See item b above d) Training required for certification as an examiner shall be at the contractor's expense. Ref: Page 10 of the Statement of Work, 3rd paragraph, last sentence. Ques-ion 4. In reference to Cost Proposal as explained on Page 60 specifically under Paragraph C which states, the Offerer shall provide a Cost Proposal based on the estimated level of effort. Does this pertain only to the cost of direct labor, labor overhead _, G&A fee or does it include all cost such as travel, travel expenses, office space, photo copying, computer, computer supplies, etc? Answer 4. All costs associated with performing the effort as addressed in the Statement of Work should be identified. Please refer to " Standard Form 1411 with Instructions" ' 0 _S' + 9 4 1

j

y. H;6 SP'ECIAL CONTRACTOR ORGANIZATIONAL CONFLICT OF INTEREST PROVISIONS Your attention is directed to NRC's Contractor Organizational Conflict of Interest provisiers specified in 41 CFR Subpart 20-1.54 set forth in Attachment No. 1.

In order to assist the contractor in understanding and applying these provisions services specified urder this contract, the following modifications,:re hereby made and incorporated into Section 20-1.5405-1, General Contract Clause, of Attachment No. 1: 1. Add to paragraph (b), " Scope" the following sentence: Except where a lesser limitation is stated, these provisions apply to the entire subject matter set forth in the scope of work from the entire period of contract performance, including any extensions, and are therefore not limited to the scope or duration of a particular task order. 2. Change paragraph (c), " Work for others" to (c)(1) and add new subparagraphs (c)(2) as follows: (c)(2) The contractor shall not perform any services for any utility subject to NRC's regulatory authority that are the same as, or substantial.y similar to, the services l contemplated under the scope of work for this contract without prior written appreval of the NRC Contracting Of ficer. 3. Add to paragraph (d) " Disclosure after award" a new subparagraph (d)(3) as follows: (d)(3) Recognizing that the scope of work of this task order type contract necessarily encompasses a broad spectrum of activities, the contractor agrees that it will disclose all proposed new work of any type involving utility sites or utility organizations subject to NRC's regulatory authority. Such disclosure shall be made prior to the submission of a bid or proposal to the utility whenever possible, and shall be received by NRC at least 15 days prior to the proposed award date in any event. The disclosure shall include the statement of work and any other documents that are needed to fully describe the proposed work for che regulated utility. (End of Clause) The hour and date specified for receipt of offers is extended to 2:00 p.M., Local Time, Monday, May 1, 1989. k- ---L.---..-_-=n-

7 3,- 4 s 2 Page 1 n SOLICITATION, OFFER AND AWARD OMB No. 0505-0005 -i Expiration Date: 05/31/88

1. TITLE:

Technical Assistance to Administer Operator Examinations to Nuclear Plant Applicants

2. CONTRACT NO.

3. SOLICITATION NO.

4. TYPE OF SOLICITATION RS-NRR-89-03I Negotiated (RFP)

5. DATE ISSUED 6.

REQUISITION / PURCHASE NO.- March 8, 1989 RS-NRR-89-031 ~ . at

7. ISSUED BY

8. ADDRESS OFFER T0- ~

All proposals should be addressed U.S. Nuclear Regulatory Commission as indicated in Block 7, however, Div. of Contracts & Property Mgmt. handcarried proposals (including Mail Stop ~P-1042 Express Mail) must be delivered 4 Washington, DC 20555 to the address in Block 9. NOTE: In sealed bid solicitations, " offer and offeror" mean " bid and bidder". = - - - SOLICITATION 9.. Sealed offers in original and 8 copies for furnishing the supplies or services in the Schedule will be received at the place specified in Item 7, or if handcarried, in the depository located in Room 1011, Tenth Floor, 7920 p/ Norfolk Avenue, Bethesda, Md. 20814, until 2:00 P.M. local time on April &, 1989 - CAUTION-LATE Submissions, Modifications, and Withdrawals: See Section L, Provision No.'52.214-7 or 52.215-10. All offers are subject to all terms and conditions contained in this solicitation.

10. FOR INFORMATION CALL: A. NAME: Mrs. Deborah DeMarco B. TELEPHONE NO.: (301) 492-4279 (No Collect Calls)

( ~~

11. TABLE OF CONTENTS PART/SECTION DESCRIPTION

-PART I - THE SCHEDULE A SOLICITATION / CONTRACT FORM f B SUPPLIES OR SERVICES AND PRICES / COSTS C DESCRIPTION / SPECIFICATIONS / WORK STATEMENT D PACKAGING AND MARKING E INSPECTION AND ACCEPTANCE F DELIVERIES OR PERFORMANCE G CONTRACT ADMINISTRATION DATA H SPECIAL CONTRACT REQUIREMENTS PART II - CONTRACT CLAUSES I CONTRACT CLAUSES PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS J LIST OF ATTACHMENTS PART IV - REPRESENTATIONS AND INSTRUCTIONS l K REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS L INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS M EVALUATIch' FACTORS FOR AWARD EXCEPTION TO STANDARD FORM 33 STANDARD FORM 33(REV-4-85) APPROVED BY GSA/0IRM 6/85 FAR(48 CFR) 23.214(C) d

PAGE 2 SOLICITATION, OFFER AND AWARD s OFFER (Must be fully completed by offeror) NOTE: Item 12 does not apply if the solicitation includes the provisions at 52.214-16, Minimum Bid Acceptance Period.

12. In compliance with the abeve, the undersigned agrees, if this offer is...

accepted within calendar days (60 calendar days unless a different period is inserted by the offe'or) from the date for receipt of offers specified above, to furnish any or all items upon which prices are offered at the price set opposite each item, delivered at the designated point (s), within the time specified in the schedule.

13. DISCOUNT FOR PROMPT PAYMENT (See Section I, Clause No. 52.232-8) -

' "] 10 Calendar days 20 Calendar days 30 Calendar days ,. Calendar days 5 ~

14. ACKNOWLEDGEMENT OF AMENDMENTS (The offeror acknowledges receipt ot u,.

amendments to the SOLICITATION for offerors and related documents numbered and dated: ~ 1 AMENDMENT NO DATE AMENDMENT NO DATE 15A. NAME AND ADDRESS OF OFFEROR

16. NAME AND TITLE OF PERSON 1

DUNS Code: Facility: AUTHORIZED TO SIGN OFFER 1 (Type or Print) 15B TELEPHONE NO. (Include Area Code) ~ 15C. ( ) CHECK IF REMITTANCE ADDRESS IS DIFFERENT FROM ABOVE--ENTER SUCH ADDRESS IN SCHEDULE

17. SIGNATURE

18. OFFER DATE:

~ ~ - ' ~ AWARD (To be completed by Government) ~ ~~~~ ~ ~ ~ "~

19. ACCEPTED AS TO ITEMS NUMBERED 20. AMOUNT 21, ACCOUNTING AND APPROPRIATION-

22. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION

( ) 10 U.S.C. 2304(c)( ) ( ) 41 U.S.C. 253(c)( ) 23.SUBMITIN[0[CESTOADDRESSSHOWNINITEM25: -~~- ~ = ~ ' " (4 copies unless otherwise specified)

24. ADMINISTERED BY

25. PAYMENT WILL BE MADE BY' (If other than Item 7)

U.S. Nuclear Regulatory Commission Division of Accounting and Finance GOV /COM Accounting Section Washington, DC 20555

26. NAME OF CONTRACTING OFFICER 27. UNITED STATES OF AMERICA 28.lAWARDTIATt (Type or Print)

(Signature of Contracting Officer) IMPORTANT

Award will be made on this Form or on Standard Form 26,

~ - ~ ~ ~ or by other authorized official written notice. EXCEPTION TO STANDARD FORM 33 ~ ~~

APP 20VED BY GSA/0IRM 6/E5 4

I

3 ~ TABLE OF CONTENTS PAG 5 3 i SOLICITATION, OFFER AND AWARD.................... 1 TABLE O F CONTENTS.......................... 3 SECTION B - SUPPLIES OR SERVICES AND PRICE / COSTS.......... 7 B.1 BRIEF DESCRIPTION OF WORK (MAR 1987)............ 7 ALTERNATF I (MAR 1987) B.2 CONSIDERATION AND OBLIGATION--TASK ORDERS (MAR 1987).... 7 SECTION C - DESCRIPTION / SPECIFICATION................ 9 f / WORK STATEMENT J C.1 STATEMENT OF V0f;K (MAR 1987)................ 9 C.2 TRAVEL (MAR 1987)..................... 13 SECTION D - PACKAGING AND MARKING.................. 14 0.1 PACKAGING /ND MARKING (MAR 1987).............. 14 SECTION E - INSPECTICN AND ACCEPTANCE................ 15 E.1 CLAUSES INCORPORATED BY REFERENCE............. 16 (FAR 52.252-2) (APR 1984) E.2 PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987)....... 15 SECTION F - DELIVERIES OR PERFORMANCE................ 16 F.1 CLAUSES INCORPORATED BY REFERENCE 16 (FAR 52.252-2) ( APR 1984) F.2 PREPARATION OF TECHNICAL REPORTS (MAR 1987)........ 16 F.3 TECHNICA!, PROGRESS REPORT (MAR 1987)............ 16 F.4 FINANCIAL ^,TATUS REPORT (MAR 1987)............. 17 F.5 PLACE OF DELIVERY--REPORTS (MAR 1987)........... 17 F.6 DURATION OF CONTRACT PERIOD (PAR 1987)........... 18 ALTERNATE I (MAR 1987) SECTION G - CONTRACT ADMINIS M TION DATA.....'.,....... 19 G.1 INDIRECT RATES (MAR 1987)............... 19 G.2 PROJECT OFFICER AUTHORITY (MAR 1987)............ 19 G.3 TRAVEL REIMBURSEMENT (MAR 1987).............. 21 G.4 REMITTANCE ADDRESS (MAR 1987)............... 22 G.5 TASK ORDER PROCEDVDES (MAR 1987).............. 22 G.6 ACCELERATED TASK ORDER PROCEDURES (MAR 1987).,....... 23 l G.7 PROMPT PAYMENT (52.232-25) (FEB 1988)........... 24 l ALTERNATE II (FEB 1988) SECTION H - SPECIAL CONTRACT REQUIREMENTS.............. 30 H.1 KEY PERSONNEL (MAR 1987),................. 30 H.2 SAFETY, HEALTH, AND FIRE PROTECTION (MAR 1987)....... 31 H.3 DISSEMINATION OF CONTRACT INFORMATION (MAR 1987)...... 31 H.4 PRIVATE USE OF. CONTRACT INFORMATION AND DATA (MAR 1987).. 31 H.5 DRAWINGS, DESIGNS, AND SPECIFICATIONS (MAR 1987)...... 31 H.6 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST...... 32 (OMB CLEARANCE NUMAER 3150-0112) (MAR 1987) H.7 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED.. 34 (MAR 1987) PART II - CONTRACT CLAUSES..................... 35

) TABLE OF CONTENTS PAGE 4 1 SECTION I. -' CONTRACT CLAUSES................... 35 i I.1 CLAUSES INCORPORATED BY REFERENCE............. 35 ~ (FAR S2.252-2) (APR 1984) I.2-ANTI-KICKBACK PROCEDURES (FAR 52.203-7).......... 36 ) I.3' ORDERING (FAR 52.216-18) (APR 1984)............. 38 1 I.4 -INDEFINITE QUANTITY (FAR 52.216-22) (APR 1984)....... 38 I.5 OPTION TO EXTEND THE TERM OF THE CONTRACT--SERVICES.... 39 (FAR 52.217-9) (APR 1984) I.6 PAYMENT FOR OVERTIME PREMIUMS............... 39 (FAR 52.222-2) (APR 1984) I.7~ AVAILGILITY OF FUNDS FOR THE NEXT FISCAL......... 40 YEAR (FAR 52.232-19) (APR 1984) I.8 DRUG-FREE WORKPLACE (FAR 52.223-6)............. 41 PART III - LIST OF DOCUMENTS, EXHIBITS............... 43 AND OTHER ATTACHMENTS ~ SECTION 'J - LIST OF ATTACHMENTS. ~............ *...... 43 J.1 ATTACHMENTS (MAR 1987).................... '43 REPRESENTATIONS AND INSTRUCTIONS............ 44 PART IV SECTION K -- REPRESENTATIONS, CERTIFICATIONS AND.......... 44 OTHER STATEMENTS OF OFFERORS K.1 CONTINGENT FEE REPRESENTATION AND............. 44 AGREEMENT (FAR 52.203-4) (APR 1984) K.2 TYPE OF. BUSINESS ORGANIZATION (FAR 52.215-6) (JUL 1987).. 44 K.3 AUTHORIZED NEGOTIATORS (FAR 52.215-11) (APR 1984)..... 45 K.4 PLACE OF PERFORMANCE (FAR 52.215-20) (APR 1984)...... 45 K.5 SMALL BUSINESS CONCERN REPRESENTATION........... 45 (FAR 52.219-1) (MAY 1986) K6 SMALL DISADVANTAGED BUSINESS CONCERN............ 46 REPRESENTATION (FAR 52.219-2) ( APR 1984) K7 WOMEN-0WNED SMALL BUSINESS REPRESENTATION......... 47 (FAR 52.219-3) (APR 1984) K.B PREFERENCE FOR LABOR SURPLUS AREA CONCERNS......... 47 (FAR 52.220-1) (APR 1984) K.9 CERTIFICATION OF NONSEGREGATED FACILITIES......... 47 (FAR 52.222-21) (APR 1984) K.10 PREVII, CONTRACTS AND COMPLI ANCE REPORTS.......... 48 (FAR 52.222-22) (APR 1984) ^ K.11 AFFIRMATIVE ACTION COMPLIANCE............... 49 (FAR 52.222-25) (APR 1984) K.12 CLEAN A"R AND WATER CERTIFICATION............. 49 (FAR 52.223-1) (APR 1984) K.13 COST ACCOUNTING STANDARDS NOTICES AND........... 49 CERTIFICATION (NONDEFENSE) (FAR 52.230-2) (APR 1984) ' K.14 ORGANIZATIONAL CONFLICTS OF INTEREST (MAR 1987)...... 51 K.15 QUALIFICATIONS OF CONTRACT EMPLOYEES............ 52 K.16 CURRENT /FORMER AGENCY EMPLOYEE INVOLVEMENT......... 52 K.17 CEftTIFICATION REGARDING A DRUG-FREE WORKPLACE....... 54 (FAR 52.223-5) ,9 I 5 -___-_-___D

l J... V

v TABLE OF CONTENTS PAGE 5

4 L

SECTION L - INSTRUCTIONS, CONDITIONS, AND NOTICES.......... 57 TO OFFERORS L.1 SOLICITATION PROVISIONS INCORPORATED BY.......... 57 REFERENCE (FAR 52.252-1) (APR 1984) L.2 TYPE OF CONTRACT (FAR 52.216-1) (APR 1984)......... 58 58 ' L. 3 - SERVICE OF PROTEST (FAR 52.233-2) (JAN 1985)......... 58 L.4 LEVEL OF EFFORT (MAR 1987).'................. ^ L. 5 ESTIMATED DURATION (MAR 1987).............. c 58 L.6 ACCEPTANCE PERIOD (MAR 1987)................ 59 L.7 SMALL BUSINESS SIZE STANDARD AND PRODUCT CLASSIFICATION.. 59 (MAR 1987) ALTERNATE I (MAR 1587) L.8 AWARD NOTIFICATION AND COMMITMENT OF PUBLIC FUNDS (MAR 1987) 59 L.9. DISPOSITION OF PROPOSALS (MAR 1987)............ 60 L.10 PROPOSAL PRESENTATION AND FORMAT (MAR 1987)........ 60 ALTERNATE I (MAR 1987) L.11 NONDISCRIMINATION BECAUSE OF AGE (FAR 22.901) (MAR 1987) 62 L.12 DATA UNIVERSAL NUMBERING SYSTEM (DUNS) NUMBER (MAR 1987).. 63 L.13 TIMELY RECEIPT OF PROPOSALS / BIDS.............. 63 L.14 0FFEROR'S FROPOSED PERSONNEL 63 SECTION M - EVALUATION FACTORS FOR AWARD,............. 64 M.1 SOLICITATION PROVISIONS INCORPORATED BY,......... 64 REFERENCE (FAR 52.252-1) (APR 1984) M.2 EVALUATION OF OPTIONS................... 64 (FAR 52.217-5) ( APR 1984) M.3 CONTRACT AWARD AND EVALUATION OF PROPOSALS. (MAR 1987)... 64 M.4 EVALUATION CRITERIA (MAR 1987)................ 65 99 l 9 __m___ _ _ _ _ _ _. _ _ _ _ _.. _

PAGE 6 i s OFFERORS / BIDDERS PLEASE NOTE: An (*) means the information is to be incorporated into any resultant contract. ~ h ~ ~ e 8 4

.rf* -,4 PAGE 7 l RS-NRR-89-031 Section B 4 SECTION B - SUPPLIES OR SERVICES AND PRICE / COSTS 4 ~ - r B.1 BRIEF DESCRIPTION OF WORK (MAR 1987) ALTERNATE I (MAR 1987) a. Brief description of work: . Or. a task order basis, the contractor shall provide technical expertise to assist the NRC Regional Offices l in the administration of written and operating tests a to applicants for commercial or non power Reactor Operator (RO) and Se;ntor. Reactor Operator (SRO) licenses, and to conduct requalification examinations. b. Orders will be issued for work required by the NRC in accordance with.52.216 Ordering..The NRC reserves the right to withdraw a proposed order at any time prior to its formal award. Only Contracting Officers of the NRC or other individuals specifically authorized under this contract may authorize the initiation of work under this contract. The provisions of this contract shall govern all task orders issued hereunder. ~ (End of Clause) B.2 CONSIDERATION AND OBLIGATION--TASK ORDERS (MAR 1987) a. The total estimated amount' of this contract (ceiling) for the products / services' ordered, delivered, and accepted under this contract is . The Contracting Officer or other individual specifically authorized under this contract may unilaterally increase this amount as necessary for completion of orders placed with the contractor during the contract period provided such orders are 'within any maximum ordering limitation prescribed under this contract. b. The Contracting Officer will obligate funds on each Task Order issued hereunder. --__--_---_-.__.--____-a

et ~ R PAGE 8 [: RS-NRR-89-031 Sicticn B c. A total estimated cost and fee, if any, will be negotiated for each task order and will be incorporated as a ceiling - in the resultant task order. The Contractor shall comply with the R. - provisions of 52.232 Limitation of Cost for fully funded task- - orders and 52.232 Limitation of Funds for incrementally funded., task orders,, issued hereunder. 4 (End of Clause) 4 9 e O e S O e g-8 5 r t 6'

c .o 6-t' - PAGE 9' .RS-NRR-89-031 Section C SECTION C - DESCRIPTION / SPECIFICATION / WORK STATEMENT C.1 STATEMENT OF WORK (MAR 1987) C.1 STATEMENT OF WORK ~ C.

1.1 BACKGROUND

~ The. United States Nuclear Regulatory Commission (NRC) is responsible for administering examinations and issuing licenses to those persons who desire to operate nuclear power plants under the authority of the Atomic Energy Act of 1954, as amended. Applicants who.successfully pass these exams are granted a license to operate a specific facility for a period of six years. Prior to the end of the six year period, the licensee must request a renewal of this license and pass an NRC administered - requalification examination. C.1.2 CONTRACT OBJECTIVES On a task order basis, the contractor shall provide technical expertise to assist the NRC Regional Offices in the administration of written and operating tests to applicants for commercial and non power Reactor Operator (RO) and Senior Reactor Operator (SRO) licenses, and-to conduct requalification examinations. The contractor shall also provide a limited amount of assistance in preparing and reviewing questions to be included in the NRC Generic Fundamentals Examination Question Bank. C.I.3 SC0pE OF WORK The scope of this project will include preparing written and operating examinations, conducting examinations at the nuclear facilities (both written and operating), grading examinations and making pass or fail recommendations to the NRC regarding issuance or denial of licenses to k,mlicants for RO and SRO licenses, pursuant to 10 CFR Part 55. The scope will also include preparing and reviewing questions to be included in the NRC Generic Fundamentals Examination Question Bank. All of.the work to be performed shall be in accordance with the current revision of the Operator Licensing Examiner Standards (ES), NUREG-1021 and applicable Operator Licensing Branch (OLB) O

PAGE 10 RS-NRR-89-031 Section C Manual Chapter's. x WORK STATEMENT This is a Task Order contract under which Task Orders will be issued at the sole option of the NRC Contracting Officer. Prior to administering any examination, the contractor shall obtain NRC's review and approval. The NRC Chief Examiner will be present at all examinations administered. The contractor shall furnish the necessary qualified personnel, facilities, materials and transportation to perform the tasks listed below. Ideally, the majority of the personnel proposed by the contractor for this project shall be either currently or previously certified reactor operator examiners. proposed examiners not currently or previously certified shall meet one of ,,.u-the following criteria:- 1. Currently or previously licensed by the NRC as a Senior Reactor Operator at a commercial power reactor; or 2. Possess significant operational experience at a military or Department of Energy reactor at a supervisory level. Each individual proposed for NRC Operator Licensing examiner certification shall complete the training outlined in the NRC Qualification Guide for Operator Licensing Examiners or provide demonstrated equivalent training or experience to the NRC for approval as a basis for a waiver by the Operator Licensing Branch This training shall be provided at the contractor's expense. Task 1 - Initial, Replacement, and Requalification Examinations l This task consists of preparing, administering, grading and l reviewing written snd operating examinations for candidates applying for initial, replacement or requalification licenses as R0s or SR0s. The contractor shall: a. Contractor shall generate RO and/or SRO initial, replacement or requalification written examinations using the NRC Examination Question Bank. This effort will require familiarization with plant-supplied procedures, lesson plans and other training materials. Contractor quality review of the written examination prior to submittal to NRC shall be at tb supervisory level or higher. Contractor shall incorporate comments from NRC and facility quality assurance reviews into the written examination. b. Contractor shall prepare operating examinations including development of simulator scenario sets. This will require familiar,tration with plant-supplied procedures, lesson plans, simulator reference material and other training material. c. Contractor shall administer both written and operating tests f J I )

PAGE 11 RS-NRR-89-031 Section C +, at nuclear power plant sites. Operating tests shall consist of a plant walk-through and simulator exercises. Contractor may be .i required to tour the facility and simulator for familiarization if l 'a task order does not involve preparation of a written examination. Contractor will be required to complete plant administrative requirements for escorted visit or access to the plant. Contractor may be required to attend exit briefing with the facility following administration of examinations. d. Contractor shall grade written and operating tests. Graded written and operating tests shall. receive contractor supervisory review and approval prior to submittal to NRC. Grading of the written examination will include resolution of facility comments and incorporation into the examination and entry of the examination and answer key into the computerized Examination Question Bank. Grading of the operating test shall include completion of the Examination Report (Form 157). Graded examinations will be delivered to the regional offices or other destination as specified in the task order using appropriate traceable means. Contractor will keep copies of graded examinations at his office until NRC licensing action is completed for the applicant, e. Contractor shall provide input to NRC in response to appeal related matters as required by NRC. NOTE: The contractor shall provide supervisory review and management approval of completed Examination Reports and graded examinations. Examinations will normally be graded within two weeks of the last day of the examination site visit. Task 2 - Preparation and Review of Generic Fundamentals Exam Questions This task wi.11 consist of generation of generic EWR and PWR examination questions to be included in the NRC computerized Generic Fundamentals Examination Question Bank and review of, ' questions g'enerated for technical accuracy Task 3 - Attendance at Workshops and/or Refresher Training Contractor Examiners will be required to attend examiner workshops and/or refresher training, approximately five days each year for each examiner. All training must have prior NRC approval. C.1.4 REQUIREMENTS FOR USE OF MICROCOMPUTERS BY NRC CONTRACTORS All use of microcomputers shall be performed in accordance with NRC Manual Chapter 0904 "NRC Computer Software Policy" (see attachment 5). C.I.4 NEW EQUIPMENT REQUIREMENTS Contractor shall make available a sufficient number of personal

l PAGE 12 l RS-NRR-89-031 Section C computers to allow each examiner access to the NRC Examination Question Bank (E08). Any such new equipment required to be purchased under this contract shall be purchased in accordance with NRC Manual Chapter 0904 "NRC Computer Software Policy". (See attached). C.2 LEVEL OF EFFORT Tne total scientific and technical effort for this project is approximately 50 staff-years (10 staff-years per year over a three year period plus two (2) one (1) year options). Clerical effort is expected to be minimal.and not to exceed 0.5 staff year per year. The contractor is expected to complete 30 task assignments per year. An assignment is defined as an average of 3 examiners preparing, administering, an.d grading one written RO and one written SRO examination for a total of 9 candfdates and administering 9 operating examinations. Specific assignments may vary in level of effort. It is anticipated that approximately 270 examinations per year will be administered by the contractor under NRC's technical direction. The projected number and type of examinations are set forth below: Fiscal Year: 89 90 91 92 93 94 Type of Exams (Projected Number) Requalification.81 135 135 135 135 119 Replacement 167 122 122 122 122 140 Non Power 14 10 13 13 13 11 Initial 8 3 TOTAL / YEAR 270 270 270 270 270 270 C.3 MEETINGS AND TRAVEL Each Task Order will specify sny required travel to nuclear power plant sites throughout the United States, NRC offices in Rockville, Maryland. NRC Regional Offices, and any other location as required for performance of work detailed in each Task Order. It is anticipated that each examiner will make approximately 12 trips per year for the performance of Task I and 1 trip per year to attend training meetings / workshops as identified in Task 3. Also, six trips per year for the contractor Project Manager to attend Operator Licensing Meetings at NRC headquarters and/or regional offices. For planning purposes, contractor should assume one-third of the trips are to the West Coast, one-third to the Ea,st Coast, and one-third to the mid-West. (End of Clause) 4 ) e 4 4

x' p.. 1' ' PAGE 13 L, RS-NRR-89-031 Saction C TRAVEL (MAR 1987) ' C.2 - 4. All domestic travel requires the prior approval of the Project Officer.

b.. All foreign travel must be approved in advance by the NRC on NRC Fcts 445 and shall be in compliance with 52.247-63 Freference For U.S. Flag Air Carriers.

(EndofClause) S e ..w,. 1 l L_

l PAGE 14 RS-NRR-89-031 Section D m SECTION D - PACKAGING AND MARKING D.I PACKAGINGANDMARKING(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 under which the product is being provided. (End of Clause) ~ 9 4 e e y j t t 9

D

)

PAGE 15 RS-NRR-89-031 Section E c. i i SECTION E - INSPECTION AND ACCEPTANCE CLAUSES INCORPORATED BY REFERENCE (FAR 52.252-2) (APR 1984) 1 This contract. incorporates the following clauses by reference. These clauses have the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES CLAUSE NUMBER DATE TITLE 52.246-5 APR 1984 INSPECTION OF SERVICES-- COST-REIMBURSEMENT E.2 PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987) Inspection and acceptance of the deliverable items to be furnished hereunder shall be made by the Project.0fficer it the destiestion. (End of Clause) / i i l i -_______.____________.J

PAGE 16 RS-NRR-89-031 Section F f SECTION F - DELIVERIES OR PERFORWACE I F.1 CL USES INCORPORATED BY REFERENCE (FAR 52.252-2) (APR 1984) This contract incorporates the following clauses by reference. These clauses have the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. 'I. FEDERAL ACQUISITION REGULATION (48 CFR CHApTE'R 1) CLAUSES" CLAUSE NUMBER DATE TITLE 52.212-13 ApR 1984 STOP-WORKORDERALTERNATEI(APR1984) F. 2 PREPARATION OF TECHNICAL REPORTS (MAR 1987) 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. (End of Clause) F. 3 TECHNICAL PROGRESS REPORT (MAR 1987) 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: 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). ~

PAGE 17 RS-NRR-89-031 Section F c. A summary of progress to date; and d. Plans for the next reporting period. t (Eud of Clause) F. 4 FINANCIAL STATUS REPORT (MAR 1987) 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 cf 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 ty 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 ava11sble in the contract to date, and the balance of funds required to complete the work as follows: 1)' Total Estimated Contract Amount.

