ML20246E748

Contract: R&D on Issues Re Severe Accident Mgt Strategies in Nuclear Reactors, Awarded to Scientech,Inc

ML20246E748
Person / Time
Issue date:	04/24/1989
From:	Mattson R, Smith P NRC OFFICE OF ADMINISTRATION (ADM), SCIENTECH, INC.
To:
Shared Package
ML20246E746	List: ML20246E742 ML20246E748
References
CON-FIN-L-12139, CON-NRC-04-89-049, CON-NRC-4-89-49 NUDOCS 8905120008
Download: ML20246E748 (117)

Text

{{#Wiki_filter:. 'M1 yg AWARD / CONTRACT Page 1 of 2 Pages

1. THIS CONTRACT IS A RATED ORDER UNDER DPAS (15 CFR 350) RATING 1

1

2. CONTRACT NO.

l3. EFFECTIVE DATE l4. REQUISITION / PURCHASE (Proc. Inst. Ident.) No.! l REQUEST / PROJECT NO. NRC-04-89-049 l 4/24/89 l RES-89-049 1

5. ISSUED BY Code:

l6. ADMINISTERED BY Code: l (If other than Item 5) U.S. Nuclear Regulatory Commission l Contract Administration Branch j Div. of Contracts & Property Mgmt. l Div. of Contracts & Property Mgmt. Contract Neg. Branch No. 2; P-1042 l Mail Stop P-902 Washington, DC 20555 l Washington, DC 20555 CONTACT - Deborah DeMarco l PHONE - (301) 492-4279 l l

7. NAME AND ADDRESS OF CONTRACTOR l 8. DELIVERY SCIENTECH, INC.

l () FOB ORIGIN Engineering & Management Services l (x) OTHER (See below) See niock 11 11821 Parklawn Drive l Rockville, Maryland 20852 l 9. DISCOUNT FOR PROMPT PAYMENT l N/A Code: l Facility Code: l l

10. SUBMIT INVOICES (4 copies unless otherwise specified) TO THE ADDRESS SHOWN IN ITEM: 12

11. SHIP T0/

CODE (See Section F)l12. PAYMENT WILL CODE MARK FOR l BE MADE BY See Section F.5 U.S. Nuclear Regulatory Commission l Division of Accounting and Finance l GOV /COM Accounting Section l Washington, DC 20555

13. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION

( ) 10 U.S.C. 2304(c)( ) ( ) 41 U.S.C. 253(c) ( )

14. ACCOUNTING AND APPROPRIATION DATA B&R No. 9601920050 FIN NO. L12139 APPRO. NO. 31X0200.609 OBLIGATION: $150,000.00 15A. ITEM ISB. SUPPLIES /

ISC. QUANTITY 150. UNIT ISE. UNIT 15F. AMOUNT NO. SERVICES PRICE ( Provide services to perform research in accordance with l SCIENTECH, INC.'s technical proposal dated July 1, 1988, i as amended March 6, 1989, March 17, 1989 and April 7, 1989. { 1 l 15G. TOTAL AMOUNT OF CONTRACT $255,496.00 EXCEPTION TO STANDARD FORM SF26 (REV.4-85) Prescribed by GSA FAR(48 CFR) 53.214(a) 8905120008 890424 PDR CONTR NRC-04-89-049 PDC ]

