ML20246B590

Contract: Rulemaking & Regulatory Analysis Support for Requirements Involving Physical Mod to NRC Licensed Facilities, Awarded to Science & Engineering Assoc,Inc

ML20246B590
Person / Time
Issue date:	05/02/1989
From:	Chappell E, Smith P NRC OFFICE OF ADMINISTRATION (ADM), SCIENCE & ENGINEERING ASSOCIATES, INC.
To:
Shared Package
ML20246B589	List: ML20246B585 ML20246B590
References
CON-FIN-D-25129, CON-NRC-04-89-051, CON-NRC-4-89-51 NUDOCS 8905090113
Download: ML20246B590 (130)

Text

{{#Wiki_filter:[*. ~ i 1' Page 1 1 'AWAR0/ CONTRACT j CM8 No. 0505-0005 q ,s j ]

1. THIS CONTRACT IS A RATED ORDER UNDER DPAS (15 CFR 3 1.

RATING: N/A l 1

4. REQUISITION /PROJECTNO.

2. CONTRACT NO.

3. EFFECTIVE DATE RES-89-051 NRC-04-89-051 MAY 0 21989 l

6. ADMINISTERED BY Code:

)

5. ISSUED BY Code:

(If other than Item 5) U.S. Nuclear Regulatory Commission J U.S. Nuclear Regulatory Commission Div. of Contracts & Property Mgat. Div. of Contracts & Property Mget. contract Administration Branch Mail Stop P-902 Washington, DC 20555 Washington, DC 20555 ) i

8. DELIVERY

7. NAME AND ADDRESS OF CONTRACTOR

( ') FOB ORIGIN Science & Engineering Associates, Inc. ( -3 ) OTHER 6100 Uptown Boulevard, N.E. x(See Section F) Albuquerque, New Mexico 87110

9. DISCOUNT FOR PROMPT PAYMENT none Facility. Code:

Duns Code: 10.5UBMIT INVOICES (4 copies unless otherwise specified) T.0 THE ADDRESS SHOWN IN ITEM: 12 ]

12. PAYMENT WILL BE MADE BY

11. SHIP T0/ MARK FOR U.S. Nuclear Regulatory Commission

.J Code: Division of Accounting and Finance If applicable, GOV /COM Accounting Section see Section 0 of the Schedule Washington, DC 20555 Code: 4 i 13,. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION ( ) 10 U.S.C. 2304(c)( ) ( ) 41 U.S.C. 253( ) ( )

14. ACCOUNTING AND APPROPRIATION DATA APPN No.: 31X0200.608 B&R No.: 9061950040 OBLIGATED AMOUNT: $0.00 (Funds to be obligated on each issued task order) i FIN No.: D25129 15A. ITEM 158. SUPPLIES /

15C. QUANTITY ISD. UNIT 15E. UNIT 15F. AMOUNT l -PRICE NO. SERVICES The Government hereby accepts Science & Engineering Associates, Inc.'s propo dated 1/6/89 which is hereby incorporated into this contract by reference. This 'is a cost'-plus-fixed-fee task order contract. i Estimated k$f0j@yj890502 $627,190.00 j m NRC-04-89-051 PDC 15G. TOTAL

• AMOUNT OF CONTRACT i

. ~, i

c. AWARD / CONTRACT

16. TABLE'0F CONTENTS PART/SECTION DESCRIPTION PART I - THE SCHEDULE A SOLICITATION / CONTRACT FORM B SUPPLIES OR SERVICES AND PRICES / COSTS C DESCRIPTION / SPECIFICATIONS / WORK STATEMENT D PACKAGING AND MARKING E INSPELTION AND ACCEPTANCE F OELIVERIES 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 K REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFER 0RS CONTRACTING OFFICER WILL COMPLETE ITEM 17 OR 18 AS APPLICABLE 17. (X) CONTRACTOR'S NEGOTIATED AGREEMENT (Contractor is required to sign this document and return 3 signed copies to issuing office.) Contractor agrees to furnish and deliver all items or perform all the services set forth or otherwise identified above and on any continuation sheets for the 1: consideration stated herein. The rights and obligations of the parties to this contract shall be subject to and governed by the following documents: (a) this award / contract, (b) the solicitation, if any, and (c) such provisions, representations, certifications, and specifications as are attached or incorporated by reference herein. (Attachments are listed herein.) '18. () AWARD (Contractor is not required to sign this document.) Your offer on Solicitation Number , including the additions or changes made by you which additions or changes are set forth in full above, is hereby accepted as to the items listed above and on any continuation sheets. This award consummates the contract which consists of the following documents: (a) the Government's solicitation and your offer, and (b) this award / contract. No further contractual document is necessary. 19A. NAME AND TITLE OF SIGNER 20A. NAME OF CONTRACTING OFFICER (Type or print) Ja. Patricia A. Smith E. W. CHpp p6LL_., PS mMMWH&O 198. NAM C0 TOR 208. UNITED STATES OF AMERICA by c~%U M by @#E M (Signaturtf of person abhorizef to sign) (Signature of Contracting Officer) 19C. DATE IGNED 20C. DATE SIGNED /;l 2.f [f ) F-D-P9 EXCEPT16N TO XIANDARD FORM 26 APPROVED BY GSA/0IRM 6/85

1 i i AIBl!NISTRATIVE CHANGES l The following clauses are hereby completed: Parsaraoh Nos. B.2.3. is completed by inserting the amount of $627,190.00 8.2.b. is hereby deleted entirety and substituted herewith: "The Contracting Officer will obligate funds on each individual l task order issued under this contract." l F.5 is completed as such: l Project Officer (6 ccoies) a. U.S. Nuclear Regulatory Commission Contract Numoer: NRC-04-89-051 Office of Nuclear Regulatory Research 1 Division of Regulatory Applications Mail Step: NLS-129 Washington, DC 20555 b. ContractingOfficer(1 copy) U.S. Nuclear Regulatory Commission Contract Number: NRC-04-89-051 Division of Contracts and Property Management Mail Stop P-902 Contract Administration Branch is completed by inserting the following words: F.5 "the effective date of the contract" the indirect rates are completed as such: G.; CATEGORY RATE COST BASE _ APPLICABLE PERIOD Direct Labor 5/1/88 - 4/30/89 Overhead Direct Labor 5/1/88 - 4/30/89 Fringe Benefit All Costs before 5/1/88 - 4/30/89 G&A G&A except Subcontractor Costs 5/1/88 - 4/30/89 Subcontractor M&S Overhead sosts

. G.2 is completed by inserting the following: Name: Sidney Feld Address: U.S. Nuclear Regulatory Commission Office of Nuclear Regulatory Research Division of Regulatory Applications, NLS-129 Washington, DC 20555 G.3. is completed by inserting the amount of $ 11,960.00 H.1 is completed by inserting the following individuals: J.1 is hereby revised to include Attachment 6 (attached herewith) Science and Engineering Associates, Inc.'s Small and Small Disadvantaged Business Subcontracting Plan Pursuant of FAR 19.705-5(5) the subcontracting plan submitted by the contractor is hereby incorporated into and made a material part of this contract. All other terms and conditions remain unchanged.

i' Page 1 SOLICITATION, 0FFER AND AWARD ) OMB No. 0505-0005 j

1. TITLE:

Rulemaking and Regulatory analysis support for requirements involving physical modification to NRC licensed facilities.

2. CONTRACT NO.

3. SOLICITATION NO.

4. TYPE OF SOLICITATION Negotiated (RFP)

RFP-RS-RES-89-051

5. DATE ISSUED 6.

REQUISITION / PURCHASE NO. I 12/8/88 RES-89-051 .7. ISSUED BY

8. ADDRESS OFFER TO U.S. Nuclear Regulatory Commission U.S. Nuclear Regulatory Commission Div. of Contracts & Property Mgat.

Div. of Contracts & Property Mgmt. Mail Stop P-1042 Room 1C42 - 7920 Norfolk Avenue Washington, D.C. 20555 Bethesda, Maryland 20814 1 l NOTE: In sealed bid solicitations, " offer and offeror" mean " bid and bidder". l 1 SOLICITATION

9. Sealed offers in original and 7 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, 7920 Norfolk Avenue, i

Bethesda, Maryland 20814 until 11:00 AM local time on i .1a n o loco. CAUTION-LATE Submissions, Modifications, and Withdrawals: See Section L, Provision No. 52.214-7 or 52.215-10. All offers are sub. ject to all terms and conditions contained in this solicitation. j I

10. FOR INFORMATION CALL: A. NAME: Joyce Bazin j

B. TELEPHONE NO.: 301-492-7182(NoCollectCalls)

11. TABLE OF CONTENTS PART/SECTION DESCRIPTION PART I - THE SCHEDULE A

SOLICITATION / CONTRACT FORM B SUPPLIES OR SERVICES AND PRICES / COSTS C DESCRIPTION / SPECIFICATIONS / WORK STATEMENT i D PACKAGING AND MARKING E INSPECTION AND ACCEPTANCE F DELIVERIES OR PERFORMANCE G CONTRACT ADMINISTRATION DATA H SPECIAL CONTRACT REQUIREMENTS 1 PART II - CONTRACT CLAUSES I CONTRACT CLAUSES PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACWiENTS J LIST OF ATTACHMENTS PART IV -. REPRESENTATIONS AND INSTRUCTIONS K REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF 0FFER0RS L INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFER 0RS-M EVALUATION FACTORS FOR AWARD EXCEPTION TO STANDARD FORM 33 STANDARD FORM 33(REV-4-85) ' APPROVED BY GSA/0!RM 6/85 FAR(48 CFR) 23.214(C) - a

i l raue 4 l SOLICITATION, OFFER AND AWARD I 0FFER (Must be fully completed by offeror) i NOTE: Item 12 does not apply if the solicitation includes the provisions at 52.214-16, Minimum Bid Acceptance Period. i

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

i accepted within calendar days (60 calendar days unless a different period is inserted by the offeror) 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 i

14. ACKNOWLEDGEMENT OF AMENDMENTS (The offeror acknowledges receipt of amendments to the SOLICITATION for offerors and related documents numbered and dated:

AMENDMENT NO DATE AMENDMENT NO DATE 1 15A. NAME AND ADDRESS OF 0FFEROR

16. NAME AND TITLE OF PERSON DUNS Code:

Facility: AUTHORIZED TO SIGN OFFER (TypeorPrint) ISB. TELEPHONE N0. (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. SUBMIT INVOICES TO ADDRESS SHOWN IN ITEM 25:

(4 copies unless otherwise specified)

24. ADMINISTERED BY

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

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

26. NAME OF CONTRACTING OFFICER 27. UNITED STATES OF AMERICA

28. AWARD DATE (Type or Print)

(SignatureofContractingOfficer) 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 APPROVED BY GSA/0!RM 6/85 O g

~ w TABLE OF CONTENTS PAGE SOLICITATION, OFFER AND AWARD.,................... 1 j TABLE OF CONTENTS............. -............. 3 SECTION B - SUPPLIES OR SERVICES AND PRICE / COSTS.......... 7 B.1 BRIEF DESCRIPTION OF WORK (MAR 1987)............ 7 ALTERNATE I (MAR 1987) B.2 CONSIDERATION AND OBLIGATION--TASK ORLERS (MAR 1987).... 7 SECTION C - DESCRIPTION / SPECIFICATION................ 9 / WORK STATEMENT i C.1 STATEMENT OF WORK (MAR 1987)............... 9 C.2 TRAVE L ( MAR 1987 )..................... 9 SECTION D - PACKAGING AND MARKING.................. 10 D.1 PACKAGING AND MARKING (MAR 1987).............. 10 l SECTION E - INSPECTION AND ACCEPTANCE................ 11 E.1 CLAUSES INCORPORATED BY REFERENCE............. 11 (FAR 52.252-2) (APR 1984) E.2 PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987)....... 11 SECTION F - DELIVERIES OR PERFORMANCE................ 12 F.1 C uuSES INCORPORATED BY REFERENCE............. 12. (FAR 52.252-2) (APR 1984) F.2' PREPARATION OF TECHNICAL REPORTS (MAR 1987)........ 12 F.3 TECHNICAL PROGRESS REPORT (MAR 1987)............ 12 F.4 FINANCIAL STATUS REPORT (MAR 1987)............. 13 l F.5 PMCE OF DELIVERY--REPORTS (MAR 1987)........... 13 i F.6 DURATION OF CONTRACT PERIOD (MAR 1987)........... 14 ALTERNATEI(MAR 1987) SECTION G - CONTRACT ADMINISTRATION DATA............... 15 G.1 INDIRECT RATES (MAR 1987)................. 15 G.2 PROJECT OFFICER AUTHORITY (MAR 1987)............. 15 ) G.3 TRAVEL REIMBURSEMENT (MAR 1987).............. 17 1 G.4 METHOD OF PAYMENT (MAR 1987)................ 18 G.5 PAYMENT DUE DATE (MAR 1987)................ 19 G.6 INTEREST ON OVERDUE PAYMENTS (MAR 1987).......... 19 G.7 REMITTANCE ADDRESS (MAR 1987)............... 20 G.8 TASK ORDER PROCEDURES (MAR 1987).............. 20 G.9 ACCELERATED TASK ORDER PROCEDURES (MAR 1987)........ 22 SECTION H - SPECIAL CONTRACT REQUIREMENTS.............. 23 H.1 KEY PERSONNEL (MAR 1987).................. 23 H.2 SAFETY, HEALTH, AND FIRE PROTECTION (MAR 1987)....... 24 H.3 DISSEMINATION OF CONTRACT INFORMATION (MAR 1987)...... 24 H.4 PRIVATE USE OF CONTRACT INFORMATION AND DATA (MAR 1987).. 24 H.S CONTRACTOR ORGANIZATIONAL CONFLICTS OF INTEREST...... 24 (OMB CLEARANCE NUMBER 3150-0112) (MAR 1987) H.6 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED.. 26 (MAR 1987) PART II - CONTRACT CLAUSES..................... 27 u______1__________ _J

TABLE OF CONTENTS PAGE CONTRACT CLAUSES................... 27 SECTION I I.1 CLAUSES INCORPORATED BY REFERENCE............. 27 (FAR52.252-2)(APR1984) I.2 ANTI-KICKBACK PROCEDURES (FAR 52.203-7).......... 28 l 1.3 ORDERING (FAR 52.216-18) ( APR 1984)............ 30 I.4 DELIVERY-ORDER LIMITATIONS................. 30 (FAR 52.216-19) (APR 1984) I.5 REQUIREMENTS (FAR 52.216-21) (APR 1984).......... 31 1.6 PAYMENT FOR OVERTIME PREMIUMS............... 32 (FAR52.222-2)(APR1984) I.7 AVAILABILITY OF FUNDS FOR THE NEXT FISCAL,........ 33 YEAR (FAR 52.232-19) (APR 1984) PART III - LIST OF DOCUMENTS, EXHIBITS .............. 34 AND OT9ER ATTACHMENTS SECTION J - LIST OF ATi4CHMENTS................... 34 J.1 ATTACHMENTS (MAR 1987)............. 34 PART IV REPRESENTATIONS AND INSTRUCTIONS............ 35 SECTION K - REPRESENTATIONS, CERTIFICATIONS ANO.......... 35 OTHER STATEMENTS OF OFFERORS K.1 CONTINGENT FEE REPRESENTATION AND............. 35 AGREEMENT (FAR 52.203-4) (APR 1984) K.2 TYPE OF BUSINESS ORGANIZATION (FAR 52.215-6) (JUL 1987).. 35 K.3 AUTHORIZED NEGOTIATORS (FAR 52.215-11) (APR 1984)..... 36 K.4 PLACE OF PERFORMANCE (FAR 52.215-20) (APR 1984)...... 36 K.5 SMALL BUSINESS CONCERN REPRESENTATION........... 36 (FAR 52.219-1) (MAY 1986) K.6 SMALL DISADVANTAGED BUSINESS CONCERN............ 37 REPRESENTATION (FAR 52.219-2) (APR 1984) K.7 WOMEN-0WNED SMALL BUSINESS REPRESENTATION......... 38 (FAR 52.219-3) (APR 1984) K.8 PREFERENCE FOR LABOR SURPLUS AREA CONCERNS......... 38 (FAR52.220-1)(APR1984) K.9 CERTIFICATION OF NONSEGREGATED FACILITIES......... 38 (FAR 52.222-21) (APR 1934). K.10 PREVIOUS CONTRACTS AND COMPLIANCE REPORTS......... 39 (FAR 52.222-22) (APR 1984) K.11 AFFIRMATIVE ACTION COMPLIANCE............... 40 (FAR 52.222-25) (APR 1984) K.12 CLEAN AIR AND WATER CERTIFICATION............. 40 (FAR 52.223-1) (APR 1984) K.13 COST ACCOUNTING STANDARDS NOTICES AND........... 40 CERTIFICATION (NONDEFENSE) (FAR 52.230-2) (APR 1984) K.14 ORGANIZATIONAL CONFLICTS OF INTEREST (MAR 1987)...... 42 SECTION L - INSTRUCTIONS, CONDITIONS, AND NOTICES.......... 44 TO OFFER 0RS L.1 SOLICITATION PROVISIONS INCORPORATED BY.......... 44 REFERENCE (FAR 52.252-1) (APR 1984) L.2 TYPE OF CONTRACT (FAR 52.216-1) (APR 1984)......... 44

TABLE OF CONTENTS PAGE L.3 SERVICE OF PROTEST (FAR 52.233-2) (JAN 1985)........ 45 L.4 LEVEL OF EFFORT (MAR 1987)................. 45 L.5 ESTIMATED DURATION (MAR 1987)............... 45 L.6 ACCEPTANCE PERIOD (MAR 1987)................ 45 L.7 SMALL BUSINESS SIZE STANDARD AND PRODUCT CLASSIFICATION.. 46 (MAR 1987) L.8 AWARD NOTIFICATION AND COMMITMENT OF PUBLIC FUNDS (MAR 1987)46 L.9 DISPOSITION OF PROPOSALS (MAR 1987)............ 46 L.10 PROPOSAL PRESENTATION AND FORMAT (MAR 1987)........ 47 ALTERNATE I (MAR 1987) L.11 NONDISCRIMINATION BECAUSE OF AGE (FAR 22.901) (MAR 1987).. 49 L.12 dEFERENCED DOCUMENTS AVAILABLE FROM THE NRC (MAR 1987)... 49 L.13 REFERENCED DOCUMENTS AVAILABLE FROM THE NRC PDR (MAR 1987). 50 L.14 DATA UNIVERSAL NUMBERING SYSTEM (DUNS) NUMBER (MAR 1987).. 50 SECTION M - EVALUATION FACTORS FOR AWARD.............. 51 M.1 SOLICITATION PROVISIONS INCORPORATED BY.......... 51 REFERENCE (FAR 52.252-1) (APR 1984) M.2 CONTRACT AWARD AND EVALUATION OF PROPOSALS. (MAR 1987)... 51 M.3 EVALUATION CRITERIA (MAR 1987)............... 52 l l a

RES-89-051 PAGE 6 0FFERORS/ BIDDERS PLEASE NOTE: An (*) means the information is to be incorporated into any resultant contract. O O 9 4