2) Total Funds Obligated To Date.

3) Total Costs Incurred This Reporting Period.

~

4) Total Costs Incurred To Date.

5) Balance of Obligations Remaining.

6) Balance of Funds Required To Complete Contract.

b. Detail of all direct and indirect costs incurred during the reporting period for each task. c. Update the approved Spending Plan. (End of Clause) F. 5 PLACE OF DELIVERY--REPORTS (MAR 1987) The items to be furnished hereunder shall be delivered, with all charges paid by the Contractor, to: a. Project Officer (2 copies) U.S. Nuclear Regulatory Commission Contract Number: Office of ___* Division of Mail Stop: Washington, D.C. 20555 b. Contracting Officer (1 copy) U.S. Nuclear Regulatory Commission Contract Number: Division of Contracts Contract Administration Branch +

PAGE 18 .RS-NRR-89-031 Section F Mail Stop: AR-2223 ' Washington, D.C. 20555 (End of Clause) l F.6 DURATION OF CONTRACT PERIOD (MAR 1987) ^ ALTERNATEI(MAR 1987) The ordering period for this contract shall commence on and will expire on Any orders issued during this period shall be completed within the time specified in the order. unless otherwise specified herein. (See 52.216. Ordering). (End of Clause) t A 9 + a e I 8 1 g ,a

n PAGE 19 RS-NRR-89-031 Section G SECTION G - CONTRACT ADMINISTRATION DATA G.1 INDIRECT RATES (MAR 1987) Pending the establishment of final indirect rates which a. shall be negotiated based on audit of actual costs, the Contractor shall be reimbursed for allowable indirect costs as follows: CATEGORY RATE (%) COST BASE APPLICABLE PERIOD - - Overhead Fringe Benefits _.- CAA 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 cest or funding limitations. (End of Clause) G.2 FROJECT OFFICER AUTHORITY (MAR 1987) a. The Contracting Off.icer's authorized representative hereinafter referred to as the Project O'ficer for this contract is: Name: Address: Te19 phone Number: b. Performance of the work under this contract shall be subject to the technical direction of the NRC Project Officer. The term " Technical Direction" is defined +3 include the following: 1) Technical direction to the Contractor which shifts work emphasis between areas of work or tasks, fills in details or otherwise serves to accomplish the contractual statement of work. O

PAGE 20 R3-NRR-89-031 Section G 2) ProvidingadviceandguidancetotheContractorinthe preparation of drawings, specifications or technical portions of the work description. ~ 3) Review and, where required by the contract, approval of technical reports, drawings, specifications and technical information to be delivered by the Contractor to the Government under the contract. c. Technical direction must be within the general statement of work stated in the contract. The Project Officer does not have the authority to and may.not issue any technical 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 ny causes an increase or decrease in the t4tal estimated contract cost, the fixed fee, if any, or the time required for contract performance. 4) Changes any of the expressed terms, conditions or specifications of the contract. 5) Terminates the contract or settles any claim or dispute arising under the contract, or issue any unilateral directive whatever. d. All technical directions shall be issued in writing by the Project Officer or shall be confirmed by such person in writing within ten (10) working days after verbal issuance. A copy of said written direction shall be submitted to the Contracting Officer. e, The Contractor shall proceed promptly with the performance of technical directions duly issued by the Project Officer in the manner prescribed by this clause and within such person's authority under the provisions of this clause. f. If,.in the opinion of the Contractor, any instruction or 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 aftir the receipt of any sur.h instruction or direction and shall request the Contracting Officer to modify the contract accordingly. Upun 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 9 ^ t (.

4 l PAGE 21 RS-NRR-89-031 Section G l 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 l with respect thereto shall be subject to 52.233 Disputes. l 1. In addition to providing technical direction as defined i above, the Project Officer is responsible for: ) 1) Monitoring the Contractor's technical progress, including surveillance and assessment of pe'rformance, and recommending to the Contracting Officer changes in requirements. 2) Assisting the Contractor in the resolution of technical problems encountered during performance. 3) Reviewing all costs requested for reimbursement by Contractor and submitting to the Contracting Officer recommendations for approval, disapproval, or suspension of payment for supplies and services required under this contract. (End of Clause) l G.3 TRAVEL REIMBURSEMENT (MAR 1987) a. Total expenditure for domestic travel shall not exceed $

without the prior approval of the Contracting Officer, b.

The Contractor will be reimbursed for reasonable domestic travel costs incurred directly and specifically in the performance of this contract. The cost limitations for travel costs are determined by the Federal Travel Regulations that are in effect on the date of the trip. These Regulations specify the daily maximum per diem rates for specific localities within the Conterminous United States (CONUS), the standard CONUS rate, the allowance for meals and incidental expenses (M&IE),..the cost of travel by privately owned automobile, and the items which require receipts. The Contractor can obtain the Regulations from the Superintendent of Documents, Government Printing Office, Washington, DC 20402. c. When the Government changes the Federal Travel Regulations, it is the responsibility of the Contractor to notify the Contracting Officer in accordance with the Limitation of Cost clause of this contract if the Contractor will be unable to make all of the approved trips and remain within the cost and fee limitations of this contract. d. The rates for foreign travel are established by the U.S. Department of State and are listed in a publication entitled " Maximum Travel Per Diem Allowances For Foreign Areas". Copies of this publication may be obtained from U.S. Government Printing Office, Washington, D.C. 20402. l' _ _. _ _ _. _ - ~ _ - _ -

l PAGE 22 j RS-NRR-89-031 Section G l (EndofClause) l G.4 REMITTANCEADDRESS(MAR 1987) ~ q If item 15C. of the Standard Form 33 has been checked, enter the remittance address below. __ Name: j _. _ _ Address: l -. _ ~ -. (En'd of Clause) G.5 TASK ORDER PROCEDURES (MAR 1987) a. Task Order Request for Proposal When a requirement within the scope of work for this-contract is identified, the Contracting Officer will transmit to the Contractor a Task Order Request for Proposal which will include the following, as appropriate:

1) Scope of Work / Meetings / Travel and Deliverables.

2) Reporting Requirements.

3) Period of Performance - Place of Performance.

4) Applicable Special Provisions.

5) Technical Skills Required.

6) Estimated Level of Effort.

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

1) Technical Proposal Content.

i a) A discussion of the scope of work requirements to substantiate the Contractor's understanding of the requirements of the Task Order and the Contractor's proposed method of approach to meet the objective of the order. b) Resuroes for professional personnel proposed to be utilized in the performance of any resulting task order. Include edttcational background, specific pertinent work experience and a list of any pertinent publications authored by the individual. c) Identification of administrative support personnel =. 8 e a F. I

r PAGE 23 RS-NRR-89-031 Section G and/or facilities that are needed to assist the professional personnel in completing work on the task order.

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

2) Cost Propcsal.

The Contractor's cost proposal for each Task Order shall be prepared using the Standard Form 1411, Contract Pricing Proposal cover sheet. A cepy of the form and instructions are attached to this contract. Each Task Order cost proporal shall be fully supported by cost and p-icing data adequate to establish the ~ reasonableness of the proposed amounts. When the Contractor's estimated cost for the proposed Task Order exceeds $100,000 and the period of performance exceeds six months, the Contractor is required to submit a Spending Plan as part of its cost proposal. Guidance for completing the Spending Plan will be provided with the Task Order Request for Proposal, c. Task Order Award The Contractor shall perform all work described in definitized Task Orders issued by the Contracting Officer. Definitized Task Orders will include the following:

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

2) Reporting Requirements.

3) Period of Performance.

4) Key Personnel, b) Applicable Special Provisions.

6) Total Task Order amount.

(End of Clause) G.6 ACCELERATED TASK ORDER PROCEDURES (MAR 1987) a. The NRC may require the Contractor to commence work before receipt of a definitized Task Order from the Contracting Officer. Accordingly, when the Contracting Officer verbally authorizes, the Contractor shall proceed with performance of the Task Order subject to monetary limitation established for the Task Order by the Contracting Officer. b. When this accelerated procedere is employed by the NRC, the Contractor agrees to begin promptly negotiating with the Contracting Officer the terms of a definitive Task Order and agrees to submit a cost proposal with supporting cost or pricing data. If agreement on a definitized Task Order is not reached by the target date mutually agreed upon by the Contractor and Contracting Officer, the Contracting Officer may determine a reasonable price and/or fee in accordance with Subpart 15.8 and Part 31 of the FAR, subject to Contractor appeal as provided in 52.233 Disputes. In any event, the Contractor shall proceed with completion of the Task Order,

PAGE 24 RS-NRR-89-031 Section G

ubject.only to the monetary limitation established by the -

Contracting Officer and the terms and conditions of the basic contract. (End of Clause) G.7 PROMPT PAYMENT (52.232-25) (FEB 1988) ~ ALTERNATE II (FEB 1988) 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 Governmcnt 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) of this clause, the due date for making invoice payments by the designated payment. office shall be the later of the following two events: (1) The 30th day after the designated billing office has received a proper 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 actions, acceptance shall be deemed to have occurred on the effective date of the contract settlement. (3) The due date on contracts for meat and meat food products, a contracts for perishable agricultural commodities, and contracts not requiring submission of an invoice shall be as follows: (1) The due date for meat and meat feod 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 poultry, poultry products, eggs, and egg products, will be as close as possible to, but not later than, the 7th day after product delivery. def(ined in Section 1(4) of the Perishable Agricultural Commodities ~ ii) The due date for perishable agricultural commodities, as 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. t a I 1 6 4

C PAGE 25

~ ./ RS-NRR-89-03L Section G (iii) If the contract does not require submission of an invoice f,or payment (e.g., periodic lease payments), the due date will be as specified in the contract. (4) An' invoice is the Contractor's bill or written request for X payment 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 Cott. actor will be notified of the defect within.15 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). Untimely notification will be taken into account in the computation of any interest penalty owed the Contractor in the manner described in subparagrpah (a)(6) of this clause. (1) Name and address of the Contractor. (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 te be sent (must be the same as that in the contract or in a proper notice of assignment). (v'ii) Name (where p'racticable), title, phone number and mailing ~ address of person to be notified in event of a defective invoict (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, wi%ont request from the Contractor, if payment is not made within 1 @;s aft.3 the due date (3 days for meat and meat food products and 5 days for perishable agricultural commodities) and the following conditions are met, if applicable: (1) A proper . invoice was received by the designated billing office. (ii) A receiving report or other Governma t documentation authorizing payment was processed and there was no disagreement over quantity, quality, or contractor compliance with any contract term or condition. l-

I PAGE 26 RS-NRR-89-031 Section G (iii) In the case of a final invoice for any balance of funds due the Contractor for supplies delivered or services performed, the l amount was not subject to further contract settlement actions l between the Goverr. ment and the Contractor. O) The interest penalty shall be the rate established by the Se:t etary of the Treasury under Section 12 of the Contract Disputes Act of 1978 (41 U.S.C. 611) that is in effect on the payment date, e4cest where the interest penalty is prescribed by other l gove nmental 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 inter.'st penalty shall accrue daily on the invoice payment amount approved by the Government and be compounded in 30-day increments in:1usive from the first day after the due date through the payment { dat'. Tb t is, interest accrued at the end of any 30-day period will be acced 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 invoice within the periods prescribed in paragraph (a)(4) J of this clause, then the due date on the corrected invoice will be adjusted by subtracting the number of days taken beyond the prescribed notification of defects period. Any interest penalty owed the Contractor will be based on this edjusted due date. Adjustments will be made by the designated payment office for errors in calculating interest penalties, if requested by the Contractor. (i) For the sole purpose of computing an interest penalty that might be due the Contractor, Government acceptance shall be deemed to have occurred constructively on the 5th working day after the Contractor delivered the supplies or performed the services in accordance with the terms and conditions of the contract, unless j there is a disagreement over quantity, quality, or contractor i compi'=nce with a contract provision. In the event that actual { accept ance: s curs 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 supplies or services, perform contract administration functions, or make payment i priot to fulfilling their responsibilities. l 1 (ii) The following periods of time will not be included in the l determination of an interest penalty: (A) The per'od taken te notify the Contractor of defects in invoices submitted to the Government, but this may not exceed 15 days (3 days for meat and meat food products and 5 days for perishable agricultural commodities). (B) The period between the defects notice and resubmission of the ~ - 4 corrected invoice by the Contractor. (iii) Interest penalties will not continue to accrue after the filing of a claim for such penalties under the Disputes clause or 0 y e s

[ 4, PAGE 27 l RS-NRR-89-031 Section G 1 for more than 1 year. Interest penalties of less than $1.00 need r.at I be paid. l (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 temporarily withheld or retained in accordance with the terms of the l contract. Claims involving disputes, and any interest that may be payable, will be resolved in accordance with the Disputes clause. 1 (7) An interest penalty shall also be paid automatically by the designated payment office, without request from the contracter, if an improperly taken discount for prompt payment was not corrected within 15 days after the expiration of the discount period (3 days for meat and meat food products and 5 days for perishable a agricultural commodities). The interest penalty will be calculated as described in paragraph (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. (b) Contract Financing Payments (1) For purposes of this clause, " contract financing payment" means a Government disbursement of monics to a Contractor under a contract clause or other authorization prior to acceptance of supplies or services by the Government. Contract financing payments 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 Fixed-Price Construction Contracts, or the clause at 52.232-10, Payments Under Fixed-Price Architect-Engineer Contracts, at ' 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 gecif'ed 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 accordance with the corresponding contract terms or as directed by the Contracting Officer. (4) Contract financing payments shall not be assessed an interest penalty for payment delays. =

PAGE 28 RS-NRR-89-031 SectMn G j (c) Electronic Fu ds Transfer. Payments under this contract will be made by the Government either by check or electronic funds transfer (through the Treasury Financial Communications System (TFCS) or the Automated Clearing House (ACH)), at the option of the Government. After award, but no later than 14 days before an it. voice or contract financing request is submitted, the contractor shall designate a-financial institution for receipt of elcetronic funds transfer payments. The Contractor shall submit this designation to the Contracting Officer or other Government official, as directed. (1) For payment through TFCS, the Contractor shall provide the following information: (1) Name, address, and telegraphic abbreviation of the firlancial institution receiving payment. (ii) The American Btnkers Association 9-digit identifying number of the financing institution receiving payment if the institution has access to the Federal Reserve Communications System. (iii) Payee's account number at the financial institution where funds are to be transferred. (iv) If the financial institution does not have access to the Feoeral Reserve Communications System, name, address, and telegraphic abbreviation of the correspondent financial institution through which the financial institution receiving payment obtains electronic funds transfer messages. Provide the telegraphic abbreviation and American Bankers Association identifying number for the correspondent institution. (2) For payment through ACH, the Contractor shall provide the following information: (i) Routing transit numbers of the financial institution receiving payment (same as American Bankers Association identifying number used for TFCS). 4 .(ii) Number of account to which funds are to be deposited. (iii) Type of depositor account ("C" for checking, "S" for savings). (iv) If the Contractor is a new enrollee to the'ACH system, a " Payment Information Form," TFS 3881, must be completed before n payment can be processed. (3) 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 cays prior to the date such change is to become a e e

PAGE 29 -i (, RS-NRR-89-031 Section G effective, d (4)' The documents furnishing the information required in this paragraph (c) must be dated and contain the signature, title, and telephone number of the Contractor official authorized to provide 'it, as well as the Contractor's name and contract number. (5) Contractor failure to properly designate a financiai institution or to provide appropriate payee bank account information may delay payments of amounts otherwise properly due. (Endofclause) I l I = 9 -. - - - -_J

PAGE 30 RS-NRR-89-031 Section H SECTION H - SPECIAL CONTRACT REQUIREMENTS H.1 KEY PERSONNEL (KAR 1987) a. The following individuals are" considered to be essential to the successful performance of the work hereunder. The Contractor agrees that such personnel shall not be removed from the contract work or replaced without compliance with paragraphs b and c hereof. b. If one"or more.of the key personnel for whatever reason becomes, or is expected to become, unavailable for work under this contract for a continuous period exceeding 30 work days, or is expected to devote substantially less effort to the work than indicated in the proposal or initially anticipated, the Contractor shall immediately notify the Contracting Officer and shall, subject to the concurrence of the Contracting Office'r, promptly replace such personnel with personnel of at least substantially equal ability and qualifications. ) i c. All requests for approval of substitutions !,ersunder must j be in writing and provide a detailed explanation of the j circumstances necessitating the proposed substitutions. They contain a complete resume for the propesed 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 -l approval or disapproval there ~ in writing. d. If the Contracting Officer determines that: l

1) Suitable and timely replacement of key peatonnel who have been reassigned, terminated or have otherwise bect.

unavailatie for the contract work is not reasonably forthcoming; or

2) That the resultant reduction of effort would be so substantial as to impair the successful completion of the contract or.the service order, the contract may be terminated by the Contracting Officer for default or for the convenience of the Government, as appropriate. If the Contracting Officer finds the Contractor at fault for the condition, the contract price or fixed a

4 E 9 ___________d c g n

' i PAGE 31 RS-NRR-89-031 Section H fee may be equitab'ly adjusted downward to compensate the Government for any resultant delays loss or damage. (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,o minimize - danger from all hazards to life and property and shall cr?. ply with all applicable health, safety, and fire protection regulations and ' ~ " requirements (including reporting requirements) of the Commission and the Department of Labor. In the event that the Contractor fails ~ to comply with said regulations or requirements, the Contracting Officer, may, without prejudice to any other legal or contractual rights of the Commission, issue an order stopping all or any part of the work; thereafter, n, start order for resumption of work may be issued at the discretion of the Contracting Officer. The Contractor shall make no claim for an extension of time or for compensation or damases by reason of or in connection with such work stoppag2. (End of Clause) H.3 DISSEMINATION OF CONTRACT INFORMATION (MAR 1987) The Contractor shall comply with the attached requirement of NRC Manual Chapter 3202 and 3206 (See Section J for List of Attachments) regarding publications or 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 (MAR 1987) Except as specifically authorized by this contract, or as otherwise approved by the Contracting Officer, information and other ~ data developed or acquired by or furnished the Contractor in the performance of this contract, shall be used only in connection with the work under this contract. (End of Clause) H.5 DRAWINGS, DESIGNS, AND SPECIFICATIONS (MAR 1987) 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, shall be subject to inspection by the Commission at all reasonable times (for which inspection the proper facilities shall be afforded the Commission by the Contractor and its subcontractors), shall be the property of the d' 4 ___.__________...____.___-m_____.__

~ PAGE 32 RS-NRR-89-031 Sechion H Government and may be used by the Government for any purpose whatsoever without any claim on the part of the Contractor and its subcontractors and vendors for additional compensation and shall, subject to the right of the Contractor to retain a copy of said material'for its own use, be delivered to the Government, or otherwise. disposed of by the Contractor either as the Contracting Officer may from time to time direct during the progress of the work or in any event as the Contracting Officer shall dirsct upon completion or termination of this contract. The Contractor's right of retention and use shall be subject to the se:urity, patent, and use of information provisions, if any, of this contract. (End of Clause) H.6 CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST (OMB CLEARANCE NUMBER 3150-0112)(MAR 1987) a. Purpose. The primary purpose of this clause is to aid in ensuring that the Contractor:

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

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

b. Scope. The restrictions described herein shall apply to performance or participation by the Contractor as defined in 41 CFR 20-1.5402(f) in the activities covered by this clause. c. Work for Others. Notwithstanding any other provision of this contract, during the term of this contract, the Contractor agrees to forgo entering into consulting or other contractual arrangements with any firm or organization, the result of which may -s give rise to conflict of interest with respect to the work being performed under this contract. The Contractor shall ensure that all employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide.by the provision of this clause. If the Contractor believes + with respect to itself or any such employee that any proposed --+in s 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 that to the best of its knowledge and belief and except as otherwise set forth in this contract,-it does not have any organizational conflicts of interest, as,defin,ed in 41 CFR 20-1.5402(a).

2) The Contractor agrees that if after award it discovers organizational conflicts of interest with respect to this contract, g

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,y PAGE 33 l i RS-hRR-89-031 S ction H { it shall make an immediate and full disclosure in writing to the l Contracting Officer. This statement shall include a description of the action which the Contractor has taken or proposes to take to i avoid or mitigate such conflicts. The NRC may, however, terminate ) the cor. tract for convenience if it deems such termination to be in the best interest of the Government. e. Access to and use of information.

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

(i) Use such information for any private purpose untti the information has been released to the public; (ii) Compete for work for the Commission based on such information for a period of six (6) months after either the completion of this contract or the release of such information to the public, whichever is first; (iii) Submit an unsolicited proposal to the Government based on such information until one year after the release of such 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 g1ven 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, suoject to' patent and -

security provisions of this contract, the right to use technical data it produces under this contract for private purposes provided that all requirements of this contract have been met. f. Subcontracts. Except as provided in 41 CFR 20-1.5402(h), the Contractor shall include this clause, including this paragraph, in subcontracts of any tier. The terms " contract," " Contractor," and " Contracting Officer," shall be appropriately modified to preserve the Government's rights. g. Remedies. For breach of any of the above prescriptions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations as necessarily imply bad faith, the Government may terminate the contract for default, disqualify the Contractor from subsequent contractual efforts, and_ pursue other _....________________s_________-__

i PAGE'34 RS-NRR-89-031 Section H remedies as may be permitted by law or this contract, h. Waiver. A request for waiver under this clause shall be directed in writing through the Contracting Officer to the Executive Director for Operations (EDO) in accordance with the procedures outlined in 20-1.5411. ..4 (EndofClause) H.7 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED (MAR 1987) The Government will not provide any equipment / property, notwitbe,tanding any provisions of the specification (s) to the contra ry. (En,d of Clause) 9 S 6 4 l t e d6

Q $2 PAGE'35 RS-NRR-89e0.'.1 Section I' L l l-l I PART II - CONTRAC1 CLAUSES CONTRACT CLAUSES. SECTION I I.1 CLAUSES INCORPORATED BY REFERENCE (FAR 52.252-2) (APR 1984) This contract incorporates the following clauses by reference. These clauses have the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their ' full text available. I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES CLAUSE NUMBER OATE 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 52.204-1 APR 1984 APPROVAL OF CONTRACT 52.215-1 APR 1984 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL 52.215-2 APR 19%A AUDIT -- NEGOTIATION 52.215-22 APR 1988 PRICE, REDUCTION FOR DEFECTIVE COST OR PRICING DATA 52.215-23 APR 1988 PRICE REDUCTION FOR DEFECTIVE COST OR ' ' ~ ~ ' PRICING DATA -- MODIFICATIONS 52.215-24 APR 1985 SUBCONTRACTOR COST OR PRICING DATA 52.215-25 APR 1985 SUBCONTRACTOR COST OR PRICING DATA -- MODIFICATIONS 52.215-26 APR 1987 INTEGRITY OF UNIT. PRICES 52.215-30 SEP 1987 FACILITIES CAPITAL COST OF MONEY 52.215-31 SEP 1987-WAIVER OF FACILITIES CAPITAL COST OF 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

PAGE 36 RS-NRR-89-031 S:cticn I SMALL DISADVANTAGED .s BUSINESS CONCERNS 52.219-9 APR 1984 SMALL BUSINESS AND SMALL DISADVANTAGE 0 BUSINESS ~ SUBCONTRACTING PLAN S2.219-13 AUG 1986 UTILIZATION OF WOMEN- ~ OWNED SMALL BUSINESSES 52.220-3 APR 1984 UTILIZATION OF LABOR SURPLUS AREA CONCERNS 52.222-1 APR 1984 NOTICE TO THE GOVERNMENT 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 52.222-36 APR 1984 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS 52.223-2 APR 1984 CLEAN AIC AND WATER 52.224-1 APR 1984 PRIVACY ACT NOTIFICATION 52.224-2 APR.1984 PRIVACY ACT 52.227 2 APR 1984 AUTHORIZATION AND CONSENT 52.227-2 APR 1984 NOTICE AND ASSISTANCE REGARDING PATENT AND COPYRIGHT INFRINGEMENT 52.228-7.APR 1984 INSURANCE -- LIABILITY TO THIRD PERSONS 52.230-3 SEP 1987 COST ACCOUNTING STANDARDS 52.230-4 SEP 1987 ADMINISTRATION OF C05T ACCOUNTING STANDARDS 52.232-17 APR 1984 INTEREST 52.232-18 APR 1984 AVAILABILITY OF FUNDS 52.232-22 APR 1984 LIMITATION OF FUNDS 52.232-23 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) 52.242-1 APR 1984 NOTICE OF INTENT TO DISALLOW COSTS 52.243-2 AUG 1987 CHANGES -- COST-REIMBURSEMENT ~ ALTERNATE I (APR 1984) '52.244-2 JUL 1985 SUBCONTRACTS UNDER COST-REIMBURSEMENT AND LETTER CONTRACTS 52.iS4-5 APR 1984 COMPETITION IN SUBCONTRACTING l 52.249-6 MAY 1986 TERMINATION (COST-REIMBURSEMENT) 52.249-14 APR 1984 EXCUSABLE DELAYS I.2 ANTI-KICKBACK PROCEDURES (FAR 52.203-7) (a) Definitions. " Kickback," as used in this clause, means any money, f'ee, commission, credit, gift, tratuity, thing of value, or compensation of any kind which is provided, directly or indirectly. to any prime Contractor, prime Contractor employee, subcontractor, g 3

5 PAGE 37 RS-NRR-83-031 Section 7 or subcontractor. employee for the purpose of improperly obtaining or rewarding favorable treatment in connection with a prime contract or in connection with a subcontract relating to a prime contract. " Person," as used in this clause, me:ns a corporation, partnership, business association of any kind, trust, joint-stock company, or individual. " Prime contract," as used in this clause, means a contract or contractual action entered into by the United States for the purposes of obtaining supplies, materials, equipment, or services of any kind. " Prime Contractor employee," as used in this clause, means any officer, partner, employee, or agent of a prime Contractor. " Subcontract," as used in this clause, means a contract or contractual action entered into by a prime Contractor or subcontractor for the purpose of obtaining supplies, materials, equipment, or services of any kind undcr a prime contract. " Subcontractor," as used in this clause, (1) means any person, other than the prime Contractor, who offers to furnish or furnishes any supplies, materials, equipment, or services of any kind under a prime contract or subcontract entered into in connection with any such prime contract, and (2) includes any person who offers to furnish or furnishes supplies to the prime Contractor or a higher tier subcontractor. " Subcontractor employee," as used in this clause, means any officer, partner, employee, or agent of a subcontractor. (b) The Anti-kickback Act of 1986 (41 U.S.C. 51-58) (the Act), prohibits any person from-- (1) Providing or attempting to provide or offering to provide any kickback; or (2) Soliciting, accepting, or attempting tu rccept any kickback; or (3) Including, directly or indirectly the amount of any kickback in the contract price charged by the prime Contractor to the United States or in the contract price charged by a subcontractor to a prime Contractor or a higher tier subcontractor. (c)(1) The Contractor shall have in place and follow reasonable procedures designed to prevent and detect possible violations described in paragraph (b) of this clause in its own operations and direct business relationships. (2) When the Contractor has reasonable grounds to believe that a violation described in paragraph (b) of this clause may have occurred, the Contractor shall promptly report in writing the possible violation. Such reports shall be made to the inspector .___________-___mw

PAGE 38 RS-NRR-89-031 Section I general of tie contracting agency, the head of the contracting agency if the agency does not have an inspector general, cr the Department of Justice. (3) The Contractor shall cooperate fully with any Federal agency investigating a possible violation described in paragraph (b) of this clause. (4) Regardless of the contract tier at which a kickback was provided, accepted or charged under the contract in violation of paragraph (b) of this clause, the Contracting Officer may-- (1) Offset the amount of the kickback againist any monies owed by the United States under this contract and/or (ii) direct that the Contractor withhold from sums owed the subcontractor, the amount of kickback. The Contracting Officer may order that monies withheld Government unless the Government has, clause be paid over to the ~ under subdivision (c)(4)(ii) of this already offset those monies under subdivision (c)(4)(1) of this clause. In the latter case, the contractor shall notify the Contracting Officer when monies are witheld. (5) The Contractor agrees to incorporate the substance of this clause, including this subparagraph (c)(f1, in all subcontracts under this contract. (End of Clause) I.3 ORDERING (FAR 52.216-18)(APR1984) (a)' Any supplies and services to be furnished under this contract shall be ordered by issuance of delivery orders by the individuals or activities designated in the Schedule. Such orders may be issued from the. effective date of the contract through the end of the effective period. (b) All delivery orders are subject to the terms and conditions of this contract. In the event of conflict between a delivery order and this contract, the contract shall control. (c) If mailed, a delivery order is considered " issued" when the Government deposits the order in the mail. Orders may be issued orally or by written telecommunications only if authori:ed in the i Schedule. ] (End of Clause) I.4 INDEFINITE QUANTITY (FAR 52.216-22) (/.PR 1984) 1 . (a) This is an indefinite-quantity contract for the supplies or services specified, and effective for the period stateo. in Section F.6, " Duration of Contract Period". The quantities of supplies and services ) specified in Section C.2, " Level of Effort" are estimates only and are { not purchased by this contract. j 4 0 5

n,. 7,

~

PAGE 39 ,1

RS-NRR-89-031 Section I (b) Delivery or perforssnee shall be made only as authorized by The orders issued in accordance with the Ordering clause.