l AWARD / CONTRACT Page 2 of 2 Pages 16. TABLE OF CONTENTS X SEC DESCRIPTION PAGE(S) l, PART I - THE SCHEDULE } A SOLICITATION / CONTRACT FORM l B SUPPLIES OR SERVICES AND PRICES / COSTS C DESCRIPTION / SPECIFICATIONS / WORK STATEMENT D PACKAGING AND MARKING E INSPECTION AND ACCEPTANCE F DELIVERIES OR PERFORMANCE G CONTRACT ADMINISTRATION DATA H SPECIAL CONTRACT REQUIREMENTS PART II - CONTRACT CLAUSES I CONTRACT CLAUSES PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS J LIST OF ATTACHMENTS PART IV - REPRESENTATIONS AND INSTRUCTIONS K REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFER 0RS L INSTRUCTIONS, CONDITIONS, AND NOTICES TO 0FFER0RS M EVALUATION FACTORS FOR AWARD 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 4 copies to issuing office.) Contractor agrees to l furnish and deliver all items or perform all the services set forth or otherwise identified above and on any continuation sheets for the consideration stated herein. The rights and obligations of the parties to l this contract shall be subject to and governed by the following documents: (a) i 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 cbove 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 l 20A. NAME OF CONTRACTING OFFICER (Type or print) l (V U, M 0w _ hu bd (M 19B'. NAME OF CONTRACTOR' l 208. UNITED STATES OF AMERICA by WA' ff L by OS/O (Signaturf of persbn authorized to sign)' (Signature of Contracting Officer) ' 20C. DATE SIGNED gg 19C. DATE SIGNED EXCEPTION TO STANDARD FORM 26 (REV.4-85)

TABLE OF CONTENTS PAGE 3 AWARD / CONTRACT........................... 1 i TAB LE OF CONTENTS.......................... 3 PART I - THE SCHEDULE........................ 5 SECTION B - SUPPLIES OR SERVICES AND PRICE / COSTS.......... 5 B.1 BRIEF DESCRIPTION OF WORK (MAR 1987)............ 5 B.2 CONSIDERATION AND OBLIGATION--COST PLUS FIXED FEE..... 5 (JUNE 1988) ALTERNATE I (JUNE 1988) SECTION C - DESCRIPTION / SPECIFICATION................ 6 / WORK STATEMENT C.1 STATEMENT OF WORK (MAR 1987)................ 6 C.2 TRAVEL APPROVALS (MAR 1987)................ 6 SECTION D - PACKAGING AND MARKING.................. 7 D.1 PACKAGING AND MARKING (MAR 1987).............. 7 SECTION E - INSPECTION AND ACCEPTANCE................ 8 E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE. 8 SECTION F - DELIVERIES OR PERFORMANCE................ 9 F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE. 9 F.2 PREPARATION OF TECHNICAL REPORTS (JUNE 1988)........ 9 F.3 TECHNICAL PROGRESS REPORT (JUNE 1988)........... 9 (OMB CLEARANCE NUMBER 3150-0112) F.4 FINANCIAL STATUS REPORT (JUNE 1988)............ 10 (OMB CLEARANCE NUMBER 3150-0112) F.5 PLACE OF DELIVERY--REPORTS (JUNE 1988)........... 10 F.6 DURATION OF CONTRACT PERIOD (MAR 1987)........... 11 SECTION G - CONTRACT ADMINISTRATION DATA.............. 12 G.1 INDIRECT COST RATES (JUNE 1988).............. 12 G.2 PROJECT OFFICER AUTHORITY (JUNE 1988)........... 12 G.3 TRAVEL REIMBURSEMENT (JUNE 1988).............. 14 SECTION H - SPECIAL CONTRACT REQUIREMENTS.............. 16 H.1 KEY PERSONNEL (MAR 1987).................. 16 H.2 SAFETY, HEALTH, AND FIRE PROTECTION (MAR 1987)....... 17 H.3 DISSEMINATION OF CONTRACT INFORMATION (MAR 1987)...... 17 H.4 PRIVATE USE OF CONTRACT INFORMATION AND DATA (JUNE 1988).. 17 H.S ORGANIZATIONAL CONFLICTS OF INTEREST..... 17 (OMB CLEARANCE NUMBER 3150-0112) (JUNE 1988) H.6 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED.. 19 (JUNE 1988) PART II - CONTRACT C LAUSES..................... 20 SECTION I CONTRACT C LAUSES.............. 20 I.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE. 20 1.2 CLAUSES INCORPORATED BY REFERENCE............. 21 (FAR 52.252-2) (JUN 1988) I.3 PROMPT PAYMENT (52.232-25) (APR 1989)........... 21