...~ RES-89-051 PAGE 7 Section B SECTION B.- SUPPLIES OR SERVICES AND PRICE / COSTS B.1 BRIEF DESCRIPTION OF WORK (MAR 1987) ALTERNATE I (MAR 1987) a. Brief description of work: To provide technical assistance in the development, documentation and implementation of rules, backfits, guides, responses to petitions, and to-assist in the preparation of supporting. regulatory analyses. b. Orders will be issued for work required by the NRC in accordance with 52.216 Ordering. The NRC reserves ths 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 CONSIDERATIONANDOBLIGATION--TASKORDERS(MAR-1987) The total estimated amount of this contract (ceiling) for a. 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 thH 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, I

b. The amount presently obligated with respect to this contract is ____* . The Contracting Officer may issue orders for work up to amount presently obligated. This obligated amount may be unilaterally increased from time to time by the Contracting Officer by written modification to this contract...The obligated amount shall, at no time, exceed the contract ceiling as l specified in paragraph A above. When and if the amount (s) paid and. l payable to the Contractor hereunder shall equal the obligated amount, the Contractor shall not be obligated to continue performance of the work unless and until the Contracting Officer shall increase the anount obligated with respect to this contract. Any work undertaken by the Contractor in excess of the obligated i amount specified above is done so at the Contractor's sole'rtsk. A total estimated cost and fee, if any, will be ? c. negotiated for each task order and will be incorporated as a ceiling i

RES 89-051 PAGE 8 Secu an B in the resultant task order. The Contractor shall comply with the provisions of 52.232 Limitation of Cost for fully funded task orders and 52.232 Limitation of Funos for incrementally funded task creers. issued hereunder. (EndofClause) l t l l l l O 0 0

RES-89-051 PAGE 9 Section C SECTION C - DEstitIPTION/ SPECIFICATION / WORK STATEMENT C.1 Statement of Work C.1.1 GENERAL BACKGROUND The U.S. Nuclear Regulatory Commission (NRC) was created by-enactment of the Energy Reorganization Act of 1g74 as an independent Agency of the Federal Government. It is responsible for the protection of the public health and safety in the civilian use of nuclear power and nuclear materials. In the pursuit of this mission, the NRC issues rules ar,d imposes regulatory requirements on the nuclear industry to improve.the safety of licensed facilities. The NRC analyzes the benefits and costs (values and impacts) of possible new rules and regulatory requirements to assist in the decisionmaking process. This value impact analysis becomes an. integral part of the NRC's regulatory analysis which is issued in support of rules, petitions, guides, generic issues, unresolved safety issues, backfits, etc. The Regulation Development Branch, within the Division-of Regulatory Applications, Office of Nuclear Regulatory Research (RDB,DRA,RES) has broad responsibility to' plan, develop, and direct safety research programs and related standards development for radiation protection, health effects, fuel cycle and materials, safeguards, transportation and decommissioning. As part of its functional role, RDB has direct responsibility for the. preparation and coordination of certain rulemaking packages. In addition, RDB has agency wide responsibility for a number of support functions relative to the control of all rules and regulations. These include review, technical oversight, and/or development' of the regulatory analysis on behalf of the initiating office. RDB also develops methodological guidance, generic estimates, and data bases in support of the value impact analysis portion of the regulatory analysis. C.I.2 CONTRACT OBJECTIVES The objective of this contract is to assist the U.S. Nuclear Regulatory Commission in the development, documentation and implementation of rules, backfits, guides, responses to petitions, and to - assist in the preparation of supporting regulatory analyses. In addition, the contractor may be tasked to perfom independent research that could be used to develop generic estimates, methodological. tools, and data bases that will support a wide range of rulemakings and other regulatory issues. Regulatory analyses are required for.NRC rulemakings, generic issues, unresolved safety issues, regulatory guides,' backfits, and other regulatory actions deemed appropriate by the Commission. The regulatory issues to be considered under this contract shall focus on physical modifications to NRC licensed facilities.- As a result, it is envisioned that engineering expertise will be a dominant requirement for these analyses.

RES89-051 PAGE 9A Section C ( The rulemaking packages and regulatory analyses produced under this contract are to be submitted by the contractor as draft reports" to the NRC who is the final authority and issuer of the l rules, responses to petitions, and guides, etc. and their supporting documents. C.I.3 SCOPE OF WORK The contractor shall supply the personnel, materials, transportation and facilities necessary to provide services ordered by the NRC under individual task assignments. Work to be performed will be described in task orders which will specify the services to be provided, deliverables, schedules and resources. The work under the contract is estimated to be issued through about eight task orders per year over a two year period. It is entirely possible that two or three tasks could be assigned simultaneously. The average task should take 12 chronological weeks and consume 17 staffweeks of effort, although this estimate could vary substantially from task to task. Expertise in the following areas is required for this effort: cost engineering nuclear engineering mechanical engineering structural engineering electrical engineering health physics physical science project managemen'. economics (inclucing cost benefit and regional economics) C.I.3.1 Approach and Method Tasks to be performed under this contract may include the development or validati,on of: a. rulemaking packsges b. regulatory analyses c. value-impact methodological tools, generic estimates, and data bases C.I.3.2 Development of Rulemakino Packaoes The contractor shall, as required, provide technical assistance in the development, documentation, and taplementation of rules. The contractor shall provide technical expertise in a wide range of activities concernina licensees and nuclear facilities, and regulatory issues anticipated to be the subject of NRC rulemaking action; possess extensive technical expertise with NRC organization, regulations, practice.s and policies as they apply to l the development of regulatory products such as rules, guides, l

1 1 RES-89-051 PAGE 9B Section C i responses to petitions and backfits affecting any NRC-licensed facility; j possess extensive knowledge of the processes through which Federal f government decisions are made on technical issues at regulatory l agencies such as the NRC, and shall have detailed knowledge of j NRC rulemaking procedures including control of rulemaking and policy issues. l Contractor performance shall include the following: Drafting technical support documents for developing regulations based on staff-initiated rules and petitions I for rulemaking; ( \\ l Performing analyses of public comments on proposed rules; l Reviewing current technical literature on specific issues preparatory to providing recommendations for needed research to support rulemaking activities; Reviewing draft research and technical assistance reports, submitted by NRC contractors, for accuracy and relevance, and recommending appropriate staff utilization of research results; Preparing a draft rulemaking package. (The NRC is responsible for the issuance of the final technical supportdocument) C.1.3.3 Development of Regulatory Analysis /Value-Impact Analysis The value impact portion of the rulemaking or other regulatory package provides the technical support for NRC's decision concerning resolution of a regulatory issue. As a result, these tasks require strong analytical, technical, and engineering capabilities in the quantification of costs and benefits. The rules and other regulatory issues to be supported under this contract primarily concern proposed requirements in which hardware modifications are dominant. Consequently, strong expertise in engineering disciplines and nuclear plant designs,'and an ability to translate performance specifications into technical design-specification,t crc of major importance. Given the nature of NRC's typical benefit formulation and the availability of supporting in-house expertise, it is envisioned that the identification and quantification of benefits will constitute a much smaller level of effort on the part of the contractor than the cost side. C.1.3.3.1 Costs Rulemakings and other regulatory actions are subject to cost analyses that shall encompass all impacts of a regulatory change, covering individual as well as classes of plants or other r o

RES;-89-051 ,PAGE 9C Section C. regulated activities. As required, the Contractor shall determine the type, extent, and duration of the impacts and develop when j applicable: 1) Capital and Operations Costs to Applicants and Licensees, e.g., purchase of components and systems (i.e., structures, pipes and valves, electrical equipment); installation of components and systems; engineering design and testing of components and systems / to be installed; development of documentation, procedures and training curricula necessary to ~ operate newly. installed components and systems; integration with the other proposed requirements; in the case of nuclear power plants,. downtime of the plant and cost of replacement power if modifications l cannot be made during scheduled outages; j administrative, procedural, and analytical costs. i

11) Occupational Exposure number and types of workers that are likely to be exposed to radiation; total number of man-rems likely to be received by all workers; maximum number of rems likely to be received by any single worker as well as the number likely to be received in a single calendar quarter.

iii) Costs to Government Entities costs to NRC and other Federal agencies; costs to state and local agencies. Costs should be expressed in monetary terms, using present value with a real discount rate provided by the NRC, and using constant dollars. Tasks may require sensitivity analysis of real discount rates. Costs should be established per year per current or future regulated activity, and then summed over the remaining lifetimes for all affected activities. For reactors, costs will usually differ among classes of plants, on some defined basis. The costs to be estimated will be limited to those that would be incurred by the regulatory change. The Contractor shall document the sources of cost data and the methods used for deriving cost estimates.*

• Citations must be from publicly retrievable materials or must be designated proprietary infomation. In the latter case, there should be reference to any non proprietary versions that are publicly available. The fem of the cistions may follow any standard practice. Any materials or portions of I

materials that are proprietary shall be so identified. If not so identified, the NRC assumes no liability for disclosure or use of unmarked data. Any materials identified as proprietary shall also state the basis for such. I

i RES-89-051 PAGE 9D Section C i The specific cost factors to be considered for a given rule or regulatory issue cannot be determined until a specific task has been identified. Specific guidelines and relevant documentation will be provided to the Contractor when each task is assigned i 1 l l l (RE'!AINOER OF THIS PAGE INTENTIO,iALLY BLAI(X) l G t 0

RES-89-051 PAGE 9E Section C I C.1.3.3.2 Benefits Health and safety benefits arise due to reductions either in the probability of accidents or consequences of accidents attributable to the proposeo requirement. Depending on the nature of the regulatory action, other benefits may include, for example, regulatory efficier:cy, improvements in knowledge, savings on paperwork and operating requirements, and improvements in plant availawllity. Analyses shall cover all benefits of a regulatory change, including individual as well as classes of plants or other regulated activities. The Contractor shall, as required, determine the type, extent, and duration of the benefits and develop estimates of benefits when, applicable, of: 1) Public dose reduction expressed in person-rem averted and dollars; ii) Averted offsite property damage; iii) Averted onsite property dacage, iv) Other benefits (e.g. regulatory efficiency, improvements in knowledge and plant availability, etc. It should be noted that for many NRC value impact analyses (those with significant safety implications) person rem averted is the only quantified element on the benefit side of the equation. Other safety benefits such as averted property damage are typically treated as offsets in the cost analysis. With the exception of the public dose reduction, benefits should be expressed on a present worth basis with a real discount rate provided by the NRC, and using constant dollars. Tasks may require sensitivity analysis of real discount rates. Benefits should be established per year per current or future regulated activity, ano then summeo over the remaining lifetimes for all affected activities. For reactors, beneftts may differ among classes of plants, on some defined basis. The benefits to be estimated will be limited to those that would be incurred by the regulatory change. The Contractor shall document the sources of data and the methods used for deriving benefit estimates." The specific benefits to be considered in a given value impact analysis cannot be determined until a specific task has been identified. Specific guidelines and relevant documentation will be provided to the Contractor when each task is assigned. " Citations must be from publicly retrievable materials or m'ust be designated proprietary infomation. In the latter case, there should be reference to any non proprietary versions that are publicly available. The form of the citations may follow any standard practice. Any materials or portions of materials that are proprietary shall be so identified. If not so identified, the NRC assumes no liability for disclosure or use of unmarked data. Any materials identified as proprietary shall also state the basis for such. 1'e s

~ RES-89-051 - PAGE 9F Section C C.2 MEETINGS AND TRAVEL Specific requirements for meetings and travel shall be specified in each task order issued under the contract. In the event that the NRC determines that a task assignment is complex and/or urgent, the Contracting Officer shall arrange a meeting between the Contractor's key personnel and the NRC Project Officer and others to be designated at NRC's discretion, at the NRC Office in Rockville, Maryland within twenty-four (24) hours of the Project Officer's oral notice. a. All domestic travel requires the prior approval of the Project Officer, b. All foreign travel must be approved in advance by the NRC on NRC Form 445 and shall be in compliance with 52.247-63 Preference For U.S. Flag Air Carriers. (End of Clause) 4

Section D i SECTION D - PACKAGING AND MARKING l 0.1 PACKAGING AND MARKING (MAR 1987) The Contractor shall package material for shipment to the NRC in such a manner that will insure acceptance by common carrier and safe delivery at destination. Containers and closures shall comply with the Interstate Commerce Commission Regulations, Uniform Freight 4 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)

1 l PAut 11 Section E i i SECTION E - INSPECTION AND ACCEPTANCE ] I E.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. j in full text. Upon request, the Contracting Officer will make their I full text available. I. FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) CLAUSES CLAUSE NUMBER DATE TITLE i 52.246-5 APR 1984 INSPECTION OF SERVICES-- COST-REIMBURSEMENT E.2 PLACE OF INSPECTION AND ACCEPTANCE (MAR 1987) i Inspection and acceptance of the deliverable items to be furnished hereunder shall be made by the Project Officer at the destination. 4 (End of Clause) l t 6

YAtt. L4 Section F SECTION F - DELIVERIES OR PERFORMANCE i F.1 CLAUSES INCORPORATED BY REFERENCE I (FAR52.252-2) (JUNE 1988) f 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. FEDERALACQUISITIONREGULATION(48CFRCHAPTER1) 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 Sectic.n C and all Technical Progress Reports required by Section F are to be prepared in accordance with the attached NRC Manual Chapter 3202. NRC Manual Chapter 3202 is not applicable to the Spending Plan and the Financial Status Report (See Section J for List of Attachments). (EndofClause) 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; l

b. Any problems or delays encountered or anticipated and recommendations for resolution; (if the recommended resolution involves a contract modification, e.g., change in work requirements, level of effort (cost) or schedule delay, the Contractor shall submit a separate letter to the Contracting Officer identifying the required change and estimated cost impact). c. A summary of progress to date; and d. Plans for the next reporting period. (End of Clause)

~ Section F RES-89-051 PAGE 13 i l l F.3.1. Final Task Report For each task assigned, the Contractor shall submit six (6) copies to the NRC Project Officer and one (1) copy to the NRC Contracting Officer. The Final Task Report shall as a minimum: ( contain the financial identification number (FIN) ano l contract numoer assigned to the contract. restate the task to which the Final Task Report is l responding, ) list the assumptSns used in the analysis, state any caveats regarding methods, data availability or i other matters which apply to each factor, include in an appendix computations that may be needed for explanation or illustration and a bibliography of data sources. The final Task Report shall be of such a caliber and written in such a way that scientists and engineers may understand and use the results. A draft version of a Final Task Report, in six (6) copies to the Project Officer, shall be submitted prior to the completion of the task to allow for NRC review. Detailed reporting schedules will be established with each task order. I

i ) RES-89-051 PAGE 13A Section F i 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 i i 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 incluoe the following for each discrete task: l a. Provide total estimated cost (value) of the project as-reflected in the contract, the amount of funds available in the contract to date, and the balance of funds required to complete the work as follows: )

1) Total Estimated Contract Amount.

f

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.

I b. Detail of all direct and indirect costs incurred during i the reporting period for each task. (End of Clause) F.5 PLACEOFDELIVERY--REPORTS (MAR 1987) The items to be furnished hereunder shall be delivered, with all charges paid by the Contractor, to: a. ProjectOfficer(6 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 14 Section F Mail Stop: AR-2223 Washington, D.C. 20555 ( (EndofClause) F.6 0URATION OF CONTRACT PERIOD (MAR 1987) ALTERNATE I (MAR 1987) i l The ordaring period for this' contract shall consence on i and.1111 expire twenty-four months thereafter. Any orders issued curing this period shall be completed within the time specified in the order j unless otherwise specified herein. (See 52.216 Ordering). J (End of Clause) F.7 OTHER DELIVERABLE ITCIS Deliverable items shall be specified in each task assignment and may consist of statements, charts, reports, briefing notes, tabulations, viewgraphs, and other forms.of presentation as appropriate. l l 1 I i 4 O t M O

3 0 l PAGE 15 1 Section G I i I SECTION G - CONTRACT ADMINISTRATION DATA G.1 INDIRECT RATES (MAR 1987) 1 a. Pending the establishment of final indirect rates which shall be negotiated based on audit of actual costs, the Contractor shall be reimbursed for allowable indirect costs as follows: CATEGORY RATE (%) COST BASE APPLICABLE PERIOD I Overhead Fringe Benefits G&A 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 Limitatforr of Funds, as applicable, if such change (s) affect (s) performance of work-within the established cost or funding limitations. (EndofClause) G.2 PROJECT OFFICER AUTHORITY (MAR 1987) a. The Contracting Officer's authorized representative hereinafter referred to as the Project Officer for this contract is: Name: l Address: R Telephone Number: b. Performance of the work under this contract shall be subject to the technical direction of the NRC Project Officer. The term " Technical Direction" is defined to include the following: l l 1) Technical direction to the Contractor which shifts l work emphasis between areas of work or tasks, fills in details or e otherwise serves to accomplish the contractual statement of work. I

RES89-051 PAGE 16 Section G 2) Providing advice and guidance to the Contractor in the preparation of drawings, specifications or technical portions of the work description. 3) Review and, where required by the contract, approval of technical reports, drawings, specifications and technical information to be delivered by the Contractor to the Government i under the contract. c. Technical direction must be within the general statement of l 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. j j 2) Constitutes a change as defined in the " Changes" clause of this contract. 3) In any way causes an increase or decrease in the total estimated contract cost, the fixed fee, if any, or the time required for contract performance. 4) Changes any of the expressed terms, conditions or specifications of the contract. 5) Terminates the contract or settles any claim or l 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 i 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 after the receipt of any such instruction or direction and shall request the Contracting Officer to modify the contract accordingly. Upon receiving such notification from the Contractor, the Contracting Officer shall issue an appropriate contract modification or advise the Contractor in writing that, in the Contracting Officer's opinion, the technical direction is within the scope of this article and does not constitute a change under the Changes Clause. g. Any unauthorized commitment or direction issued by the 9 4 ______--__.___--_-a

RES-89-051 PAGE 17 Section G I 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 with respect thereto shall be subject to 52.233 Disputes. 1. In addition to providing technical direction as defined above, the Project Officer is responsible for: 1) Monitoring the Contractor's technical progress, including surveillance and assessment of performance, and recommending to the Contracting Officer changes in requirements. I 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) G.3 TRAVELREIMBURSEMENT(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 fer 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 fereign 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.

RES-89-051 PAGE 18 Section G i G.4 METHODOFPAYMENT(MAR 1987) a. Payment under this contract will be made by wire transfer through the Treasury Financial Communications System for each ) individual payment in excess of $25,000 and by Treasury check for each individual payment of $25,000 or less. ] b. In the event that the Contractor's financial institution j has access to the Federal Reserve Communications System, the l Contractor shall forward the following information in writing to the Contracting Officer within seven days after the effective date of the contract.

1) Name and address of organization.

2) Contact person and telephone number.

3) Name and address of financial institution.

l

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

5) Telegraphic abbreviation of Contractor's financial j

institution. _

6) Account number at Contractor's financial institution.

l

7) Signature and title of person supplying this information.

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

1) Name and address of organization.