Contractor shall furnish to the Government, when and if ordered, the supplies or services specified in the Schedule up to and including the quantity designated in the Schedule as the " maximum." The + Government shall order at least the quantity of supplies or services designated in the Schedule as the " minimum." (c) Except for any limitations on quantities in the Delivery-Order Limitations clause or in the Schedule, there is no limit on the number of orders that may be issued. The Government may issue orders requiring delivery to multiple destinations or performance at multiple locations. (d) Any order issued during the effective period of this contract and not completed. within that period shall be completed by the Contractor within the time specified in the order. The contract shall govern the Contractor's and Government's rights and obligations with respect to that order to the same extent as if the order were completed during the contract's effective period; provided, that the Contractor shall not be required to make any deliveries under this contract after months beyond the effective period of the contract. (End of Clause) 1.5 MINIMUM AND MAXIMUM AMOUNT During the life of this contract, the Government shall place orders totaling a minimum of one ( l') staff year of effort. Total orders placed during the life of the contract shall not exceto fifty-five ( So ) staff years of effort. For the purposes of this contract, a staff year is defined as 2080 hours per year of both professional and non profest,ional labor. (EndofClause) 1.6 CPTION TO EXTEND THE TERM OF THE CCNTRACT--5ERVICES (FAR 52.217-9) (APR 1984) J._. (a) The Government may extend the term of this contract by written notice to the Contractor at.any time during the period of performance; provided, that the Government shall give the Contractor a preliminary written notice of its intent to extend at least 30 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. l (c) The total duration of this contract, including the exercise of any options under this clause, shall not exceed 5 years. I (End of Clause)

1. 7. PAYMENT FoR OVERTIME PREMIUMS (FAR 52.222-2) (APR 1984)

(a) The use of overstee is authorised under this contract if the overtime premium ecst coes not exceed sD. In sodition to this dollar colling, overtime is permitted only for wort-(11 Necessary to ecce with emergencies such as those resulting from accioents, natural disasters, breakdowns of production

PAGE 40 RS-NRR-89-031 Section I equipment, or occasional production bottlenecks of a sporadic nature; (2) By indirect-labor employees such as those performing duties in connection with administration, protection, transportation, maintenance, standby plant protection, operation of utilities, or '~. accounting; (3) To perform tests, industrial processes, laboratory procedures, loading or unloading of transportation conveyances, and operations in flight or afloat that are continuous in nature and cannot reasonably be interrupted or completed otherwise; or (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) Ide'ntify 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 ocrtime; (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 contract; and (4) Provide reasons why the required work cannot be performed by using multishift operations or by employing additional personnel. (End of Clause) I.8 AVAILABILITY OF FUNDS FOR THE NEXT FISCAL YEAR (FAR 52.232-19) (ApR 1984) F'unds are not presently available for performance under this contract beyond December 31, 1989. The Government.'s oblication for performance of this contract beyond that date is contingent upon the availability of appropriated funds from which payment for contract purposes can be made. No legal liability on the part of the Government for any payment may arise for performance under this contract beyond until funds are made available to the Contracting Officer for performance and until the Contractor receives notice of availability, to be confirmed in writing by the Contracting Officer. (End of Clause) a s O t 4 .O

y' PAGE 41 RS-NRR-89-031 Section I I. 9 DRUG-FREE VORKPl. ACE (FAR 52.223-6) (a)' Definitions. As used in this clause, 1 " Controlled substance" means a controlled substance in schedules ~ L I through V of section 202 of the Controlled Substances Act (21 U.S.C. 812) and as further defined in regul: tic: :t 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 Federal or State criminal drug statutes. L " Criminal drua statute" means a Federal or non-Federal criminal statute involving the manufacture, distribution, dispensing, possession or use of any controlled substance. " Drug-free workplace" means a site for the performance of work 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. " 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 awa'reness program to inform such employees about-- (i) The dangers of drug abuse in the workplace; (ii) The contracter'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 violatinns occurring in the workplace. 9 ______.____m._.._..

e PAGE 42 RS-NRR-89-031 Section I s .(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 -- (i) Abide by the terms of the statement; and { L (ii) 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 t.en (10) days,after receiving ~ notice under subdivision (a)(4)(ii) of this clause, from an employee or otherwise receiving actual notice of such conviction; i (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 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. 4 (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, render the contractor subject to suspension of contract payments, termination of the contract for default, and suspension or debarment, I (End of Clause) 9 A__.____S.... m_.

.. 7; PAGE 43 RS-NRR-89-031 Section J t. + PART III - LIST. OF DOCUMENTS, FYitI' BITS AND QTHER ATTACHMENTS SECTION J - LIST OF ATTACHMENTS J.1 ATTACHMENTS (MAR 1987) ~ Attachment Number Title 1 NRC Contractor Organizational Conflicts of Interest (41 CFR Part 20) 2 Billing Instructions 3 NRC Manual Chapter 3202 4 Standard Form 1411 with Instructions 5 NRC Manual Chapter 0904 s l ( l e 1. l l s sa.p..

PAGE 44 RS-NRR-89-031 Section K g PART IV REPRESENTATIONS AND INSTRUCTIONS SECTION K REPRESENTATIONS, CERTIFICMIONS AND .~ OTHER STATEMENTS OF OFFERORS l K.1 CONTINGENT FEE REPRESENTATION AND AGREEMENT (FAR 52.203-4)(APR1984) (a) Representation. The offeror represents that, except for full-time bona fide employees working solely for the offeror, the offeror-- (Note: The offeror must check the appropriate boxes. For interpretation of the representation, including the term bona fide employee, see Subpart 3.4 of the Federal Acquisition Regulation.) (1) ( ) has, ( ) has not employed or retained any person or company to. solicit or obtain this contract; and (2) ( ) has, ( ) has not paid or agreed to pay to any person or i company employed or retained to solicit or obtain this contract any commissien, percentage, brokerage, or other fee contingent upon or resulting from the award of this contract. (b) Agreement. The offeror agrees to provide information 1 relating to the above Representation as "equested by the l CMtracting Officer and, when subparagraph (a)(1) or (a)(2) is answered affirmatively, to promptly submit to the Contracting Officer-- (1) A completed Standard Form 119, 3tatement of Contingent or Other Fees, (SF 119); or (2) A signed statement indicating that the SF 119 was previously ..c .i submitted to the same contracting office, including the date and applicable solicitation or contract number, and representing that 1 the prior SF 119 applies to this offer or quotation. { a (End of Provision) K.2 TYPE OF BUSINESS ORGANIZATION (FAR 52.215-6)(JUL1987) 4 The offeror or quoter, by checking the applicable box, represents that-- (a) It operates as ( ) a corporation incorporated under the laws of the State of , ( ) an individual, (-) a partnership, ( ) a nonprofit organization, or ( ) a joint venture; 9 m

s;# l.' t F [ PART 20-1 -- GENERAL Subpart 20-1.54--Contractor' Organizational Conflicts of Interest ~.' i Sec. ~ 20-1.5401 Scope and policy. 20-1.5402 Definitions. 20-1.5403 Criteria for recognizing contractor organizational ~ conflicts of interest. 20-1.5404 Representation. 20-1.5405 Contract clauses. 20-1.5405-1 General contract clause. 20-1.5405-2 Special contract provisions. 20-1.5406 Evaluation, findings, and contract award.. 20-1.5407 Conflicts identified afcer award. 20-1.5408 (Reserved) 20-1.5409 (Reserved; 20-1~. 5410 Subcontractors. 20-1.5411 Waiver. . 20-1.5412 Remedies. , AUTHORITY: Sec. 8, Pub. L. 95-601, adding Sec.170A to Pub. L. 83-703, 68 Stat. 919, as amended (42 U.S.C. ch.14) 120-1.5401 Scope and Policy (NRC)(a).' It is the policy of the U.S. Nuclear Regulatory Cemission to' avoid, eliminate or neutralize contractor organizational conflicts of interest. The NRC achieves this objective by requirinc all prospective contractors to submit information describing relationship:,, if any, with organizations or persons (including those regulated by NRC) which may give rise to actual or potential conflicts of interest in the event of contract award. (b) Contractor conflict of interest determinations cannot be made l ~.. automatically or routinely; the application of sound judgment on v'irtually 7: ~ - '., ..a.cssa-by-case basis is necessary if the policy is to be applied so as to satisfy the overall public interest. It is not possible to prescribe in advance a specific method or set of criteria which would serve to identify and resolve all of the contractor conflict of f.nterest 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 guidanca. The ultimate test is: Might the contractor, if awarded the contract, be placed in a position where its judgment may be L1ased, or where it may have an unfair competitive adYantage? (c) The conflict of interest rule contained in this subpart applies ter contractors and offerers only. Individuals or firms who have other relationships with NRC (e.g., parties to a licensing proceeding) are not - covered by this regulation. This rule does not apply to the acquisition of consulting services through the personnel appointment crocess, NRC

r m i .i 7590-01 x agreements with other govitrnment agencies, international organizations. or state, local or foreign governments; separate procedures for avoiding - conflicts of-inteiest will be emoloyed iry such agreements, as appropriate. ': I20-1.5402 Definitions ~ -(a) " Organizational conflicts of interest" means that a relationship exists whereby a contractor or prospective contractor has present or. planned inte-ests related to the work to be perfomed under an NRC contract which: -(1) May diminish its capacity to give impartial, technically sound, objective assistance and advice or say otherwise result in a biased work product, or (2) may result in its being given an unfair { competitive advantage. -- d (b) "Resnarch" means any scientific or technical work involvit g "~^..tk theoretical analysis, exploration or experimentation. (c) Evaluation activities" means any effort involving the appraisal-of a technology, process, product, or policy. (d) " Technical consulting and management support services" means internal assistance to a component of the NRC in the formulation er administration of.its programs, projects, or policies which normally recuire the contraccor to be given access to information which has not ). been made available to the public or proprietary information. Such services typically include assistance iri tha preparation of program plans; arid preparation of preliminary designs, specifications, or statements of work. ( e")'" Contract" means any contract, agreement, or other arrangement with the NRC except as provided in Section 20-1.5401(c). (f) '" Contractor" means 'any person, firm, uninco; porated association. joint venture, 'co-spons,or, partnership, corporation, affiliates thereof,- or their successors in interest, including their enief executives. directors, key personnel (identified in the contract), proposed consultants or subcontractors, which is a party to a contract with the NRC. (g) " Affiliates" means business concerns which are affiliates of ~ each other when either directly or indirectly one concern or individual controls or has the power to control another, or when a. third party controls or has the power to control both (41 CFR I1-1.606-1(e)). ".(h)' " Subcontractor" means any subcontractor of any tier which perforn.; work under a contract with the NRC except subcontracts for supplies and subcontracts in amounts of $10,000 or less. (1) " Prospective contractor" or " offeror" means any person, firn, ., s unincorporated' association, joint venture, partnership, corporation or n. J affiliates thereof, including its chief executive, directors, key personnel : (identified in the proposal), proposed consultants, or subcontractors, submitting a bid or proposal, solicited or unsolicited, to the NRC to ebtain a contract. 4 9 / : i

3 + j ~ ~ 7590-01 .' (j)- " Potential conflict of interest" means that a factual situation .E . ' _ -exists that suggests (indicates) that an actual conflict of interest may j The tem " potential confli:t ._y arise from award of a propored contract. of interest" is used to signify those situations which merit inves.sgation prior to centract award in orrar to ascertain whether award would give rise to an actual conflict or which must be reported to the contracting officer for investigatica if they arise during contract performance. E?.0-1.5403 Criteria for recognizing contractor organizational conflicts of interest .(a) General. Two questions will be asked in detemining whether (1) Are actual or potential organizational conflicts of interest exist: there conflicting roles which might bias a contractor's judgment in relation to its work for the NRC7 (2) May the contractor be given an unfair competitive advantage based on the perfomance of the contract? Thc ultimate determination by NRC as to whether organizational conflicts of interest exist will be made in light of conmca sense and good business judgment based upon the relevant facts disclosed and tha work to be While it is difficult to identify and to prescribe in advance performed.- a specific method for avoiding all of the various situations or ritlationships 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. (t) Situations or relationships which may give rise to organizational (1) The offerer or contractor shall disclose conflicts of interest. information concerning relationships which may give rise to organizational conflicts of interest under the following circumstances: Where the offeror or contractor provides advice and reconnendations (i) to the NRC in a technical area in whirt it is*also providing consulting assi:;tance in the same ares to any organization regulated by the NRC. (ii) Where the offerer 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 offerer or contractor evaluates its own products or services, or the products or services of another entity where the offerer or contractor has been substantially involved in their development or marketing. (iv) Where the award of a contract would otherwise result in s placing.the offerer or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NRC or may othe result in an unfair competitive advantage for the offeror or contractor. } l,

7590-01 (2) The contra;: ting officer may request specific information from L an offeror or contractor or may require special contract provisions such as provided in 520-1.5405-2 in the following circumstances: (1) Where the offeror or contractor prepares specifications which are to be used in competitive procurement of products or services covered by such specifications. (ii) Where the offeror or contract:,r prepares plans for specific approaches or methodologies that are to be incorporated into competitive { procurement using such approaches or methodologies. (iii) Where the offeror or contractor is granted access to infomation ~ not available-to the public concerning NRC plans, policies, or programs .: : 7 which.could fem the basis for a later procurement action. + (iv) Whert 4.he offeror or contractor is granted access to proprietary ~i infomation of its competitors. - 1 (v) Where the award of a contract might otherwise result in placing the offeror or contractor in a conflicting role in which its judgment may.be biased in relation to its work for the NRC or may otherwise result in an unfair competitive advantage,for the offeror or contractor. (c) Policy application guidance. The following examples are illustrative only and are not intended to identify and resolve all i contractor organizational conflict of interest situations. (1) Examole. The XYZ Corp..- in response to a request for proposal (RFP), proposes to undertake certain analyses of a reactor component as called for in the RFP. The XYZ Corp. is one of several companies consicered to be technically well qualified. In response to the inquiry in the RFP, the XYZ Corp. advises that -it is currently perfoming similar analyses for the reactor manufacturer. = l Guidance. An NRC contract for that particular work noma 11y would not be awcrded to the XYZ Corp. because it would be plac2d in a position in which its judgment could be biased in relationship to its work for 4 NRC. Since-there are other well-qualified companies available, there "J - would be no reason for considering a waiver of the policy. m (2) Example. The ABC Corp., in response to a RFP, proposes to perfom certain analyses of a reactor component which are unique to one type of advanced reactor. As is the case with other technically qualified companies responding to the RFP, the ABC Corp. is perfoming various projects for several different utility clients. None of the ABC Corp. projects have any relationship to the work called for in the RFP. Based T on the NRC evaluation, the ABC Corp. is considered to be the best qualified company to perform the work outlined in the RFP. T ~'- ) ~ 1 l O q q e __._._.___f.___

t. ,c LJ 7590-01 y . Guidance. An NRC ccntract.normally could be awarded to the ABC

Corp. because no' conflict of interest exists which would motivate bias An appropriate clause would be included in

- with respect to the work. the contract to preclude the ABC Corp. from subsequently contracting for work during the per4rmance of the NRC contract with the private sector which could create a conflict. For example, ABC Corp. would be precluded from the perfomance of similar work for the. company develeping the set:mced reactor mentioned in the example. (3) Example. As a result of crarating problems in a certain type of comercial nuclear facility, it is imperative that NRC secure specific data.on various operational aspects of that type of plant so as to M e sure 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 decisions affect the reactor's design and thus the company's costs. Guidance. This situation would place the manufacturer in a role in

which its judgment could be biased in relationship to its wot k 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 Any such waiver shall be fully docv,mented ~ the policy may be warranted. and coordinated in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms to guard against bias. (4) Example. The ABC Co. submits a proposal for a new system for evaluating a specific reactor component's performance for the purpose of the NRC program. The ABC Co. .... developing standards that are important to has advised NRC that it intends to sell the new system to industry once its. practicability has been demonstrated. Other companies in this ~ business are using ol, der systems for svaluation of the specific reactor component. ~~ ~ Guidance. A contract could be awarded to the ABC Co. provided that the contractMipulates that no infomation produced under the contract will be.used in the contractor's private activities unless such information has been reported to NRC. Infomation which is reported to NRC by contractors will normally be disseminated by MRC to others so as to preclude an unfair competitive advantage that might~otherwise accrue. When NRC furnishes information to the contractor for the perfomance of contract work, it shall not be used in the contractor's private activities unless such information is generally n.vailaSle to others. Further, the contract will stipulate that the contract:r vill infom the NRC contracting officer of all situations in which the infomation developed under the contract is proposed to be used.

7590-d1 ~ (6) Example. The ABC Corp., in response to a RFP proposes to assemble a map showing certain seismological features of the Appalachian - ~,i fold belt. In accordance with the representation in the RFP and s20-1.5403(b)(1)(i), ABC Corp. infoms the NRC that it is presently doing seismological studies for several utilities in the Eastern United States but none of the sites are within the geographic area contemplated by the NRC study. 1 Guidance. The contracting officer would normally conclude that ~ award of a contract would not place ABC Corp. in a conflicting role where itt judgment might be biased. The work for others clause of 120-1.5405-1(c) woulif preclude ABC Corp. from accepting work during the tem. of the NRC contract which could create a conflict of interest. = (d) 0ther considerations. (1) The fact that the NRC can identify and later avoid,. eliminate, or neutralize any potential organizational conflicts arising from the perfomance of a contract is not relevant'to'.h. '..~ a determination of the existence of such conflicts prior to the award of_.. L contract. (2) It is not relevant that the contractor has the professional rep'utation of being able to resist temptations which arise from organizational conflicts of interest, or that a followon procurement is not involved, or that a contract is awarded on a competitive or a sole source basis. t 20-1.5404 Representation (a) The following p-ocedures are designed to assist the NRC contracting officer in~ detemining whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a.. particular offerer or contractor. (b) Representation procedure., The following organizational conflicts of interest representation provision shall be included in all solicitations and unsolicited proposals for: ~ (1) Evaluation services or l activities; (2) techni. cal consulting and management support services; f (3) research; and~(4) other contractual situations where special organizational-conflicts of interest provisions are noted in the solicitation and would - be included in toe resulting contract. This representation requirement shall also apply to all modifications for additional affort under the contract except those issued under the " changes" clause. Where, however, a statenent of the type required by the organirgWnal conflicts of inte. rest representation provision has previously been submitted with regard to the contract being modified, only an updating of such statement shall be required. 6-D. e ) i a )

i 1 ,e 7590-01 ORGANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION j I represent to the best of my knowledge and belief that: The award to of a contract or the modification of an existing contract does ( ) or does not ( ) involve situations or relationships of the type set forth in 41 CFR I20-1.5403(b)(1). (c) Instructions to offerers. 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 - m r-s 20-1.5403(b)(1) are involved, or the contracting officer otherwise determines that potential organizational conflicts exist, the offerer shall provide a statement in writing which describes in a concise manner all relevant facts bearing on his representation to the contracting ^ officer. If the contracting officer determines that organizational . conflicts exist, the following actions may be taken: (1) Impose appropriate - conditions which avoid such conflicts (ii) disqualify the offeror, or (iii) determine that it is otherwise in the best interest of the United States to seek award of the contract under the waiver provisions of 520-1.5411. (2) The refusal to provide the representation required by 120- ~ 1.5404(b) or upon request of the contracting officer the facts required by'120-1.5404(c), shall result in disqualification of the offerer for award. The nondisclosure or misrepresentation of any relevant interest may also result in the disqualification of the offerer for award; or if such nondisclosure or misrepresentation-is discovered after award, the resulting contract may be terminated. The offerer may also be disqualified from subsequent related NRC contracts and be subject to such other C remedial actions provided by law or the resulting contract. (d) The offerer may, becau te 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 cens,idered by the NRC in the evaluation of proposals. If the NRC considers the proposed excluded work to be an essential or integral ~ 'part of the required work and its e.tclusion would work to the detriment of the competitive posture of the other offerers, the proposal must be rejected as unacceptable. (e) The offeror's failure to execute the representation required ' ~~ y subsection (b) above with respect to invitation for bids will be bconsidered to be a minor informality, and the offerer will be permitted ~ to correct the omission. 5 20-1.5405 Contract clauses s 20-1.5405-1 General contract clause ~

7590-01 s All contracts of the types set forth in i 20-1.5404(b) shall include tha following clauses: (a) Purpose. The primary (purpose of this clause is to aid in1) Is not plac ensuring that the contractor: because of current or planned interest (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and (2). does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract. (b) Srfpe. The restrictions described herein shall apply to performance ar participation by the contractor as defined in 41 CFR ~~ 120-1.5402(f) in the actitities covered by this clause. (c) Work for others. Notwithstanding any other provision of this contract..during the term of this contract, the contractor agrees to forego entering into consulting or other contractual arrangements with-~ ' '" any firm or organization, the result of which may give rise to a conflict-of interest with -respect to the work being performed under this contract. The contractor shall ensure that all employees who are employed full time under this contract and employees designated as key personnel, if any, under this contract abide by the provision of this clause. If the contractor believes with respect to itself or any such employee that any~ proposed consultant or other contractual arrangement with any firm or ' -- 'J : organization may -involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting officer prior to execution of such contractua's arrangement. (d) Disclosure after award. {1) The contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest, as defined in 4's CFR 520-1.5402(a). (2) The contractor agrees that if after. award it discovers organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the contracting officer.' This statement shall include a description of the action which the~. contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, tenminate the contract for convenience if it deems such termination to be in the best interests of the government. (e) Access to and use of information. (1) If the contractor in the performance of this contract obtains access to infonnation, such as RRC plans, pol.icies, 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. u. such information for any(private purpose until the information has been released to the public; ii) compete for work for the Commission based. t F 4 e e 5 4 w_____m.__.____

g.,

o...

? 0 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 information until one year after the release of such information to the public, or (iv) release the information without prior written approval by the contracting officer unless such information 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 cc:,fidential -or privileged
L L~

-M: technical, business, or financial information under this contract,-the r ^ ' contra: tor shall treat such information in accordance with restrictions placed on use of the information. (3) The contractor shall have, subs ct to patent and security provisions of this contract, the right to use technical data it produces under this contract for private purposes provided that all requirements of this contract have been met. (f) Subcontracts. Except as provided in 41 CFR 520-1.5402(h), the contractor shall include this clause, including this paragraph, in subcontracts of any tier. The 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 prose-iptions or for ~ intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations as necessarily imply bad faith, the government may terminate the contract for default, disqualify the contractor from ' subsequent contractual e? forts, and pursue other remedies as may be - ~ ~ ~ ~ permitted by law or this contract. l (h) Waiver. A request for waiver unde'r this clause shall be " directed in writing through the contracting officer to the Executive 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 that organizational conflicts of interest exist, the contracting officer may determine that such conflict can be avoided er after obtaining a waiver in accordance with 120-1.5411, neutralized through the use of an l ~ 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 nrt limited to: . l I _-E J

7590 - (1) Hardware' exclusion clauses which prohibit the acceptence of procuction' contracts following a related nonproduction contrac'., previously 3 perfomed by the contractor; (2) Software exclusion clauses; (3) Clauses which require the contractor (and certain of his key personnel) to avoid certain organizational conflicts of interest; and (4) Clauses which provide for protection of confidential data and guard against its unauthorized use. (b) The following additional contract clause may be included as section (1). in-the clause set forth in s 20-1.5405-1 when it is determined that award of a follow-on contract would constitute an organizational conflict of interest. (i) Follow-on effort. (1) The contractor shall be ineligible to participate in NRC contracts, subcontracts, or proposcis therefor (solicitedi ~ or unsolicited) which stem directly from the contractor's perfomance of work under this contract.- Furthermore, unless so directed in writing by the contracting officer, the contractor shall not perform any technical consulting or management support services work or evaluation activities under this contract on any of its products or services or the products or services of anotner fim if the contractor has been substantially involved in the development or marketing of such products or services. (2) If the contractor under this contract prepares a complete or essentially complete statement of work or specifications, the contractor shall be ineligible to perfom or participate in' the initial contractual effort which is based on such statement of work or specifications. The contractor shall. net incorporate its products or services in such statement of work or specifications unless so directed in writing by the contracting officer, in which case the restriction in this subparagraph shall not apply. (3) Nothing in this paragraph shall preclude the contractor from offering or selling its standard comercial items to the government. 1 5 20-1.5406 Evaluation, findings, and contract award i The contracting officer will evaluate all relevant facts submitted by an offeror pursuant to the representation requirements of !20-1.5404(b) and other relevant,information. After evaluating this information against the criteria of i 20-1.5403, a finding will be made by the contracting officer whether organizational conflicts of interest exist with respect. to a particular offeror. If it has been detemined that conflicts of interest exist, tnen the contracting officer shall either: m- +- m (a) Disqualify the offeror from award, , l j ) l 1 ?* ) +

W ^ 'c.,, - 7590-01 It ' ' ~ s ,(b) Avoid or eliminate such conflicts by ppropriate measures; or L'* -(c) Award the contract under the waiver provision of I20-1.5411. l t i20-1.5407 Conflicts identified after award. If potential organizational conflicts of interest are identified after award with respect to a particular contractor, the contracting officer determines that such conflicts do, in fact, exist and that it would not be in the best interests of the government to terminate the icontract'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 120-1.5411, neutralize the effects of the identified conflict. I20-1.5408 (Reserved) s20-1.5409 (Reserved) 520-1.5410 Subcontracts The contracting officer shall require offerers and contractors to submit a representation statement in accordance with 320-1.5404(b) from subcontractors and consultants. The contracting officer shall require the contractor to include contract clauses in accordance with 320-1.5405 in consultant agreements or subcontracts involving performance of work under a prime contract covered by this subsection. 120-1.5411 Waiver In the first instance, determination with respect to the need to - seek a waiver for specific contract awards shall be made.by the contracting T ~~ officer with the advice and concurrence of the program office director ~~ and the Office of Executive Legal Director. Upon the recommendation of the contracting officer, and after consultation with the Office of the n , General Counsel, the EDO may waive the policy in specific cases if he determines that it is in the best interest of the United States to do so. Such action shall be strictly limited to those situations in which: (1) The work to be performed under contract is vital to the NRC prot..Am; (2) the work cannot be satisfactorily perfomed except by a contractor whose interests give rise to a question of conflict of interest; and (3) contractual and/or technical review and :Upervision methods can be employed by NRC to neutralize the conflict. For any such waivers, the justification and approval documents shall be placed in the Public Document Room. e 9