P7 5 1, TABLE OF CONTENTS PAGE 4 I*4 ELECTRONIC FUNDS TRANSFER PAYMENT METHODS.......... 26 (52.232-28)(APR1989) 1.5 DRUG-FREE WORKPLACE (FAR 52.223-6)............. - 2 71 PART III - LIST OF DOCUMENTS, EXHIBITS............... -30 AND OTHER ATTACHMENTS SECTION J - LIST OF ATTACHMENTS,................... 30 J.1 ATTACHMENTS (MAR 1987).................... 30 a ___...._______________________m____. . _ _ _ _ _______ _ _ m

Page 5 NRC-04-89-049 Section B PART I - THE SCHEDULE SECTION B - SUPPLIES OR SERVICES AND PRICE / COSTS B.1 BRIEF DESCRIPTION OF WORK (MAR 1987) Provide services to perform research entitled "Research and Development on Issues Related to Severe Accident Management Strategies in Nuclear Reactors." (End of Clause) B.2 CONSIDERATION AND OBLIGATION--COST PLUS FIXED FEE (JUNE 1988) ALTERNATE I (JUNE 1988) a. The total estimated cost to the Government for full performance of this contract is $255,496.00, of which the sum of $234,400.00 represents the estimated reimbursable costs, and of which $21,096.00 represents the fixed fee. b. There shall be no adjustment in the amount of the Contractor's fixed fee by reason of differences between any estimate of cost for performance of the work under this contract and the actual cost for performance of that work. c. The amount presently obligated by the Government with respect to this contract is $150,000.00. d. It is estimated that the amount currently allotted will cover performance through 11/30/89. (End of Clause)

NRC-04-89-049 Section C SECTION C - DESCRIPTION / SPECIFICATION / WORK STATEMENT l C.1 STATEMENT OF WORK (MAR 1987) l The contractor shall perform research in accordance with the Technical Proposal entitled, "Research and Development on Issues Related to Severe Accident Strategies in Nuclear Reactors" dated 7-01-88 as amended 3-06-89, 3-17-89 and 4-07-89 which are hereby incorporated by reference and made a part of this contract. l (End of Clause) C.2 TRAVEL APPROVALS (MAR 1987) a. All domestic trsvel 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. Such approval will be communicated in writing through the Contracting Officer. (End of Clause) i mA___ ___m_m.__.

1 iib NRC-04-89-049 SECTION D - PACKAGING AND MARKING 1 i l D.1 PACKAGING AND MARKING (MAR 1987) The Contractor shall package material for shipment to the NRC in such a manner that will insure acceptance by common carrier and safe delivery at destination. Containers and closures shall comply with the Interstate Commerce Commission Regulations, Uniform Freight Classification Rules, or regulations of other carriers as applicable to the mode of transportation. On the front of the package, the Contractor shall clearly identify the contract number under which the product is being provided. (End of Clause) i

Page 8 Section E SECTION E - INSPECTION AND ACCEPTANCE E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE i NOTICE: The following solicitation provisions and/or contract clauses pertinent to this section are hereby incorporated by reference: FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) NUMBER DATE TITLE 52.246-5 APR 1984 INSPECTION OF SERVICES-- COST-REIMBURSEMENT l l l } L-_----------_--