2) Contact person and telephone number.

3) Name and address of financial institution.

4) Telegraphic abbreviation of Contractor's financial institution.

l

5) Account number at Contractor's financial institution.

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

7) Correspondent financial institution 9-digit ABA 4

'O 4

l RES 051 PAGE 19 Section G 4 i identifying number for routing transfer of funds. -l

8) Telegraphic abbreviation of correspondent financial lj institution.

1

9) Signature and title of person supplying this j

information. { 3 d. Any changes to the information furnished under this clause j shall be furnished to the Contracting Officer in writing. It is the j Contractor's responsibility to furnish these changes promptly to avoid payments to erroneous bank accounts. (End of Clause) ) G.5 PAYMENT DUE DATE (MAR 1987) J a. Progress payments, if authorizrd under this contract, will be due thirty (30) calendar days after receipt of a proper invoice j in accordance with the attached " Billing Instructions" (See Section i J for List of Attachments). Such payments are solely for financing ) purposes and shall not accrue' interest under the Prompt Payment Act. l b. Payments subject to the Prompt Payment Act under this contract will be due 30 calendar days after the later of: 1 1. The data of actual receipt of a proper invoice in ) accordance with the attached " Billing Instructions", or 2. The date the final deliverable products / services are accepted by the Government, or 3. The date the contract expires, c. For the purpose of determining the due date for payment and for no other purpose, acceptance will be deemed to occur 30 calendar days after receipt of the final deliverable product or completion of performance of all services in accordance with the terms of the contract. d. If the final product / service is rejected for failure to conform to the technical requirements of the contract, the provisions in paragraph c of this clause will apply to the new delivery of the final product / service. (End of Clause) G.6 INTERESTONOVERDUEPAYMENTS(MAR 1987) a. The Prompt Payment Act, Public Law 97-177 (96 STAT. 85, 31 USC 1801) is applicable to payment of the expiration invoice under this contract and requires the payment of interest to Contractors on overdue payments of the expiration invoice or improperly taken discounts.

PAGE 20 Section G b. Determinations of interest due will be made in accordance with the provisions of the Prompt Payment Act and Office of Management and Budget Circular A-125, Vol. 47 Federal Register 37321, August 25, 1982. Among other considerations, OMB Circular A-125 provides that:

1) Interest penalties are not required when payment is delayed because of a disagreement over the amount of payment or other issues concerning compliance with the terms of the contract.

2) Whenever a proper invoice is paid after the due date plus 15 days, interest will be included with the payment at the interest rate applicable on the payment date. Interest will be computed from the day after the due date through the payment date.

c. For purposes of this clause, an expiration invoice is defined as a claim submitted for costs incurred for performance through the expiration date of a Cost Type contract. (End of Clause) G.7 REMITTANCE ADDRESS (MAR 1987) If item 15C. of the Standard Form 33 has been checked, enter the remittance address below. Name: Address: (Er.d of Clause) G.8 TASK ORDER PROCEDURES (MAR 1987) For all tasks assigned to the Contractor, there will be informal communications with the NRC Project Officer from time to time. 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 ~ .c

I rAut 41 Section G By the date specified in the Task Order Request for 4 Proposal, the Contractor shall deliver to the Contracting Officer a l written Task Order Proposal that provides the following technical and cost information, as appropriate: l I

1) Technical Proposal Content.

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

The Contractor's cost proposal for each Task Order i shall be prepared using the Standard Form 1411, Contract Pricing Proposal cover sheet. A copy of the form and instructions are attached to this contract. Each Task Order cost proposal shall be fully supported by cost and pricing data adequate to establish the reasonableness of the proposed amounts. When the Contractor's t 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.

l

4) Key Personnel.

5) Applicable Special Provisions.

6) Total Task Order amount.

(EndofClause) I 2

PAue zz Section G G.9 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 procedure 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 oy the target date mutually agreed upon by the Contractor and Contracting Officer, the Contractir.g 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, subject only to the monetary limitation established by the Contracting Officer and the terms and conditions of the basic contract. (EndofClause) Q l O 9 - - - _ _ - _ _ _ _ _ _ _ _ _ _ -_ _ _ _ _ _ _ _ ~

RES-89-051 Section H Page 23 SECTION H - SPECIAL CONTRACT REQUIREMENTS H.1 KEY PERSONNEL (MAR 1987) a. The following individuals are considered to be essential to the successful performance of the work hereunder. W The Contractor agrees that such personnel shall not be removed from the contract work or replaced without compliance with l 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 l indicated in the proposal or initially anticipated, the Contractor shall immediately notify the Contracting Officer and shall, subject to the concurrence of the Contracting Officer, promptly replace such personnel with personnel of at least substantially equal ability and qualifications. c. All requests for approval of substitutions hereunder must be in writing and provide a detailed explanation of the circumstances necessitating the proposed substitutions. They must l contain a complete resume for the proposed substitute, and other information requested by the Contracting Officer to approve or disapprove the proposed substitution. The Contracting Officer will evaluate such requests and promptly notify the Contractor of his/her j approval or disapproval thereof in writing. d. If the Contracting Officer determines that:

1) Suitable and timely replacement of key personnel wh'o have been reassigned, terminated or have otherwise become unavailable for the contract work is not reasonably forthcoming; or 2)

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

RES-89-051 ret a Section H fee may be equitably adjusted downward to compensate the Government for any resultant delay, loss or damage. (End of Clause) H.2 SAFETY, HEALTH,ANDFIREPROTECTION(MAR 1987) The Contractor shall take all reasonable precautions in the performance of the work under this contract to protect the health and safety of employees and of members of the public and to minimize danger from all hazards to life and property and shall comply with all applicable health, safety, and fire protection regulations and requirements (including reporting requirements) of the Commission and the Department of Labor. In the event that the Contractor fails to comply with said regulations or requirements, the Contracting Officer, may, without prejudice to any other legal or contractual rights of the Commissinn, issue an order stopping all or any part of the work; thereafter, a start order for resumption of work may be issued at the discretion of the Contracting Officer. The Contractor shall make no claim for an extension of time or for compensation or damages by reason of or in connection with such work stoppage. (EndofClause) H.3 DISSEMINATION OF CONTRACT INFORMATION (MAR 1987) The Contractor shall comply with the attached requirement of NRC Manual Chapter 3202 (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. (EndofClause) 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 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 O

0

051 PAGE 25 Section H

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. I c. Work for Others. Notwithstanding any other provision of I this contract, during the term of this contract, the Contractor agrees to forgo entering into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to 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 l employees designated as key personnel, if any, under this contract l abide by the provision of this clause. If ine Contractor believes with respect to itself or any such employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the Contractor shall obtain the written appreval of the Contracting Officer prior to execution of such contractual arrangement. d. Disclosure after award.

1) The Contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest, as defined in 41 CFR 20-1.5402(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 l

Contracting Officer. This statement shall include a description of the action which the Contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, terminate the contract for convenience if it deems such termination to be in the best interest of the Government. e. Access to and use of information. l

1) If the Contractor in the performance of this contract l

obtains access to information, such as NRC plans, policies, reports, i 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 ur.til 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

l RES-89-051 PAGE 26 Section H 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 confidential or privileged technical, business, or financial information under this contract, the Contractor shall treat such information in accordance with restrictions placed on use of the information.

3) The Contractor shall have, subject to patent and g

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 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. (End'ofClause) l H.6 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED (MAR 1987) The Government will not provide any equipment / property, notwithstanding any provisions of the specification (s) to the contrary. (EndofClause) 4 9 e

l O o

• PAut; 4/

Section I PART II - CONTRACT CLAUSES l CONTRACT CLAUSES I SECTION I 1 I.1 CLAUSES INCORPORATED BY REFERENCE (FAR 52.252-2) (JUNE 1988) 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 s NUMBER DATE TITLE 52.202-1 APR 1984 DEFINITIONS 52.203-1 APR 1984 0FFICIALS NOT TO BENEFIT 52.203-3 APR 1984 GRATUITIES 52.203-5 APR 1984 COVENANT AGAINST CONTINGENT FEES 52.203-6 JUL 1985 RESTRICTIONS ON SUBCONTRACTOR e SALES TO THE GOVERNMENT 52.215-1 APR 1984 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL l 52.215-2 APR 1988 AUDIT -- NEGOTIATION j 52.215-22 APR 1984 PRICE REDUCTION FOR i DEFECTIVE COST OR l PRICING DATA 'l 52.215-23 APR 1985 PRICE REDUCTION FOR DEFECTIVE COST OR 1 PRICING DATA -- MODIFICATIONS-4 52,215-24 APR 1985 $ SUBCONTRACTOR COST OR PRICING DATA l 52.215-25 APR 1985 $ SUBCONTRACTOR COST OR PRICING 1 DATA -- MODIFICATIONS 52.215-26 APR 1987 INTEGRITY OF UNIT PRICES l l 52.215-30 SEP 1987 FACILITIES CAPITAL COST 2 l OF MONEY 52.215-31 SEP 1987 WAIVER OF FACILITIES CAPITAL COST OF MONEY J l 52.215-33 JAN 1986 ORDER OF PRECEDENCE 52.216-7 APR 1984 ALLOWABLE COST AND PAYMENT 52.216-8 APR 1984 FIXED FEE 52.219-8 JUN 1985 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL DISADVANTAGED 52.21 5-8 NOV 1988 AMENDMENTS TO SOLICITATIONS

RES-89-051 PAGE 28 Section I BUSINESS CONCERNS 52.219-13 AUG 1986 UTILIZATION OF WOMEN-OWNED SMALL BUSINESSES 52.220-3 APR 1984 UTILIZATION OF LABOR SURPLUS AREA CONCERNS 52.220-4 APR 1984 LABOR SURPLUS AREA I l SUBCONTRACTING PROGRAM 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 52.222-35 APR 1984 AFFIRMATIVE ACTION FOR SPECIAL DISABLED ANO VIETNAM ERA VETERANS 52.222-36 APR 1984 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS 52.223-2 APR 1984 CLEAN AIR AND WATER ]ll 52.227-1 APR 1984 AUTHORIZATION AND CONSENT 52.227-2 APR 1984 NOTICE AND ASSISTANCE REGARDING PATENT AND COPYRIGHT INFRINGEMENT 52.227-3 APR 1984 PATENT INDEMNITY 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 COST ACCOUNTING STANDARDS 52.230-5 SEP 1987 DISCLOSURE AND CONSISTENCY OF COST ACCOUNTING PRACTICES 52.232-9 APR 1984 LIMITATION ON WITHHOLDING OF PAYMENTS 52.232-17 APR 1984 INTEREST 52.232-22 APR 1984 LIMITATION OF FUNES 52.232-23 JAN 1986 ASSIGNMENT OF CLA!MS 52.233-1 APR 1984 DISPUTES ALTERRATE 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 CHANGES -- COST-REIMBURSEMENT AUG 1987~ ALTERNATE I (APR 1984) 52.244-2 JUL 1985 SUBCONTRACTS UNDER COST-REIMBURSEMENT AND LETTER CONTRACTS 52.244-5 APR 1984 COMPETITION IN SUBCONTRACTING 52.249-6 MAY 1986 TERMINATION (COST-REIMBURSEMENT) 52.249-14 APR 1984 EXCUSABLE DELAYS l

1. 2 ' ANTI-KICKBACK PROCEDURES (FAR 52.203-7)

(a) Definitions. " Kickback," as used in this clause, means any j money, fee, commission, credit, gift, gratuity, thing of value, or compensation of any kind which is provided, directly or indirectly, l to any prime Contractor, prime Contractor employee, subcontractor, or subcontractor employee for the purpose of improperly obtaining or rewarding favorable treatment in connection with a prime contract or e 0

PAGE 29 Section I in connection with a subcontract relating to a prime contract. " Person," as used in this clause, means a corporation, partnership, business association of any kind, trust, joint-stock. company, or individual. l " 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, equipinent, 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, l equipment, or services of any kind under 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 to accept any kickback; or (3) Including, directly or indirectly the amount of any kickback in the contract price charged by the prime Contractor to l the United States or in the contract price charged by a l 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 general of the contracting agency, the head of the contracting agency if the agency does not have an inspector general, or the

RES-89-051 PAGE 30 S'ection I 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 undsr subdivision (c)(4)(11) of this clause be paid over to the Government unless the Government has 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)(5), in all subcontracts under this contract. (EndofClause) 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 10 days prior to 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 authorized in the Schedule. (End of Clause) I.4 DELIVERY-ORDER LIMITATIONS (FAR 52.216-19) (APR 1984) (a) Minimum order. When the Government requires supplies or services covered by this contract in an amount of less than Government is not obligated to purchase, nor is the Contractor I obligated to furnish, those supplies or services under the contract. (b)Maximumorder. The Contractor is not. obligated to honor-- j a combination of task orders in excess of ten. p

RES-89-051 PAGE 31 Section I (c) If this is a requirements contract (i.e., includes the Requirements clause at subsection 52.216-21 of the Federal Acquisition Regulation (FAR)), the Government is not required to order a part of any one requirement from the Contractor if that requirement exceeds the maximum-order limitations in paragraph (b) above. l (d) Notwithstanding paragraphs (b) and (c) above, the Contractor shall honor any order exceeding the maximum order limitations in paragraph (b), unless that order (or orders) is returned to the ordering office within 1 days after issuance, with written notice l stating the Contractor's intent not to ship the item (or items) called for and the reasons. Upon receiving this notice, the Government may acquire the supplies or services from another source. (End of Clause) I.5 REQUIREMENTS (FAR 52.216-21) (ApR 1984) (a) This is a requirements contract for the supplies or services specified, and effective for the period stated, in the Schedule. The quantities of supplies or services specified in the Schedule are estimates only and are not purchased by this contract. Except as this contract may otherwise provide, if the Government's requirements do not result in orders in the quantities described as " estimated" or " maximum" in the Schedule, that fact shall not l constitute the basis for an equitable price adjustment. (b) Delivery or performance shall be made only as authorized by orders issued in accordance with the Ordering clause. Subject to any limitations in the Delivery-Order Limitations clause or i elsewhere in this contract, the Contractor shall furnish to the Government all supplies or services specified in the Schedule and called for by orders issued in accordance with the Ordering clause. The Government may issue orders requiring delivery to multiple destinations or performance at multiple locations. (c) Except as this contract otherwise provides, the Government i shall order from the Contractor all the supplies or services specified in the Schedule that are required to be purchased by the Government activity or activities specified in the Schedule. (d) The Government is not required to purchase from the Contractor requirements in excess of any limit on total orders under this contract. (e) If the Government urgently requires delivery of any quantity

RES-89-051' PAGE 32 - Section i l of an' item before the earliest date that delivery may be'specified. under this contract, and if the Contractor will not accept an order providing from the accelerated ' delivery, the _ Government may acquire the urgently required goods or services from another source. -(f) Any order issued during the effective period of this contract l 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; 1 provided, that the Contractor shall not be required to make any. deliveries under this contract after. (End of Clause) I.6 PAYMENT FOR OVERTIME PREMIUMS (FAR 52.222-2) (APR 1984) (a) The use of overtime is authorized under this contract if the . overtime premium cost does not exceed $0. In addition to this dollar ceiling, overtime is permitted only for work-- (1) Necessary to cope with emergencies such as those resulting from accidents, natural disasters, breakdowns of production equipment, or occasional production bottlenecks of a sporadic nature; (2) By indirect-labor employees such as those performing duties in connection with administration, protection, transportation, maintenance, standby plant protection, operation of utilities, or accounting; (3) To perform tests, industrial processes,. laboratory procedures, loading or unloading of transportation conveyances, and operations in flight or afloat that are continuous in nature and cannot reasonably be interrupted or completed otherwise; or (4) That will result in lower overall costs to the Government. (b) Any request for estimated overtime premiums that exceeds the amount specified above shall include all estimated overtime for - contract completion and shall-- i (1) Identify the work unit; e.g., department or section in which' the requested overtime will be used, together with'present workload, staffing, and other data of the affected unit sufficient to permit the Contracting Officer to evaluate the necessity for the overtime; l (2) Demonstrate the effvet 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 x. .._--_-_----_-.------_.__.__--_.---___J

RES-89-051 PAGE 33 Section I 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. (EndofClause) I.7 AVAILABILITY OF FUNDS FOR THE NEXT FISCAL YEAR (FAR 52.232-19) (APR 1984) Funds are not presently available for performance under this contract beyond 9/30/89. The Government's obligation 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 pert'ormance under this contract beyond 9/30/89, 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) e

RES-89-051 3'CtI0" d PAGE 34 PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER 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 Resume Fonmat G 4

I ATTACHMENT $ o PART 20-1 -- GENERAL Subpart 20-1.54--Contractor' Organizational Conflicts of Interest Sec. 20-1.5401 Scope and policy. 20-1.5402 Definitions. 20-1.5403 Criteria for recognizing contractor organizational conflicts of interest. 20-1.5404 Representation. 20-1.5405 contract clauses. 20-1.5405-1 General contract clause. 20-1.5405-2 Special contract provisions. 20-1.5406 Evaluation, findings, and contract award.. 20-1.5407 Conflicts identified after award. 20-1.5408 (Reserved) 20-1.5409 (Reserved) 20-l'.5410 Subcontractors. 20-1.5411 Waiver. 20-1.5412 Remedies. AUTHORITY: Sec. 8, Pub. L. 95-601, adding Sec.170A to Pub. L. 83-703, 68 Stat. 919, as amended (42 U.S.C. ch.14) i 520-1.5401 Scope and Policy (a) It is the policy of the U.S. Nuclear Regulatory Commission (NRC) to avoid, eliminate or neutralize contractor organizational conflicts of interest. The NRC achieves this objective by requiring all prospective contractors to submit information describing relationships, if any, with organizations or persons (including those regulated by NRC) which may give rise to actual or potential conflicts of interest in the event of contract award. (b) Contractor conflict of interest determinations cannot be made automatically or routinely; the application of sound judgment on virtually a case-by-case basis is necessary if the policy is to be applied so as to satisfy the overall public interest. It is not possible to prescribe in advance a specific method or set of criteria which would serve to identify and resolve all of the contractor conflict of interest situations which might arise; however, examples are provided in these regulations to guide application of the policy. NRC contracting and program officials must be alert to other situations which may warrant application of this policy guidance. The ultimate test is: Might the contractor, if awarded the contract, be placed in a position where its judgment may be biased, or where it may have an unfair competitive advantage? (c) The conflict of interest rule contained in this subpart applies to-contractors and offerors only. Individuals or firms who have other relat'ionships with NRC (e.g., parties to a licensing proceeding) are not covered by this regulation. This rule does not apply to the acquisition of consulting services through the personnel appointment process, NRC ___ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

7590-01 agreements with other government agencies, international organizations, l or state, local or foreign governments; separate procedures for avoiding conflicts of inteiest will be employed in such agreements, as appropriate. 520,1.5402 Definitions -(a) " Organizational. conflicts of interest" means that a relationship exists whereby a contractor or prospective contractor has present or planned interests related to the work to be performed under an NRC contract which: (1) May diminish its capacity to give impartial, technically sound, objective assistance and advice or may otherwise result-in a biased work product, or (2) may result in.its being given an unfair competitive advantage. (b) "Research" means any scientific or. technical work involving theoretical analysis, exploration, or experimentation. (c)

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

(d) " Technical consulting and management support services" means internal assistance to a component of.the NRC in the formulation or administration of. its programs, projects, or policies which normally require the contractor to be given access to information which has not been made available.to the public or proprietary information. Such services typically include assistance in the preparation of program plans; and 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, unincorporated association, joint venture, co-sponstor, partnership, corporation, affiliates thereof, or their successors in interest, including their chief executives, directors, key personnel (identified in the contract), proposed consultants or subcontractors, which is a party to. a contract with the NRC. (g) " Affiliates" means business concerns which are affiliates of ~ each other when either directly or indirectly one concern or individual controls or has the power to control another, or when a third party i controls or has the power to _ control both (41 CFR 51-1.606-1(e)). l 4 .(h)' " Subcontractor" means any subcontractor of any tier which performs work under a contract with the NRC except subcontracts for j supplies and subcontracts in amounts of $10,000 or less. i (i) " prospective contractor" or " offeror" means any person, firm, unincorporated association, joint venture, partnership, corporation, or affiliates thereof, including its chief executive, directors, key personnel (identified in the proposal), proposed consultants, or subcontractors,' submitting a bid or proposal, solicited or unsolicited, to the NRC to obtain a contract. a -2 t >= 4.