._-_-___g 1 7590-01 ~.. l 120-1. 5412 Remedies ~ l In addition to such other remedies as may be permitted by law or.. contract for a breach of the restrictions in this subpart or for any intentional misrepresentation or intentional nondisclosure of any ~ relevant interest required to be prov'ded for this section, the NRC may debar the contractor from subsequent NRC contracts. l l Dated at Washineten. 0.C this 27th day of March 1979. For the Nuclear Regulatory Commission cituud N 0;h A e Samuel J. Chilk Secretary of the Commission S e 4 4 l 12 e e G ~

.. a - e .g (REVISED - 4/89) BILLING INSTRUCTIONS FOR NRC COST-TYPE CONTRACTS General. The contractor shall submit vouchers for cost-reimbursement .in the manner and format described herein and as illustrated in the sample voucher. A copy of all supporting documents must be furnished with each copy of your invoice / voucher. Failure to furnish these copies may result in a delay in payment. Number of Copies. An original and three copies, with supporting documentation attached to each copy, should be mailed to: US Nuclear Regulatory Commission Division of Accounting and Finance ATTN: GOV /COM Accounts Section Washington, DC 20555 Frequency. 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." Additional copies of the form are available from the Contracting Officer. The instructions 'for preparation and itemization 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 l 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. p 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.

r c INSTRUCTIONS FOR PREPARING COST INFORMATION FOR NRC CONTRACT _S Preparation and Itemization of the Voucher. The contractor shall furnish the information set forth in the explanatory notes below. These notes are keyed to the entries on the sample voucher. ~ Pavor's Name and Address. Address the original and 3 copies of the voucher, with supporting documentation attached to each j copy, 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 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. Pavee's Name and Address. Show the name of the contractor as it appears.in the contract and its correct address. When an approved 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 questions that the NRC may have regarding the invoice (name and phone number). (a) Contract Number - Insert the NPC contract nuuber. Task Order No. (If Applicable) - Insert the task order number. (b) Title of Proiect,- List the full title of the project being performed under this contract. (c) Voucher Number - Insert the appropriate serial number of the voucher beginning with 001 for this contract. Contractors may also include individual internal accounting numbers in addition to the three digit number. (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) Billinz Period - Insert the beginning and ending dates (day, month, and year) of the period in which costs were incurred and for which reimbursement is claimed. w w w - ~ ~ _ _ _---.___ _- _ _ - _ _ - - - - - - -

(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) Frinze 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 Equipment - For educational institutions, list each item costing $500 or more and having a life expectancy of more than.one year. For contractors other than educational 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, Supplies, and Other Expendable Items - These are consumable materials, supplies, and 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 include the name, hourly or daily rate of the consultant, and reference the NRC approval (if not specifically approved in the original contract). . t

~# ,g' 10 ~ 6 L. :. {, ', C ./ (7) Travel - Domestic travel is travel within the United States, its territories, possessions, and Canada. It should be billed separately from foreign travel. All costs associated with each trip must be shown in the following format: Dat e 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 by cost element and dollar amount separately. (i) Indirect Costs--Overhead - Cite the formula (rate and base) in effect during the time the cost was incurred and for which reimbursement is claimed. (j) Fixed-Fee - If the contract provides for a fixed-fee, it must be claimed as provided for by the contract. Cite the formula or method of computation. The coe :ractor may bill. for fixed-fee only up to 85% of total fec. (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 Billing - Insert the cumulative amounts billed for the major cost elements and adjusted amotnts claimed during this contract. (m)..otal Amounts Claimed - Insert the total amounts claimed. T for the current and cumulative periods. (n) Adjustments - This includes cumulative amounts billed that have been suspended or disallowed. (o) Grand Totals

n t Q 'f. k. 4 I,f VOUCHERS FOR PURCHASES'AND SERVICES OTHER THAN PERSONAL-w \\ .;yer';-Name-and-Addr; :_ (a) Contract Number ~ ~ ~~~ l 1 0;S. Muclear Regulatory Connission Task Order No. (If Applicable) 1 Division of Accounting anc Finance -U-ATTN: GOV /COM Accounts Section (b). Title of Project Wasnington, ut, guoso Payee's-Name-and Addieo. (c) Voucher Number ! (d) Date Voucher Prepared (e) Total Estimated Cost of Contract ' Individual to contact a;;;rdi ; Tht: Vercher: Name: (f) Total Fixed-Fee....._ __ _ TETT Norf - ~ ~ ~ ~ ~~'~ ~~ fh ru~ (g) This-voucher represes:s reimbursable costs from 7g (k) Current Period (1) Inception to Date (h) Direct Costs- -tit-Direcrtucar - (2) Fringe Benefits @ 5if comvutea es percentace) (3) Capital 1 zee NonexpencaDie - - Ecutoment (4) Materials, Supplies anc - - 7 nc301tETTret Ecufement * -n

( S) ~ P remium P a y

--(e) TonTuTtahts - i7) Tra?e1 - vomestic * - - 76rFinn

p-(8, 5u5conta ct -

i t9) utner cosu - ~ ~~ (1). INDIRECT. COSTS .A) OverMac " of Dncfrafe Base) Suototal B) General & Administrative Expense t of Cost Elements Nos. Total Costs ~ (j) FI1Ev-rE: EAPNED (Formula) -(m) Totai Amounts Claimed _(n) A'djustments 17Dtsta'ndirig Suspensions (o) Grand TbtaTs~

(REQUIRES SUPPORTING INFORMATION )

'(SEE ATTACHED )._ 7/88 ____________________m______

_.3.+ y 'o T. r... INSTRUCTIONS FOR PREPARING COST INFORMATION FOR NRC CONTRACT 5 Preparati! and Itemization of the Voucher. The contractor shall ~ ~ 1 furnisn the information set forth in the explanatory notes-below. I" These notes are keyed to the entries on the sample voucher. Payer's Name and Address. Address the original voucher (with 3 copiest 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 ~ ^ i.- be addressed to the Division of Accounting and Finance (301-492-8010). Any questions regarding vouchers for which n payment has been received (either in full or partially with suspensiuts or disallowances) should be addressed to the. Contracting Officer. Payee's Name and Address. Show the name of the contractor as it appears in tne. contract and its correct address. Wherr an approved assignment has been made by the contracter, or a different payee er addressee has been designated, insert the name and address of ~ the payee. Indicate the individual responsible for answering any questions that the NRC may have regarding the invoice (name and phone number). (e) Contract Number - Insert the NRC contract number. Task Order No. (If Aeolicable) - Insert the task order nunoer. (b) Title of Project - List the full title of the project being ~ performec uncer this contract. (c) Voucher Number - Insert the appropriate serial number of the voucner oeginning with 001 for this contract. ) Contractors may also include individual internal accounting numbers in addition to the 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) Billino Period - Insert the beginning and ending dates (day, montn, and year) of the period in which costs were j incurred and for which reimbursement is claimed.

{ .e 's - (h) Direct Costs - Insert the major cost elements.

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

Labor Labor Hours Hours Cumulative _ ____Ca tegory Negotiated Billed Rate Total Hours Billed (2) Fringe Benefits - This represent's fringe benefits - applicable to direct labor and billed as a direct cost. 9 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, Supolies, and Other Expendable Items - '7 Tnese are consumanie materiais, supplies, and equipment 1 other than that described in (3) above. .l (5) Premium Pay - This is remuneration in excess of the basic hourly rate. (Requires written approval of the Contracting 0fficer.) (6) Consultant's Fee - The supporting information must incluoe tne name, hourly or daily rate of the d consultant, and reference the NRC approval (if not q l specifically approved in the original contract). q L e 4, j

e _. x w. ~, y- '- 4 (7) Travel - Domestic travel is travel within the United 5tates,.its territories, possessions, and Canada.. It ~ ~ should be billed separately from forefgn travel. All costs associated with each trip must be shown in the format: Date Traveler Destination Purcose Colt Frem 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 anc collar amount separately. (i) Indirect Cssts--Overhead - Cite the formula (rate and base) in effect curing tne time the ecst was incurred and for which reimbursement is claimed. (j) Fixed-Fee - If-the contract provides for a fixed-fee, it ~ must be claimed ar'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 ccst elements, adjustments, and total amount ~ -~ ~~ for the period. (1) Cumulative Amount from Inception to Date of this Billino -~-~ Insert tne cumulat1ve amounts Dilleo for the major cost elements and adjusted amounts claimed during this contract. (m) Total Amounts Claimed - Insert the total amounts claimed for tne current anc cumulative periods. (n) Adjustments - This includes cumulative amounts billed that '~- E' ave been suspended er disallowed. (o) Grand Totals e

VOUCHERS FOR PURCHASES AND SERVICES OTHER THAN PERSONAL Payor's Name and Address (a) Contract Number NRC-10-81-624 U.S. Nuclear Regulatory Comission Division of Accounting and F.inance-- Task Order No. (If ApplicableL 002 6 ATTN: GOV /COM Accounts Section (b) Title of Project " Study of Nuclear Waste ..ashington, DC._2044; Payee's Name and Address Concepts"- ABC Corporation The National Bank 100 Main St~ bet ~oF~Anfehe~r~e N. (c) Voucher Number 003 r Anywhere, U.S. A. - Assignee-forJBC-4orp. _ 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: 5350,000.00 (f) Total Fixed-Fee 517,500.00 ] No.: 4 (g) This voucher represents reimbursable costs from 3/1/82 thru 3/30/82 Amount Billed (L) Current Period (1) Inception to Date (1) Direct Labor * $2.400 $6 mn (2) Fringe Benefits @Ao.ot (if cemouted es _pe_r_centace) 6cn 1,200 (3) Cap 1:alizeo honexpenosoie Ecuioment

5,000 8,000

~~ (4)' Materials, Supplies anc Noncapitalized Ecuipment 2 2,000 4,000 (.5). Fremium Pay 100 150 ( 6_). Co n s u l t a.n.t s

100 100 (7). T ra vel

.. Domes t.1 c

200 Pon

__i Foreien ' 2 0 0 ~~- - (!,) Succontrac: 0,Uvu 9,000 -~ 200 l ~ (9) Otner costs - "- rec sts W, WD RE (i) INDIRECT COSTS - Al Overneac 10(L.of Total Direct Costs $13,600 $29,650 (Indicate basei suctotal 527,200 559,300 - - B) General & Administrative Expense ) 12 % of Cost Elements Nos.1-9. A 3,264 6,450 _ Total Cests $30,464 sgmn ._( j ) FIXED-FEE EARNED (.Eomula) 1,523 3,400 (g] Total Amounts Claitee $31,987 $69.150 (n) Adjustments Outstanding Suspensions 1,700 1.700 (o) Grand Totais $30.287 $67.450

(REQUIRES SUPPORTING INF0PyATION.)

~' (SEE ATTACHE 0.) ~ 7/88

,~ 8. SAMPLE SUPPORTING INFORMATION

1) Direct Labor - $2400 Cumulative Labor Labor Hours Hours Total Hours Billed Necotiated Billed Rate

_Cateoory. + Senior Engineer I 2400 100 $14.00 $1400 975 Engineer 1500 50 .$10.00 $500 465 HC _Coinputer Analyst 700 100 2$5.00- $500 320 TERIG

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

4) Materials, Sucolies & Other Excencable items

$1100.00 10 Radon Tubes 9 $110.00 = $900.00 6 Pairs Electrostatic Gloves,9 $150.00 = 32000.00

5) Premium Pay Walter Murphy - 10 hours.9 $10.00 Per Hour = $100 (This was approved by NRC in letter dated 3/6/82.)

,6 ) Consultants' Fee Dr. Carney - 1 hour 9 $100 = $100

7) Travel L_

Oa ts_ _. Traveler Destination Purpose Costs h From Too From 3/1/82 3/6/82 William King Chicago. Wash.. Meeting with $200 Il DC Project Officer 9

P

8) Subcontracts XYZ CORP.

(CPFF) Direct Labor: - 80 hours 9 $20.00 per hour = $1600.00-M 0/H 9 50% $800.00. = Travel - 2 Trips - Wash., DC 9 $200 $400.00 a to Boston, MA Pmfit 9 7% = __1200.00 TOTAL: 53000.00 (j) Fixed-Fee (Femula) (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 f001, now approved by Contracting Offi~cer letter 3/10/82. O O e 1 8 5 4 4 4 h ____W

$7T 3 Form NRC.489 (1 76) U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL TRANSMITTAL NOTICE ~~ CHA:'M NRC-3202 PUBLICATION OF TECHNICAL REPORIS PREPARED BY NRC CONTRACTORS, INCLUDIhG FEPORTS PEPArx.u UNDER OR PURSUANT TO INTERAGENCY AGREEPE!ITS SUPERSEDED: TRANSMITTED: Number Date Number Date TN 320C-21 Dianter NRC-3202 h/29/82 Chapter NRC-3202 8/29/84 Page Page Appendix NRC-3202 h/2C/82 Appendix NRC-3202 8/29/84 REMARKS: This revision of Chapter 3202 expands the chapter from coverage of unclassified reports to include the trarkirs and handlirs of sensitive unclassified infcmation (Official Use Cnly and Limited Official Use Inferatien, Safeguards Information, Proprietary Infcmatien) and classified infcmation (Tcp Secret, Secret, and Confidential). A section has also been added to set forth precedures for the handling of unclassified repcrts en NBC cooperative pregams with foreign gcVenenents and crgar.icatiens and with U.S. industry.

l .= 4 i U.S.. NUCLEAR REGULATORY COMMISSION NRC MANUAL Volume: 3000 Information and Foreign, Activities Part : 3200 Technical Information and Document Control ADM CHAPTER 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 1 3202-01 COVERAGE i This chapter and its appendix handbook establish responsibilities, basic requirements, standards and procedures for the documentation, production and dissemination of technical reports prepared by NRC consultants and grantees and by NRC contractors and their subcontractors, including reports prepared under or pursuant to interagency agreements or memorandums of understanding. These reports are hereafter referred to as contractor re-ports. This chapter does not cover NRC staff-generated documents, NRC docket material, or the documents generated by NRC boards, panels, advisory committees and Offices that report to the Commission. 6 3203-02 OBJECTIVES 0 21 to assure production and dissemination of technical reports as required by the Energy Reorganization Act of 1974 and the Freedom of Infor-mation Act. 022 to assure that dissemination of technical reports is consistent with requirements for public availability of information. l 023 to sssure that national security, patent rights, copyrights, proprie-tary rights and rights in other sensitive unclassified information are not l compromised by the release, distribution, or dissemination of technical reports from NRC.. 024 to assure that formal NRC contractor reports will carry the regis-tered NRC designation NUREG/CR or NUREG/CP as the prime identification. 025 to provide for coordination of press or other media releases. 3202-03 RESPONSIBILITIES AND AUTHORITIES 031 The Director. Office of Administration: a. . develops and maintains, in consultation with Directors of Offices 'and Divisions and Regional Administrators, NRC standards, proce-dures and guides for the production and dissemination of technical contractor reports. Approved: August 29, 1984 a

NRECOiiTR CYORS, INdLUDING REPORTS PREPARED ~ NRC-3202-032 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS b. periodically surveys report activities throughout NRC to ascertain that the provisions of this chapter are adequate and are being implemented; makes any changes needed. I 032_The... Director, Division of Technical Information and Document, j Control; develops and administers a central report control system for identi-a. fying, printing and distributing contractor reports and responding to requests for unclassified reports. b, develops and maintains guides and standards for the documentation, formatting, printing, dissemination, and public sale of unclassified contractor reports. c. assures that a system exists for review of unclassified contractor. reports for adherence to patent, copyright and disclosure policies ~ prior to dissemination. d. establishes and administers interagency agreements necessary for the dissemination and public sale of unclassified contractor reports and controls duplication and printing of contractor reports to assure adherence to the Government Printing and Binding Regulations issued by the Joint Committee on Printing (JCP), Congress of the United States. e. in response to requests of Directors of Offices and Regional Administrators, establishes distribution data banks, maintains official standard distribution lists for automatic distribution of unclassified. contractor reports, and controls distribution to assure adherence to the Government Printing and Binding Regulations, the Privacy Act, and the Freedom of Information Act. . _033 Directors of Offices and Regional Administrators: a. establish the contract or Standard Order for Work

provisions, including those required by this chapter and its appendix; Chapter NRC-3203, Distribution of Unclassified NRC Staff-and Contractor-

~, Generated Dbcuments and its appendix; Chapter NRC-0260, Print-ing, Copying, Graphics and Photography and 'its appendix; and ~~ ~ Chapter NRC-1102, Procedures for Placement of Work with the Department of Energy: In the Statement of Work: (1) specify what reports will be reviewed for policy, management, and legal issues by NRC staff in draft prior to printing and distribution. If the report is to be reviewed by NRC staff, ~.- give the ' conditions under which the contractor may publish ....} documents in the event of unresolvable differences relative to the draft, including the type of disclaimer to be used in addi- { tion to the standard government disclaimer (see Exhibit 6). j , In the case of DOE work, this is NRC Form 173, Standard Order for DOE Wo,rk. See Chapter NRC-1102. Approved: August 29, 1984 1 i

t n . NRC CONTRACTORS, INCLUDING REPORTS PREPARED PUBLICATION OF TECHNICAL Rt. PORTS PREPARED BY L UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-034 .I (2), provide for the reviews necessary to insure that the national security. patent rights. copyrights, proprietary rights and rights in other sensitive unclassified information are not compromised by the release or dissemination of the r-eports. If DOE contractors are to be authorized to make the reviews, designate the contractor officials who are authorized to sign NRC Form 426A prior to NRC distribution of reports (see Appendix, Part IV). Assure that sensitive unclassified and classified reports are marked' and handled properly (see Appendix, Part V). (3) specify that all formal reports carry NUREG/CR or NUREG/CP numbers as the prime identification, as illustrated in the appendix. (4) specify whether formal reports shall be printed by NRC or 'he contractor if the contractor has a JCP-authorized federal print-ing plant (see Appendix. Parts II and IV). (5) specify that all formal reports required oy NRC shal be distributed by NRC. (6) establish the number of copies the catractor may retain or request for internal and external distribution and charge j against NRC. Written justification must be provided, and approval obtained of the NRC JCP representative (the Director, Division of Technical Information and Document Control) when the number exceeds the 50 copies authorized by JCP for unclassified reports. (7) assure the protection of classified and sensitive unclassified information, if any, in contractor reports (see A ppendix, Part V). b. assure iJ trence to instructions and authorizations regarding the-reproduction and distribution of reports. c. recommend standard distribution category (ies) for contractor reports to the Division of Technical Informatier and Document Control. d. provide changes to the official standard distribution lists to the Division of Technical Information and Document Control. e. establish procedures for review of contractor's proposed pres 3 and other media releases. _ _034_ The Office of the Executive I.aal Director prsvides legal review and advice to NRC staff on questions regarding inventions, patents, proprietary information, use of copyrighted material, national security, and other sensitive unclassified and classified information. i 035 The Director, Office of Public Affairs, upon request of the project manager, reviews proposed contractor's press or other media releases for appropriateness. na n-aa ma

PUBLICATION OF TECHN1 CAL REPORTS PREPARED BY NRC CONTRACTORS, TNCLUDING REPORTS PREPARED NRC-3202-036 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 036 The Director, Division of Security: administers the overall information security program which includes a. 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 hantilirg of reports containing classified, proprietary and other sen sitive, nelassified information. 037 The Director, Division of Contracts;: coordinates the flow of all reports to and f rom contractors (other a. than DOE contractors) where such reports may result in alterations in the terms and conditions of applicable contracts as thU pertain to report production and distribution. b. advises the contractor as to the source and method for obtaining reports required from the government for performance of the contract. ~ provides contractor with copies of NRC Chapters 0260, 3202, 3203, c. 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. ensures that appropriate clauses are included in contracts regarding e. the private use and protection of classified, proprietary and other sensitive unclassified information. 3202-04 DEFINITIONS

0 41 c_amera-ready copy - pages ready for printing by the offset printing _. _

process. This is a colloquial term used even though the printing process may not involve the so-called copy camera (see also reproducible masters).' 042 c_entral report control system - means for developing and maintaining __ ______4 the policies, 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 interagency agreement. Words underscored in definitions are also defined in list. Approved: August 29, 1984 4

) I PUBLICATION-OF TECHNICAL REPORTS PREPARED BY J '. 'NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-044 1 I 044 copyright - a form of protection provided by the laws of the United States (Title 17, U.S. Code) to the authors of " original works of authorship" including literary, dramatic, musical, artistic, and certain other intellectual works. This protection is available to both published and unpublished works. Copyrighted material may not be reproduced without the permission of the author or publisher. 045 disseminate - to announce the publication of reports and make them f 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 cased on the requests of the originating Office or Region. 047 documentation - classification and associated markings required for classified ~~c7 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 nur;ber), date and availability. 048 draft or final material for inclusion in " Safety Evaluation Reports" _ or " Environmental Statements" (ES) - written material requested for input to SERs or Ess to be issuec 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 invt stigation, or a significant compilation of information. This product is a formal technical report for publication in the NUREG/CR series. For extensive long-term projects, formal monthly, quarterly or semiannual and annual peri-odic technical reports may be required. A draft of the final or periodic report may be requested for comment prior to preparation of the camera-ready copy. 0410 NRC project manager - the NRC staff member responsible for the p work performed by consultants or contractors and their subcontractors, or l for work performed under or pursuant to an interagency agreement. examination by legal staff to assure protection 0411 patent eeview l rights in inventions. l 0412 proprietary information - trade secre.s ; 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 info 7 nation submitted in confidence to the 'RC by a foreign source and determine:i to be unclassifit d by the NRC. 0413 publicly available documents - information (reports and references) which is available in the NRC Public Document Room (PDit) for public inspec-r tion and copying or available in the public demain.. l l /wammee aumen R HM

PUBLICATION OF TECHNICAL REPORTS PREPARED BY ~ NRC CONTRACTORS,1NCLUDlNG REPORTS PREPARED NRC-3202-0414 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 0414 reproducible master? - camera-ready copy which includes (1) origi.. nals of line drawings (or prints that can be copied), (2) glossy prints 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 mterim or final technical letter reports, draft or final formal technical reports for publication in the NUREG/CR or_ NUREG/CP series, or draf t or final material for inclusion in SERs or ESs. 0416 technical letter reports (also called technical evaluation reporis) - interim or fmal letters that provide information on the technical aspects of? - contract work. Interim. technical letter reports may be required ' at vario~us 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 : - - uatien 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 onioue identification NRC identification used on a report and_its attachments revisions, and supplements that is not used on any other e repor. 3202-05 BASIC REQUIREMENTS 051 Applicability. The provisions of this chapter and its appendix apply to NRC consultants, grantees, contractors and subcontractors, including those .crking under interagency agreements, whose contracts i equire the prepara-tion of technical reports. Because cf the unique requirements of NRC boards, panels, advisory committees and Offices which report directly to the Commission, the handling of reports prepared by consultants and contractors to them are governed by the Board or Panel Chairman and, in the~ case of advisory-committees, by. the Advisory Committee Management Officer,' or the Commission. These exceptions do not preclude the use of the NUREG/CR series designation en 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), r.nd NRC Form 190, " Cover Sheet for -Reports ~ Containing Proprietary Information" (Exhibit 19), shall be used as provided'in the app,endh. t 053 Appendix 3202. This appendix contains standards and procedures for the preparation of reporting requirement portions of Statements of Work, i and for the documentation, produd. ion, and dissemination of technical reports prepared by contractors and other government agencies in accordance with contract requirements or interagency agreements. Approved: August 29, 1984 _o_.m.__

PUBLICATION OF TECHNICAL REPORTS PREPARED BY ' 'NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-054 t 054 Preparation Requirements i a. Reports to be Printed by NRC. All contractor reports to be printed - by NRC shall be oreparea according to Appendix 3202. The repro-ducible masters fc c the requisite distribution shall be transmitted to the Division of Technical Information and Document Control accom-panied by comotted NRC. Form 426A and NRC Form 335. b. ~~ Repor'.s Printed by Autho -ized 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-I cient copies for standard and incidental distribution shall be sup-plied to the Division of Technical Information and Document Control. accompanied by completed NRC Form 426A, signed by the authorized contractor official. Each such report shall include, as the last par,e. a completed NRC Form 335. 055 References. The NRC chapters referenced and NUREG-0794 (ref. j) and NUREG-0650 (ref. i) are available from the Division af Technical Informa-tion and Document Control. The other publications are available from the Govern,ent Printing Office. a. Chapter NRC-0260. " Printing. Copying. Graphics and Photography " b. Chapter and Appendix NRC-2101. "NRC Security Program." c. Chapter NRC-3203, "Distribu tion of Unclassified NRC Staff-and Contractor-Generated Documents." d. Chapter NRC-Il02. " Procedures for Placement of Work with the Department of Energy." e. Chapter NRC-3206, "NRC 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 Printing and Binding Regulations of the Joint Committee on Printing, Congress of the United Statec. No. 24 April 1977 (JCP Regulations), Government Printing Office. i. Title 5, U.S. Code, " Government Organization and Employees. " Government Printing Office. / e k n

p r PUBLICATION OF. TECHNICAL REPORTS PREPARED BY y

NRC CONTRACTORS,: INCLUDING REPORTS PREPARED =

% +.,. ... 02-055-UNDER--OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-32 -J. " Technical. Writing Style' Guide," A. W. Savolainen et al., compilers, U.S. NRC Report NUREG-0650, November 1979, and Supplement 1, ~ February 1982. ~ k. ' " Protection of Unclassified Safeguards Information," D. J. Kasun, ' USNRC Report NUREG-0794, October 1981. 1. Chapter NRC-0255, " Mail Management," and Appendix 0255, Part V. Annex A.. _4 l + 9 e o 8 4 ' S t ' Approved: August D. 1984

o a PUBLICAT5ON OF TECHNICAL REFORTS PREPARED BY t FNRC* CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 1 CUNTENTS PAGE .PART I PREPARATION OF REPORTING-REQU(REMENTS PORTIONS OF STATEMENTS OF WORK FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR DOE WORK 1 A. LIST OF TECHNICAL REPORT REQUIREMENTS......................... 2 B. REQUIREMENTS FOR FORMAL REP 0RTS.............................. 2 C. REQUIREMENTS FOR ORAFT REP 0RTS................................ D. PUBLISHING UNCLASSIFIED, NON-SENSITIVE INFORMATION 3 IN OPEN LITERATURE AND PRESENTING PAPERS...................... 4 E. TYP0 GRAPHY.................................................... F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND 4 CLASSIFIED INFORMATION........................................ G. Put'LISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES 4 AND,l0RKSHOPS................................................. WRITING An?. PUBLISHING-UNCLASSIFIED B00KS..................... 5 H. 5 I. DISTRIBUTION OF REPORTS TO CONTRACTORS........................ ~ J. COORDINATION OF PRESS OR OTHER MEDIA RELEASES 5 0F UNCLASSIFIED INFORMATION................................... 7 PART II UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC... 7 A. DOCUMENTATION................................................. 7 1. Applicability............................................ 7 2. Front Cover and Title Page............................... 9 3. Availability Information................................. 9 I 4. Disclaimer..................................... 9 5. Previous Reports in Series.............. 9 6. Abstract................................................. 9 7. References and Bibliographies............................ 10 8. Bibliographic Data Sheet................................. 10 B. PATENT AND SECURITY REVIEWS................................... 10 l 1. Patent Review............................................ 10 1 2. Security Review.......................................... .i Approved: August 29, 1984

.. PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED 1 NRC Appen' dix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS gw J CONTENTS (Continued) PAGE l. C. PROCEDURES FOR PRINTING AND DISTRIBUTING...................... 11 1. Printing....................,............................ 11 l 2. Reprinting............................................... .11 3. Distribution of Reports.................................. 11 l EXHIBITS i 1. Sample Cover for Unclassified Formal Contractor-Prepared Reports, Excluding Those Printed by DOE Laboratories with JCP Authorized Fede ral P ri nti ng P l a nts........................................... - 13 2. Sample Title Page for Unclassified Formal Contractor-PrepaFed Reports, Excluding Those Printed by DOE Laboratories witn JCP Authorized 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 DOE Laboratories with JCP Authorized Federal Printing P1 ants....................................... 16 5. NRC Form 426A, Publications Release............................... 17 6. Disclaimer and Availability Statements............................ 18 7. NRC Form 335, Bibliographic Data Sheet............................ 19 PART III UNCLASSIFIED TECHNICAL LETTER REP 0RTS........................ 21 A. F0RMAT....................................................... 21 1. Ap p l i c a t11.l i ty........................................... 21 2. Requirements............................................ 21 B. PATENT AND SECURITY REVIEWS................................. 21 1. Patent Review............................... 21 2. Security Review........................................ 22 PART IV ' UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE OFFICE ~ OF NUCLEAR REGULATORY RESEARCH BY DOE LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS...................... 23 A. DOCUMENTATION............................................... 23 ~ 1. Applicability.......................................... 23 ? 2. Front Cover and Ti tl e Page............................. 23 A'pproved: ' August 29, 1984' if a

j i i l , PUBLICATION OF TECHNTCAL REPORTS PREPARED BY iNRC. CONTRACTORS, INCLUDING REPORTS PREPARED 1 i ..UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 -._t_ i 3 CONTENTS (Continued) PAGE 3. Availability and Price Information..................... 25 4. Disclaimer............................................. 25 5. Previous Reports in Series............................. 25 6. Abstract............................................... 25 7. References and Bibliographies.......................... 26 8. Bibliographic Data Sheet............................... 26 B. PATENT AND SECURITY REVIEWS................................. 26 1. Patent Review.......................................... 26 2. Security Review........................................ 26 C. PROCEDURES FOR PRINTING AND DISTRIBUTING.................... 27 27 1. Printing............................................. 27 2. Reprinting.................................. 3. Distribution of Reports................................ 27 PART V REPORTS CONTAINING SENSITIVE UNCLASSIFIED..0 CLASSIFIED INFORMATION..................... 29 29 A. APPLICABILITY.............................................. B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION...... 29 30 C. PROPRIETARY INFORMATION. 31 D. SAFEGUARDS INFORMATION...................................... 31 E. CLASSIFIED INFORMATION...................................... EXHIBITS 8. Sample Cover for a Contractor Report Containing Official Use 33 Only Information........................... 9. Sample Title Page for a Contractor Report Containing Official 34 Use Only Information.............................................. 10. Sample Back Cover for a Contracto.r Report Containing Official 35 Use Only Information.............................................. 11. Sample Cover for a Contractor Report Containing Limited 36 Official Use Information.......................................... 12. Sample Title Page for a Contractor Report Containing Limited 37 Official Use Information.....................................,..... i iii Approved: August 29, 1984

NRC CONTRACTORS, INCLUDING REPORTS PREPARED _NRC: Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS, CONTENTS (Continued) s PAGE I - 13. Saniple Back Cover for a Contractor Report Containing Limited Official Use Information.......................................... 38 14. Sample Cover for a Contractor Report Containing. Proprietary Information Obtained from a U.S. Organization..................... 39 15. Sample Cover Page for a Contractor Report Containing -Propriet.ary Information Obtained from a Foreign Source............ 40 16. Sample Title Page for a Contractor Report Containing Proprietary Information Obtained f rom a U.S. Organization......... 41 17. Sample Title Page for a Contractor Report Containing Proprietary Information Obtained f rom a Foreign Source......'...... 42 ~ 18. Sample Back Cover for a Contractor Report Containing Proprietary Information........................................... 43 19. Cover Sheet for Reports Containing Proprietary Information........ 44 20. Sample Cover for a Contractor Report Containing Unclassified Safeguards Information............................... 45 21. Sample Title Page for a Contractor Report Containing Unclassified Safeguards Information....... 46 22. Sample Back Cover for a Contractor Rep.'rt Containing Unclassified Safeguards Information............................... 47 23. Cover Sheet for'a Contractor Report Containing Unclassified Safeguards Information............................................ 48 PART VI. HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH INbuSTRY..................................................... 49 A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT......... 49 B. DISTRIBUTION BY NRC PROJECT MANAGERS......................... 50 C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT............... 50 D. REPORT IDENTIFIERS..................................... 50 - -~- y! E. MAILING TO PROGRAM PARTICIPANTS............................. 51. F. SECdRITY.................................................... 51 i: ' Appro 'ed: August 29, 1984 iv ,4 1

, PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC. CONTRACTORS, INCLUDING REPORTS PREPARED ' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 CONTENTS (Continued) PAGE EXHIBITS 24. Sample Cover for a Oraft Preliminary Report (Code) for Comment... 52 25. Transmittal Letter from Contractor to NRC Project Manager for Draft Preliminary Report (Code)................................... 53 26. Transmittal Sheet for Requesting Mailing to Cooperative Program Participants...................................................... 54 I l ~ v Approved: August 29. 1984

1 .' PUBLICA' TION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS DREPARED ^ UNDER OR PURSUANT TO INTERAGENCY MREEMENTS . NRC Appendix 3202 4 PART I { PREPARATION OF REPORTING REQUIREMENT PORTIONS OF { STATEMENTS OF WORK FOR CONTRACTS, GRANTS AND STANDARD ORDEhS FOR DOE WORK A. LIST OF TECHNICAL REPORT REQUIREMENTS List the technical reports required from each project, task or subtask. as applicable. State when and to whom they should be submitted and " - - ~ what they should contain. These reports may be unclassified, sensitive unclassified or classified. Standards for each of these categories are presented in Parts II through V. The following definitions describe the types of reports that may be specified: technical reports - information on the technical aspects of contract work. These may be interim or final technical letter reports, draft or final formal technical reports for publication in the NUREG/CR or __NUREG/CP series, or draft or final material for inclusion in SERs or ESs (see definitions below). technical letter reports (also called technical evaluation reports) 'in terim or final letters that provide information on the technical aspects of the contract work. Interim technical letter reports may be required at various stages of a project. These interim letters usually are followed by a final technical letter report or a formal technical report. Final technical letter reports are usually specified in situations where the technical work is review and evaluation of work of others or work to be used by the staff in the licensing and regulation process. Interim letter reports may include, but are ^ not limited to, informal (interim) progres report s, quick-look reports, data reports, status summc ry reports, project descriptions. pre-test, predictions, model verifications,, experiment safety anal- ~

yses, experiment operating procedures, facility' certification reports, and test result reports.

These reports must be identified with the financial number (FIN) assigned to the project. They are not to be identified with DOE registered report codes. The num-ber of copies to be prepared and the distribution of those copies will be specified by the project manager. formal technical reports - the final product of research, an original investigation, or a significant compilati0n of information. This pro-duct is a formal technical report for publication in the NUREG/CR or ~ NUREG/CP series. For extensive long-term projects, formal monthly, quarterly or semiannual and annual periodic technical reports may be I ~ ~ l, required. A draft of the final or periodic report may be requested 1 for comment prior to preparation of the camera-ready copy. i ~1 Approved: August 29, 1984

~ PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part I UNDER OR ' PURSUANT TO INTERAGENCY AGREEMENTS ~ letters, or license amendments - written material requested for use. h _. draft or final material for publication or inclusion in SERs. ESs. in the NRC licensing process. Such material may be (1) abstracted in a NUREG report or attached to a NUREG report, (2) attached to a letter or an amendment to the license, or (3) abstracted and used as necessary by the NRC staff. NRC requires patent review and - full management review of this material by the performing organiza- ~- tion. This material is to be submitted to NRC as a technical letter report addressed to the project manager and identified by the FIN number. For purposes of this Part, contractor means a private contractor, con-sultant, grantee, another State or Federal Agency working under an interagency agreement, or a DOE / facility or National Laboratory (con-tractor) and subcontractors. B. REQUIREMENTS FOR FORMAL REPORTS ~ If the contractor is to prepare a final formal technical report for publi-cation, state that it will be printed and distributed by NRC from camera-ready copy submitted by the contractor, unless the work-is being done for the Office of Nuclear Regulatory Research by,a DOE facility or Laboratory with a JCP-authorized printing plant. The camera-ready copy is to be prepared in accordance with the provisions of this appen-dix, Parts 11 and V (for contractors other than DOE contractors), or ~ Parts IV and V of this appendix and Chapter-1102 (for DOE contrac-tors ). "A style guide is also available free. upon request (NUREG-0650). If the report is to be printed by NRC and it is unclassified, the camera-ready. copy is to be submitted by the contractor to the Director, Division of Technicallnformation and Document Control, NRC, Washington, D.C. 20555, by first class mail. For handling of sensitive unclassified and classified reports see Part V of this appendix and NRC Appendix 2101. Unclassified reports printed for the Office of Nuclear Regulatory Research should be handled in accordance with Parts IV and V of this appendix and/or Chapter 1102. C. REQUIREMENTS FOR DRAFT REPORTS If a draft is desired prior to completion of a final techr.ical letter report,- y formal technical report, final material fdr inclusion in an SER or ES, or i for comment by participants in cooperative programs with foreign gov-ernments and organizations.and with U.S. industry, state that require-ment and the time frame for delivering the final camera-ready copy after receiving NRC and/or participant comments on the draft. State that all draft material should be submit,ted to the cognizant project manager. When the contractor is to submit draft material for comment prior to the preparation of the final report, state that if there are NRC program and/or participant comments the contractor will be asked to make changes. If agreement on the changes is reached, the NRC manager will authorize the contractor to prepare the final copy and submit it to the project manager, if it is a letter report or input to an SER or ES, or to the Director, Division of Technical Information and Document Control, if it is Approved: August 29, 1984 2 g 4 -g a

i ~ PU.BLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part I camera-ready copy for printing. and distribution. This is to be done to assure proper publication, handling, and distribution and, among other " things, to preclude further changes the 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 not 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 bee 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 l refuse to publish the report. In the case of DOE / National Laboratory reports, the DOE Operations Office Manager responsible for that !abora-tory should be informed by the NRC Office Director or Regional Adminis-l trator of the decision and the reasons therefor, with a copy to the I Laboratory Director. In the case of another Federal agency, a State, or a private contractor, the person who executed the contract should simi-larly be 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 literat0re instead of submitting a final report and/or present papers at public or association meetings during the course of the work, add the following statement to the Statement of Work: The principal investigator (s) may publish the results of this work I in the open literature instead of submitting a final report and/or present papers at public or association meetings at interim stages of the work. l If the project manager wants to review the paper or journal article prior to presentation or submission for publication, state this in the Statement of Work, as follows: The principal investigator (s) may publish the results of this work in l the open literature instead of submitting a final report and/or pre-l sent papers at public or association meetings at interim stages of the work, if the article or paper has been reviewed by the NRC project = A

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix' 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part I UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS _ _ _ _ - I manager in draft form and agreement has been reached on the con- ~ tent. The applicable procedures set forth in Chapters NRC-3206 or-NRC-1102 must be followed. If agreement is-not reached, NRC may also ask' that the paper include in addition to the standard statement " Work supported by the U.S. Nuclear Regulatory Commission," any caveats deemed necessary to cover NRC objections. If NRC objections cannot be covered in this manner, NRC can refuse to authorize publication in the open litera-ture and/or presentation of papers. In the latter case, NRC will inform the contractor of the, decision, as stated above for formal reports (see Section C, paragraphs 3 and 4). The contractor is then free to publish without NRC identification of the information. This will not affect payment of the contract work costs.- Project manager or higher level decisions may be appealed to the NRC Executive Director for Operations. If the contractor-proposes to publish in the open literature or present ~ the information at meetings in addition to suamitting 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 8b x 11-in. paper, unless otherwise specifically authorized. Occasionally, reports with many sym-j bois and mathematical expressions may require one and one-half ' spacing to provide for superscripts and su bscripts. This spacing should be l allowed where needed, but should be considered an exception, not the l stan dard. l 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 ' WORKSHOPS NRC publishes or assists in the publication of compilations of papers } presented at meetings, conferences, and symposiums in which NRC ' Approved: August 29, 1984 4

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esese e=eere eae es ener *een ese eeme re e.es am eAe e-Se*e no e.rm aos essa.eesees Ser=d e.seevenee a-e s es e9 's. see. 6 emace sa Cearmee meeweseas ea se e. seeene aase e ae.esien e i i 1 e 1 .h.... F eatgartetgamanct en se.s.cee.e. ,3 gogg,ygg g g, . ave os a '-oa n c Cou aC'ea m. C.a. o. ac o-v o. w - ~. . e s e-o,ee., %. C +.. eee.. swt* see ee.e=*e eenvairase see ee.e. 90 ase.ee..ameme.ea. Co =ep . e ones nev Cte.a n=ce asov es owes e e ge s.Caa6 s occa%.g a tio%as w%.s e es te se f Ca t ae ae.C# Gma=tE D <es,...Ct.a..C..... l e e a,, e., C o w..... -a w.. - 3.... ..C ~ a, w.,.o_ eee.- ea.. - -- i.... p._ _ 17 Approved: August 29, 1984 I
NRC Appendix' 3202 NEC C6 TIIECTORS, INCLODING REPORTS. PREPARED ~ ~ ~~ ~ .Past 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS t .r EXHIBIT 6 DISCLAIMER AND AVAILABILITY STATEMENTS (BACK OF COVER) p 1. 1 h l NOTICE ' ) This report mes prepared as en seenwet of work sponsored by en eponey of the unsied guess ~ Genernment leerther the United Siete Government not any esoney thornet, or any of their emolovess, mehes any warranty, eepressed or implied, or anwnes any legal habittey of so- ~ soonedbi46ty ter any thirti party's use, or the rendis of msch use, of any soformation, esserseus, product er process esschened in thes report, or represents that its use by asah third party usedd not intriego prseate6y osmed rights. NOTICE Availability of Reierence Meteriets Cated 6n NRC Publications Most eacnsmens cited in NRC pubiscatens will be eveilable from one of the following sourses
~~1. The NRC Putdec Document Room.1717 N Street. N.W.~~
~~Weshington, DC 20606~~
2. The NRCMPO Seles Program. U.S. Nuclear Rowletory Commisen, Washsngton. DC 20b56

3. The Ntional Techneel informeten Senece. Springf. eld. VA 22161 Although the toting that fonown represents the moponty of occuments cated in NRC pubicatevns.
it is not snienced to be exhaustrve. Referenced documens eveiletHe for inspection and copying for a fee from the NRC Putdse Deep. ~ trent Room inesuee N RC corraponoe ee and internei NRC rrernarenen:N RC Offee of truoection ~. ~ ~. pnd Enforcement tsuinetics. circulers, informaton notees. seispection end muertagetson notscus; Licensee Event Reports; vedor recorn and corremoneence; Communen papers; and esp (cont and locarsee documerris and corresooneenes ~ The foinowing documens in the NUREG seres are eveiletpe for purchses from the N RC/G*O Seles ~ Program: formet NRC staff and contractor reporn. NRC+oonsored conferen:a proceedmet. end NRC booknots and brochurut. Also eveiletde are Reguistory Guides, NRC regulaters en the Coer of Federal Asputerspres, and hucAser Aspuderory Commassen taeuences. Documents eveitsees from tre Notenel Technical Informaten $srves irclude NUREG senes repara and techneet reports presored by other teceret egencies and repara prepared by the Atome Ermorgy Conwneeuen, forerunner egency to the Nuc6eer Repletary Cd. 1, Documen e...t from pub 4.c and mecei ischn.coi uneens i,cives en oso,n sitoreture items. such as tsooks, journal are periodical artelet. and trernacssons. Feero/ Aeyrsrer notcas, teneret and saw 6epsieten, and congressenet reports con usually be obtained trem these libronet Documeens p.ch as theses, desertetsers, forseen reporu and trerstators,and non-NRC corderense prorseedmgs are oveileD6e for purchess from the o*psnaretsun sponsorin6 the publication erted. Sing 6e copes of NRC draft reports are eveiletde tree,to the extent of supply. upon wrnten roguest to the Dnrrson of Technacol informeten and Document Control, U.S. Nuc6eer Repletory Com. messen. Weshington, DC 20566. ' Comes of industry coess and ownderen used in e outstentive menner in the NRC repletery presses u; ere maintoaned at the NRC Liturery. 7920 Norfolk Averius, Bethuses. Herylocid, evid are eveinetste I them for reference use by the gutest. Coons and stenderes are usually copyrsphted and may tie purchseed from the originstmg orgerussten or,if they are Amarecen Netional Stenentes,from tte Amencen Natiorei Sonaeres irstnum.1oD srose
~~y. New vers. NY 10018 l~~
1 1 1 Goo Pnnise casrv ence: Approved : Augu st 29, 1981 18 s
1., .u l PUBLI'C T!ON OF TECHNICAL REPORTS ' PREPARED BY
~~NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annendix 3202~~
'UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part II l L { 't EXHIBIT 7 4 NRC FORM 335 - BIBLIOGRAPHIC DATA SHEET .,m . - u -.. y - -/ =_-. ~. - - - .~. -- 22 sisuCORAPHIC DATA SHEET _m .a....... . m a, - -,.. ........u,.. .es g pens.c -- ~ ~ k 4 0....., 'mw.O g ............ ~.. - <. - 1 i ~ .a... <.s-. ~ " w"n- .m.o........ 4 i i i } I i ^~ ~ ...,.,.;g.,. ;. 8. CW.'?' Ch se.ac.Te
~~F.s.esa~~
, ',_o..tm..se ... v..es. tra. j r n -... v. iC. J J b Oh k U-b.. u..
.NRC Appendix 3202 NRC CONTRACTORS, INCL UINER5FORTU55 PARED l Pu t' II ' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS F 4 EXHIBIT 7 (Continued) BACK OF NRC FORM 335 I l . j DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT INSTRUCTIONS NRC FORM.136. 56BL10GRM4*N WA SHEET.18 SASED ON CulDELINEs FOR FORMAT AND PRODUCTION OF SCIENTIFIC AND TECHNi@L REPORTE. ANSI Z3T 19-1974 AVAILASLE FaM AMERICAN NATIO*dAL STANDARD $ INSTITUTE.1430 SP'JADWAY, D.EW YORK. NY 1001E..EAC.t SEPARATELY SOUNO REPORT-FOR EXAMPLE. EACM VOLUME tN A MULTfv0LUME " SET-fMALL HAVE 178 UNIQUE BIBL60G8 APHIC DAT A SMEET. 1. REPORT NUMBER. Each indiv dueliv bowne reoort erwil
~~10. SPONSORING ORGAWlZATION. List NRC 04n.0% 0'feceM '~~
carry a u + eve esphonumere ese pnotion INUREG) ensignac U.S. Nucleet Regwietory Commies.on. Washmaton. DC 20608. 4 n cv the Divisen of Technacel Informeten one Document Control. ADM. in accoreanse -wien Amoresen Nationel it, s. TYPE OF REPORT. State craft. fmel. proleminery, tessel. 4 4 Stoneers ANSI Z39.23-1974, 73chneest Resort Nummer teenn.cet, reewletory. overtenv. etc. one. u sosiesess. ~ (STRNL Use uppercase letters. Arfo+c numerets, steenes, and ents sive motos, u nyonens ontv. as in the fol60weng esempied. NUREG 0100, NUMEG/CP.0010. NUREG/CR.0100, ene NUREG/SR.0010.
~~6. PERr0D COVERED.~~
~~For reports in a seres med Vol., $ won.. Revie.on, one Asceneum, when necessery. Aac contracto. cree.sMorense~~
~~12. SUPPLEMENTARY NOTES. Enter.htormeuen not inc6 weed ioontifceton numoer of enyt neiew NUREC nummer.~~
.s.. einwan est wwfwi. swen ei prenerec m cooweien wita. I PNL.X X X X. $ANDXX.XXX X. 5Al.XXXX. Prewntee et conference of To be putsienes. Docket No. . When a report is reviasc. encicate whether the new . Z. TITLE AND SUST87L'r TN anowie indicate cieerty one eeport sweersones or swooiements the omer report. Or.efev the subsect ictavre - o' the report; anceween4 any swot tie to the meen te" M.en a report sa propered en moes
~~12. AS$ TRACT. enciuoe e~~
~~ore' 1200 woros av sessl feetwat sum.~~
vnen one volwene, repost Jw pe rn rv ht6e.coe volwme n meer mery of the mos' eipnif cent entormaison containes en the e u one enciwoe puntitle for the specific votume Use wooer one report. It the report conteens a s<endicent D.onoproony or tower cose seners, but caostoline computer cose nemos. Do literstute eevey or m itoie volumes, menten et here. Austract u not use acronyms one enmehems en bases; mov hv see.o +n is to to.properee Dv euteor or protect menager perentnesis. i4. DOCUMENT ANALY$t$ 3. LEAVE SLANE.
~~a. K E Y WORDS/DESCRIPTDRS. Seiert from tne Energy A.~~
DATE REPORT COMPLETED. Eacn report sneli carry e este Date Saee Sutriert Tneasurus. DOE / TIC-700m R.5.' ene indiceteng month one year peosect/ test compieted. proper svinorisse verens inst noentet, the meter concept of the resseren one ore edic*ativ specebe one procese to 5. AUTHom's). G.ve nameist in conventenei orner le s.. Joan es usee es enoes entres eor cateioping. O Doe. J. Rosort Doel. List outnor's eff dsten 6f at is enter. 6.t from the performen0 o'peniteten.
~~b. IDENTIFBER$ AND OPEN. ENDED TERME. Use cente.~~
~~f sers for proiect names, coce nemes. eowement cesignotoes.~~
6.
DATE REPORT. ISSUED. Esen report snett carry a sete etc. Uw open.ensee ameyworos) terms wr<tte.s.n oescriptor meiceting montn ene veer publense. fo*m (14el for thoor scarects for wn.cn no opeer ptor a esists sa me thesaurus. T. PEMFORK..NG ORGANIZATION NAME AND MAILING 4- ' 3- % 80-
4.
~~ADDRk$$. Give tieme, street, city, state. ene ZIP cNee.~~
~~16. AVAILeb.lTY STATEMENT. Denote aussic eeeessoitety.~~
List no more then two teve's of en or9ernast>9 net horarchy. for enerree unismitee", or timetaten for reasons etner Disolev the nome of the preeniasten essetsy es tostows: then coeurstv. Division. O' fee. Oreentreteen or Goverrment asency, one amoresc it. SECL MTV CLASSIFICATION. 8-ter U.S. Security Ciens.f. catioi n accoroence with U5 Se :writy Roswtet.ons (i.e., -i S. PROJEC1/fASK/ WORK UNIT NUMSER. Use the protect, uncienwies). test one wore unst ' numbers vnoer when the report wee preceree (if anyL 17 NUMSER OF PAGES. Leeve tent. (Asood by NTts) 8. FIN OR GRANT NUMSER. theert the FIN or prent number
~~18. PR8CL Leeve plant. (Asend Dv NTIS)~~
' - ' ' * *.* s* warm waien report w.s proporse. ~ Approved: August 29,.1984 20 2~ e s e _4 9
PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED __ UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 et i PART III UNCLASSIFIED TECHNICAL LETTER REPORTS j A. FORMAT l 1. Applicability j The requirements of this part apply t'o unclassified contractor a. ~ technical letter reports. (See Part I. A for definition.) ^ ~ b. The requirements of this part do not apply to consultants and contractors to the NRC boards, panels, and advisory commit-tees which report directly to the Commission. 2. Requirements ..... ~ Technical letter reports are prepared, duplicated and distributed in accordance with the requirements of the Statement of Work in the contract or in the Standard Order for DOE Work. Each such report must be identified with the financial number (FIN) assigned to the project. The number of copies to be prepared and the distribution of those copies will be specified by the project manager. If unclas-sified and non-sensitive, the NRC project manager is responsible for making such reports available in the NRC Public Document Room (PDR) by sending them 7 the PDR' through the NRC Documei.t Control System. B. PATENT AND SECURITY REVIEWS 1. Patent Review Patent implications shall be considered prior to approval of reports grsely affect the ~ for public release so that disclosure will r;,. -patent rights of NRC. If the work being reporua is contractually managed through another government agency (e.g., DOE labora-tories), that government agency should be requested by the con-tractor to perform the patent review. . If NRC directly ~ administers the contract or the cor tractor 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' a possibility that there is disclosure of developments of an invc tive nature, the NRC contracting officer shall request assis*.<nce from the NRC Patent Counsel, Office of the Executive Lega. ">irector. , 21 Approved: August 29, 1984
O PUBLICATION OF TECHNICAL REPORTS PREPARED BY '. NRC. Appandix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED" Part III UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS - 2. _ Security Review In most cases, contractor tichnical letter reports will be unclassi-fied. 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 o? 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. th
~~Approved~~