Page 9 NRC-04-89-049 Section F SECTION F - DELIVERIES OR PERFORMANCE F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE NOTICE: The following solicitation provisions and/cr contract clauses pertinent to this section are hereby incorporated by reference: FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) NUMBER DATE TITLE 52.212-13 APR 1984 STOP-WORK ORDER ALTERNATE I (APR 1984) F.2 PREPARATION OF TECHNICAL REPORTS (JUNE 1988) i All technical reports required by Section C and all Technical Progress Reports required by Section F are to be prepared in accordance with the attached NRC Manual Chapter 3202. NRC Manual Chapter 3202 is not applicable to any Contractor Spending Plan (CSP) and any Financial Status Report that may be included in this contract. (See Section J for Litt of Attachments). (End of Clause) F.3 TECHNICAL PROGRESS REPORT (JUNE 1988) (OMB CLEARANCE NUMBER 3150-0112) The Contractor shall provide a monthly Technical Progress Report to the Project Officer and the Contracting Officer. The report is due within 15 calendar days after the end of the report period and shall identify the title of the project, the contract number, project manager and/or principal investigator, the contract period of performance, and the period covered by the report. Each report shall include the following for each discrete task: a. A listing of the effor.ts completed during the period; milestones reached or, if missed', an explanation provided; b. Any problems or delays encountered or anticipated and recommendations for resolution; (if the recommended resolution involves a contract modification, e.g., change in work requirements, level of effort (cost) or schedule delay, the Contractor shall i 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. l

LL -^ NRC-0S-89-0G9 ~ Section F (End of Clause) t F. 4 FINANCIAL STATUS REPORT (JUNE 1988) (0MB CLEARANCE NUMBER 3150-0112) The Contractor shall provide a monthly Financial Status Report to the Project Officer and the Contracting Officer. The report is due within 15 calendar days after the end of the report period and shall identify the title of the project, the contract number, project manager and/or principal investigator, the contract period of performance, and the period covered by the report. Each report shall include the following for each discrete task: a. Provide total estimated cost (value) of the project as reflected in the contract, the amount of funds available in the contract to date, and the balance of funds required to complete the work as follows:

1) Total Estimated Contract Amount.

2) Total Funds Obligated To Date.

3) Total Costs Incurred This Reporting Period.

4) Total Costs Incurred To Date.

5) Balance of Obligations Remaining.

6) Balance of Funds Required To Complete Contract.

b. Detail of all direct and indirect costs incurred during the reporting period for each task. c. Update the approved Contractor Spending Plan (CSP) if required under this contract. If there have been no changes to the projections, a certification to that effect may be provided with the Financial Status Report in lieu of the CSP. (End of Clause) F.5 PLACE OF DELIVERY--REPORTS (JUNE 1988) i The items to be furnished hereunder shall be delivered, with i all charges paid by the Contractor, to: ] a. Project Officer (2 copies) U.S Nuclear Regulatory Comnission Contract Number: NRC-04-89-049-01 Office of Nuclear Regulatory Research Division of Reactors and Plant Systems NL/N-353 Washington, D.C. 20555 b. Contracting Officer (1 copy) U.S. Nuclear Regulatory Commission Contract Number: NRC-04-89-049 Division of Contracts and Property Management Contract Administration Branch

Page 11 NRC-04-89-049 Section F Washington, D.C. 20555 (End of Clause) F.6 DURATION OF CONTRACT PERIOD (MAR 1987) This contract shall commence on 4/24/89 and will expire on 04/23/90. t (End of Clause)

1 vage u NRC-04-89-049 Section G SECTION G - CONTRACT ADMINISTRATION DATA G.1 INDIRECT COST RATES (JUNE 1988) l t a. Pending the establishment of final indirect rates which f shall be negotiated based on audit of actual costs, the Contractor I shall be reimbursed for allowable indirect costs as follows: l 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 l responsibility to notify the Contracting Officer in accordance with 52.232 Limitation of Cost or 52.232 Limitation of Funds, as applicable, if such change (s) affect (s) performance of work within the established cost or funding limitations. (End of Clause) G.2 PROJECT OFFICER AUTHORITY (JUNE 1988) a. The Contracting Officer's authorized representative hereinafter referred to as the Project Officer for this contract is: Name: Fuat (Frank) Odar Address: U.S. Nuclear Regulatory Commission Office of Nuclear Regulatory Research NL/N-353 Washington, DC 20555 Telephone Number: (301) 492-3575 b. Performance of the work under this contract shall be subject to the technical direction of the NRC Project Officer. The term " Technical Direction" is defined to include the following: 1) Technical direction to the Contractor which shifts