7590-01 (j) " Potential conflict of interest" means that a factual situation exists that suggests (indicates) that an actual conflict of interest may arise from award of a proposed contract. The term " potential conflict of interest" is used to signify those situations which merit investigation prior to contract award in order to ascertain whether award would give rise to an actual conflict or which must be reported to the contracting officer for investigation if they arise during contract performance. 520-1.5403 Criteria for recognizing contractor organizational l conflicts of interest l (a) General. Two questions will be asked in determining whether actual or potential organizational conflicts of interest exist: (1) Are there conflicting roles which might bias a contractor's judgment in relation to its work for the NRC? (2) May the contractor be given an unfair competitive advantage based on the performance of the contract? The ultimate determination by NRC as to whether organizational conflicts of interest exist will be made in light of comon sense and good business judgment based upon the relevant facts disclosed and the work to be performed. While it is difficult to identify and to prescribe in advance a specific method for avoiding all of the various situations or relationships which might involve potential organizational conflicts of interest, NRC personnel will pay particular attention to proposed contractual requirements which call for the rendering of advice, consultation or evaluation activities, or similar activities that lay direct groundwork for the NRC's decisions on regulatory activities, future procurement, and l research programs. (b) Situations or relationships which may give rise to organizational conflicts of interest. (1) The offeror or contractor shall disclose information concerning relationships which may give rise to organizational conflicts of interest under the following circumstances: (i) Where the offeror or contractor provides advice and recommendations to the NRC in a technical area in which it is also providing consulting assistance in the same arec to any organization regulated by the NRC. (ii) Where the offeror or contractor provides advice to the NRC on the same or similar matter in which it is also providing assistance to any organization regulated by the NRC. (iii) Where the offeror or contractor evaluates its own products or services, or the products or services of another entity where the offeror or contractor has been substantially involved in their development or marketing. (iv) Where the award of a contract would otherwise result in placing the offeror or contractor in a conflicting role in which its 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. 3..

7590-01 (2) The contrac' ting officer may request specific information from an offeror or contractor or may require special contract provisions such-as provided in 520-1.5405-2 in the following circumstances: 1 (i) Where the offeror or contractor prepares specifications which { are to be used in competitive procurement of products or services .j covered by such specifications. (ii) Where the offeror or contractor prepares plans for specific' l approaches or methodologies that are to be incorporated into competitive procurement using such approaches or methodologies. I (iii) Where the offeror or contractor is granted access to information-not available to the public 'concerning NRC plans, policies, or programs j which could form the basis for a later procurement action, j i (iv) Where the offeror or contractor is granted access to' proprietary { information of its competitors. (v) Where the award of a contract might otherwise result in placing the offeror or contractor in a conflicting role in which its judgment q 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 j illustrative only and are not intended to identify and resolve all l contractor organizational conflict of interest situations. (1) Example. i The XYZ Corp., in response to a request for proposal (RFP), proposes to q undertake certain analyses of a reactor component as called for in the RFP. The XYZ Corp. is one of several companies considered to be technically: well qualified. In response to the inquiry in the RFP, the XYZ Corp. advises that it is currently performing similar analyses for the reactor manufacturer. Guidance. An NRC contract for that particular work normally would not be awarded to the XYZ Corp. because it would' be placed in a position in which its judgment could be biased in relationship to its work for NRC. Since there are other well-qualified companies available, there would be no reason for considering a waiver of the policy. (2) Example. The ABC Corp., in response to a RFP, proposes to i perform certain analyses of a reactor component which are unique to one. type of advanced reactor. As is the case with other technically qualified companies responding to the RFP, the ABC Corp. is performing various l projects for~several different utility clients. None of the ABC Corp. l projects have any relationship to the work called for in the RFP. Based i on the NRC evaluation, the ABC Corp. is considered to be the best qualified company to perform the work outlined in the RFP.. i o a.

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1 l 7590-01 I Guidance. An NRC contract normally could be awarded to the ABC Corp. because no conflict of interest exists which would motivate bias with respect to the work. An appropriate clause would be included in i the contract to preclude the ABC Corp. from subsequently contracting for work during the performance of the NRC contract with the private sector which could create a conflict. For example, ABC Corp. would be precluded from the performance of similar work for the company developing the advanced reactor mentioned in the example. (3) Example. As a result of operating problems in a certain type of comercial nuclear facility, it is imperative that NRC secure specific data on various operational aspects of that type of plant so as to assure adequate safety protection of the public. Only one manufacturer has extensive experience with that type of plant. Consequently, that company is the aly one with whom NRC can contract which can develop and conduct the te ting 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 11ationship to its work for NRC. Since the nature of the work required is vitally important in terms of NRC's responsibilities and no reasonable alternative exists, a waiver of the policy may be warranted. Any such waiver shall be fully documented and coordinated in accordance with the waiver provisions of this policy with particular attention to the establishment of protective mechanisms to guard against bias. (4) Example. The ABC Co. submits a proposal for a new system for evaluating a specific reactor component's performance for the purpose of developing standards that are important to the NRC orogram. The ABC Co. has advised NRC that it intends to sell the new systim to industry once its practicability has been demonstrated. Othe* cos, sanies in this business are using older systems for evaluation vi che specific reactor component. Guidance. A contract could be awarded to the ABC Co. provided that the contract stipulates that no information produced under the contract will be used in the contractor's private activities unless such information has been reported to NRC. Information which is reported to NRC by contractors will normally be disseminated by NRC to others so as to preclude an unfair competitive advantage that might otherwise accrue. When NRC furnishes information to the contractor for the performance of contract work, it shall not be used in the contractor's private activities unless such information is generally available to others. Further, the contract will stipulate that the contractor will inform the NRC contracting officer of all situations in which the information developed under the contract is proposed to be used. __

7590-01 i (5) Example. The ABC Corp., in response to a RFP proposes to assemble a map showing certain seismological features of the Appalachian 3 fold belt. In accordance with the representation in the RFP and j 5 20-1.5403(b)(1)(i), ABC Corp. informs the NRC that it is presently ( doing seismological stusiles for several utilities in the Eastern United States but none of the sites are within the geographic area contemplated by the NRC study. Guidance. The contracting officer would nomally conclude that award of a contract would not place ABC Corp. in a conflicting role where its judgment might be biased. The work for others clause _ of 5 20-1.5405-1(c) would preclude ABC Corp. from accepting work during the term of the NRC contract which could create a conflict of interest. (d) Other considerations. (1) The fact that the NRC can identify and later avoid, eliminate, or neutralize any potential organizational conflicts arising from the perfonnance of a contract is not relevant to a determination of the existence of such conflicts prior to.the award of a contract. (2) It is not relevant that the contractor has the professional ) reputation of being able to resist temptations which arise from organizational 4 conflicts of interest, or that a follow-on procurement is not involved, or that a contract is awarded on a competitive or a sole source basis. 520-1.5404 Representation j (a) The following procedures are designed to assist the NRC contracting officer in determining whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a l particular offeror or contractor. (b) Representation procedure. The following organizational conflicts of interest representation provision shall be included in all solicitations and unsolicited proposals for: (1) Evaluation services or activities; (2) technical consulting and management support services; (3) research; and (4) other contractual situations where special organizational conflicts of interest provisions are noted in the solicitation and would l be included in toe resulti1g contract. This representation requirement shall also apply to all modifications for additional effort under the ~I contract except those issued under_ the " changes" clause. Where, however, ) l a statement of the type required by the organizational conflicts of l interest representation provision has previously been submitted with regard to the contract being modified, only an updating _of such statement shall be required. i

7590-01 + j -) ] ORGANIZATIONAL CONFLICTS OF. INTEREST REPRESENTATION i I represent to the best of my knowledge and belief that: f 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 520-1.5403(b)(1). l -(c) Instructions to offerors. The-following shall be_ included in all-NRC solicitations:. -(l) If the representation as completed indicates that situations or relationships of the type set forth in 41 CFR 520-1.5403(b)(1)areinvolved,or-thecontracting'officerotherwise determines that potential organizational conflicts exist, the offeror, ~ shall provide a statement in writing which describes in a concise manner all relevant facts bearing on his representation' to.the contractir.g 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 5 20-1.5411. (2) The refusal to provide the representation required'by 520-1.5404(b) or upon request of the contracting officer the facts required by '520-1.5404(c), shall result in disqualification of.the offeror for award. The nondisclosure or misrepresentation of any relevant interest may also result in the disqualification of the offeror for: award; or if - such nondisclosure'or misrepresentation is discovered after award, the resulting contract may be terminated. - The offeror may also be disqualified from subsequent related NRC contracts and be subject to such other remedial actions provided by law or the resulting contract. (d) The offeror may, because of actual or potential organizational conflicts of interest, propose to exclude specific ki_nds of work from. the statements of work contained. in a RFP unless the 'RFP specifically prohibits such exclusion. Any such proposed exclusion by an offeror will be considered by the NRC in -the evaluation of proposals._ If the NRC considers the proposed excluded work.to be en essential or integral part of the required work and its exclusion would work to the detriment. of_the_ competitive posture of the other offerors,-the proposal must be l rejected as unacceptable. l (e) The offeror's failure to execute the representation required ( by subsection (b) above with respect to invitation for bids will be l considered to be a minor informality, and the offeror will be permitted to correct the omission. ! 20-1.5405 Contract clauses s 20 1.5405-1 General contract clause -7

7590-01 All contracts of the types set forth in 520-1.5404(b) shall include I the following clauses: (a) Purpose. The primary purpose of this clause is to aid in I ensuring that the contractor: (1) Is not placed in a conflicting role because of current or planned interest (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and (2) j does not obtain an unfair competitive advantage over other parties by { virtue of its performance of this contract. i 1 (b) Scope. The restrictions described herein shall apply to { performance or participation by the contractor as defined in 41 CFR 5 20-1.5402(f) in the actitities covered by this clause. (c) Work for others. Notwithstanding any other provision of this contract, during the term of this contract, the contractor agrees to forego entering into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being 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 organization may involve a potential conflict of interest, the contractor shall obtain the written approval of the contracting officer prior to execution of such contractual arrangement. (d) Disclosure after award. (1) The contractor warrants that to the best of its knowledge and belief and except as otherwise set forth in this contract, it does not have any organizational conflicts of interest, as defined in 41 CFR 520-1.5402(a). (2) The contractor agrees that if after. award it discovers organizational conflicts of interest with respect to this contract, it shall make an immediate and full disclosure in writing to the contracting officer. This statement shall include a description of the action which the contractor has taken or proposes to take to avoid or mitigate such conflicts. The NRC may, however, terminate 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 information, such as l NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L. 93-579), or data which has not been released to the public, the contractor agrees not to: (1) Use such information for any private purpose until the information has been released to the public; (ii) compete for work for the Comission based

7590-01 ~ e 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 l such information to the public, or (iv) release the information without prior written approval by the contracting officer unless such information has previously been released to the public by the NRC. (2) In addition, the contractor agrees that to the extent it receives or is given access to proprietary data, data protected by the Privacy Act of 1974 (Pub. L. 93-579), or other confidential or privileged technical, business, or financial information under this contract, the contractor shall treat such information in accordance with restrictions placed on use of the information. (3) The contractor shall have, subject to patent and security provisions of this contract, the right to use technical data it produces under this contract for private purposes provided that all requirements of this contract have been met. (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 proscriptions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations as necessarily imply bad faith, the government may terminate the contract for default, disqualify the contractor from subsequent contractual efforts, and pursue other remedies as may be permitted by law or this contract. (h) Waiver. A request for waiver under this clause shall be directed in writing through the contracting officer to the Executive Director for Operations (EDO) in accordance with the procedures outlined in 520-1.5411, 520-1.5405-2 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 or after obtaining a waiver in accordance with 520-1.5411, neutralized through the use of an appropriate special contract provision. If appropriate, the offeror may negotiate the terms and conditions of these clauses, including the extent and time period of any such restriction. These provisions include l l but are nnt limited to: L___.__

7590-01 (1) Hardware exclusion clauses which prohibit the acceptance of proouction contracts following a related nonproduction contract previously performed by the contractor; (2) Software exclusion clauses; l (3) Clauses which require the contractor (and certain of his key personnel) to avoid certain organizational conflicts of interest; and (4) Clauses which provide fer protection of confidential data and guard against its unauthorized use. (b) The following additional contract clause may be included as section (i) in the clause set forth in: 20-1.5405-1 when it is determined that award of a follow-on contract would constitute an organizational conflict of interest. (i) Follow-on effort. (1) The contractor shall be ineligible to participate in NRC contracts, subcontracts, or proposals therefor (solicited or unsolicited) which stem directly from the contractor's performance 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 ~ i under this contract on any of its products or services or the products j or services of another firm if the contractor has been substantially i j involved in the development or marketing of such products or services. { 1 (2) If the contractor under this contract prepares a complete or essentially complete statement of work or specifications, the contractor shall be ineligible to perform or participate in the initial. contractual effort which is based on such statement of work or specifications. The contractor shall not incorporate its products or services in such statement of work or specifications unless so directed in writing by the contracting officer, in which case the restriction in this subparagraph shall not apply. (3) Nothing in this paragraph shall preclude the contractor from offering or selling its standard commercial items to the government. 5 20-1.5406 Evaluation, findings, and contract award The contracting officer will evaluate all relevant facts submitted by an offeror pursuant to the representation requirements of 520-1.5404(b) and other relevant information. After evaluating this information against tne criteria of. 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 determined that conflicts of interest exist, then the contracting officer shall either: (a) Disqualify the offeror from award,

l-7590-01 q (b) Avoid or eliminate such conflicts by appropriate measures; or (c) Award the contract under the waiver provision of 520-1.5411. l 1 520-1.5407 Conflicts identified after award. I l If potential organizational conflicts of interest are identified 1 after award with respect to a particular contractor, the contracting l officer determines that such conflicts do, in fact, exist and that it l would not be in the best interests of the government to termi.nate the contract as provided in the clausds required by 520-1.5405, the contracting officer will take every reasonable action to avoid, eliminate, or, after obtaining a waiver in accordance with 520-1.5411, neutralize the effects l of the identified conflict. ,1 1 520-1.5408 (Reserved) 520-1.5409 (Reserved) 520-1.5410 Subcontracts The contracting officer shall require offerors and contractors to submit a representation statement in accordance with 520-1.5404(b) from subcontractors and consultants: The contracting officer shall require the contractor to include contract clauses in accordance with 520-1.5405 in consultant agreements or subcontracts involving performance of work under a prime contract covered by this subsection. 520-1.5411 Waiver In the first instance, determination with respect to;the need to seek a waiver for specific contract awards shall be made~by theicontracting officer with the advice and concurrence of the program office director and the Office of Executive Legal Director. Upon the recommendation of the contracting officer, and after consultation with the Office of the General Counsel, the EDO may waive the policy in specific cases if he determines that it is in the best interest of the United States to do q 50. Such action shall be strictly limited to those situations in which: (1) The work to be performed under contract is vital to the NRC program; (2) the work cannot be satisfactorily performed except by a contractor whose interests give rise to a question of conflict of interest; and1(3) l contractual and/or technical review and supervision methods can be i employed by NRC to neutralize the conflict. For any such waivers, the l justification and approval cocuments shall be placed in the Public Document Room. < l l L___-_.--_-_-___-__--_____-_---____________-

7590 620-1. 5412 . Remedies 1 In addition to such other. remedies as may be permitted by law or contract for a breach of the restrictions in this subpart or-for any intentional misrepresentation or intentional nondisclosure of any relevant interest required to be provided for'this section,.the NRC. may debar the contractor from subsequent NRC contracts. Dated at Washinaton; D.Cthis 27th day of March 1979. For the Nuclear Regulatory Commission ] Cdtuudh bhuk e Samuel J. Chilk Secretary of the Commission l s s

1 [ A

• /

(REVISED - 7/88) 1 l BILLING INSTRUCTIONS FOR NRC COST-TYPE CONTRACTS l General. The contractor shall submit vouchers for cost-reimbursement I in the manner and format described herein and as illustrated in the sample voucher. Number of Copies. An original and three copies should be mailed to: US Nuclear Regulatory Commission Division of Accounting and Finance ATTN: GOV /COM Accounts Section Washington, DC 20555 Frecuency. The contractor shall submit claims for reimbursement once each month unless otherwise authorized by the Contracting Officer. Form.. Claims shall be submitted in the format depicted on the i attached sample entitled " Voucher for Purchases and Services Other Than 1 Personal." Additional copies of'the form are available from the 1 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 supporting information. Billing of Costs After Expiration of Contract. If costs are incurred during the contract period and claimed after the contract has expired, the period during which these costs were incurred must be cited. Currency. Billings ma; 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 i 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.