August 29, 1984 22
~ 7 3;. . l* PUBLICATION'OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED o UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 ( PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE NRC OFFICE OF NUCLEAR REGULATORY RESEARCH BY DOE LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS A. DOCUMENTATION 1. Applicability ~ a.' The requirements of this part apply to NRC staff who are ~ responsible for agreements with DOE Laboratories and their contractors who print regulatory and technical reports re-quired by NRC. (See also Chapter 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. The requirements of this part do not apply to consultants and c. contractors to the NRC boards, panels'and advisory committees which report directly to the Commission. 2. Front Cover and Title Page Separate covers (of different paper than that of the text) and a. title page are required.* b. Items such as those shown in Exhih9s 3 and 4 and discussed below shall appear on the front cover and title page, as appro-priate.** While layouts and typefa.es need not be exactly the same as in Exhibits 3 and 4, the items shall appear in approxi-Mately the locations indicated and with the same relative prominence. ' (1) NRC Report Number Each report shall be identified by an NRC-controlled alpha-numeric designation as the prime designation unique to that document. The centralized report control system for unique identification is maintained by the Division of Technical Information and Document Control. Numbers may The cover stock of the performing organization may be used; however it I must include the data elements shown in Exhibit 3.
~~These requirements meet the specifications of American National Standard ANSI Z39.18-1974, " Guidelines for Format and Froduction of Scientific and 3~~
Technical Reports," and ANSI Z39.23-1974, " Technical Report Numbers. " O^--^mm.M - bmnMnQh
l - Part IV ~ NRC CONTRACTORS, INCL 7 DING REPORTS PREFARED NRC App:ndix 3202 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS be obtcined by calling the Division of Technical Informa-tion and Document Control or by. submitting a copy of NRC Form 426A (Exhibit 5) with a request for a number. The NRC identification number will have the form: NUREG/CR-XXXX or NUREG/CP-XXXX The contractor's report number, if any, will be inserted below the NUREG number on the title page and cover, as shown in Exhibits 3 and 4, if desired by the contractor. When a report consists of more than one volume or bind-ing or is issued in more than one edition, an appropriate volume, supplement, part, or revision designation shall appear immediately below. the report number (s). NRC report numbers on covers and title pages shall be shown entirely on one line to facilitate computer processing. (2) Title and Subtitle (a) Use a brief title, which indicates clearly the subject matter covered in the report. (b) When a report is prepared in more than one volume, repeat the. primary title on each volume. (c) If appropriate, show the type of report (e.g., 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 cover unless this is impractical, as in the case of annual reports which have many contributors. If authors' contributions are as editors, c;mpilers, ~ ~r etc., so indicate on title page and cover following ~ the names. In ai.lition, list affiliation of each author only if affiliates with an organization other than the organization generating the report. (b) Authors may be identified on backstrips (spines) of bound volume,s. (4) Organization Identification (a) On the cover, provide the name of the contractor responsible for preparing the report, followed by " Prepared for the U.S. Nuclear Regulatory Commission." i 'Appro d: August 29, 1984 24
l
.t
..s PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS,-INCLUDING REPORTS PREPARED NRC Appendix 3202 t .. _UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV I ' i (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, data distributed, etc. 1 (b) More than one date, with the basis for each, may be l shown where this is necessary. 3. Availability and Price Information All formal reports will be made available for sale by NRC and NTIS. The statement shown in Exhibit 6 is required on the inside of the front cover. 4. Disclaimer The following notice shall be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by the United States Government. Neither the United States Governreent nor any agency thereof, or any of their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any informatic,n, apparatus, product or process disclosed, or represents that its use by such third party would not infringe privately owned rights." The follow- ~ ing additional statement, "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" will be printed below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed (see Part 1.C., . Requirements for Draft Reports). 5. Previous Reports in Series up 4 If the report being prepared is one in an ongoing series, list all previcus 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.* ~~
~~his prefe. red positioning of the abstract in the document need not be' fol-Tlowed if the style manual of the originating organization, requires a different location.~~
<Y& 6 O Q0 0&
~ - PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC App:ndix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part IV
~~UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS _ __,._ _~~
/ s 7. References and Bibliographies -Reports or other documents referenced in ted, re'erence sections,. bibliographies, and appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the Government Printing Office, at the National Technical Information Service, or at other reference or sales outlets) or in the NRC Public Document Room. This means that references should not be. made. to - personal communications and interviews, unpublished. Information and information with restricted distribution (e.g., proprietary, national security, official use only, etc.). If the unretrievable information is important and unrestricted, it can be quoted in.the text, in footnotes, or in appendixes. If credit is due. _. to individuals,- they can be mentioned in the text or in an acknow - ledgement section. Availability may be stated collectively for all - entries (see Exhibit 6). Guidelines for-developing and presenting reference material are provided in NUREG-0650, "Tec" Ideal Writing Style G uid e, " pub-lished in November 1979 (see Appendix A, pp.19-23, for specific guidance) and Supplement I dated February 1982. 8. Bibliographic Data Sheet NRC Form 335 (Exhibit 7) shall be prepared and included in the camera-ready copy as the final right-hand page. B. PATENT AND SECURITY REVIEWS ~ 1. Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor. The DOE Operations Office responsible for the contractor should perform the patent review. The results of such review shall be reported by the contractor on ' NRC Form 426A in item 11 (Exhibit 5). 2. Security Review In most cases, reports will be unclassified. Should a report of sen-sitive unclassified or classified work be required, however, the NRC project manager must-work with the Division of Security to establish -the appropriate classification procedures and inform -the. _ contractor. The standards for marking and handling such reports are given in Part V of this appendix and NRC Appendix 2101. =. i , Approved: August 29, 1984 26
r-r l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV .t 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 Regulatory Research. Reports printed by the contractor and one reproducible master shan be submitted to the Divirion 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 4 - ' 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 shah include a written justification and the project managers approval for the re-printing, along with address labels for the recipients. 3. Distribution cf Reports All copies of unclassified formal contractor reports will be distrib-uted by the Division of Technical Information and Document Control in accordance with instructions on NRC Form 426A (Exhibit 5). NRC Form 426A must be signed by a contractor official authorized by the project manager. Such authorization shan be reported in writing to the Division of Technical Information and Document Control. ~ If any dist.' ' ttion 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 erinting additional copies shall accompany the reproducible maswrs when submitted to the ~ Division of Technical Information and Doc'.unent Control. Address labels for the additional distribution must be supplied. The Division of Technical Information and Document Control wiH arrange automatic distribution of these reports to the NRC Docu-ment Control System, the NRC Public Documant Room, the National Technical Information Service (NTIS), the Government Printing Office and the Deperitory Library Service. Distribution of sensitive (unclassified) and classified reports will be made by the NRC project manager on a case-by-case basis. n_____ e-n-a ara a ce
r j . ' PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC ' CONTRACTORS, INCLUDING REPORTS PREPARED UNDER. OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 i PART V i i REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION f 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 he're to aid in the preparation of the properly marked covers, title pages, back covers, and teu pages. Details of the NRC Security Program and specific provisions for deter-mining when to use the markings exhibited are contained in NRC Appendix 2101. The reports covered are defined as sensitive unclassified or classified. Sensitive unclassified information refers to information designated Official Use Only, Limited Official Use, and Proprietary Information. i Sensitive unclassified information also includes Safeguards Information that must be protected from unauthorized disclosure pursuant to 10 CFR 73.21 and Section 147 of the Atomic Energy Act of 1954, as
~~amended, information withheld from public dissemination under the 7~~
Freedom of Information Act or Privacy Act, ar.d information not to be exported to or disclosed to foreign countries. ~ Classified information as used in this part includes Restricted Data, Formerly Restricted Data or National Security Information that requires protection in one of the three classification categories described in Executive Order 12356: Top Secret, Secret or Confidential. The uses of each of the sensitive unclassified and classified categories and the markings required on reports are discussed and 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 ' report only when the originator or other holder believes the marking is "Ae^M^ amMAAO
NRC' Appendix 32025. Sid~ CENT"5 CTOKS, INCLUDING REPORTS PREPARED- ~ ~ Part V - n UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS: e essential to ensurec 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 origination. ~ Official Use ~ Only NRC contractor reports shall be marked as shown in Exhibits 8 through 10. Limited. Official Use information is information originated by the. U.S. Department of State. A ' report originated by an NRC contractor that contains Lunited Official Use information shall be marked as shown.in ~~ ~ Exhibits 11 through 13. Procedures for reproducing, transmitting, protecting, and handling reports containing Official Use Only and Limited Official Use information -~ and removing 'such reports from those categories are -detailed in NRC Appendix 2101. .C. PROPRIETARY INFORMATION Proprietary information is a specific type of Official Use only informa-tion. Proprietary information includes: 1. trade secrets. 2. privileged or confidential resdarch, development, commercial or financial information ~ exempt from mandatory disclosure under 10 CFR Part 2, " Rules of Practice for Domestic Licensing Proceed-ings," Sections 2.740 and 2.790 and under 10 CFR Part 9, "Public Records," Section 9.5, " Exemptions." 3. information submitted in confidence to NRC by a foreign source, which has been determined by NRC to be unclassified. Unclassified' NRC contractor' reports containing proprietary informat. ion,. shall be marked is shown in Exhibits 14 through 18. In each instanceJ~ ~ the optional wording that describes the material being presented should be selected. If a report contains both Official Use Only information and proprietary information, the front cover shall be marked as proprietary information and may also be marked as Official Use Only information, if necessary. Pages in the report that contain proprietary information may be marked f ~ accordingly, including, marginal or other indicators of the specific ~ wording that is proprietary. Similarily, the pages that contain Official' Use Only information without proprietary information may be marked Official Use Only e e g e.'
[ PUBLICATION OF TECHNICAL REPORTS PREPARED BY ' NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202
~~UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V Procedures for reproducing transmitting, protecting and handling pro-prietary information report.~~
and removing them from the proprietary filformation 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 Landled 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 infc,rmation that is to be protected as described here is unclassuled information used in a report which specifically identifies certain licensee's or applicant's detailed: 1. security measures for the physical protection of special nuclear material 2. security measures for the physical protection and location of certain plant equipment vital to the safety of production or utilization facilities.
~~classified NRC contractor reports containing safeguards inforn.ation that is to be protected shall be marked as shown in Exhibits 20 through 22.~~
Procedures for reproducing, transmitting, protecting, and handling safe- . guards information reports and removing them from the safeguards information category are detailed in NRC Appendix 2101. A cover sheet (Exhibit 23) is to be placed on each hard copy of a report containing safeguards information. E. CLASSIFIED INFORMATION Classified information is limited to Restricted Data, Formerly Restricted Data and National Security Information. The procedures for making classification determinations and for marking, reproducing, transmitting, protecting, and handling reports containing classified information and removing such reports from classified 'c:negories 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 chat reports they determine to be classified are marked and protected in accordance with the provisions of NRC Appendh 2101. 4 31 Approved: August 29, 1984 o.
... PUBLICATION 0F TECHNICAL REPORTS -PREPARED BY . NRC App:ndix--3202 NRC CONTRACTORS, INCLUDING' REPORTS PREPARED j. Part V-UNDER OR PURSUANT TO INTERAGENCY AGREEMEN_TS It is important to' note that information may not be classified in ord'er - ~ 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. - ~ 4 ' Approvedi August 29, 1984 32
~
~~4 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NJtC CONTRACTORS, INCLUDING REPORTS PREPARED~~
'NR? Appendix '3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS-Part V t EXHIBIT 8 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY NUREGIC&XXXX (S) Title ~ Subtitle and Type of Report Author (s). Editor (s) Contractor Prepared for U.S. Nuclear Reguistory Commission WifMMOLD L ACM PV8Ltc CISCLOSUM ~ l OFFICIAL USE ONLY 97-4 ..-..w 33 Approved: August 29,19R4
PUBLICATION OF TF2HNICAL REPORTS PREPARED BY NRC Append!x 3202, NRC CONTRACTOR 5, INCLUDING REPORTS PREPARED Part V. UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS s EXHIBIT 9 SAMPLETITLE PAGE FOR A CONTRACTOR REPORT CONTAINING. OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY NUREG/CB XXXX (S), Title ~ Subtitle and Type of Report Menuncnot Compwise; insten Drie Putw=c: tenonm. yeeri Aumorts!. Ednortel - contrecer name one seareas Propered for DMe6en Office U.S. Nunket Reputatory Commission Weehiritton, D.C. 20m NRCTW Wo. e a w OFFICIAL USE ONLY l , Approved-August 29. 1984 34 .C'
. :(. . ', : PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC' CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS PaM V t< EXHIBIT 10 B T ~ ~ C "" - SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION L_..... _ =___._._ OFFICIAL USE ONLY 9 1 OFFICIAL USE ONLY 4_-. 35 Approved: August 29, 1984 l w - _ _ __ - __ ____ -____________
- PUBLICATION OF TECHNICAL REPORTS PREPARED BY i NRC Appendix 3202 NRC CONTRACTORS, INCLUDlNG REPORTS PREPARED j - Part V UNDFR OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 11 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE NUREGICR XXXX (S) i Title Subtitle and Type of Report 3-- Author (s), Edrtor(s) Contreetor . Nuclear Regulatory CommWon ~ WITHMOLO FROM PUBLIC OfSCLOSURE LIMITED OFFICIAL USE =. - wh& Y Ap proved: August 29, 1984 36 i-:
r. a 8 PUBLICATION OF TECHNICAL REPORTS PREPARED BY - NRC' CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 5 - _UNDER.OR. PURSUANT TO INTER AGENCY AGREEMENTS Part V l ! l EXHIBIT 12 l P': J' ~ - SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING l. LIMITED OFFICIAL USE INFORMATION l* UMITED OFFICIAL USE NUREG/CR XXXX (S) Title y Subtide and Type of Report E Menuscript Compostee: losie Deae Puchenea (montn. years Authertsi. Edmwisi Contractor name and adoreen Propered for Divleion Office U.S. Nuclear Regulatory Commission Washington. D.C. 20066 NRC FIN No. UMITED OFFICIAL USE 37 Approved: August 29, 1984
L PUBLICATION OF TECHNICAL REPORTS PREPARED BY-NRC' App;ndix 3202 NRC CONTRACTORS, INCLUDING. REPORTS PREPARED . Prrt V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS \\ j .s. EXHIBIT 13 SAMPLE BACK COVER FOR A' CONTRACTOR REPORT CONTAINING :.2. ?.
~~1 LIMITED OFFICIAL USE INFORMATION I~~
LIMITED OFFICIAL USE LIMITED OFFICIAL USE ' Approved: August 29, 1984 38 c _%
I. PUBLICATION OF TECHNICAL REPORTS PREPARED BY ' ', NRP -CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V
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. EXHIBIT 14 3 . _ SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING ~~ - PROPRIETARY INFORMATION OBTAINED FROM A U.JrORGANIZATION '"~ ~ =. PROPRIETARY INFORlWiATION NUREG/CR XXXX (P) Title Subtitle and Type Of Report Authortal Editer(s) Contractor Prepared for U.S. Nucteer Reguietory Commission TRADE SECRP' OR PRMLEGEO OR CONFlotNTIAU COMMERCIAL DR FINANCIAL IN50RMATION The oocumeae :ontains information ownmmed to N IC Dv 6Navne of Comoaav ead Name of Suommen wa.cn nas been oenormined (wn.cn is c:simedt ino?,'W&* t*NRi;*C"Ef,'a*. ey,t,7m,gog m aco,e ~,. , tTHMOLD FROM PV8UC DISCLOSURE w is,,na
~~e. u e saa On.ce, io.,e, l~~
PROPRIETARY INFORMATION 39 Approved: August 29, 1984
q PUBLICATION OF TECHNICAL REPORTS PREPARED BY-NRC. App;ndbc 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMEN.TS- __-i s EXHIBIT 15 SAMPLE COVER PAGE FOR A CONTRACTOR REPORT CONTAINING
* ? '. ".~.
~~PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE' ~ ; ~ ~ { l PROPRIETARY INFORMATION i NUREGICR XXXX (P) Tit'e~~
2
~ Subtitle and Type of Report ~~ wi.i. an,iori.> Contractor Propered for U.S. Nuclear Regulatory Commiselon FORttGN INFORMATION ! t.,*A*;-"4R2"r '"'**'*" .~ .,cm,., -,,_, -~~~ .7 ".~"".it" '.",E.,. d%fL. -el to WITHMOLD FROM PUBLIC DI$ CLOSURE ,,,,....t..o,...,e.,,, ~% PROPRIETARY INFORMATION m er e r Approved:. August 29, 1984 40
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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, t EXHIBIT 16 7 :: ~ SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING h i T- PROPRIETARY INFORMATION OBTAINED FROM A U.S; ORGANIZATION PROPRIETARY INFORMATION I NUREGlCR XXXX (P) Title Subutie and Type of Report u.au cnet Co-io.ies: instes Dew Puomened tenantn. veers Autheitsi. tortorts: Convector name ena eaareen Prepared for Division Office U.S. Nucieer Regulatory Commission Washincton Q.C. 20056 NRC FIN No. TRADE SEC#ET Om pelviLEGED OR CONF 10ENT6AL COMMERCIAL om FtNANCIAL INFORMATION Thee oocuenent contame Wormaten aucmstted to NRC av theme of Company anc Name of Sucewnen s e s .t nee o.en oete, n.ne...n.en. e oi EE f7,,g,g'" TF8'o*62***4' ".EiYle."u. tie 7a g,, tp o.c eu.. WITHMOLD FROM PUBUC Ot$ CLOSURE 15.vneswe, in and Ottees iDete. PROPRIETARY INFORMATION N m.. -.. 41 Approved: August 29, 1984
PUBLICATION OF' TECHNICAL REPORTS PREPARED BY NRC App:ndix 3202 NRC CONTRACTORS, INCLLDING REPORTS PREPARED Part V UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS _._. _ l; i i EXHIBIT 17 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING l l PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE I~ ' l i i PROPRIETARY INFORMATION l NUREGICRJ.XXX (P) i I Title ~ = Subti6e and Type of Report u,,tu.cnne Com m.a. ,.3 e-- -c om pun n.e imonen. v o Autnonst terwisa 1 Mea senpi cuwma: u,=> j u om rucien e: imrm. v o j Authortet fonerist Contractor non.e one soorous Fr6 pared for DMekon Office U.S. Nuclear Reguletory Commission Washingwn. D.C. 20665 NRC FlN No. FORfiGN INFORM ATION The oocuenom ec nts,re m#ormaten SuDmmed to NRC DV IName of Company arto Name of SubmetteN wfuch a ossenbed m 100FR 2.75)idl;21 p wem t 0F P S WITHMOLD FROM PuSLIC DISCLO$URE ' gww.e T.e= ano Ohice:IDeis' o, PROPRIET %RY INFORMATION m Approved: August 29, 1984 42 O 4 g$ 9
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~~'.- PUBLICATION OF TECHNICAL REPORTS PREPARED BY '- l NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Fa.m. V~~
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EXHIBIT 18 " ~ ~~ OC'~ ; ' SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION PROPRIETARY INFORMATION t . k* PROPRIETARY INFORMATION 4 43 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 AGREEFNTR EXHIBIT 19 COVER SHEETf0R REPORT CONTAINING PROPRIETARY INFORMATIO'N ':i' i PROPRIETARY INFORMATION NOTICE THE ATTACHCD DOCUMENT CONTAINS ** PRO.R5[TAPY INFOR. MATOf" AND4HOULD BE HANDLED AS NRC"OFFICIA'.UCE ONLY" (NFORW ATION. IT SHOULD NOT BE DISCUSSE0 CR MADE AVAILASLE TO ANY PERSOB1 NOT REQUIRING SUCH INFORMA-TION IN TK! CONDUCT OF OFFIC6AL BUSINESS AND SHOULD DE STORED. TRANSFERRED, A,tD DISPOSED OF BY EACH RECIPIENT IN A MANAER WHICH WILL ASSURE THAT ITS CONTENTS ARE NOT MADE AVAILABLE TO UA AUTHORIZED PERSONS. 5 COPY. DOCKET NO. CONTROL. REPORT. REC'D W/LTR DTD. PROPRIETARY INFORMATION N 4 e D io.isso i , Approved: August 29, 1984 44
L. .' i ' PUBLICATION OF TECHNICAL REPORTS PREPARED BY l ' NRC' CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annandiv.1909 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pam V g. !i' r EXHIBIT 20 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING i ~- UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORMATION L NUREGICR XXXX (SG) ~ Title Suotitle and Type of Report .Autbarts). Editor (s) Contreetor Propered for U.S. Nuclear Regulatory Commission son was maos (NamestTmsHorganuationHDetes 73 1 or 1 6 l l l l SAFEGUARDS INFORMATION
- PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC App:ndia: 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED P'rt V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS ~ EXHIBIT 21 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING-l '2 UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORMATION NUREGICR-XXXX (SG) Title ~ 3 g y ,g 5.Tu k manm."$ ^r.h L**.L r E%T '* gg' g.cg commi..> a e SAFEGUARDS INFORM ATION .w w-6
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~~' Approved: August 29, 1984 46~~
l
PUBLICAT5ON OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Anoendix 3202 .. _ _,. UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 1' . k EXHIBIT 22 0 ~ ; 7 ~ ~; ' SAMPLE BACK COVER FOR A CONTRACTOR REPORT-CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION ~ ' - ~ . esse-. ..,e W SAFEGUARDS INFORMATION 9 9 9 e 4 1 f O 6 I SAFEGUARDS INFORMATION = 4 Y b
g p --- UNDER OR PURSUANT TO INTERAGENCY AGREEMEP8ifb3 { ~ j EXHIBIT 23 COVER SHEET FOR A CONTRACTOR REPORT CONTAINING c1 UNCLASSIFIED SAFGGUARDS INFORMATION ! 1 l .W 8 ~ t s &.A .N; SAFEGUARDS INFORMATION ag {. ,f 'O 7 p s p 9 s THIS DOCUMENT CONTAINS INFORMATION WHICH MUST BE PROTECTED FROM UNAUTHORIZED DISCLOSURE.10 CFR 73.21 AND SECTION 147, ATOMIC ENERGY - ACT OF 1954 APPLY. VIOLATIONS ARE SUBJECT TO civil OR CRIMINAL PENALTIES. THIS OOCUMENT IS NOT-TO BE LEFT UNATTENDED OR ACCESSIBLE TO UNAUTHORIZED PERSONS. WHEN NOT IN USE, IT MUST BE STORED IN A LOCKED SECURITY STORAGE- ' ,e CONTAINER. ' IT IS YOUR RESPONSIBILITY TO PROTECT THE INFORMATION CONTAINED IN THIS' 2 DOCUMENT FROM COMPROMISE, THEFT OR UNAUTHORIZED DISCLOSURE. ~. _ r, / s l SAFEGUARDS INFORMATION ~~ g -A f' 'q ~ ~ ' Approved: August 29, 1984 48
n sg PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 o 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 r- -:- - that involve either or both U.S. industry and foreign. governments ana orga-nizations. Such involvement includes monetary contributions, information exchange, and comments on program plans and results. This is authorized in 42 U.S.C. 5801. To this end, international and U.S. industry agreements 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 iniorma-tion on these programs developed for NRC by NRC contractors. This can be accomplished by distribution of " Draft Preliminary Reports. (or Codes)" for comment. for a specified period of time, followed by issue as formal NUREG/CR reports, with the concurrence of the participants. -Specific procedures for accomplishing these goals and for transmitting information prepared by the NRC and DOE facilities and contractors and their subcontractors working on these programs are presented in the following sections. The procedures de-tailed here have been agreed to by DOE and have been provided to the responsible DOE Operations Officers and NRC Program and Project Managers as guidance. A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR. COMMENT The-first issuance of information by a contractor shalf be designated " Draft Preliminary Report (or Code)," and shall include the cover sheet shown in Exhibit 24. The following notice is to be printed on the bottom of the cover sheet (Exhibit 24): NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM L-This report was prepared in contemplation of Commission action. It has not have received patent review and may con-tain information received in confidence. Therefore, the con-tents of this report should neither be disclosed to others nor reproduced, wholly or partially, unless written permission to do so has been obtained from the appropriate USNRC office. The recipient is requested to take the necessary action to ensure the protection of this report. m Amacme hamcw W& MM
NRC Appendix 3202. ~ Rd'Cd~ IiiACTURS7ISCL DING REPORTS PREPARED ~ -{ Part VI . _ _.UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS This notice has been agreed to by the legal staffs of both NRC and DOE and is not to be added to or changed. Any problem in this regard shall be brought to the attention of the NRC project manager, who will consult-with the NRC legal staff. The " Draft Preliminary Report (or Code)" shall be submitted by first ~~ J 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). l The contractor (DOE facility, contractor or subcontractor or other con-I 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. l> raft reports may be distributed to interested DOE program offices. Subsequent issues of the information shall also be designated " Draft Prelimir ary Report (or Code)" until the NRC project. J~ manager, authorizes preparation of a NU, REG /CR report. " Draft Preliminary Reports (or Codes)" shall not be identified as ~ NUREG/CR reports 'or carry any contractor report number or NRC-dis-- tribution codes. B. DISTRIBUTION BY NRC PROJECT MANAGERS The NRC project manager will distribute the copies received only to (1) the participants in the program, (2) the NRC staff with a need-to-know, and (3) others authorized by the program or project manager. Trans ' mittal to participants shall be by first class or express mail, including air mail to foreign participants. If premium cost mail services are to be used, a Division Director or comparable or higher authority must certify to the need on NRC Form 420 " Request for Premium Cost Mail Service. " Premium cost mail is: 1. Express Mail, Priority Mail (First Class weighing more than 12 ounces) 2. International Express Mail (Air Mail weighing more than 10 ounces) (See Chapter NRC-0255-058 and NRC Appendix 0255, Part V, Annex A) C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT A minimum of six months will be allowed for comments and resolution of i comments. At the end of the comment period, the NRC project manager I 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 .I ~~i only by the Financial Identification Number (FIN) assigned by NRC and ~ Approvedi August 29, 1984 50
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PUBLICATION Ol' TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 ._.2.,_ _UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI l the appropriate periodic notation, if any, included in the title (Ex- 'hibit 24). They shall not be given standard report nomenclature until the-NRC project manager authorizes publication as a NUREG/CR report.
~~: ~'~~
'At that time, the contractor may add its own designation below the NUREG/CR number, as shown in Exhibits 3 and 4. E. MAILING TO PROGRAM PARTICIPANTS The physical transmission of 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 -J:-
~~labels of participants supplied by the project manager.~~
The transmittal sheet shown in Exhibit 26 shall be used to transmit the documents and the labels to DMB. F. SECURITY If information included in the report or code has been determined to be sensitive unclassified or classified information (see statement of work) the. procedures of Part V also apply. The report (or code) may not be classified solely for the purpose of limiting distribution to the partici-pants. y a -- n. a - -a ara mwa
ItTCU ~TRACTURS,T NCL DING REPORTS PREPARED ~ I NRC Appendix 3202 Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 24 s SAMPLE COVER FOR A DRAFT PRELIMINARY REPORT (CODE) FOR COMMENT DRAFT PRELIMINARY REPORT (CODE) FOR COMMENT FIN NO. Title of Program Subtitle for This Report, Including Appropriate Periodic Notation, If Any (e.g., First Quarter, I.ssue No. 1) Prepared by (Name of DOE Facility, Contractor and/or Subcontractors, if any) for U.S. Nuclear Regulatory Commission NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM ~l This report was prepared in contemplation of Comission action. It-has not j d received patent review and may contain information received in conf 3idence.; :-- Therefore, the contents of this report should neither be disclosed; to others-nor reproduced, wholly or partially, unless written permission to do so has I been obtain'ed from the appropriate USNRC office. The recipient is requested to take the necessary action to ensure the protection of this report. Approved: August 29, 1984 52 3
~.... e e PUBLICATION OF TECHNICAL REPORTS PREPARED BY 'NRC' CONTRACTORS, 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 TO: NRC Project Manager
~~SUBJECT:~~
DRAFT PRELIMINARY REPORT (CODE) ON (PROGRAM TITLE) FOR COMMENT The enclosed " Draft Preliminary Report (Code)" is being submitted for comment. It is our understanding that the comment period shall extend six months from the date of mailing of the draft to the participants. Upon resolution of the comments after that period and with concurrence'of the Cooperative program participants, the NRC Program Manager will authorize publication of this report in the NUREG/CR series under the provisions of NRC Manual Chapter 1102 or 3202.