,( ~ VOUCHERS FOR PURCHASES AND SERVICES OTHER THAN PERSONAL i l Payor's Name and Address (a) Contract Number U.S. Nuclear Regulatory Comission Task Order No. (If Applicable) Division of Accounting and Finance ATTH: GOV /COM Accounts Section (b) Title of Project Washington, DC 20555 Payee's Name and Address (c) Voucher Number i (d) Date Voucher Prepared r (e) Total Estimated Cost of Contract Individual to contact Regarding This Voucher: (f) Total Fixed-Fee l No.: - 1 (g) This voucher represents reimbursable costs from thru ] Amount Billed (k) Current Period (1) Inception to Date l (h) Direct Costs (1) Direct Labor * ) (2) Fringe Benefits @ (if computed as percentaae) j (3) Capitalized Nonexpendable Eauipment * (4) Materials, Supplies and Noncapitalized Equipment * (5) Premium Pay (6) Consultants * (7) Travel - Domestic

• Foreign *

(8) Subcontract * (9) Other Costs * (i) I!1 DIRECT COSTS A) Overhead % of (Indicate Base) Subtotal B) General & Administrative Expense % of Cost Elements Nos. ~ Total Costs (j) FIXED-FEEEARNED(Formula) ) (m) Total Amounts Claimed l (n) Adjustments Outstanding Suspensions (o) Grand Totals o (REQUIRES SUPPORTING INFORMATION.) (SEE ATTACHED.) ~ 7/88 ___.___.._m.____________.____._.a.__ _J

INSTRUCTIONS FOR PREPARING COST , INFORMATION FOR NRC CONTRACT 5 Preparation and Itemization of the Voucher. The contractor shall furnish the information set forth in the explanatory notes below. These notes are keyed to the entries on the sample voucher. Payor's Name and Address. Address the original voucher (with 3 copies) to: U.S. Nuclear Regulatory Commission, Division of Accounting and Finance, ATTN: GOV /COM Accounts Section, Washington, DC 20555 Any questions regarding. vouchers yet to be paid by the NRC should be addressed to the Division of Accounting and Finance (301-492-8010). Any questions regarding vouchers for which payment has been received (either in full or partially with suspensions or disallowances) should be' addressed to the Contracting Officer. i Payee's Name and Address. Show the name of the contractor as it 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). l l (e) Contract Number - Insert the NRC contract number. i Task Order No. (If Aeolicable) - Insert the task order number. I (b) Title of Project - List the full title of the project being performec unoer this contract. (c) Voucher Number - Insert the appropriate serial number of the voucher beginning with 001 for this contract. l Contractors may also include individual internal accounting ] numbers in addition to the three digit number. j (d) Date of Voucher - Insert the date the voucher is prepared. (e) Contract Amount - Insert the total estimated cost of the contract, exclusive of fixed-fee. (f) Fixed-Fee -Insert total fixed-fee (where applicable). ) (g) Billing Perind - Insert the beginning and ending dates (day, month, and year) of the period in which costs were incurred and for which reimbursement is claimed. ] i l a l

(h) Direct Costs - Insert the major cost elements. (1) Direct Labor - This consists of salaries and wages paid (or accrued) for direct performance of the contract itemized as follows: Labor Labor Hours Hours Cumulative Category Negotiated Billed Rate Total. Hours Billed (2) Fringe Benefits - This represents fringe benefits applicable to direct labor and billed as a direct cost. s 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 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, Supplies, and Other Expendable Items - These are consumable materiais, 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). -

e (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 format: Date Traveler Destination Purpose Cost From To From To \\ (8) Subcontracts - Include separate detailed breakdown of all costs paid to approved subcontractors during the billing period. (9) Other - List all other direct costs be cost element and dollar arount separately. (i) Indirect Costs--Overhead - Cite the formula (rate and base) in effect during the time the ccst 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 contractor may bill for fixed-fee only up to 85% of total fee. (k) Amount Billed for Current Period - Insert the amount billed for tne 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 amounts claimed during this contract. (m) Total Amounts Claimed - Insert the total amounts claimed for the current anc cumulative periods. (n) Adjustments - This includes cumulative amounts billed that have been suspended er disallowed. (o) Grand Totals _ _ _ _ _ _ _ _ _ _ _ _ - _ _ _ _ _ _ _ - _ _ -

VOUCHERS FOR PURCHASES AND SERVICES OTHER THAN PERSONAL' ) 1 i Payor's Name and Address (a) ' Contract Number NRC-10-81-624' l 0.S. Nuclear Regulatory Comission Division of Accounting and Finance-Task Order No. (If Applicable) 002 6 l ATTN: GOV /COM Accounts Section (b) Title of Project " Study of Nuclear Waste l Washington, DC 20555 i Payee's Name and Address Concepts" ) ABC Corporation The National Bank 100 Main Street or Anywhere U.S.A. (c) Voucher Number .003- ] Anywhere U.S.A. Assignee for ABC Corp. Anywhere U.S.A. (d) Date Voucher Prepared 10-18-82 individualtoContac{WhenPaymentsAssigned (e) Total Estimated Cost of Contract Regarding This Voucher: $350,000.00 Name: Harry Murphy j Tel. No.: 21b-J41-dbb4 (f) Total-. Fixed-Fee 517,500.00 j (g) This voucher represents reimbursable costs from 3/1/82 thru 3/30/82-1 Amount Billed (k) Current Period (1) Inception to Date (1) Direct Labor *- $2,400 16.R00 i (2) Fringe Benefits 0 10.bt. (if comouted as percentace) 600 1,200 (3) Capitalized tionexpendable Eouipment

• 5,000 8,000 (4) Materials, Supplies and Noncapitalized Eouipment
• 2,000 4,000 (5) Premium Pay

,00 150 (6) Consultants *

.00 100 (7) Travel - Domestic

• 200 200

( Foreion * (8) Subcontract

• 200 200 4

(9) Other Costs

• 4,000 9,000 i

a rec sts W,e 52M0 (1) INDIRECT COSTS A) Overneao 1006 of Total Direct Costs $13,600 $29,650 (Indicate Base) Subtotal 527.200 $59,300 l B) General & Administrative Expense 12 % of Cost Elements Nos. 1-9.A 3,264 6,450 Total Costs $30,464 165.750 (j) FIXED-FEE EARNED (Formula) 1,523 3.400 ' (n) Total Amounts Claimed $31,987 $69.150 (n) Adjustments Outstanding Suspensions 1,700 1.700 (o) Grand Totais $30.287 167,450

• (REQUIRES' SUPPORTING INFORMATION.)

-(SEE ATTACHED.) 7/88 1 -

l j l l l i SAMPLE SUPPORTING INFORMATION

1) Direct t. abor - $2400 Labor Labor Hours Hours Cumulative Category Negotiated Billed Rate Total Hours Billed Senior Engineer I 2400 100

$14.00 $1400 975 Engineer 1500 50 $10.00 $500 465 Computer Analyst 700 100 $5.00 $500 320 1866

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

4) Materials, Supplies & Other Expendable items

$1100.00 10 Radon Tubes 9 $110.00 = $900.00 6 Pairs Electrostatic Gioves,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.)

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

7) Travel Date Traveler Destination Purpose Costs From To From h

o 3/1/82 3/6/82 William King Chicago, Wash., Meeting with $200 IL DC Project Officer I

8), subcontracts XYZ CORP.

(CPFF) Direct Labor: - 80 hours 9 $20.00 per hour = $1600.00 0/H 9 50% $800.00 = Travel - 2 Trips - Wash., DC 9 $200 $400.00 = to Boston, MA Profit 9 7% $200.00 = TOTAL: 53000.00 (j) Fixed-Fee (Formula) (5%) $350,000 X 5% = $17,500 Total Fixed Fee for this Contract' $27.200 X 5% = $1360 Fee Billed for this Period (n) Adjustments $1700 - Indicates amount withheld from voucher f001, now approved by Contracting Officer letter 3/10/82. e 0

t. Form NRC 489 (1 76) U. 5, NUCLEAR REGULATORY COMMISSION NRC MANUAL - TRANSMITTAL NOTICE CHAiE R NRC-3202 PEICATION OF TECHNICAL REPOKfS PREPAED BY NRC C0!ERACTORS, INCLUDING EPORTS PEPAED UNDER OR PL*RSUA?E 70 INTERAGENCY AGREEMENTS SUPERSEDED: TRANSMITTED: Number Date Number Date TN 3200-21 Chapter NRC-32c2 4/29/82 Chapter NRC-3202 8/29/64 Page Page Appendix IE-32 2 k/29/82 Appendix NRC-3202 6/29/64 REMARKS: This revision of Chapter 3202 expands the chapter from coverace of u". classified reports to include the rarkirs and handling of sensitive unclassified ir/ creation (Official Use Only and Limited Official Use Information, Safeguards Infomation, Proprietary Information) and classified irfortration (Top Secret, Secret, and Confidential)..A section has aisc beer, added to set forth procedures for the handling cf unclassified rep;rts on hT cooperative programs with foreiFn g verrr.er.ts EJ.d crgar.izaticr.: and with U.S. industry, i I l

l'. S NUCLE AR 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 3202-01 COVERAGE This chapter and its appendix handbook establish responsibilities, basic requirements. standards and procedures for the documentation, production and disseminat.on 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 understan ding. 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. S 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. 023 to assure that national security, patent rights, copyrights, proprie-tary rights and rights in other sensitive unclassified information are not compromised by the release, distribution, or dissemination of technical reports from NRC. 024 to assure that formal NRC contractor reports will carry the regis-tered NRC designation NUREG/CR or NUREG/CP as the prime identification. 025 to provide for coordination of press or other media releases. 3202-03 RESPONSIBILITIES AND AUTHORITIES 031 The Director, Office of Administration: a. develops and maintains, in consultation with Directors of Offi~ es c and Divisions and Regional Administrators, NRC standards, proce- {L dures and guides for the production and dissemination of technical contractor reports. b Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-032 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS b. periodically surveys report activities throughout NRC to ascertain that the provisions of this chapter are adequate and are being implemented; makes any changes needed. 032 The Director. Division of Technical Information and Document Control: ) a. develops and administers a central report control system for identi-f yin g. printing and distributing contractor reports and responding to requests for unclassified reports. b. develops and maintains guides and standards for the documentation, formatting, printing, dissemination, and public sale of unclassified contractor reports. c. assures that a system exists for review of unclassified, contractor reports for adherence to patent, copyright and disclosure policies prior to dissemination. d. establishes and administers interagency agreements necessary for the dissemination and public sale of unclassified contractor reports and controls duplication and printing of contractor reports to assure i adherence to the Government Printing and Binding Regulations issued by the Joint Committee on Printing (JCP), Congress of the 4 United States. e. in response to requests of Directors of Offices and Regional Administrators, establishes distribution data banks, maintains official 4 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. m 033 Directors of Offices and Regional Administrators: a. establish the contract or Standard Order for Work

• provisions, including those required by this chapter and its appendix; Chapter NRC-3203, Distribution of Unclassified NRC Staff-and Contractor-Generated Documents and its appendix; Chapter NRC-0260, Print-in g, 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 ceviewed for policy, management, and legal issues by NRC staff in draft prior to printing and distribution. If the report is to be reviewed by NRC staff, give the conditions under which the contractor may publish documents in the event of unresolvable differences relative to the draft, including the type of disclaimer to be used in addi-tion to the standard government disclaimer (see Exhibit 6).

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

See Chapter NRC-1102. Approved : August 29, 1984 1

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED 4 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-034 (2) provide for the reviews necessary to insure that the national secu rity, patent rights, copyrights, proprietary rights and rights in other sensitive unclassified information are not compromised by the release or dissemination of the reports. If DOE contractors are to be authorized to make the reviews, designate the contractor officials who are authorized to sign NRC Form 426A prior to NRC distribution of reports (see Appendix, Part IV). Assure that sensitive unclassified and classified reports are marked and handled properly (see Appendix, Part V). (3) specify that all formal reports carry NUREG/CR or NUREG/CP numbers as the prime identification, as illustrated in the appen dix. (4) specify whether formal reports shall be printed by NRC c,r 'ne contractor if the contractor has a JCP-authorized federal print-ing plant (see Appendix, Parts 11 and IV). (5) specify that all formal reports required by NRC shall be distributed by NRC. l (6) establish the number of copies the contractor may retain or r request for internal and external distribution and charge against NRC. Written justification must be provided, and approval obtained of the NRC JCP representative (the Director, Division of Technical Information and Document Control) when the number exceeds the 50 copies authorized by JCP for unclassified reports. (7) assure the protection of classified and sensitive unclassified information. if any, in contractor reports (see Appendix. Part V). b. assure adherence to instructions and authorizations regarding the reproduction and distribution of reports. c. recommend standard distribution category (ies) for contractor reports to the Division of Technical Information and Document Control. d. provide changes to the official standard distribution lists to the Division of Technical Information and Document Control. e. establish procedures for review of contractor's proposed press and other media releases. 034 The Office of the Executive Istal Dimetor provides legal review and advice to NRC staff on questions regarding inventions, patents, proprietary information, use of copyrighted material, national security, and other sensitive unclassified and classified information. ~ 035 The Director. Office of Public Affairs, upon request of the project manager, reviews proposed contractor's press or other media' releases for appropriateness. Approved: August 29, 1984

Pl'BLICATION OF TECHNICAL REPORTS PREPARED BY NBC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-035 l'NDER OR PURSU ANT TO INTERAGENCY AGREEMENTS 036 The Director. Division of Security: a. administers the overall information security program which includes management of the security classification program and other programs for the protection of sensitive unclassified information. b. advises staff of NRC Offices and Regions on the preparation and handling of reports containing classified, proprietary and other sen-sitive unclassified information. 037 The Director. Division of Contracts: a. coordinates the flow of all reports to and from contractors (other than DOE contractors) where such reports may result in alterations i in the terms and conditions of applicable contracts as they pertain to report production and distribution. b. advises the contractor as to the source and method for obtaining reports required from the government for performance of the contract. c. provides contractor with copies of NRC Chapters 0260, 3202, 3203, 3207, and 3210, when appropriate. d. determines when requests for proposals and invitations for bids, as well as subsequent contracts, should include statements requiring contractor compliance with Chapters NRC-3202, 3207, and 3210 and the Government Printing and Binding Regulations. e. ensures that appropriate clauses are included in contracts regarding the private use and protection of classified, proprietary and other sensitive unclassified information. 3202-04 DEFINITIONS

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

042 central report control system - means for developing and maintaining the policies, procedures and guides needed to identify and produce regulatory and technical reports and to assure adherence to requirements and standards for documentation, formatting, printing and dis,tribution. record of work done (a report) prepared in 043 contractor report accordance with the provisions of a contract or under or pursuant to an interagency agreement. WWords underscored in definitions are also defined in list. l Approved: August 29, 1984 l

PUBLICATION OF TECHNICAL REPORTS PREPARED BY. NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PL'RSU ANT TO INTER AGENCY ' AGREEMENTS N RC-3202-044 - f( 044 copyrigh t ' - a form of protection provided by the laws of the United States (Title li. U.S. Code) to the authors.of " original works of authorship" l including literary, dramatic, musical,, artistic, and certain other intellectual ' works. This. protection is available to both published and unpublished works. Copyrighted material may not be reproduced without the permission of the author or publisher. 045 disseminate - to announce the publication of reports and make them available for free distribution, sale or copying. 046 distribute - to dispense reports to specific organizations and indi-viduals to assure their participation in the regulatory process and support of - research and technological investigations. Such distribution may be accom-plished by the use of standard distribution data banks established and~ main-tained by the Division of Technical Information and Document Control based on the requests of the originating Office or Region. 047 documentation - classification and associated markings required for classified or sensitive unclassified documents, the NRC report number unique to the report, title (and subtitle, if any), author or correspondent (if any). organization identification and contract number (or FIN number),. date and availability. 048 draf t or final material for inclusion in " Safety Evaluation Reports" ( written material requested for input to or " Environmental Statements" (ES) SERs or ESs to be issued as NUREGs.. Such material may ' be' edited or modi- ~ fied at the discretion of the NRC staff. 049 formal technical reports - the final product of research, an original inves tigation, or a significant compilation of information. This product is a formal technical report for publication in the NUREG/CR series. For extensive long-term projects. formal monthly, quarterly or semiannual ~ and annual peri-odic technical reports may be required. A draft of the final or periodic report may be requested for comment prior to preparation of the camera-ready copy. 0410 NRC project manager - the NRC staff member responsible for. the work performed by consultants or contractors and their subcontractors, or for work performed under or pursuant to an interagency agreement. examination by legal staff to assure protection i 0411 patent review rights in inventions. 0412 proprietary information - trade secrets; privileged or confidential research, development, commercial or financial information, exempt from manda-tory disclosure under 10 CFR Part 9 (Sections 2.740 'and 2.790) and under 10 CFR Part 9 (Section 9.5); and other information submitted in' confidence to the NRC by a foreign source and determined to be unclassified by the NRC. 0413 publicly available documents - information.(reports and references) ( which -is available in the NRC Pubhc. Document Room (PDR) for public inspec-tion and copying or available in the public domain. Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-0414 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 0414 reproducible masters - camera-ready copy which includes (1) origi-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 interim or final technical letter reports, draft or final formal technical reports for publication in the NUREG/CR or NUREG/CP series, or draft or final material for inclusion in SERs or ESs. 0416 technical letter reports (also called technical evaluation reports) - interim. or final letters that provide information on the technical aspects of contract work. Interim technical letter reports may be required at various stages of a project. These reports usually are followed by a final technical letter report or a formal technical report. Final technical letter reports are usually specified in situations where the technical work is review and eval-uation of work of others or work to be used by the staff in the licensing and regulation process. Interim letter reports may include, but are not limited to, informal (interim) progress reports, quick-look reports, data reports, status summary reports, project descriptions, pre-tested predictions, model verifications, experiment safety analyses, experiment operating procedures, facility certification reports, and test result reports. 0417 unique identification NRC identification used on a report and its attachments, revisions, and supplements that is not used on any other report. 3202-05 BASIC REQUIREMENTS 0 51 Applicability. The provisions of this chapter and its appendix apply to NRC consultants, grantees, contractors and subcontractors, including those working under interagency agreements, whose contracts require the prepara-tion of technical reports. Because of the unique requirements of NRC boards, panels, advisory committees and Offices which report directly to the Commission, the handling of reports prepared by consultants and contractors to them are governed by the Board or Panel Chairman and, in the case of advisory committees, by the Advisory Committee Management Officer, or the Commission. These exceptions do not preclude the use of the NUREG/CR series designation on reports prepared for these entities that are to be given wide public dissemination. 052 Forms. NRC Form 426A, " Publication Release for Unclassified NRC Contractor and Consultant Reports" (Exhibit 5), NRC Form 335, "Biblio-graphic Data Sheet" (Exhibit 7), and NRC Fonn 190, " Cover Sheet for Reports Containing Proprietary Information" (Exhibit 19), shall be used as provided in the appendix. 053 Appendix 3202. This appendix contains standards and procedures for the preparation of reporting requirement. portions of Statements of Work, ,} and for the documentation, production, and dissemination of technical reports prepared by contractors and other government agencies in accordance with contract requirements or interagency agreements. Approved: August 29, 1984 1

c, PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSl' ANT TO INTER AGENCY AGREEMENTS NRC-3202-054 r ls 054 Preparation Requirements a. Reports to be Printed by NRC. All contractor reports to be printed by NRC shall be prepared according to Appendix 3202. The repro-ducible masters for the requisite distribution shall be transmitted to j the Division of Technical Information and Document Control accom-i panied by completed NRC Form 426A and NRC Form 335. b. Reports Printed by Authorized Federal Printing Plants. All contrac-tor reports to be printed by the contractor (as specified by the con tract, agreement, or standard order for work) shall be prepared according to Appendix 3202, and a reproducible master and suffi-cient copies for standard and incidental distribution shall be sup-plied to the Division of Technical Information and Document Control, accompanied by completed NRC Form 426A, signed by the authorized contractor official. Each such report shall include, as the last pa;;e, a completed NRC Form 335. 055 References. The NRC chapters referenced and NUREG-0794 (ref. j) and Nt' REG-0650 (ref. i) are available from the Division of Technical Informa-tion and Document Con t rol. The other publications are available from the Government Printing Office. a. Chapter NRC-0260, " Printing, Copying, Graphics and Photography." \\ b. Chapter and Appendix NRC-2101, "NRC Security Program." l c. Chapter N R C-3203. " Distribution of Unclassified NRC Staff-and Contractor-Generated Documents." d. Chapter N R C-I l 0L'. " Procedures for Placement of Work with the Department of Energy." e. Chapter NRC-3206. "NBC 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 States, No. 24, April 1977 (JCP Regulations), Government Printing Office. i. Title 5. U.S. Code. " Government Organization and Employees." Government Printing Office. ] 1 l Approved: August 29, 1984

c PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC-3202-055 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS o 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-0155, " Mail Management," and Appendix 0255, Part V. j Annex A. i 1 ( l 3 l l i 1 l l l I Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS. INCLUDING REPORTS PREPARED i UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 CONTENTS PAGE PART 1 PREPARATION OF REPORTING-REQUIREMENTS PORTIONS OF STATEMENTS OF WORK FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR DOE WORK 'l l A. LIST OF TECHNICAL REPORT REQUIREMENTS....................... 1 I 1 B. REQUIREMENTS FOR FORMAL REPORT5............................... -2 C. REQUIREMENTS FOR DRAFT REPORT5................................ 2 D. PUBLISHING UNCLASSIFIED, NON-5ENSITIVE INFORMATION IN OPEN LITERATURE AND PRESENYING PAPER 5...................... 3 E. TYP0 GRAPHY...... 4 F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLA551FIED INFORMAT10N........................................ 4 G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND WDRK5HOPS................................................. 4 ( g H. WRIT]N3 AND PUBLISHING UNCLASSIFIED B00KS..................... 5 1. DISTRIBUTION OF REPORTS TO CONTRACTOR5........................ 5 J. COORD] NATION OF PRESS OR OTHER MEDIA RELEASES OF UN;LA551FIED INFORMAT10N........................ 5 l 1 PART 11 UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC... 7 l A. DOCUMENTATION....... 7 l l 1. Applicability............................................ 7 l 2. Front Cover and Title Page......................... 7 1 3. Availability Information................................. 9 l 4. Disclaimer....... 9 5. Previous Reports in 5eries............................... 9 6. Abstract................................................. 9 7. References and Bibliographies............................ 9 8. Bibliographic Data 5heet............................. 10 B. PATENT AND SECURITY REVIEW5................................... 10 l 1. Patent Review............................................ 10 2. Security Review.......................................... 10 i Approved: August 25, 1984 j

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS INCLUDING REPORTS PREPARED NRC Appendix 3202 l'NDER OR PURSUANT TO INTERAGENCY AGREEMENTS CONTENTS (Continued) PAGE C. PROCEDURES FOR PRINTING AND DISTRIBUTING................... 11 1. Printing................................................. 11 l 2. Reprinting....... 11 3. Distribution of Reports................................. 11 l EXHIBITS 1. Sample Cover for Unclassified Formal Contractor-Prepared Reports. Excluding Those Printed by 00E Laboratories with JCP Authorized j Federal Printing Plants........................................... 13 i l 2. Sample Title Page for Unclassified Formal Contractor-Prepared 3 Reports, Excluding Those Printed by DOE Laboratories with JCP Authorizeo Federal Printing Plants................................ 14 3. Sample Cover for Unclassified Formal Reports Printed by 00E Laboratories with JCP Authorized Federal Printing Plants........ 15 1 4. Sample Title Page for Unclassified Formal Reports-Printed by DOE Laboratories with JCP Authorized Federal Printing Plants...... 16 1 5. NRC Form 426A, Publications Release........................... 17 6. Disclaimer and Availability Statements.......................... 18 7. NRC Form 235, Bibliographic Data Sheet.............. 19 l PART 111 UNCLASSIFIED TECHNICAL LETTER REPORTS.......... 21 { A. FORMAT.... 21 i 1. Applicability........................................... 21 1 2. Requirements............................................ 21 i a B. PATENT AND SECURITY REVIEW5................................. 21 l i 1. Patent Review.......................................... 21 2. Security Review................. 22 l PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE OFFICE I 0F NUCLEAR REGULATORY RESEARCH BY DOE LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANTS...................... 23 A. DOCUMENTATION............................................... 23 l 1. Applicability..................................... 23 2. Front Cover and Title Page............................. 23 l l Approved : August 29, 1984 ii 1 1 _ a

a 4 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 CONTENTS (Continued) PAGE 3. Availability and 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 1. Patent Review............ 26 1 2. Security Review........................................ 26 C. PROCEDURES FOR PRINTING AND DISTRIBUTING.................... 27 J 1. Printing............................................. 27 2. Reprinting............................................. 27 3. Distribution of Reports.............. 27 PART V REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMAT10N...................................... 29 [ A. APPLICABILITY.. 29 h B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION...... 29 C. PROPRIETARY INFORMAT10N.................................. 30 D. SAFEGUARDS INFORMATION. 31 E. C '. AS S I F I E li I N F O RMAT 10N...................................... 31 EXHIBITS !/ 8. Sample Cover for a Contractor Peport Containing Official Use Only Information.................................................. 33 9. Sample Title Page 'or a Contractor Report Containing Official l Use Only Information............................................. 34 10. Sample Back Cover for a Contractor Report Containing Official Use Only J.nformation.............................................. 35 11. Sample Cover for a Contractor Report Containing Limited Official Use Information... 36 12. Sample Title Page for a Contractor Report Containing Limited Official Use Information...... 37 f f k iii Approved: August 29, 1984 l a

PUBLICATION OF TECHNICAL REPORTS PREPARED BY ~ l NRC CONTR ACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 l'NDER OR PURSUANT TO INTERAGENCY AGREEMENTS CJNTENTS(Continued) PAGE 13. Sample Back Cover for a Contractor Report Containing Limited Official Use Information. 38 14. Sample Cover for a Contractor Report Containing Proprietary Information Obtained from a U.S. Organization.................. 39 15. Sample Cover Page for a Contractor Report Containing Proprietary Inf ormation Obtained f rom a Foreign Source............ 40 16. Sample Title Page for a Contractor Report Containing Proprietary Inf ormation Obtained f rom a U.S. Organization.... 41 1 17. Sample Title Page for a Contractor Report Containing l Proprietary Information Obtained from a Foreign Source....... 42 1 18. 5smple 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 Contr. actor Report Containing Unclassified Safeguards Information. 46 22. Sample Back Cover for a Contractor Report Containing Unclassified Safeguards Information. 47 23. Cover Sheet for a Contractor Report Containing Unclassified Safeguards Information......................... 48 PART VI. HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH INDU5TRY..................................................... 49 A. PREPARATION OF ORAFT PRELIMINARY REPORTS FOR COMMENT......... 49 B. DISTRIBUTION BY NRC PROJECT MANAGER5......................... 50 C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT.......... 50 D. REPORT IDENTIFIERS........................................... 50 E. MAILING TO PROGRAM PARTICIPANTS.......................... 51 F. SECURITY. 51 l l Approved: August 29. 1984 iv

i PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 CONTENTS (Continued) PAGE f EXHIBITS 24. Sample Cover for a Draft Preliminary Report (Code).for Comment... .52 q l 25. Transmittal Letter f rom Contractor to NRC Project Manager for Draft Preliminary Report (Code)............................ 53 26. Transmittal Sheet for Requesting Mailing to Cooperative Program 5L Participants., 4 j 1 . (' t l i I l k v Apprcved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 7 Iu. PARTI PREPAR ATION OF-REPORTING REQUIREMENT PORTIONS OF ST ATEMENTS OF WORK.FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR DOE WORK A. LIST OF TECHNICAL REPORT REQUIREMENTS List - the technical reports required from each project, task or' subtask, as applicable. State when and to whom they should be submitted 'and - what they should contain. These reports may be unclassified, sensitive unclassified or classified. Standards for each. of these categories are presented in Parts 11 througr, V The following definitions describe the types of reports that may be specified: l 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) ( interim or final letters that provide information on the technical aspects of the contract work. Interim technical letter reports may g be required at various stages of a project. These interim letters usually. are followed by a final technical letter report or a formal technical report. Final technical letter reports are usually specified in situations where the technical work is review and evaluation of work of others or work to be used by' the staff in the licensing and regulation process. Interim letter reports may include, but are not limited to, informal (interim) progress reports, quick-look reports, data reports, status summary reports, project descriptions. pre-test predictions, model verifications, experiment safety anal-

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

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

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTR ACTORS, INCLUDING REPORTS PREPARED Part 1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS draft or final material for publication or inclusion in SERs. ESs. letters. or heense amendments - written material requested for use in the NRC licensing process. Such material may be (1) abstracted in a NUREG report or attached to a NUREG report, (2) attached to a letter or an amendment to the license, or (3) abstracted and used as necessary 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-l ready copy submitted by the contractor, unless the work is being done l 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 Technical!r. formation 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 j should be handled in accordance with Parts IV and V of this appendix and/or Chapter 1102. C. REQUIREMENTS FOR DRAFT REPORTS If a draft is desired prior to completion of a final technical letter report, I formal technical report, final material for inclusion in an SER or ES, or for comment by participants in cooperative programs with foreign gov-ernments and organizations and with U.S. industry, state that require-ment and the time frame for delivering the final camera-ready copy after 1 receiving NRC and/or participant comntents on the draft. State that all j i i draft material should be submitted to the cognizant project manager. 1 When the contractor is to submit draft material for comment prior to the l preparation of the final report, state that if there are NRC program l and/or participant comments the contractor will be asked to make chznges. If agreement on the changes is reached, the NRC manager will authoriae l the contractor to prepare the final copy and submit it to the project J manager, if it is a letter report or input to an SER or ES, or to the l Director, Division of Technical Information and Document Control, if it is l Approved : August 29, 1984 2 l l J

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part I camara-ready copy for printing and distribution. This is to be done to assure proper publication, handling, and distribution and, among other things. to preclude further changes that might nullify the agreement. If I caveats were agreed to and the project manager wishes to check the final 1 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 426 A. Also state that if agreement on changes to a formal technical report to be issued in the NUREG/CR series is ny 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 :eports (see Exhibit 6), any caveats deemed necessary to cover NRC objections. Such caveats may range from the "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" to the addition of a preface setting forth the NRC opinion or footnotes at appropriate locations within the text. State that if NRC objections cannot be covered in this manner, NRC can refuse to publish the report. In the case of DOE / National Laboratory reports, the DOE Operations Office Manager responsible for that !abora-tory should be informed by the NRC Office Director or Regional Adminis-trator of the decision and the reasons therefor, with a copy to the [, Laboratory Director. In the case of another Federal agency, a State, or g a private contractor, the person who executed the contract should simi-larly be informed by the NRC Contracting Officer. The contractor is then free to publish without NRC identification of the report. Project manager or higher level decisions may be appealed to the NBC Executive Director for Operations. D. PUBLISHING UNCLASSIFIED INFORMATION IN OPEN LITERATURE AND PRESENTING PAPERS If the contractor's principal investigator is to be allowed to publish in the open literature instead of submitting a final report and/or present papers at public or association meetings during the course of the work, add the following statement to the Statement of Work: The principal investigator (s) may publish the results of this work in the open literature instead of submitting a final report and/or present papers at public or association meetings at interim stages of the work. If the project manager wants to review the paper or journal article prior to presentation or submission for publication, state this in the Statement of Work, as follows: The principal investigator (s) may publish the results of this work in 7 the open literature instead of submitting a final report and/or pre-j sent papers at public or association meetings at interim stages of the L work, if the article or paper has been reviewed by the NRC project 3 Approved : August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part 1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS manager in draft form and agreement has been reached on the con-tent. The applicable procedures set forth in Chapters NRC-3206 or NhC-Il02 must be followed. 'If agreement is not reached. NRC may also ask that the paper include in addition to the standard statement " Work supported by the U.S. 4 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 thf 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. I If the contractor proposes to publish in the open literature or present l the information at meetings in addition to submitting the required tech-nical reports, approval of the proposed article or presentation should be obtained from the NRC project manager. The NRC project manager shal) 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 85 x 11-in. paper, unless otherwise specifically authorized. Occasionally, reports with many sym-bols and mathematical expressions may require one and one-half spacing to provide for superscripts and subscripts. This spacing should be allowed where needed, but should be considered an exception, not the standard. F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION Details of the marking of reports 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 meetin gs, conferences, and symposiums in which NRC Approved: August 29, 1984 4 1

] l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Part 1 ) participates as a sponsor or cosponsor. Chapter NRC-3207, " Conferences and Conference Proceedings," provides general information and guidance l for this. More detailed guidance is available from TIDC upon request. 1 H. WRITING AND PUBLISHING UNCLASSIFIED BOOKS f NRC may, under certain circumstances, publish books prepared by grantees or contractors. For general information and guidance on book publishing, see Chapter NRC-3210, " Book Writing and Publishing." l 1. DISTRIBUTION OF REPORTS TO CONTRACTORS l Up to 50 copies of unclassified formal technical reports may be retained j l by or will be bulk shipped to the contractor by NRC for internal use. l If fewer than 50 copies. are needed, indicate the desired quantity on NRC l I Form 426A. Single copies for specific individuals in organizations other j than the contractor's organization who are not included in the distribution requested by the NRC project manager may be requested on a project basis or on a report-by-report basis. The request, with written justifi-cation, should be addressed ' to the NRC project manager, with a copy to N R C/TIDC. If the additional distribution is approved by the NRC project manager, the contractor shall send these copies (if printing is done by the contractor) and. address labels, even if printing is done by NRC to NRC/TIDC, where the distribution will be made along with the standard distribution. Distribution of sensitive unclassified and classi-l ..f fled reports will be made by the project manager on a case-by-case basis. g J. COORDIN ATION OF PRESS OR OTHER MEDI A RELEASES OF UNCLASSI-l FIED INFORMAT10N A contractor may request permission to issue a press or other media release on the work being done. Such request shall be made to the project manager, who will consult with his/her management and with the Office of Public Affairs. The contractor may not issue a press release on nonroutine information without this prior coordination. This coordination may be accomplished by telephone, with the NRC project manager respon-sible for expeditious bandling. Decisions not to release information or delays in handling by the project manager may be appealed to the NRC Executive Director for Operations. e l9 5 Approved: August 29, 1984

.u i i PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED 4 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART 11 UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC A. DOCUMENTATION 1. Applicability a. The requirements of this part apply to contractor and. inter-agency agreement reports that are to be printed by NRC. Contractors may not print reports prepared for NRC except i those DOE laboratories with JCP-authorized printing plants and i then only those reports prepared for NRC's Office of Nuct.:ar Regulatory Research. ] b. With respect to sensitive unclassified and classified reports, the requirements set forth in Part V of this appendix shall be used in conjunction with NRC Appendix 2101. The requirements of this part do not apply to consultants and c. contractors of the NRC boards, panels, and advisory commit-i tees whien report directly to the Commission, f i ) 2. F ron t Cover and Title Page Separate covers and title pages are required (see Exhibits 1 a. and 2 for contractor reports and Exhibits 3 and 4 for reports prepared under or pursuant to interagency agreements ).* b. The items shown in Exhibits 1 through 4 and discussed below shall appear on the title page and cover, as appropriate.** (1) NRC Report Number Each report shall be identified by an NRC-controlled alpha-numeric designation as the prime designation unique to that report. The centralized report control system for unique identification is maintained by _ the Division of Technical Information and Document Control. Numbers may be obtained by calling the Division of Technical Infor-mation and Document Control or by submitting a ecpy of NRC Form 426A (Exhibit 5) with a request for a number, sReproducible copy of the cover of the performing organization may be sub-mitted; however, the data elements shown in Exhibit I must be included. These requirements meet the specifications of American National Standard ( ANSI 239.18-1974, Guidelines for Format and Production of Scientific and Technical Reports, and ANSI Z39.23-1974, Technical Report Numbers. 7 Approved: August 29, 1984

'l j I 1 PUBLICATION Cr TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part 11 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS The NRC identification number will have the form: NUREG/CR-XXXX or NUREG/CP-XXXX where CP indicates conference proceeding. The contrac-3 tor's report number, if any, may be inserted below the NUREG number on the title page and cover,. as shown in Exhibits 1 through 4, if desired by the contractor, s When a report consists of more than one volume or bind-ing 'or is issued in more than one edition, an appropriate volume, supplement, part or revision designation.shall appear immediately below the report number. (2) Title and Subtitle (a) Use a brief. title that indicates clearly the subject matter covered in the report. (b) When a report is prepared in more than one volume, repeat the primary title on each volume. (c) If appropriate, show the type of report (e.g., annual report, final report, thesis, etc.) and the - period covered as part of the subtitle. l (3) Personal Author (s)' Name(s) { l l Authors' names should be given on the title page and cover unless this is impractical, as in the case of annual reports which have many contributors. if authors' contri-butions are as editors, compilers, etc., so indicate on the title page following the names. In addition, list affiliation l of each author only if affiliated with an organization other I than the organization generating the document. (4) Organization Identification On the title page and cover, provide information of the l type illustrated in Exhibits 1 through 4. l (5) Basis for Report Date(s) (a) The basis for dating may be shown along with the date on the title page. Various bases for dating are possible; e.g., date report completed, date reviews completed, date published, date distributed, etc. (b) More than one date, with the basis for each, may be shown where this is necessary. Approved: August 29, 1984 8 l

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 I UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 11 J 3 Avadability Information All formal reports will be made available for sale by NRC and by i the National Technical Information Service (NTIS). Exhibit 6 will be inserted on the inside of the front cover by the Division of Technical Information and Document Control. 4. Disclaimer The following notice will be added during the printing step on the inside front cover (Exhibit 6): "This report was prepared as an account of work sponsored by an agency of the United States Government. Neither the United States Government nor any agency thereof, or any of. their employees, makes any warranty, expressed I or implied, or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any. information. apparatus, product or process disclosed in this report, or repre-sents that its use by 'such third party would not infringe privately owned righ t s. " The following additional statement, "The views expressed in this report are not necessarily tnese of the U.S. Nuclear Regulatory Commission" will be printed below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed (see Part 1.C., Requirements for Draft Reports). 5. Previous Reports in Series ( If the report being prepared is one in. an ongoing series, list all previous reports in the series. Include report numbers ' and issu-ance dates. Place this list on the back of the title page. 6. A bst ract 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.* i 7. References and Bibliographies J i Reports or other documents referenced in text, reference sections, bibliographies, and appendixes of unclassified regulatory and l' technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the j Government Printing Office, at the National Technical Information Service, or at other reference or sales outlets) or in the NRC j Public Document Room. This means that references should not i be made to personal communications and interviews, unpublished nThis preferred positioning of the abstract in the report need not be followed (. if the style manual of the originating organization requires a different ] location. 9 Approved: August 29, 1934

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS information and information with restricted distribution (e.g.. proprietary, national secu rity, 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 bc stated collectively for all entries (see Exhibit 6). l Guidelines for developing and presenting reference. material are provided in NUREG-0650, " Technical Writing Style Guide. " published in November 1979 (see Appendix A, pp. 19-23. 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. If the work being reported is contractually managed through another government agency (e.g.. DOE laboratories), that government agency should be requested by the contractor to perform the patent review. The result of such review shall be reported on NRC Form 426A in item 11 (Exhibit 5). If NRC directly administers the contract or the contractor is unable to obtain a patent clearance from the government i,gency administer-ing the contract, the responsible NRC contracting officer shall be consulted, and the responsible NRC project manager shall consider the patent implications. If there is no need for patent review because of the certainty that the report contains no description of novel technical developments which may be of an inventive nature, NRC Form 426A may be completed with the statement "Not Appli-cable" or "N/A" in the space for the Patent Counsel's signature. If there is a possibility that there is disclosure of developments of an inventive nature, the contracting officer shall request assistance from the NRC Patent Counsel, Office of the Executive Legal Director. l 2. Security Review i In most cases, contractor reports will be unclassified. Should a l report of sensitive unclassified or classified work be required, I

however, the NRC project manager must work with the NRC Division of Security to establish the appropriate procedures and inform the contractor of such procedures through the contracting officer.