~~e DOE Facility cr Contractor Representative 53 Approved:~~

August 29, 1984'
PUBLICATION OF. TECHNICALn REPORTS PREPARED BY ' [ - NRC CONTRACTORS, INCLUDING REPORTS PREPARED ' NRC Apptadix 3202 p (UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS - ' Part VI >4 v EXHIBIT 26 ' TRANSMITTAL ~ SHEET FOR REQUESTING MAILING TO COOPERATIVE PROGRAM PARTICIPANTS Recipients:. Addresses on attsched labels ' Method of Mailing: / -First Class Postal Service to U. S. addresses ] / 1 // Express ' mail to U. S. addresses * { y / / Air mail to foreign addresses * ] ~ l / / Surface mail to foreign addresses .(may require up to three (3) months)- THIS MAILING-CONTAINS NO PROPRIETARY INFORMATION OR OTHER ' SENSITIVE UNCLASSIFIED INFORMATION ~ Special Instructions: l Individual _Bequesting_ Mailing: y Project Manager or High Authority i
~~Enclosures:~~
~~l '. Address labels 2. Documents to be maued .c~~
~~If premium cost maTL1-siervices are to be used,- a Division Director or compar-~~
-r able or higher authority must certify to the need on NRC Form 420,. " Request for Premium Cost Mail Service,." Premium ' cost mail is: 1. Express Mail, Priority Mail (First Class weighing more than 12 ounces) 2. International Express Mail ( Air Mail weighing more than 10 ounces).. (See Chapter NRC 0255-058 and NRC Appendix 0255, Part V, Annex A).-. I 1 J 54 Approved: August 29, 1984 1 1 -_____-_---__.-____-_.__O
~ S a,. P ATTACHMENT 4 A. 504.aCa T Af EON / CONT kACT/uOOef eCAt eQN F OGM APkHQVEO CONTRACT PRICING PROPOSAL COVER SHEET NO. Me NO. EDTE: This form is used en contreet eetions if submies on of cost or pricing deu is reovired. 3090-0116 7 (See FA A FS 8044/bH - I. NAME **NO ADORE 55 OF OF.f Etpft (Jncsucc I.JP Comes 3A. N AME ANO 1IT LE OF OF F E h0H'5 PotNT 38.1ELEpnONENO. OF CONTACT
~~4. TYPE OF CONTRACT At' TION (Cheet)~~
~~A. NEW CONTRACT l0. LETTER CONTRACT B. CHANGE ORDER~~
~~E. UNPRICEO ORDER~~
~~~ ~~-~ C. PRICE REVISION / REDETERMINATION h. PE OF COyJy ACT gCheen)_ _ g, ppgpg$gg (Qg3 gg,g,g; .hCPAF FFP CPFF CPlF A. COST~~
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QuireQ urnbess otherwese sOecifee0 DY the Contracting Ctfocer. (Contanee on remerme. and then an sken paper. It -- ^ Une emme headines.) r A. UNE ITEM NO. B IDENTIFICATION C. QUANTITY Of TCTAL PRICE l E.REF. m
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A A B. T Y FE CF F6rwANC4NG sp ene/ 6N THE PE RFORMANCE OF T Ma$ wCRA F (If "Yes." adentityi MENT CONTRACT FINANCINO 70 *ERFORM TMs5 PROPOSEO CONT R ACT ? d( "Yes." compes ta ADVANCC PROGRESS ~ ltem 1288 - PAYMENTS PAYMENTS YES NO YES M CfiUARANTEED LOANS., Q,.n. AV E _y O.y BE EN Aw AROr n a v P ONT A ACT5 OE SwsCONT E ACTS A3. is T mas GHopOSAL CONSIST E NT w T H VOUR E57 A BL aseEO CST 4. FOR TNE 5AME OR 58MtLAR ITEMS WITw1N TwE PAST J YEARS ? .. #f ***. es." esentsfy daemis A. canstemartat and contreet num eer(s// MATING AND ACCOUNTING PRACTtCES AND #ROCEDURES ANO FAR PART J1 COST PRINCIPLE 57 gf "No "espasinJ YES NO YEs NO + -- --- --- --id. COST-ACCOUPtTING STANDARDS BOARD (CASBl DATA (Pw64e Lose sf.J Fe er emended and FA A PA RT J0) ' J.""* A. W6LL T Mas Cor+T R ACT ACT TON BE_SU6 JECT T O CASS REGULA+ T SONS 9 #1 "No," espaann in proponet) S nAV E Y OU 5U6MtTTED A CA.58 OI5CLO5V GE ST AT EMENT ICARB DS 1 or 2Jf tif "Yes."speesty en proposal the office to wheen san 6maised and if deerrmined to be adeguaars O vEs O NO O vEs D aO. C. MA v E YOU BEE N NOT IFiEO J MA T YOU A E E O R MA Y BE aN NON-O. #5 ANY ASPECT OF T Ma5 PROPOSAL eNCONSsSTENT wsTH vovR COMPOANCE WITM YOUR OtSCLO5URE STATEMENT OR COST Ot5CLOSEO PR ACTICES OR APPLICA8LE COST ACCOUNTING ACCOUNTING STANDAROS FIff " Yes."espeaan he proposa/J $7 ANDA R Q57 #1 "Yes." saademi in proposed - O vEs O NO vEs D o " ; ; a : e.. i.4 L.- w the A F P cnntret_
~~noc4facztion, etc. in item 1 ed re96eetHHsebestest.--.i. and/or actwas costs as of thes date~~
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~~16. NAME OF F t RM~~
_,,,,,,. RELG N A T.V. A E. _ _. A4. OATE OF $v6Ma55mN 88s4 76 4 * -*42.es'8 2422 2o2 STANDARD 708M 5811 (2*888
sq. ,R s na s ?,~ 1 ATTADMENT 4 STANDARD FORM 1411 WITH INSTRUCTIONS ""T.* SF 1412 provides a vehicle for the = offerer to submit to the-Government a 4 pricing proposal of estimated and/or incurred costs by contract line item ~' ~ with supporting information, adequately cross-referenced, suitable for detailed analysis. A cost-element breakdown, using the applicable format prescribed in 7A 8, or C below, shall be attached for e ch proposed line item and est reflect any specific. requirements established by the Contracting Officer. Supporting breakdowns est be furnished for each cost element. consistent with offeror's cost accounting system. fN _",'_!. 7,__,'=nen more than one contract line itas is proposed, summary. total amounts _ covering all line items must be furnished for each cost element. If agreement has been reached with Government representatives on use of forware pricing rates / factors, identify the agreement, include a copy, and describe its nature. Depending on offeror's system, breakdowns shall be provided for the following basic el' aments of cost, as applicable: P~ ~,' {r ( ;-
i Materials - Provide a consolidated priced suanary of individual material quantities included in the various tasks, orders, or contract line items being proposed and the basis for pricing (vendor quotes, invoice prices, etc.).
Subcontracted Items - Include parts, cor.ponents, assemblies, and services that are to be produced or performed by others in accordance with offeror's design, specifications, or direction and that are applicable only to the prime contract. For each subcontract over $500,000. the support should provide a listing by source, item quantity, price, type of subcontract, degree of competition, and basis for establishing source and reasonableness of price, as well as the results of review and evaluation of subcontract ~ proposals when required by FAR 15.806. Consists of items that offerer normally ~ Standard Commercial Items ~ " ~ ~ fabricates, in wncle or in part, and that are generally, stocked in 2~ ~ - - inventory. Provide an appropriate uplanation of the basis for pricing. If price is based on cost, provide a cost breakdown; if priced at other than ~ ~~ -" cost, provide justification for constion from submission of; cost or pricing data, as required by FAR 15.804-3(e). j l 'In~terorganizational Transfer (at other than cost) - Explain pricing method used. (See FAR 31.205-26). i ~ Kair~ Material - Consists of matarial in a form or state that requires further processing. provide priced gaantities of items required for'the proposal. Purchased Parts - Includes satarial items not covered above. Provide priced quantities of items required for the proposal. Interorganizational Transfer (at cost) - Include separate breakdown of cost -... ~.. w w.,- by element. p. ~ m 4

~~_m--_~~

-1 Direct Labor :- Provide a time-phased (e.g., sonthly, quarterly, etc.): breakdown of ' labor hours, rate. anc cost by appropriate category, and furnish bases for estimates. Indirect' Costs - Indicate how offerte has computed and applied offeror's indirect costs, including cost breakdowns, and showing trends and budgetary data, to provide a basis for evals.ating the reasonableness of proposed sates. ' Indicate t5e rates used and provide an appropriate explanation. 1 .s. i l other CostswList all other costs rat otherwise included in the categories described above:(e.g., special tooling, travel, computer and consultant-' services, preservation, packaging and packing, spoilage and rework, and ~:- Federal asetse tax on finished articles) and provide bases for pricing. Royalties,- !f more than $250, provide the following information on separate page for each separate royalty or license fee: name and address. of licensor; date of license agreement; patent nueers, patent application serial numbers or other basis on which the royalty is payable; brief description (including any part or model nueers of each contract item or.. _ component on which the royalty is payable); percentage or dollar rate -of-e- . e :- royalty per unit; unit price of contract ites; number of units; and total., c. -- dollar amount of royalties. In addition, if specifically requested by -the. Contracting Officer, provide a copy of the current license agreement and -- - identification.cf applicable claims of specific patents. (See FAR 27.204 and31.205-37). Facilities Capital Cost of Money - When the offeror elects to claim facilities capital cost of money as an allowable cost, the offeror must submit Form CAS8-CMF ard show the calculation of the proposed amount (see FAR31.205-10). 2. As part of the specific information required, the offeror must submit with. ~., ';.;.- offeror's proposal, and clearly identify as such, cost or pricing data (that~ is, data that art verifiable and factual and r%erwise as defined at FAR _m 15.801). In raddition, submit with offeror's proposal any 'information reasonably required to explain offeror's estimating process, including; ~. -., The judgmental factors applied and the mathematical or other methods a. used ~1n the estimate, including those used in projecting from known... dets; and b. The nature and amount of any contingencies included in the proposed price. 3. There is a clear distinction between subuttting cost or pricing data a:El nerely making <-available books, records, and other documents without, , ; - - r-identification. 'The requirement for submission of cost or pricing data ;is e---- m. m met when all accurate cost or pricing data reasonably available to the offerer have been submitted, either actually or by sp.acific identification.- ri As later to the Contracting Officer or an authorizedinformation comes into the offeror's possession it submitted to the Contracting Officer. The requirement for submission of cost or pricing data continues to the time of final agreement on price. 6 8 e a 9 0 .g
o .4 In submitting ' offeror's
proposal, offerer must include an

index, appropriately referenced, of all the cost or pricing data and information
~~. Jaccoupesying or identified in the proposal. In addition, any future~~
~~. _2 l~~
~ " additions and/or revisions, up to the date of agreement on price, sust be annotated on a supplemental index. 5. By submitting offeror's proposal, the offeror, if selected for negotiation. - grants, the Contracting Officer or an authorized representative the right to - esamine those books, records, documents, and other supporting data that will peruf t adequate evaluation of. the proposed price. This right may be exercised at any time before award. S [....p6. @,[soon as practicable after final agreement on price, but befort the award resulting from the proposal, the offerer shall, under the conditions stated r-in FAA 15.804-4, submit a Certificate of Current Cost or Pri.cing Data. r- --- g,_ 7. Headings for Submission of Line-Item Summaries: A. NewContracts(includingLettercontracts). Vrcposed Contract Freposed Contract cost Elements Estimate-Total Cost Estimate-Unit Cost Reference (1) (2) (3) (4) Unde
~~Column (!) - Enter appropriate cost elements.~~
in Under Column (2) - Enter those necessary and reasonable costs that . offeror's judgment will properly be incurred in efficient centract When any of the costs in this eclumn have already been performance. incurred (e.g., under a letter contract or unpriced order), describe -~- _. them on an attached supporting schedule. When reproduction or startup costs art significant, or when specifically requested to do so by the w :::- u :: Contracting officer, provide a full identification and explanation et c. them. Under Column (3) - Optional, unless required by the Contracting Officer. w. Under Coluan (4) - Identify the attachment in which the informat!cn ~ ' '~ supporting the specific cost element any be found. Attach separate pages as necessary. l s e e
g,,ChangeOrders(modifications). .s Gost of Estimated Deleted Cost of All Wort. Cost Work Already Met Cost To Cost Of Net Cost Of Elements-Deleted Performed Be Deleted Work Added Change Reference (1) (2) (3) (4) (5) (6) (7) Under Column'(1) - Enter appropriate cost elements. Under Calumn (2) - Inc16% (t) current estimates of what the cost would have been to complete deleted work not yet performed, and (ii) the cost. ~~ ~] of deleted work alrea# perfomed. i Under Coluem (3) - Include the incurred ecst of deleted work already j . performed..actually computed if possible, or estimated in the, _. C "'" .1 Contractor's accounting records. Attach a detailed inventory cf wort.... '.:~.. '.'_ !!._.] materials;' parts., components, and hardware already purchased. . ' ~ ~ ~ J.~.'" R ~ .) manufactured, or performed and deleted by the change, indicating the '.. _2 cost nd proposed dispositive of each line item. Also, if offerer desires #to VTtain these items or any portion of them, indicate the ~ ~. (*.~ 7 7. ^ annunt offered for thms. Under Column (4) - Enter the net cost to be deleted which is the i estimated cost of all deleted work less the cost of deleted work already perforved. Coluem (2) less Column (3)
~~Column (4).~~
Under Coluder'(5) - Enter the offerwr's estimate for cost of work added.,. the change. When nonrecurring costs are significant, or when byspecifically requested to do so by the Contracting Officer, provide full identification and explanation of thear. Under Column (6) - Enter the net cost of change which is the cost of work added, less the net cost to be deleted. When this result is negative, place the amount in parentheses. Coluan (4) less Column (5) =
~~
Column (6). Under Column (7) - Identify the attachment,in which the infor1 nation supporting the specific cost element may be found. Attach separate pages as necessary. D F 4 ,f j
C. Price Revision / Redetermination maner of museer of aedetermina-Units-Units To Be Contract tion Proposal Cutoff Date Completed Caspleted Anount Amount - Otfference (1) (2) (3) (4)' (5) (6) L _. --. -. - ~. _ _ M:. incurrec Incurme Incurree l ~ ' ~ ^ Cost-Cost-Cost-Total Estiented . _ Cost Preproduc. Consisted Uerk In Incurred Cost To-Estimated . r _. h,
~~Elements -. tion Units Process Cost Complete Total Cost Reference (7)~~
(8) (g) (10) (11) (12) (23) (14) Under Column (1) - Enter the cutoff date required by the contract, if ~' applicable. Under Column (2) - Enter the nurcer of units completed during the period for which amperienced costs of production are being submitted. .Under Colum (3) - Enter the nus6er of units remaining to be completed under . c. the contract. Under Colussi (4) - Enter the cumulative contract amount. Under Colum (5) - Enter the offeror's rstetermination proposal ancunt. Under Column (6) - Enter the difference between the contract amount and the redetermination proposal amount. leien this result is negative, place the amount la parenthesis. Column (4) less Column (5) = colonn-(6). .....Under Column (7) - Enter appropriate cost elements. When re'sidual inventory
~~e...~~
exists, the final costs established under fixed-price-incantive and ufined-price-redeterminable arrangements should be net of the fair market y_ e- .. = _, =r. mvalue of such inventory. In support of subcontract costs. submit a listing -ef all subcontracts subject to repricing action, annotated as to their status. ~. Abider Column (8) - Enter all costs facurred under the contract before ~ - starting prehetion and other amarecurring costs (usually referred to as .startup costs) f7sm effferor's books and records as of the cutoff date. These facInde secdi' costs as reproduction engineering, special plant
~~. rearrangement, training ras, aM arqy identifiable nonrecurring costs casch as tattial resort, spot age, pilot runs, etc. In the event the amounts~~
<are not segregated in or otherwise available from efferor's' records, enter ta. this columi efferer's best estientes. Esplain the basis for each '.? :-- ~ t = -- - :estiaste and how the costs are charged oi. offeror's accounting records ___m_-_-_______._ m m--- 0
(e.g., included -in production costs as direct engineering labor, charged to manufacturing overhead, etc.). Also how the costs would be allocated to the l units at their various states of contract completion. under Columns (9) and (10)' - Enter.in Column (9) the production costs from offemr's books and. records (exclusive of reproduction costs reported in Column (8) of the units completed as of the cutoff date. Enter in Column (10) the costs of work in process as determined from offersr's records or
== l inventories at the cutoff date. nihen the amounts for work in ptscess are not available infContractor's records but reliable estimates for them can be. made, enter the' estimated amounts in Column (10)(and enter in Column (9) the w..: c -.u _+ differences -between the total incurred costs exclusive of reproduction c--_:.: -I costs) as of 'the cutoff date and ti.ese estimates. Explain the basis for the estimates, including identification af any provision for experienced or anticipated allowances, such as shrinkage, rework, design changes, etc. Fumsth experienced unit or lot costs (or labor hwrs) frra inception of contract to the 2 cutoff date, improvement curves, and any other available m.; .w production cost history pertaining to the item (s) to which offeror's preposal islates. Under Coluem (11) - Enter total incurred costs (Total of Columns (8), (9),- _- s and (10),'. Under Column' (12) - Enter those necessary and reasonable costs that i.n _ e Contractor's judgment will properly be incurred in cocipleting the remaining...._ work to be ' performed under the contract with respect to the ite(s) to which .. - - - n q Contractor's proposal relates. -l Under Coluun (13) - Enter total estimated cost (Total of Columns (11) and (12)). Identify the attachrent in which the information Under Column (14) supporting the specific cost element may be found. Attach separate pages as - -
~~w---~~
necessary. e e l I j 1 1 l l O e 0 e e' \\,e J o m
' 4I 4 ATTACHMENT 5 Fwwi NftC.23 n.m a. Published in advance of incorporadon in Chacter 0904 NRC Manuel File and retain in Manual until superseded. UNITED STATES NUCLEAR REGULATORY COMMISSION NRC MANUAL GULLETIN ' N O. 0904-3 DATE: Je.nuarj 21, 1987
~~SUBJECT:~~
NRC COMPUTER SOFTWARE POLICY This Bulletin sets forth NRC policy on the acquisition / development, modif.ication, copying and distribution, use, and disposal of. NRC computer "~ ' so.f.tWare, particularly microcomputer software. It prov.ide.s overal.l. agency pol. icy which should serve as the basis for Office /Regi~en internal control of both microcomputer and mainframe software development and use, including development and use by both NRC staff and contractors.._ 3 7 fr e --n:. -t William G. Mcdonald Deputy Executive Director for Operations /IRM i
p. ) ~ i i c I i 1 x l I. Purpose' . The purpose of this Bulletin is to set forth 'NRC policy on the acquisition / development, modification, copying and distribution, documentation, use, and cisposal of NRC computer software, particularly microcomputer software. A major goal of the policy is to encourage innovative use and sharing of software while at the same time assuring continued compatibility among software products ano consistency with the NRC's long range ADP plans. l II., Definitions Corocrate acclimation: (1) The use of computer technology that involves the creation, upcating, or modification of NRC corporate ditai or'(2') the creation or modification of a computer system that affects a5ency standards for computer hareware, software, electronically-stored information, or electronic information ccmunication or delivery. Corcorate cata: NRC data to which electronic access is required by more than one Office / Region or cata which is deemed essential sy~fhi ED0to support NRC's ~ mission. Corcorate Data Network (CDN): An information management concept which provides for tne aggregation of NRC corporate data in shared databases intTgTa~tec with office automation systems and accessed through end-user computing. Customized aoolications software: Software that is' developed specifically to meet tne neeos, of a particular user or organization where th~e develbp~ ment ~ recuires progra' ming or the equivalent. Customized applications may be developec with high level programming languages such as. BASIC, FORTRAN, or CCBOL-with cata case management systems such as RAMIS, MARKIV, cr. IDMS/R, or with general purpose microcomputer software such as dBASE III or LOTUS 1-2-3, when n user-written programs or macros are needed to create custom.ized input screens or output reports. Customized applications include both scientific and non-. scientific applications. Individual aoolication: The use of computer technology by an employee to ennance nis or ner personal productivity at the NRC. witn no 1m;iaYt on NRC ' functions beyond its affect on the user's individual performance. Non-scientific ecolications software: All customi:ed applications software except for scientific applications software. Examples lhcl04e administrative applications such as payroll, personnel, and travel systems; management information applications such as systems to provide status on office projects 'and budgets, and tecnnical information applications such as systems for storage and retrieval of nuclear plant data, siting data, and reliability data. NRC stancard microcomputer software: Vendor software supported by NRC (See NRC Bulletin 0904-1 for tne list of tnis software). ~
Organization-unioue 'apoTication: Any NRC computer application which is neither J an indivToual application nor a corporate application. Examples arec(-1) the-use - of computer tecnnology to accomplish the work of a small, self-contained-or lower level NRC unit (usually a section, branch, or small non-program office) where the function is of a self-contained, stand-alone nature not requiring data sharing beyond the bounds of the unit; and (2) any application based on the use of corporate date -(typically by querying or downloading from corporate data beses) ~ ~ without t'he need to maintain and update a duplicate copy of the data. Public domain" software: Free or minimal cost software available from such. sources as government agencies, certain periodicals, and computer-user-groups, Scientific applications software: A type of customized applications software oevelopeo ey or for a program office to perform scientific calculat-ions-in support of NRC's mission. Examples are computer codes to calculate reactor plant thermal-hydraulic response in accidents, the nature and consequences. of radiological releases, statistical analyses, structural response ~ analyses, or probabilistic risk analyses. Nencor software:1 General or special purpose software that is purchased or. leaseo to be used without modifi. cation. 111. Software Acquisition /Developmen,t_ There are three major types of software that are used on NRC computers: (1) vendor software; (2) oublic-domain software (sometimes called "shareware" or "freeware"); and (3) customizec applications software (see section !! for. definitions)., When a requirement nas been icentified for the acquisition or ~ development tf sof twat'e, the end user, or for more complex applications..the Office of Inf.ormation', Resource Management (IRM), in coordination with the end... user, should first, deterniine if the application should be placed on.a'tnainframe or on a microcomputer. If the application is appropriate for a microcomputer. it should then be determined if NRC standard microcomputer sof tware can be ~ used. If none oY 'the standard software is appropriate, tne use of other venoor softwareshould;~be'considerednext. Only in the event that no appropriate vendct software is'available should customized application development'be ~ considered, as it is~ generally more cost-effective to use special 'or general- ~ purpose vendor software than to custom-build an application. Vendor Software: IRM acqu' ires'all vendor software for the NRC except where authority.is. ~ delegated by IRM on a case-by-case basis. NRC Bulletin 0904-1, " Policy and Procedures for Acquiring Microcomputer Equipment, Sof tware, and Support Services," contains a list of standara software, procedures for requesting the software, and the procedure for, requesting tnat additional software be added to the list. IRM will alsu give p'riorli.ty ' consideration to the acquisition of otner software for;... Specific 'applic~ations, if none of the standard software will meet the ' l .l user's requirement or if the acet.isition of the other sof tware would. eliminate.or substantially reduce the need for programming. Standard software is fully supported by IRM while the other software will not normally be supported by IRM. 2 0 h h
3 i IRM coordination and approval is required for purchase or lease of vendor software by contractors or DOE laboratories for use in satisfying an ADP requirement of an NRC contract. It is NRC policy that a copy of individually-licensed vendor software be acquired for each computer on which the software will be used. For site-licensed software, IRM will supply one copy for each computer where the software is required. Public Domain Software: Public domain microcomputer software (such as utilities useful with NRC ~ . standard software available from the ITS) may be acquired for individual use on NRC equipment provided there is no NRC standard software to perform tne function. IRM will acquire analytical codes which have been developed by non-NRC sources (e.g., codes available from Federal code centers or other I government agencies), upon receipt of a memorandum with the particulars addresseo to the Director, Division of Information Support Services, IRM. All public domain software with which there is a cost associated, even if minimal, must be obtained by request from IRM. l Unless it is'en NRC's list of standard software, public domain micro-computer software shall not be acquired for organization unioue or corporate aoolications. T is is to avoid NRC cependence on unsupported, unoccumenteo, ano in some cases harmful, products for ajpTTeations which could affect critical agency functions. Computer users should be aware that there have been numerous reports of -r- - t purposely destructive public domain software which could seriously damage NRC microcomputer or mainframe systems and data. Since individuals -could be held personally responsible for such damage (See NRC. Appendix 4-5201, Part I, Paragraphs H red J), users would be wise to limit their use ' of public demain software tu those programs which have been screened by ~" IRM. ] Customized Application Software-Office / Region management is responsible for monitoring end-user applications development to assure compliance with this bulletin and j to prevent the development of unnecessary or duplicative systems. j In general, customized applications software shall be developed only when l no vendor software is available to meet the need or when no applications software is available to meet the need through software sharing. Where possible, it is usually more cost-effective for end users to develop I an application using a general purpose software package such as dBASE Ill or LOTUS 1-2-3 than to use a programing language such as FORTRAN or l BASIC.
khere possible, end users creating customized applications should first consider obtaining necessary data from the Corporate Data Network (CDN). or from other existing IRM-maintained systems, thus avoiding the need to meintain duplicate data. Table 1 summarizes the approvals necessary for development of non-scientific" customized aoolications software depending on the class of-use, as cefinea in tne definitions section of this Bulletin, and on the software developer. Note that the level of concurrence relates to the: - "leve.1 of risk" associated with each class of use. Individuel applications involve a very minimal risk to the agency because they oo not affect agency -{ functions; organization-unique applications have a higher level of risk because they oo impact agency functions but affect only a single organi-l zational unit; corporate applications have the highest risk because of 1 their potentially wioe spreac impact on agency functions. Note also that Y all development of non-scientific customized application sof tware by other tnen end users must be approved by IRM. This is necessary for the proper central administration. control, and sharing of software and data.and to :-- " - - ~ assure that. staff and contractor resources are not diverted from direct " - n mission support. 'In general, IRM will develop corporate applications and any organization-unioue non-scientific applications whien are eitner too compiex or otnerwise inappropriate for development by end users.. Where
..: l appropriate, certain non-scientific applications may be developed by-the program offices by means of contracts or DDE laboratory agreements which have been reviewed and approved in advance by IRM on a case-by-case basis.
Tne "N/A" entry in Table 1 reflects agency policy that IRM anc contractor resources.will;nat be used to oevelop applications for individual use To assure'that contract deliverables are portable anc are compatible with NT:C ADp equipment and software, it is the responsibility of offices / regions to include' Attachment 1, " Development, Submittel, Distribution and Documentation Reovirements for Machine-Readable Contract Deliverables" in the statement of work for all contracts or DOE laborator-agreements whichu - could involve the development of scientific or non-scir ,fic applications scftware or other machine-readable contract deliverable >. Dffices/ Regions
j

, hall assure that contractors and DDE Laboratories comply with the recuire-ment:. in Attachment I and shall specify any additional constraints such as memory sire and specific software version and equipment configuration of the NRC machine (s) on which the applications will eventually run.
IRM coordination and approval is required for purchase or lease by - contractors or DDE Laboratories of sof tware or ADP equipment (including microcomputers, microcomputer boards, terminals and peripherals) for use in satisfying an ADP requirement of an NRC contract. Scientific applications software is developec by or under the guidance of the program offices. Contracts and DOE Laboratory agreements which involve the development' of such software must include Attachment 1, " Development., J Submittal, Distribution and Documentation Requirements for Machine-Readable j Contract Deliverables," but require IRM approval only when: j e CE - J
V
~~y. V 4~~
- the. contract or 00E laboratory agreement involves the purchase or lease -of software or ADP equipment (including, but not limited to, microcomputer, i microcomputer boards, terminals or peripherals) for use in satisfying a requirement of the contract or 00E Laboratory Agreement; - m - use by the NRC of deliverables (e.g., software or data) developed under the the contract or DOE Laboratory Agreement will necessitate the purchase or lease of ADP equipment, software, or ADP services not already available to the NRC staff, including, but not limited to, timesharing services, microcomputers, terminals, microcomputer boards, peripherals, or vendor software; - the contract or DOE Laboratory Agreement specifies that the NRC will prov;ce timesharing services, or that the contractor will acquire timesharing services which could be more cost-effectively furnished by the NRC under its own timesharing agreements; or - any of the requirements in Attachment 1 are to be waived or modifiec. It is the responsibility of Offices / Regions to obtain IRM coordination and approval when recuired by this Bulletin. It is the responsibility of the Office of Administration's Division of Contracts to ensure that the necessary coordination and approval is obtained before the contract is initiated. NRC Bulletin 0904-2, "ADP Responsibilities, P'lanning, Management, and Delivery of System Software Services," contains procedures for requesting IRM development of custcmized application software. Table 1 u Required Approvals for Non-Scientific Customized Applications Software Development Usage

~~Develooer ----------------~~

~~Cateoory NRC End User Contractor, DOE, IRM Staff Individual None N/A Organization-Office / Region~~
Office / Region unique and IRM Corporate Ali affected All affected Offices / Regions Offices / Regions and IRM and IRM

0ffice/ Regional approval or as delegated by the Office /Regien to lower organizational levels.
~