The standards for marking and handling such reports are given in Part V of this appendix and NRC Appendix 2101. Approved : August 29, 1984 10

l l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 11 C. PROCEDURES FOR PRINTING AND DISTRIBUTING l. Printing Reproducible masters prepared in accordance with this appendix shall be transmitted to the Division 'of Technical Information 'and Document

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

Such authorization shall be reported in writing to TIDC. l l The Division of Technical Information and Document Control will I review the masters for adherence to the standards set forth in this l chapter and appendix and will arrange for printing and distributing l the report. Unsatisfactory masters will be reported to the NRC l project manager for appropriate contractual action by the contract-l I ing officer or, in the case of government agency or interagency agreement

work, the publications manager of the performing organization.

l 2. R eprinting Requests for reprinting any report subsequent to the initial print-ing require approval of the Division of Technical Information and Document Control. Each request shall include a written justification and the project manager's approval for reprinting along with ad- . ( dress labels for the recipients. l 3. Distribution of Reports All copies of unclassified formal contractor reports will be distrib-uted by the Division of Technical Information and Document Control in accordance with instructions on NRC Form 426A (Exhibit 5). The Division of Technical Information and Document Control will also arrange automatic distribution of these reports to the NRC Docu-ment Control System, the NRC Public Document Room, the National Technical Information Service (NTIS), the Government Printing Office and the Depository Library Service. If any distribution is to be made other than, or in addition to, the standard distribution established for the report, written justification and the project manager's approval for printing additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control. Address labels for the additional distribution must be supplied. Distribution of sensitive unclassified and classified reports will be made by the NRC project manager on a case-by-case basis. 1 i 11 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSl' ANT TO INTER AGENCY AGREEMENTS 'm EXHIBIT 1 SAMPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NUREG/CR-1676 NRC Report No. NUSAC-556 Contractor Report No. (if any) Vol.1 Vol., Part, Rev., etc. (if any) _..__.~~T-' Using Advanced Process Monitoring l risie to improve Material Control l Subtitle and Type of Report Final Report ( Annual. Topical, etc.) September 1979 - September 1980 _ _ - ~ Author (s) Prene co e, n L ><e.nins n L Lynen. R r. Lumt Contfactor NU$ AC incorporated i er Regulatory i 13 Approved: August 29, 1984 _ _. _ _.. _ _ _ _ - _ _ _ _ _ _ ~ _ _ _ _ _ _ _ _ _ _

PUBLICATION OF TECHNICAL REPORTS PREPARED BY 1 NRC Appendix 3202 NRC CONTR ACTORS, INCLUDING REPORTS PREPARED Part 11 _ UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 2 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL CONTRACTOR-PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS f i NRC REPORT No, NUREG 'CR 1676 Contractor Report No. (if any) V, SAC-566 Vol., Part, Rev., etc. (if any) l l Distribution Category No. (if any) Using Advanced Process Monitoring ] m, to improve Material Control Subtitle and Type of Report Finei Report ( Annual, Topical, etc.) September 1979 September 1980 Report Dates and Bases u.;,w :.-..;: sn,,- inec Author (s), Editor (s), e a e, Compiler (s),4tc. Contractot Name s.sa: ..r-and Address UC//,'jn; NRC Sponsorship propened to. o.v.eion et sevee,uerde ove.c. of Nuci.. meienei setety and s.t eve,de u s hwcue, meguietoe, comm ne.on NRC Contract No. NNN"64f7 I i Approvedi August 29, 1984 14

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRr Annandiv 39n9 UNDER OR PL'RSl' ANT TO INTER AGENCY AGREEMENTS

. a,1

t EXHIBIT 3 SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No-NUREG/CR 1952 Contractor Report No-S AND810151 Vol., Part, Rev., etc.

LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks f 4' Type of Report Independent Verification Testing Program or Subtiti, Independent Verification Test 1 Au1 hor (sI, E ditor(s) " k 'n *[i$,$ "4 *i',Z,i N'" ** J ^ ** *

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Conteactor 5 no,, S.,,on,i t.oo,,,,,,,, Sponsorship b'7'd'/c[,,',n,gs.,o,, Commession (. 15 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part 11 l'NDER OR Pl'RSU ANT TO INTER AGENCY AGREEMENTS EXHIBIT 4 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No. Contractor's Report No. Vol., Part, Rev., etc. yE ,'C0 1 Distribution 84 Category T* LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks Subtitle independent verification Tesi.ng Program independent Verification Test 1 Report Dates u,,,...,.,..,..,,..,,., c,, s,,i,.v,e u,,,, -. Author (s), Editor (s) ...,..e. L '. 'C.','. 7, ". '('i', *.t...' J. :"' '~~' * *~*5* Contrector s sr.........,...,~. Name and Address NRC Sponsorship P'* o* d 'o' Dives on of Resident and Ree.onal Aeactor inspection Office of Inspection and Intercoment U 5 Nwclear Regulatory Commession Washeng ton DC 20066 NRC FIN No. Nnc nm ssici Approved : August 29. 1984 16

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRr Appendix 3202 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Pa-t I* EXHIBIT 5 NRC FORM 426A, PUBLICATIONS RELEASE FOR UNCLASSIFIED NRC CONTRACTOR AND CONSULTANT REPORTS I WA WWCLt.A REGWhefoav toemess&#o.s i.g.o., *wwes..n Swee. 8 =. a** e.== = W A,C. o.w 436 C.3 me-awse. v

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a i PUBLICATION OF TECHNICAL REPORTS PREPARED BY i NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Palt 11 UNDER OR PURSUANT TO INTERAGENCY AGREE.MENTS j EXHIBIT 8 DISCLAIMER AND AVAILABluTY STATEMENTS (SACK OF COVER) l as0TICE - ] Thss seen peserw = en esseum e e.rt emend my a egner er es uness emme Government. Iemther the Unried Sinees Gesermosa ser any esmer shwest, er ser of cult snotevass, makes any serventy, esposess or asussed, or esseous any heel metemy of so-egensabisty ter any thod party's use, or the reestes of see ene, of asst hidesenden. M peewt er pesas destoned en thse esport, or sepassnes that in ese by ash Disd prey usedd not enkwiys p.eessy susnad rights l NOTICE Aveilebehty of Reference 04perels Cned in OgMC Pteheetions Most eocumeno cited in NRC pubiscatens unit be euestsWe from one of efe toltooing neurass:

1. The NRC Pubiec Document Room,1717 H Street, N W Washeeton, OC 20866

2. The NRC/GPO leise Preyam, U.S. Nuciese Repetesory Commassen, Washrigion, DC 20666 3 The Netienel Technscal Informeten $srvice, $enngfesad, VA 22181 Although the lettin6 that foNews represena the majority of ensuments seced 6n NRC pubiseguens n a not enwned to be enhaustrve Referenoud documens evedstene for inspecten end sepyme ter a fee from the teRC PwWes Oesu-ment Aoom include N AC eerremonesnee and mternal NRC memorends; NRC ONuo of emeesten end Enforcement toutletmo circulers. enfermeten rotesse, weemeten erW enuessepsten neesses, Ltcensee Iwent Reports. wendor report erei corresenderuce Commason peere, and W end licensse secumena ord corruponeenes The follo nne decurrens 6n the NUREG series en ow6tstee for eurususe bem the NAC/GPO Seles Preysm. termal NRC owM and comrector reports, NACgeonsored senterpose poussemps, and NRC teekten erW trechures. Also ow+newe ore Aspiseery Gusen, teAC supestsens in the Cher of Feerer Aepuistene, end %edser Aewdetery Conunmowi feensus.

Deev wns oneinebee from the 80stionel Temhniemi Intermeten Gewee include 800AGG owimi a resere end teshnscal repens presored tv ether toewei agmee end espers papped by the Asamic Energy Censvismen, lererunner epwty to 1810 Nuelser AgsteeBry h Douwmane suolistle trem pubese and apostel talfedual tesortes tsubsde as egen liepensu lessa, such as teshs, foumel and seredusa arteles, and essensteem Alsekret Angeser neouse, tuppet and seu inguisten, end eenyemenet meerm een unse, to emessed from than utronsa. Deeunone asch as thans, ennusriessem. torelyi neers ese esselselene, and nonde4C assemeseus peessempi are cellsWe ter pusehus trem the ergunlession mesmertug Wie pieAmedan sleed. $me e copies of NRC ereft reports are erede66e free, to the estent of agedy, upon erteest seesset n se the o..en of Techn.i inewmsion ww osannem Conwet. Us. seusene Reyesswy Com. moon,Wees netea, oc agens. Ceems of Widuary esses end tanneere used in a mesonene menner in to te8tC seuleswy asessus are noemened at the NRC Lerary, 7930 seertedh Aenue tschends. thrytand, esW ese essmanas vi.e ser ree.ena um by we einhe. caem ww emnewe== emmoy smovngness ew n., me pinsemed *em

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A, r n Neer i s ndwo i .tuw. too n,ose.,, seen ves, Nv isoie. cooe-.= see, m Approw d A u gu s t 20, 1981 18

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annendix 3202 UNDER OR PURSU ANT TO INTER AGFNCY AGREEMENTS Fr: II EXHIBIT 7 NRC FORM 336. BIBLIOGRAPHIC DATA SHEET I r*".;;? smuoanAmc oATA sustT .. ~. g u, 4 fty .,......e..n..., F .e. 19 Approved: August 29. 1984

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e PUBLICATION OF TECHNICAL REPORTS PREPARED BY ~ NRC Appendix 3202 NRC CONTRACTORS,-INCLUDING REPORTS PREPARED Part 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 7 (Continued) BACK OF NRC FORM 335 e DO NOT PRINT THESE INSTRUCTIONS AS A PAGE IN THE NUREG REPORT ateSTAUCTIOne$ N#C PORM 336,318Lt0GR APHIC OATA SMitT,18 SASED Oed GUIDELeases 70m 80mMAT Aeso PAODUCTIO88 06 SCstests#sc At*O TECHNICAL Rto0RTS, AN81 239 18 1974 AVAILAOLE FA0es AME*lCAN NAf t0NAL STAnf0AmD8 #NSTITUTE.1430 em0A0way, New vomac, Nv 10010 t ACM stpAmAftLY S0ves0 REPom?.POA EXAMPLE.8ACM VOLUME see A MULTsv0LUME SET.$ MALL MAvt 175 UNIQUE B196600mAPHIC OATA SMEET. i 1. Alp 0RT fouseSER. Each iacevesven, towne eseoet eaeH 16 $P0ee80418e0 OAOases2ATION. Lis, penc 0.ve.ca. 0H.co eeety a waneve eenea mee c ees.eaetea (NumtGi es.gese U.S Nuc*eet Asewleteev Comm es.ea, wesaingtoa, DC 206H w by the Devis.on of Tecnaeco, lateemetea one Deswmeat Centeoi A DM. m accereeace w ta Amer cea Net. east

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Leet no more thea two tevens et en eegeaisetenet heceremy. fee oesawee "wassneses", er temstatea fee reseeat etsee Ossiev the reme et the orgsuset.ea enactiv es teHows thea secweety Omseen, Off.ce, Oegeneesten se Geweransent egency, one eserene M. 00Cua Tv CLAmoreCAfsO d. tater U s Seewe.tv Cieesd* est ea en acceteence seeth U $ Seew et, mesviet eas O e, & PA030CT/TA$euwCRu uself IeUtsett. Use tae pre ect, wwienesquel e tase eas weet wa.t avmeses wasee ween the esport was petaevedlifpayi U, GMAGE R OF PASS $. Leone tene. lAesse tv NTill i l O Plot 04 GRAtt? 88 UMBER easert the FIN ee great avmese

10. PR6Ct. Leeve esone. (Asess tv NTisi j

wasee whech repeet sees passerse ] 1 I I Approved: August 29. 1984 20 j J .-________________-_-a

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART 111 UNCLASSIFIED TECHNICAL LETTER REPORTS A. FORMAT 1. Applicability 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 f of those copies will be specified by the project manager. If unclas-( sified and non-sensitive, the NRC project manager is responsible for making such reports available in the NRC Public Document Room (PDR) by sending them to the PDR through the NRC Document Control System. B. PATENT AND SECURITY REVIEWS 1. Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC. If the work being reported is contractually 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 contractor is unable to obtain a patent clearance from the government agency administer-ing the contract, the responsible NRC contracting officer shall be consulted, and the responsible NRC project manager shall consider the patent implications. If there is a possibility that there is disclosure of developments of an inventive nature, the NRC contracting officer shall request assistance from the NRC Patent Counsel Office of the Executive Legal Director. 21 Approved: August 29, 1984

) PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part 111 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 2. Security Review { In most cases, contractor technical letter reports will be unclassi-fied. Should 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 i and inform the contractor of such procedures. The' standards for marking and handling such reports are given in Part V of this appendix and NRC Appendix 2101. -I i d, i 1 l l l 1 1 I l Approved: August 29, 1984 22 \\ _.______________.____________J

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE NRC OFFICE OF NUCLEAR REGULATORY RESEARCH 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. f \\' 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 Exhibits 3 and 4 and discussed below shall appear on the front cover and title page, as appro-p ria te. ** While layouts and typefaces need not be exactly the same as in Exhibits 3 and 4, the items shall appear in approxi-mately the locations indicated and with the same relative prominence. (1) NRC Report Number Each report shall be identified by an NRC-controlled alpha-numeric designation as the prime designation unique to that document. The centralized report control system for unique identification is maintained by the Division of Technical Information and Document Control. Numbers may The cover stock of the performing organization may be used; however it must include the data elements shown in Exhibit 3. These requirements meet the specifications of American National Standard as c ( ANSI Z39.18-1974, " Guidelines for Format and Production of Scientific and Technical Reports," and ANSI Z39.23-1974, " Technical Report Numbers. " 23 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part IV UNDER OR' PURSUANT TO INTERAGENCY AGREEMENTS be obtained by calling the Division of Technical Informa-tion and Document Control or by submitting a copy of - NRC Form 426A (Exhibit 5) with a request for a number. The NRC identification number wiD 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. j l When a report consists of more than one volume or bind-1 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 shan be shown entirely on one line to facilitate computer processing. 1 (2) Title and Subtitle 4 (a) Use a brief title, which indicates clearly the subiect matter covered in the report. l (b) When a report is prepared in more than one volume, l 1 repeat the primary title on each volume. 1 (c) If appropriate, show the type of report (e.g., 3 annual report, final report, etc. )' and the period. covered as part of the subtitle. a (3) Personal Author (s)' Name(s) 1 (a) Authors' names. should be given on the title page and cover unless this is impractical, as in the case-of annual reports which have many contributors. If authors' contributions are as editors, compilers, l etc., so indicate on title page and cover foDowing the names. In addition, list affiliation of each author y only if affiliated with an organization other than the organization generating the report. (b) Authors may be identified on backstrips (spines) of bound volumes. (4) Organization Identification (a) On the cover, provide the name of the contractor responsible for preparing the report, fouowed by " Prepared for the U.S. Nuclear Regulatory Commission. " i Approved: August 29, 1984 24

PUBLICATION OF TECllNICAL' REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 k, UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV (b) On the title page, provide information of the type illustrated in Exhibit 4. (5) Basis for Report Dates (s) (a) The basis for dating may be shown along with the date on the title page. Varbus bases for dating are possible; e.g., date report completed, date reviews completed, date published, date distributed, etc. (b) More than one date, with the basis for each, may be shown where this is necessary. 3. Availability and Price Information All formal reports will be made available for sale by NRC and NTis. The statement shown in Exhibit 6 is required on the inside of the front cover. 4. Disclaimer The following notice shan 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 Urited States Government nor any agency thereof, or t any of their employees, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third party's use, or the results of such use, of any information, apparatus, product or process disclosed, or represents that its use by such third party would not infringe privately owned rights." The follow-ing additional statement, "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" will be printed below the standard disclaimer, if appropriate. Other qualifying statements may be added, if needed (see Part I.C., Requirements for Draft Reports). 5. Previous Reports in Series if the report being prepared is one in an ongoing series, list all previous reports in the series. Include report numbers and issuance dates. Place this list on the back of the title page. 6. Abstract An abstract of 200 words or less shall be prepared for each formal report. Within the report, the abstract shall appear on a separate page between the list of previous documents in the series and the contents page.* gThis preferred positioning of the abstract in the document need not be fol-( lowed if the style manual of the originating organization requires a different location. 25 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part IV UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS References and Bibliographies Reports or other documents referenced in text, reference sections, bibliographies, and appendixes of unclassified regulatory and I 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, " Technical Writing Style Guide, " pub-lished in November 1979 (see Appendix A, pp.19-23, for specific guidance) and Supplement I dated February 1982. 8. Bibliographic Data Sheet NRC Form 335 (Exhibit 7) shall be prepared and included in the camera-ready copy as the final right-hand page. B. PATENT AND SECURITY REVIEWS 1. Patent Review Patent implications shall be considered prior to approval of reports for public release so that disclosure will not adversely affect the patent rights of NRC or the contractor. The DOE Operations Office responsible for the contractor should perform the patent review. The results of such review shall be reported by.the contractor on NRC Form 426A in item 11 (Exhibit 5). 2. Security Review In most cases, reports will be unclassified. Should a report of sen-sitive unclassified or classified work be' required, however, the NRC project manager must work with the Division of Security to j 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. j Approved: August 29, 1984 26

1 1 l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV L 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 shall be submitted to the Division of Technical I Information and Document Control, with completed NRC Form 426A. The number of copies specified by the Statement of Work for stand-1 ard and incidental distribution shall be provided. The appropriate identifying number (NUREG/CR _) may be obtained as discussed in l 3 Section A.2.b.(1). 2. Reprinting Requests for reprinting of any report at NRC expense subsequent to the initial printing requires approval of the Division of Technical Information and Document Control. The request shall include a written justification and the project managers approval for the re-printing, along with address labels for the recipients. 3. Distribution of Reports (( 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). l NRC Form 426A must be signed by a contractor official authorized l by the project manager. Such authorization shall be reported in l writing to the Division of Technical Information and Document j Con trol. If any distribution is to be made other than, or in addition to, the standard distribution established for the report, written justification and the project manager's approval for printing additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control. Address l labels for the additional distribution must be supplied. l of Technical Information and Document Control will Division The arrange automatic distribution of these reports to the NRC Docu-ment Control System, the NRC Public Document Room, the National Technical Information Service (NTIS), the Government Printing Office and the Depository Library Service. Distribution of sensitive (unclassified) and classified reports will be made by the NRC project manager on a case-by-case basis. .c k 27 Approved: August 29, 1984

x PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 ( PART V REPORTS CONTAINING SENSITIVE UNCLASSIFIED ' AND CLASSIFIED INFORMATION A. APPLICABILITY These procedures and exhibits 'of this part ' apply to sensitive unclassi-fied and classified reports prepared by NRC contractors. These reports include those designated: Official Use Only Limited Official Use Proprietary Information Safeguards Information Confidential Secret Top Secret Only sufficient information is presented here to aid in the preparation of the properly marked covers, title pages, back covers, and text pages. Details of the NRC Security Program and specific provisions for deter-( mining when to use the markings exhibited are contained in NRC. g Appendix 2101. The reports covered are defined as sensitive unclassified or classifie'd. Sensitive unclassified information refers' to information designated Official Use Only, Limited Official Use, and Proprietary Information. Sensitive unclassified information also includes Safeguards Information that must be protected from unauthorized disclosure pursuant to 10 CFR 73.21 and Section 147 of the Atomic Energy Act of 1954, as

amended, information withheld from public ' dissemination under: the Freedom of Information Act or Privacy Act, and 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. Infonnation that requires j 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 ONI Y AND LIMITED OFFICIAL USE INFORMATION. NRC regulations rcwire an Official Use Only marking to be placed on a .( report only when the originator or other holder believes the marking is i 29 'A'pproved: ' August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part T UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS essential to ensure proper handling. Reports designated Official Use Only will contain only unclassified information originated by or furnished to an NRC contractor which is to be withheld from public disclosure. The 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 Limited Official Use information shall be marked as shown in Exhibits 11 through 13. Procedures for reproducing, transmitting, protecting, and handling reports containing Official Use Only and Limited Official Use information and removing such reports from those categories are dethiled in NRC Appendix 2101. C. PROPRIETARY INFORMATION Proprietary information is a specific type of Official Use Only informa-tion. Proprietary information includes: 1. trade secrets. 2. privileged or confidential research, development, commercial or financial information exempt from mandatory disclosure under 10 CFR Part 2. " Rules of Practice for Domestic Licensing Proceed-ings," Sections 2.740 and 2.790 and ender 10 CFR Part 9, "Public Records," Section 9.5, " Exemption,' 3. information submitted in confidence to NRC by a foreign source, which has been determined by NRC to be unclassified. Unclassified NRC contractor reports containing proprietary information shall be marked as shown in Exhibits 14 through 18. In each instance, the optional wording that describes the material being presented should be selected. If a report contains both Official Use Only information and proprietary information, the front cover shall be niarked as proprietary infonnation and may also be marked as Official Use Only information, if necessary. Pages in the report that contain proprietary information may be marked accordingly, including, marginal or other indicators of the specific wording that is proprietary. Similarily, the pages that contain Official Use Only infonnation without proprietary information may be marked Official Use Only i Approved : August 29, 1984 30

o .+ ) PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED-NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V 1 Procedures for reproducing, transmitting, protecting and handling pro-prietary information reports and removing them from the proprietary information category are detailed in NRC Appendix 2101. A cover sheet ) (Exhibit 19)' is to be placed on each hard copy of a report containing proprietary information. D. SAFEGUARDS INFORMATION j ) Safeguards -information may be of three types: (1) classified informa- 'i tion, which is marked and handled as indicated in Section E, (2) un-( classified information restricted unt', Section 147 of the Atomic Energy { Act, which is marked and handled described in this Section, and (3) { unclassified information, which is publicly available and handled as -j indicated in Parts I through IV. The shfeguards information that is to be protected as described here is unclassmed 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 f acilities. 4' Unclassified NRC contractor reports containing safeguards information that is to be protected shall be marked as shown in Exhibits 20 through 22. ) Procedures for reproducing transmitting, 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 categories are detailed in NRC Appendix 2101. These procedures are too complex for summarizing here. Classification determinations regarding NRC information may be made solely by authorized classifiers designated-by NRC or DOE. Authorized 4 classifiers are responsible for insuring that reports they determine to j be classified are marked and protected in accordance with the provisions i of NRC Appendix 2101. k 31 Approved: August 29, 1984 l I l

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS It is important to note that information may not be clastified in order to prevent or delay the release of information that- _does not require protection in the interest of national security. Basic scientific research information not clearly related to national security may not be classified. i 1 I Approved : August 29, 1984 32

PUBLICATION OF TECHNICAL REPORTS PREPARED BY i NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Part V EXHIBIT 8 J SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY NUREGICR XXXX (Si Title Subtitle and Type of Report Authortsl. Editor (s> e ereIfor U $ feuclear Regudetory Comm6eelon ( \\ n mao.C 8 ADV PUBdC D'50 &D5 s$1 l i OFFICIAL USE ONLY ~ l 33 Approved: August 29, 1984 ___._--_--a

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V l'NDER OR Pl*RS1* ANT TO INTER AGENCY AGREEMENTS t EXHIBIT 9 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION \\ OFFICIAL USE ONLY NUREG/CP XXXX 15) Title Subtrue and Type of Repon s',;720~~% ;','., 2.' O '..'* r,... E',:Ps'a' onic. g,$ Nuc,6 egu Commiseson NKC FIN ho OFFICIAL USE ONLY Approved : August 29. 1984 34

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 De V UNDER OR PURSU ANT TO INTER AGENCY AGREEMENTS EXHIBIT 10 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY k, i 1 1 l OFFICIAL USE ONLY k\\. 35 Approved: August 29, 1984 a

PUBLICATION OF TECHNh'AL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part \\' 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) Title Subtitle and Type of Report AW f . E@torial clear Regulatory Commission A 1==06 0 sepy psgue 0.$t6csv ga LIMITED OFFICIAL USE I, Approved ; August 29, 1984 36 ~

~- i l e PUBLICATION OF TECl!NICAL REPORTS PREPARED BY 4 NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 ] UNDER OR PURSUANT TO_ INTER AGENCY AGREEMENTS Fm V ) (- EXHIBIT 12 i SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION I i LIMITED OFFICIAL USE l l NUREG/CR XXXX (S) Title Sutmoe and Type of Report l -,,C.,..

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Centracio, name and eaarese 4 r. red for ( ome. t \\' u.s. woei, n7ui.e.,y comme..i.n l UtMC l l l l LIMITED OFFICIAL USE 37 Approved: August 29, 1984

i l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS l l EXHIBIT 13 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE l 1 l l 4 I i { l l 1 j l LIMITED OFFICIAL USE l Approved : August 29, 1984 38

PUBLICATION OF TECHNICAL REPORTS PREPARED BY j NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Part V \\ EXHIBIT 14 j SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION PROPRIETARY INFORMATION NUREGICR-XXXX (PI Title Subtitle and Type of Report j Authortst, Edttor(s) Contracto' Propeted for U $ Nucteer Regulatory Commiselon f q MMI A6 08 f t%a IN,08 ON .::.::;n:nr ~~~ s..c.;o-- ..~.,o., -. E,o p o,.. a...I.c os ( .p . noc., e.., ri. e piboe m. i % outpic oscosve po. wiimaO*D pmou pus it Disctosvot p.., i.. .,e o.<, o... PROPRIETARY INFORMATION ( 39 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part \\' 11NDER OR PURSUANT TO INTERAGENCY AGREEMENTS LXHlBIT 15 SAMPLE COVER PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE PROPRIETARY INFORMATION NUREG,CR XXXX (Pi Title Subtitle and Type of Report Authotist. (dttorlti Contrecioe Propered for U $ Nucleer Regulatory Comm6selon 50mgiGN sa,somuavio% .'%7.X? Yl*** '"*'"*' ..,.a.,...- ~ -...s. -. h,h,$h*hk'f*'*"* w'TMMOLD F#0M 'veuC D'5Ct0$v t a +,,... t...,. o~. c... l PROPRIETARY INFORMATION Approved : August 29, 1984 40

1 I PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTR ACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pe V j ( EXHIBIT 16 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING 1 PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION PROPRIETARY INFORMATION NUREGICR XXXX (P) l l Title I Subtros and Type of Report 1

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i coat. acto lowis A vehon e - nea. one eso..u f Propered for f Dwision g Office U.S Nuclear Regulatory Commission Weehington, D.C. 33566 NRC FIN No ta ADE 5f tal' 08 PaivittGID 08 CONerDENT*A. COMVlac A6 08 fin ANCia. 8N80mvatl0N This oocum.ni conis.ns iMoemsi on sotmneo to No; o, iNea o' Compen, ano Name o' but>=.ne. .-,.i..~.o...... ~ r#,r.";t#,.77.t,o.',Te?,7.e7.,'!. e.., , t ..o m.,os WITMMOLD pm0W,UtttC DISCLO5unt i$ v.wiv e levie end Onse 80eie PROPRIETARY INFORMATION 1 l 41 Approved: August 29, 1984

8 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTR ACTORS, INCLUDING REPORTS PREPARED Part \\' UNDER OR PURSUANT TO INTERAGENCY A.GREEMENTS EXHIBIT 17 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE PROPRiffARY INFORMATION 1 { NUREGICR XXXX (P) l Title sum..,e Tv,. o, a.,o,,

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4,,m.. a $'07,,'J',%70"J%' tC.'L 2'*3e... Pr..r.o so, Deve. ion ots.c. u a Nuci.., m.,vi.iory comm.. n W..hington D C 2tM6 NRC FIN No i 80#1 Gs '~80 9 A?'ON '%% 7.:!r"r''"" ,~.-...co- .... ~.-.. se.--,. %.;.:~.*"::i".* '".4.a*3:.C.";' L. pr. ne totsa p wtHH060 780W.utuC DiSCLOSvat is.,n... v ~ on ..io.. e PROPRIETARY INFORMATION l Approved : August 29, 1984 42

o PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS ar ( EXHIBIT 18 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION PROPRIETARY INFORMATION f s J I l i PROPRIETARY INPONMATION I 4 l 43 Approved: August 29, 1984 i

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 19 COVER SHEET FOR REPORT CONTAINING PROPRIETARY INFORMATION 4 PROPRIETARY INFORMATION NOTICE Tal ATT ACMED DOCUMENT CONTAIN5 "Pn0*AltTAAv mf 0a. A 60N =U0 0 of D $ $ ACE Ava:LAstl TO ANY PERSON NOT A80utmWG SUCN m80AMA s OaIo ANss$Nao A o D[s N evEA!= C EN IN A MANNEA WMICM wt6L A5$Umf TnAT rt$ CONTENTS Amt NOT MADE AVAILASLI TO UNavTwoogic PERSONS COPY DOCKET NO. CONTROL. REPORT. REC'D W/LTR DTD. l 1 PROPRIETARY INFORMATION A e o to tsse Approved : August 29, 1984 44

a-PUBLICATION OF TECHNICAL REPORTS PREPARED, BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Annandiv 3907 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Pa.t V EXHIBIT 20 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORMATION i I NUREGICRXXXX (SG) Title Subtitle and Type of Report Authorts). Editor (s) Contractor er...r.d for U.S Nucio.r Regunstory Commiselon f i i A**%7%*O"O.'"JT.,' ***'**' 1

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..o...,,,. no.i. 75%4f7.'70 L'L*"*Md" SAFEGUARDS INFORMATION \\ 45 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTR ACTORS, INCLUDING REPORTS PREPARED Part \\' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 21 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORMATION NUREGICR XXXX (SGI Title Subtme and Type of Report N'.1%W%% '*l.'.*. $.'ZL '40..... j'g:p" $8"g!{,'$*8"Mconunin.on SAFEGUARDS INFORM ATION Approved : August 29, 1984 46

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Anoendix 3202 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Pam V EXHIBIT 22 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION .l SAFEGUARDS INFORMATION i \\ l ) l SAFEGUARDS INFORMATION 47 Approved: August 29, 1984

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHl8tT 23 COVER SHEET FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION T (NX". Q .t s SAFEGUARDS INFORMATION g ,A; gy .b 5 ~ -{~ ', THIS DOCUMENT CONTAINS INFORMATION WHICH MUST BE PROTECTED FROM 1 UNAUTHORIZED DISCLOSURE.10 CFR 73.21 AND SECTION 147, ATOMIC ENERGY i ACT OF 1954 APPLY. VIOLATIONS ARE SUBJECT TO civil OR CRIMINAL PENALTIES. 4k g THIS DOCUMENT IS NOT TO BE LEFT UNATTENDED OR ACCESSIBLE TO UNAUTHORIZED PERSONS. WHEN NOT IN USE. IT MUST BE STORED IN A LOCKED SECURITY STORAGE er d CONT AINER. g IT IS YOUR RESPONSIBILITY TO PROTECT THE INFORMATION CONTAINED IN THIS DOCUMENT FROM COMPROMISE. THEFT OR UNAUTHORIZED DISCLOSURE. I h h e w l SAFEGUARDS INFORMATION 1 Approved: August 29, 1984 48

.I x J PUBLICATION OF TECHNICAL REPORTS PREPARED BY - NRC CONTRACTORS, INCLUDING REPORTS PREPARED : UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 i PART VI HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS - ) AND WITH U.S. INDUSTRY

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The Nuclear Regulatory. Commission has requested that its Program Offices establish, to the extent feasible, cooperative nuclear safety research programs that involve either or both - U.S. industry and foreign governments and orga-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 informa-tion on these programs developed for NRC by NRC contractors. This can be accomplished by distribution of "Draf t Preliminary Reports' (or Codes)" for / comment for e specified period of time, followed by issue as formal.NUREG/CR \\ reports, with the concurrence of the participants. Specific procedures for accomphshing these goals and for transmitting information prepared by the. NRC and DOE facilities and contractors and their subcontractors working on .i 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 Oper ations 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 shan be designated " Draft Preliminary Report (or Code)," and shall include the cover sheet shown in Exhibit 24. The foDowing. 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 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 (-s reproduced, whony or partiaDy, unless written permission to do so has been obtained from the appropriate USNRC office. j The re'cipient is.. requested to take the necessary action to ensure the protection of this report. l 49 Approved: August 29, 1984

s PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS This notice has been agreed to by the legal staffs of both NRC and DOE and is not to be added to or changed. Any problem in this regard shall be brought to the attention of the NRC project manager, who will consult with the NRC legal staff. The " Draft Preliminary Report (or Code)" shall be submitted by first class or express mail by the contractor to the NRC project manager, with the letter shown in Exhibit 25, in the number of ccpies.specified by the project manager (in most instances this will be fewer than 20 copies). The contractor (DOE facility, contractor or subcontractor or other coi.- tractor) may retain copies only for internal use. DOE facilities and contractors and their subcontractors shall not distribute copies of this draft report to DOE /TIDC. Draft reports may be distributed to interested DOE program offices. Subsequent issues of the information shall also be designated " Draft Preliminary Report (or Code)" untu the NRC project manager authorizes preparation of a NUREG/CR report. " Draft Preliminary Reports (or Codes)" shall not be identified as NUREG/CR reports or carry any contractor report number or NRC dis-tribution codes. B. DISTRIBUTION BY NRC PROJECT MANAGERS The NRC project manager will distribute the copies received only to (1) the participants in the program, (2) the NRC staff with a need-to-know. and (3) others authorized by the program or project manager. Trans-mittal to participants shall be by first class or express mail, including air mail to foreign participants. If premium cost mail services are to be used, a Division Director or comparable or higher authority must certify to the need on NRC Form 420, " Request for Premium Cost Mail Service " Premium cost mail is: 1. Express Mail, Priority Mail (First Class weighing more than 12 ounces) 2 International Express Mail ( Air Mail weighing more than 10 ounces) (See Chapter NRC-0255-058 and NRC Appendix 0255, Part V, Annex A) C. COMMENT PERIOD AND ISSUANCE OF NUREG/CR REPORT A minimum of six months will be allowed for comments and resolution of comments. At the end of the comment, period, the NRC project manager shall, with the concurrence of the participants, authorize the contractor to issue the information as a NUREG/CR report in accordance with the provisions of this Chapter. D. REPORT IDENTIFIERS The "Draf t Preliminary Reports (or Codes)" will be uniquely identified only by the Financial Identification Number (FIN) assigned by NRC and 1 Approved: August 29, 1984 50

....... ~ -e m PUBLICATION OF TECHNICAL REPORTS PREPARED BY.- NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI I .( J 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 I 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 l 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 pariici-pants. f t 51 Approved: August. 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 24 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, Issue No. 1) Prepared by (Name of 00E Facility, Contractor and/or Subcontractors, if any) for U.S. Nuclear Regulatory Commission NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of Comission action. It has not received patent review and m4y cuntain information received in confidence. Therefore, the contents of this report should neither be disclosed to others nor reproduced, wholly or partially, unless written permission to do so has been obtained from the appropriate USNRC office. The recipient is requested to take the necessary action to ensure the protection of this report. Approved : August 29, 1984 52

~ PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS,' INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI EXHIBIT 25 i TRANSMITTAL LETTER FROM CONTRACTOR TO NRC PROJECT I MANAGER FOR DRAFT PRELIMINARY REPORT 1 l T0: NRC Project Manager J i

SUBJECT:

DRAFT PRELIMINARY REPORT (CODE) ON (PROGRAM TITLE) FOR COPMENT The enclosed "Draf t Preliminary Report (Code)" is being submitted for comment. It is our understanding that the comment period shall extend six months from ) the date of mailing of the draft to the participants. Upon resolution of the I comments af ter that period and with concurrence of the cooperative program i I participants, the NRC Program Manager will authorize publication of this i k report in the NUREG/CR series under the provisions of NRC Manual Chapter 1102 or 3202. i DOE Facility or Contractor Representative (- b 53 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED ,NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V1 i EXHIBIT 26 TR ANSMITTAL SHEET FOR REQUESTING MAILING TO COOPERATIVE PROGRAM PARTICIPANTS Recipients : Addresses on attached labels Method of Mailing: C/ First Class Postal Service to U. S. addresses C/ Express mail to U. S. addresses * { C/ Air mail to foreign addresses

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

I i THIS MAILING CONTAINS NO PROPRIETARY INFORMATION OR OTHER I SENSITIVE UNCLASSIFIED INFORMATION ] l Special Instr uctions: Individual Requesting Mailing: Project Manager or High Authority

Enclosures:

1. Address labels 2. Documents to be maUed l

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

1. Express Mail, Priority Mail (First Class weighing more than 12 ounces) 2. International Express Mail (Air Mail weighing more than 10 ounces) (See Chapter NRC 0255-058 and NRC Appendix 0255, Part V, Annex A) l 54 Approved: August 29, 1984 _ __ x}}