IV. Software Modification v'endor and Public Domain Scftware Modification of almost all vendor software, and some public domain software is prohibited, except as described in the installation instructions provided by the vendor or author. All microcomputer software supplied by IRM is. installed in:a standard way, and there are several reasons why users should only rarely modify the way that the software is installed: The use of all NRC standard microcomputer software, if installed according te standard instructions provided by IRM, is documented in the NRC ADP Services Guide. Changes to the installation may make use of the documentation difficult or impossible. IRM instulls. software in a standard way allowing for ease of trouble ] shooting by the ITS, should the need arise. Modification of the software or of the menu structure on machines - with'a fixed disk may make subsequent software installation or upgrades more difficult. ' Modification is inconsistent with software portability and - 4 standardization, and may confuse other staff members who expect to find the standard installation when using an NRC machine. For these reasons, users contemplating modifications should consult the Information Technology Services Support Center to discuss possible implicat.ons. Customized Applications Software All data and software created by end users may be modified as desired. lt is the responsibility of office / region management to assure that til - modifications made by end users to such applications (except individual acolicatiinil are recorded in a change log and incorporated into tne appi1 cation documentation. All software maintained by IRM will be modified by IRM in accorcance with the procedures in NRC Bulletin 0904-2. t 0 0 9 8#
-p T -- r-n w -- -- - - 7^ - ~ ~ - - 9 l' H-V. Software Cooyino and Distribution Vendor Software IRM distributes all veridor software used by the NRC. Copying vendor software other than for authorized back-up purposes, or using a software package on a machine for which it has not been authorized may be a violation uf software licensing agreements and could lead the vendor to take legal action against the NRC. NRC employees who violate "E nrF . licensing agreements by making or using unauthorized copies of. NRC sof twa~re or any other vendor software, risk both discipl-inary action and r:r: ' n: - ir ~ ~ --' 'pos's'ible suit by the vendor. Unauthorized use or copying of proprietary software should be brought to the attention of the Office of Inspector and Auditor and 'the Office of Administration's Division of Security. It is NRC policy that individually-licenced software be used only on the machine for which it was purchased and to which it was assigned by IRM. If software must be moved frem one machine to another, users should notify n -~ 'IRM's Harcware and Software Acquisition Branch (Headquarters) or the appropriate regional program support staff so that software inventory J' records can be upcated. Public Domain Software Public domain software may be copied and distributed as desired', subject to '~ _any_ restrictions made by the author, for use'in individual applications. Any_ nblic domain software approved for organization unicue or coroorate applications is distributed by IRM. Customized Applications Software
~~- Customizeo applicati.ons and associated data created by.end. users may be J.: :~~
copied as requireo. If possible, users should avoid storing non-copyrighted data or programs on the same diskettes as copyrighted vendor software. In cases where internal or public distribution of customized applications software (including scientific applications software developed by NRC staff or contractors either for mainframes and microcomputers) is appro-priate, such distributions are performed by, or under the guidance of, IRM to assure that applications receive at least minimal review for compliance with documentation and copyright standards before release. IRM will assure that programmatic distribution requirements are met for public and non-public software. NRC staff should mot distribute any software for either microcomputers or mainframes on an ad hoc basis. NRC Contrar. tors or DOE laboratories should not distribute any NRC software for either microcomputers or mainframes without formal approvals as described in Attachment 1, Section 3.
V1, Documentation Vendor Software One copy of software documentation is provided by the vendor for each vendor software package acquired by the NRC. This documentation is provided to the user with the software. 1RM fills out a Software Locator Infonnation Sheet for all vendor software acquired by the agency. Public Domain Software Documentation for public domain software is usually provided by the author, but may be limited. If public comain software is obtained directly by a user, he or she should send e copy of documentation (if any) and a Software Locator Information Sheet (see Exhibit 1) to IRM, since other individual users may be -- interested,in the software. IRM will fill out a Software Locator - ; - Information Sheet for 'any public domain software which it acquires. Customirec Application Software Creation of written documentation is an important part of tne development and maintenance process for all customized applications. There are usually two types of documentation associated with each application: (1) user documentation, and (2) technical or programer documentation. The first type of documentation is needed so that staff'other than the oeveloper can effectively use the system. The second type of documentation is needed in order to effectively maintain and/or change the system..Jt. -r is good practice for users to document all applications that they develop.- even inose limited to individual use. It is mandatory that documentation. be oevdoped for all organization-picve use ano corporate use applications so inet staff other inen tne oeve oper can use tne sof tware and so that-the sof tware value'-is not lost if the oeveloper moves to arother assignment or separates from the agency. Microcomputer Application Documentation. Stancards, prepared by IRM, are available from the ITS Support Center. lt is ]Rh's responsibility to create and maintain in a documentation 5 library, user and programmer documentation for all applications which it nevelops. Software modifications will be recorded in a change log. : .c-and incorporated into the documentation. A copy of the user documentation.. will be provioed to each user of the software. It is the responsibility of Office / Region management to assure that user end programmer documentation is oeveloped and maintained for organization-unicue and corporate applications developed by end users. A copy of the documentation for each of these applications should be maintained by each ofiice, preferably in a single location. Scftware modifications should be retorced in a change log and incorporated into the documentation. 1 3 e D
VI. Documentation Vendor Software 1 One copy of sof tware documentation is provit id by the vendor for each ~ vencor software package ecquired by the NRC. This documentation is provided tc the user with the software. 1RM fills out a Software Locator Information Sheet for all vendor software acquired by the agency. Public Domain Software Documentation for public domain software is usually provided by the author, but may be limitec. If public comain software is obtained directly by a user, he or she should send a copy of documentation (if any) and a Software Locator Information Sheet (see Exhibit 1) to IRM, since other individual users may be interested in the software. IRM will fill out a Software Locator - ; Informatio'n Sheet for 'any public comain sof tware which it acouires. Customized Application Sof tware Creation of written documentation is an important part of the development and maintenance process for all customized applications. There are usually two types of documentation associated with each application: (1) user documentation, nnd (2) technical or progra:xner documentation. The first type of documentation is needed so that staff'other than the develcper can effectively use the system. The seconc type of documentation is needed in order to effectively maintain and/or cnange the system..Jt. is good practice for users to cocument all applications that they develop,- even inose limited to individual use. It is mandatory that documentation. be oeveloped for all orcan12ation-unioue use anc corocrate use applications so that staff other inen tne ceveloper can use tne software and 50 that the sof tware value~-is not lost if the oeveloper moves to another assignment or separatus from the agency. Microcomputer Application Documentation. Stancards, prepared by IRM, are available from the ITS Support Center. It is IRM's responsibility to create and maintain in a documentation library, user and programmer documentation for all applications which it cevelops. Software modifications will be records:d in a change 109.. and incorporated into the documentation A copy of the user documentation. will be prov1oed to each user of the sottware. It is Ine responsibility cf Office / Region management to assure that user end progremmer occumentation is oeveloped and mainteirted for organization-unicue and corporate applications oeveloped by end users. A copy of the documentation for each of inese applications should be mainteined by each office, preferably in e single location. Software modifications should be recorced in a enange log and incorporated into the documentation. L ,.W 1.
s I 1 ) Offices / Regions are responsible for filling out a Software Locator Information Sheet fnr cach end-user developed application and submitting new and updateo sheets to IPM as part of their inputs to the yearly ADP { Planning Call. Documentation requirement:; for centractor-developed software are covered in Attachment 1. Section 4 VII. Software Use Sof tware Sharine IRM actively supports software and data sharing within the agency. To encourage sharing of software, IRM maintains a Software Locator directory of all software accuired or developed by tne NRC. IRM maintains the software locator information . -for al-1 stancard NRC vencor software and all applications software maintained by IRM. It is the users' respersibility to complete aad tubmit the Software Locator Information Sheets f su Exhibit 1) for all otter software acquired or developed for their use or use of their contractors. Perscnal Use of NRC Software end Wardware +- -,NRC-accessible mainframes, NRC minicomputers, and NRC microcomputers and associated software may be used only for FRC official tusiness per NRC Appandix 2301, Part II. No personal use can or will be authorized. Employees who misuse .NRC property or incur unauthori:ed timesharing costs may be subject to discipli-nary action. Use of Personallv-Owned Hardware and Software for NRC Work Personally-cwned hareware and software may be used at home for NRC work - provicec that (1) no sensitive unclassified or classifiec information is accessed, - processed. stored or telecommunicated; (2) work products are compatirble with hareware and software available to the employee at the of$ ice; (3) any use of -~ personally-owned hareware and software for purpose of -telecommunication with NRC-accessible timesharing facilities or electronic bulletin boards shall be in strict accorcance with the security regulations of such facilities and with NRC security regulations associated with computer access as specified in NPC Appendix 2301, Part II. The NRC will supply any hardware and software 'needed for NRC work. Personally-owned proprietary cocinercial software may not be used on NRC computers and NRC sof tware may not be used on personally-owned computers.-- A limited number of -- portable computers and sof tware are.:vailable from the IRM Systems Support Branch for temporary loan where necessary. Back::ps of Data and Procrams IRM makes or sends for back-up ccpies for all NRC standard vendor software, and provides both the orieinal and the back-up copy to the user. Before making additional back-up copies, users should consult the software documentation and Chapter 8 n' the NRC ADF 5ervices Guide, or call the ITS Support Center for assistance.
-Both diskettes and fix:d disks used on microcomputers are subject to, occasional . damage or failure and, h:nce, data loss. Ussrs sometimes. inadvertently purge' ~ cata files or programs..'For these reasons it is good operating practice for. users to make backup copies,of important data.and applications programs which they write, even those limited to individual use. It is mandatory that backup procedures be ' developed, ucumentec ano used for all data and programs which are in the organization-unioue or corporate use categories. The system developer (whetner IRM or an end user) is responsible for providing'the ~......'.'. documentation en the backup procedures.. ' Backup copies of critical applications software and associated data should be ^ placed in the NRC archival facility, where they will be retained under~ appropriate environmental conditions and will meet the requirement of storing the backup copy in a' separate location from the working copy. Contact the Information and Records Management Branch for further infomation. Security No classified info'rmation nay be processed or stored on a mainframe. word.,_ processor or microcomputer without the prior written approval, guidance ~.~and ~~ authorization of the NRC Office of Administration's Division of Security (SEC). ~~ ~ ho sensitivTinf6rmation, including unclassified Safeguards Infomation (SGl.), ~ proprietary data, information which is withholdable from public disclosure. under the " Privacy Act," FOIA, or other regulations, may be stored on systems ~ with nonremovable disks without prior approval from SEC. If a computer system contains such information, it.is the user's responsibility, and. that.of his or' her supervisor, to review the appropriate security guidelines or consult.with. SEC for assist'ance. ~ Diskettes containing sensitive information must be' locked." up when not'in use and must be purged of all information before release for~.~ 1~. another purpose. Further written suidance on the processing / storage of classified or. sensitive -data on NRC microcomputers, mainframes, and word processors is available in NRL__ .'l ~ Appendix 2301, Parts I~ and II, and in " Security Guidance Outlines." availabi'e' ' from SEC or from the Infomation Technology Services Support Center'.' ~, Microcomputer equipment, software and data should be protected from possible camage or theft by taking reasonable precautions. Software snould be con- . trolled curing business hours and locked up, if possible, at the e'nd' of the day. No software may be removed from NRC premises without a property pass or. ~., _. NRC form 119. ~ All applications shall be oeveloped in accordance with reovirements contained in NRC Appendix 2301, Part II, Section A.6, " Security Measures of HRC Computer Centers and Unclassified Applications Systems." Software Owner.512 All data or programs written by NRC staff for government work that are entered-.- into word processors, or small or large computers, regardless of ownersh'ip or.. E ~ ~ l-location, of the pr~ocessors or computers, are the property of the gov.ernment and I may be considered government records. ~ 10 I e J;
~ 1 VIII. Disposal of Obsolete or Unsupported Software Vendor Software ) \\endor Software which is owned by the NRC, but which is no longer on the i list of supported software may be retained until existing applications are I software as quickly as pnssible with advice from the ITS Support Center. 'j converted. Users are encouraged to convert such applications to supported IRM may provide further assistance for the conversion of critical appli-cations upon written request. No new applications should be developed a-+ :" with unsupported software. Once all applications have been converted, t;-- unsupported software should be returned to IRM for disp] sal. -- Customized Applicatiers Software Obsolete applications software, including scientific cades, should be 5 i disposed of in accordance with the applicable NRC records disposition ~ ~ schecule (see NUREG 0910). If the schedule requires retention, the ~ ~~~~ software and documentation should be provided to the NRC Information and ' - ~ Recorcs Management Branch for stora5e in the NRC archival facility. i
Exhibit I NRC SOFTWARE LOCATOR 1NFORMAT10N FORM 1. FY: 2. SOFTWARE. TITLE: 3. ACRONYM:- - - - - 4. VERSION #: 5. FULL SYSTEFLLY/O- _ 6. MACRO / SUBROUTINE (Y/N): ~
~~7. CLASSIFICATION: (Checkone)~~
SCIENTIFIC CODES ADMINISTRATIVE SUPPORT (Budget Travel, Personnel, etc.) GENERAL PURPOSE (Managerrent Information, Tracking, etc.) ~~~ TECHN1 CAL INFORMATION -~~ PERSONAL PRODUCTIVITY B. SENSITUL41/N): CLASSIFIED-(Y/N): ~ 9. STATUS ( A= active,hinactive,h=not used,U=under devel/ test P= planned): ,.~ If 9. STATUS =1 or A:__9a. LAST USED YEAR: 9b. SUPERSEDED (Y/N): ~ .11 9t. JUPERSEDED=Y-9bl. BY WHN1 ACRONYM: ~~' VERSION f: 10. REOUIRES FUETHER DEVELOPMENT, MDMGCATIOh, OR UPDATE (Y/N): ~ 10a. CURR FY EFRORI:- CONTRACT 5: (K) HRC STAFF YEAR 5: 10b. NEXT FY EFFORT.: CONTRACT 5: (K) NRC STAFF YEARS: 11. NRC SPONSO W FF DIV BR SPOWSOE CONTACT: LA5L: F1R5T: Ml: 12. DEVELOPER: (Check one) ~ NRC DATA PROCESSING STAFF (RM/D) NRC EMPLOYEE OTHER THAN RM/D hAME LAST: FIRST: - MI: NRC CONTRACTOR OR DDE LABORATOM - if checkec provice: - C0i:TRACIOR NAME.:- FIN t(s): --CONTRACIOR CONTACT - LA51: FIRST: MI_: PHONE: VENDOR /0FF THE SHELF PUBLIC DOMAIN, SHAREWARE, OR FREEWARE 13. USERS: (Check all that apply) NRC STAFF ~ NRC CONTRACTOR (including DOE laboratories) J'- APPLICANT / LICENSEE OTHER (specify) 34. REGULATORY APPLICATION ARTA (Cneck all that apply to this software): licensing application related to 10 CFR Part (e.g., 50 if reactors, 60 or 63 for waste disposal facilities,ttc., see instructions for further examples) ~ operatiorii.1 data analysis event or accioent ar.61ysis emergency response inspection / enforcement research on-other 'Lestribe,. O 12
IS. PAST OR PRESENT LICENSING USE (Check all that apply to this software): Has been used or is beino used by NRC staff or NRC contractor in the licensing process is identified in the Standard Review Plan, Section Has been specifically cited by the NRC in official corfbspondence ~~ ~ -~~~

~~(e.g., Safety Evaluation Reports)~~

~ Is icentified in an NRC Regulatory Guide, Number Is identified in a Branch Technical Position. Specify ls._specified in other regulations. Specify _ Is specified in an industry code or standard. Specify Other licensing use. Describe 16. KEYWORDS.(See instructions): 17. DESCRIPTION (See instructions): e - = ~
~~18. APPLICATION HAS RECEIVED PEER REVIEW /CA (Y/N):~~
If_ lam _EEER REVIEW /0A=Y, 0ESCRIBE HOW AND BY.WHOM: n 19. DOCUMENTATION: I NUREG r(s) p . USER'S GUIDE (Y/h) UP-TO-DATE (Y/N):. LATEST NUREG PUBLICATION CATE (MM/00/YY): PROGRAMMER'S GUIDE (Y/N) UP-TO-DATE (Y/N): l 20. DISTRIBUTION: By ARC /IS (Y/hi: By NRC/ITS (Y/N):
~~15. System No:~~
ITS Control No: By NESC (Y/N): By RSIC (Y/N): NESC No: RSIC No: If "N" to ALL of the ebove complete the following: _ __10(A). BY_VHOM LAST: FIRST: MI: ORGAh!ZATION: (If NRC, provide Branch abbrev.7~ 77-- 20(B). If NESC or RSIC is marked as "Y", please provide the following: External Availability Category NTIS/ DOE No. bNLIMITED PB-No. .__ U.S. ONLY DE No U.S. GOVFRhMENT SPECIAL U _-_ __.
21. COMPUTER ON WHICH INSTALLE0 OR TO BE INSTALLE0 (Check any that apply): - NRC HICR0 .HRC MINI NRC-ACCESSIBLE MAINFRAME P1 (PC 256K) B1 (DG6000) A1 (NIH) P2 (PC 640K) -B2 (DGB000) A2(ORNL) P3 (XT 256K) C3 (OTHER DG) A3 (BNL) P4 (XT 640K) A4 (INEL) 0 (OTHER) Specify CONTRACTOR COMPUTER: Computer Vender Name Model ~~
~~22. LANGUAGES / PACKAGES (Mark Primary [P] once end any others as [5] Secondary.)~~
BASIC RAMIS dBASEIII FORTRAN IV ___ SYSTEM 2000 DOS FORTRAN 77 (V) WYLBUR LOTUS 1-2-3 COBOL MARKIY ~- PL/l _ - OTHER (SPECIFY) ] 23.' NRC CONTACT: (Name of NRC employee who filled out this form) - -+ LAST: FIRST: MI: 0FF _DIV BR PHONE: SIGNATURE: DATE: 4 14 e
~. .o - l Development, Submittal. Distribution and Documentation Requirements for Machine-Readable Contract Deliverables This document provides requirements for contractors developing software, data or other machine-readable deliverables for the Nuclear Regulatory Commission (NRC). Its purpose is to assure that any such deliverables can be readily implemented and used on NRC equipment and can, if required, be easily disseminated or transferred to other data processing sites. This implies the use of standard I" sbftka're packages, programming languages, and compilers which a.re compatible ^!-With the'NRC hardware and sof tware environment, as wel1 as adherence to good programming and documentation practices. This document applies to all machine-readable deliverables for use on micro- ~' - computers and to scientific applications for use on mainframes and minicomputers. '~- - Requirements for non-scientific applications for use on mainframes or mini-computers are provided by IRM on a case by case basis. --- ~ All' computer applications and associated data developed under contract to the NRC or under a DOE laboratcry agreement are the property of the NRC unless stated otherwise in the contract or DOE laboratory agreement.- These items must be sub'mitted to the NRC project manager in machine-readable-form at or before contract c'mpletion. Microcomputer software and data deliverables should be supplied on diskette and conform to the criteria stated in section 1 below. Mainframe or minicomputer software and data deliverables should be submitted on tape and conform to the criteria in section 2 below. All machine-readable deliverables must be accompanied by appropriate documentation as specified in sections 1, 2, and 4 below. Conversely, contractor reports citing e. ~ :the use of computer codes must be accompanied by said computer codes. 1. Deliverables for Use on Microcomputers All deliverables developed for use on microcomputers must meet the following criteria unless a written waiver is obtained in advance from the NRC project manager and approved by the Division of Automated Information Services (IRM): a. Deliverables should be submitted on diskettes. b. All diskettes should be capable of use on an IBM PC or compatible microcomputer using one of the software packages ~ supported by the NRC Division of Automated Information Services (see Table 1, attached). All programs developed for the NRC must be written using one of the standard software packages. _--._m_________.__
c. In particular, documents (e.g., reports) submitted in machine- ~ readable form should be produced with IBM DisplayWrite word processing software. This will allow them to be used both en NRC microcomputers cnr word processing equipment. d. Failing criteria b or c above, data or text only may be provider as ASCII files in standard IBM PC diskette femat. All diskettes must be accompanied by documentation, including ~ e. a printed copy of the disk directory, a description of each fi.le in the directory and how it is to be used and installation ~ instructions. Refer to sections 3 and 4 for software distribution and documentation requirements, respectively. ho microcomputer software or hardware may be purchased by a contractor or DOE laboratory for subsequent delivery to the NRC without written concurrence in advance by the NRC Project Manager and the Office of ~ i Infomation Resource Management. . Updated in. formation about software supported for use on NRC-accessible: computer facilities and microcomputers may be obtained from the NRC'ITSJ' : Support Center, (301) 492-4160 (FTS 492-4160). ~ 2. Deliverables for Use on Mainframes,or Minicomputers These requirements apply to scientific applications software and ~ associated data deliverables intended for use on mainframes or minicomputers. All such deliverables must meet the following criterie ~ ~ unless a written waiver is obtained in advance from the NRC project manager a.nd approved by the Office of Information Resource Management. ~ ~ P S a. All new mainframe or minicomputer programs developed or converted ~ ~~ for NRC shall be written in American National Standards (ANS) FORTRAN (ANSI Standard X3.9-1978). b. Mainframe or minicomputer programs which generate plots must do so using the Display Integrated Software System and Flotting Language (DISSptA). This graphics software is a standard at all DOE laboratories. c. The recomended mathematical / statistical subroutines are the International Mathematical Statistical Libraries (IMSL). d. Proprietary-software packages should be avoided except where stand 6rd' -a-readily available packages exist and are supported for use at NRC-accessible computer (Pcilities by the NRC ITS Support Center (see Table 1, attached). Machine-dependent and installation-specific packages and features including assembly languageshould not be used. e. Deliverables should be submitted on tape according to the folinwing tape fnmat requirements: ~ 0 h
.s
,y
~ ~, -4. .- Recording: 9-track - Density: 1600 BPI - Internal Tape label: NO Label - Character Code: EBCDIC or ASCII - Record Size: FIXED RECORD LENGTH (80 char /rece-d preferred for source code when possible) .I' - Block Size: FIXED BLOCK LENGTH (maximum = 2048 char / block) '~ - All files on one physical tape must each have the same number of char / record and char / block. Tapes must not be generated using system-dependent copy routines.
~~r Tapes must ce made so as to be transportable from one computer -~~~
~ system to another. This is most easily accomplished by means of a FORTRAN READ-WRITE routine rather than a system utility; however, use of IBM IEEGENER is acceptable. f. All tapes must be accompanied by documentation, including a copy of the job that created the tape, a list of the files on the. tape, a description of each file and how it is to be used, and installation ~ ' instructions. Refer to sections 3 and 4 for software distribution and documentation requirements, respectively. g. Tapes shou'ld include the following files: Source Code - Ccmpiler input records Samole Inout - Test case input data. (The output generated ~ ~ Dy execut'en of the program using the sample input must also be pfovided in printed form.) Data Libraries - Externsi data files required for program ' ~ execution (e.., cross-section libraries, dose conversion ~~ factors, etc.. Control Informat' ion - Operating system control language '- statements recuired for compilation and execution. Optional files include ebject or load modules. Oudstions concerning the above instructions should be addressed to the NRC Information Technology Services Support Cente,r (FTS) 492-4160. m __m____-___ .. b
t. Distribution of contractor-developed applications software and document-J ation will be perfomed under the guidance of IRM. IRM will assure that programmatic distribution requirements are met for public and non-public-software. At present, most NRC software is being distributed by the National ~ Energy Software Center at Argonne National Laboratory under a DOE laboratory agreement administered by IRM. Under certain circum-stances, an NRC contractor or DOE laboratory may distribute scientific applications -software while in the development or maintenance stages ~ provided~that: +- a. The required distribution activities are explicitly specified in the contract or DOE laboratory statement of work; b. The contract or DOE laboratory agreement specifies that the software and associated documentation will be transmitted to the NRC in approved fom (per sections 1-4 of this attachment) upon temination of the contract or DOE laboratory agreement; c. The P-rogram Division Director has approved, in writing, the + need for deviation from the standard distribution procedures; - d. . The Director, Division of Infomation Support Services, IRM, has approved, in writing, the contract or DOE laboratory statement of work wherein the distribution activities are described. Before release for distribution, NRC-sponsored software must be appropriately reviewed,-tested, documented and approved for release by - the sponsoring -NRC office. It is the. responsibility of the sponsoring' NRC office to detemine whether or not a computer code is ready for distribution and to clearly define the limitations to be imposed on said-distribution (e.g., USA only, unlimited, a specific distribution list; etc.). However, the sponsoring NRC cffice is 3dvised tnat once infor- + r mation regarding a computer code has been published (e.g., in a NUREG report), members of the public may request a copy of the code and, under - ' ~ noma 1. cir-cumstances, the NRC must be prepared to distribute the code. -T-Thus, the preparation of a distribution submittal package for the computer " n ~ -'- code and the publication and distribution of a NUREG(s) associated with- '9 the computer code should coincide. In order to prepare to meet these requirements once the contract is complete, the statement of work should - include, as a requirement, the preparation of. the submittal package necessary for requesting distribution by the National Energy Software :- ~~~ CenterfNESC). Copies of the NESC submittal foms, distribution proce-r dures and advice regarding submittal package preparation may be obtained by calling the ITS Support Center on. 492-4160 or FTS-497-4160. A copy of the NESC release fom, signed by the Division Director of the sponsoring NRC of.fice, should be sent to the Chief, Infomation Technology Services Branch, at the time the submittal package is sent to NESC. 18 9 6 6 j e L" +
7 4 7e. w '. s l 4. Documentation All're~ ports, including applications software documentation, must conform j ~ to NRC Manual Chapters 3201 and 3202. Copies of these manual chapters are 0-l' 'available from the NRC Publications Services Division. DOE laboratory staff may obtain copies from their respective technical infomation offices. In addition, the content of all scientific applications documentation shall
~~'~'~~
conform to ANSI Standard N-413. " Guidelines for Documentation of Digital ~ ~~ " Computer Programs." The major documentation requirements included in the star,dard are: a) Computer Program Abstract b) Application Information (User's Guide) c) Problem or Function Definition (Theoretical Development) d) Programming Information (Programer's Guide) ~ A copy ~of this standard may be obtained for $8.50 plus $2.00 shipping and handling from: The American National Standards Institute 1430 Broadwsy New York, New York 10018 ATTN: Sales Department In addition to or instead of conforming to ANSI Standard N-413, documentation for some applications may be required to conform to NRC Microcomputer Application Documentation Standards and/or meet other requirements of the sponsoring office. Applicability of any additional requirements will be detemined by the NRC Project Manager. Each program developed for the Nuclear Regulatory Comi.ssion :should include ~ 07~ the following program title block and disclaimer in the main program: ~~ ~ . Program
~~Title:~~
P ' Developed for: U.S. Nuclear Regulatory Commission Office of (fill in NRC Office) ~ Division of (fill in NRC Division) =_ Date: NRC Contact (s) Phone: Code Developer: Phone: Title (s) of Associated Documentation and NUREG Number (s): This program was prepared for an agency of the United States Government. Neither the United States Government nor any agency thereof, nor any of 4 their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third party's use, or the results nf such use, of any portien of this program or represents that its use by ' such third perty,;culd rot infringe privately owned rights.
Opdated January 1987 f Table 1. NRC Supported Software - MAINTRAME SOFTWARE: Idaho National Energy Laboratories Computer System i I NOS Operating System for CYBER 176 FSE Text Editor XEDIT Text Editor UPDATE Text Editor Utility FORTRAN 5* Programing Language DISSPLA Graphics IM5L Math / Statistical Subroutines National Institutes of Health Computer System .e OS/MVS Operating System for IBM 3081 TSO Comand Language l WYLBUR Text Editor /Comand Language ~ ~ VS FORTRAN
~~Programing Language~~
' ' - ~ ~. ' DISSPLA Graphics TELL-A-GRAF Graphics FOILS Word Charts for Overhead Projection MARK IV - File Management / Report Generator SYSTEM 2000-Data Base Management System (Reports and Queries only) RAMIS 11 " Data Base Management System (Reports - and Queries only) KERMIT Communications (PC's) IMSL Kath/ Statistical Subroutines NRC Data General MV/8000 CLI Comand Language Interf ace SED Text Editor SPEED Text Editor BASIC Prngraming Language FORTRAN 77-Procraming Langur.ge SS!' CALC Spreadsheet IMSL dath/ Statistical Subroutines N SSPL A Graphics Adheres to current AfiFI Standard for FORTRAN (FORTRAN 77) NOTE: This. list of software is changed periodically. For an updated list, call the Infomatior. lechnology Fervices Support Centtr (301) 492-4160 or
~~FTS) 467 41co.~~
20 e r N o e O F
7 A i ; Updated January 1987 NRC Supported Software (continued) MICROCOMPUTER SOFTWARE: IBM PC DOS & BASIC Operating System, language COMPAQ MS-DOS & BASIC Operating System, language IBM BASIC Compiler Programming Language' ?';-; IBM FORTRAN Compiler Programming Language IBM DisplayWrite Word Processor IBM DisplayComm WP Communications IBM 5520 Attachment Program 5520 Terminal Emulation Microstuf CROSSTALK Communications. i Persoft Smarterm DG Terminal Emulation LOTUS 1-2-3 Spreadsheet
r-Ashton-Tate dBASE III, Data Base Management dBASE III Plus Westminster Software Pertmaster Project Management Decision Resources Chartmaster Graphics Decision Resources Signmaster Graphics Borland International Sidekick Multi-purpose Utility
~~Adheres to current ANSI Standard for FORTRAN 77.~~
~~NOTE: This list of software is changed periodically. For an updated list, call the Information Technology Services Support Center (301) 492-4160 or FTS 492-4160. 21}}~~

ML20245G331

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ML20245G331

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