l Page 13 NRC-04-89-049 Section G ' work emphasis between areas of work or tasks, fills in details or otherwise serves to accomplish the contractual statement of work. 2) Provide advice and guidance to the Contractor in the preparation of drawings, specifications or technical portions of the work description. 3) Review and, where required by the contract, approval of technical reports, drawings, specifications and technical information to be delivered by the Contractor to the Government ) under the contract. c. Technical direction must be within the general statement of work stated in the contract. The Project Officer does not have the authority to and may not issue any technical direction which:

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

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

3) In any way causes an increase or decrease in the total

) estimated contract cost, the fixed fee, if any, or the time required 4 for contract performance.

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

5) Terminates the contract, settles any claim or dispute j

arising under the contract, or issues any unilateral directive j whatever. d. All technical directions shall be issued in writing by the ) Project Officer or shall be confirmed by such person in writing within ten (10) working days after verbal issuance. A copy of said written direction shall be furnished to the Contracting Officer e. The Contractor shall proceed promptly with the performance of technical directions duly issued by the Project Officer in the manner prescribed by this clause and within such person's authority under the provisions of this clause. f. If, in the opinion of the Contractor, ny 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.

L Page 14 .NRC-04-89-049 Section G + l r g. Any unauthorized commitment or direction issued by the Project Officer may result in an unnecessary delay in the Contractor's performance and may even result in the Contractor expending funds for unallowable costs under the contract. h. A failure of the parties to agree upon the nature of the instruction or direction or upon the contract action to be taken 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.

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

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

(End of Clause) G.3 TRAVEL REIMBURSEMENT (JUNE 1988) a. Total expenditure for domestic travel shall not exceed without the prior approval of the Contracting Officer, b. The Contractor is encouraged to use Government contract airlines, AMTRAK rail service, and discount hotel / motel properties in order to reduce the cost of travel under this contract. The Contracting Officer will, upon request, provide each additional l traveler with a letter of identification which is required in order to participate in this program. The Federal Travel Directory (FTD) identifies carriers, contract fares, schedules, payment conditions, and hotel / motel properties which offer their services and rates to Government contractor personnel traveling on official business under this contract. The FTD, which is issued monthly, may be purchased from the U.S. Government Printing Office, Washington, DC 20402. J c. The Contractor wir be reimbursed for reasonable domestic q travel costs incurred directly and specifically in the performance of this contract. The cost limitations for travel cosu are determined by the Federal Travel Regulations that are iri effect on the date of the trip. These Regulations specify the dai y 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. A copy of the Regulations may be obtained from the Superintendent of Documents, Government Printing Office, Washington, DC 20402. I l 4 J

NRC-04-89-049 Section G d. 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 due to the changes. e. The rates for foreign travel are established by the U.S. Department of State and are listed in a publication entitled " Maximum Travel Per Diem Allowances For Foreign Areas". Copies of this publication may be obtained from the U.S. Government Printing Office, Washington, D.C. 20402. (End of Clause)

l NRC-04-89-049 Section H i SECTION H - SPECIAL CONTRACT REQUIREMENTS l H.1 KEY PERSONNEL (MAR 1987) l a. The following individuals are considered to be essential l to the successful performance of the work hereunder. l The Contractor agrees that such personnel shall not be removed from the contract work or replaced without compliance with paragraphs b and c hereof. b. If one or more of the key personnel for whatever reason becomes, or is expected to become, unavailable for work under this contract for a continuous period exceeding 30 work days, or is expected to devote substantially less effort to the work than indicated in the proposal or initially anticipated, the Contractor shall immediately notify the Contracting Officer and shall, subject to the concurrence of the Contracting Officer, promptly replace such personnel with personnel of at least substantially equal ability and qualifications, c. All requests for approval of substitutions hereunder must be in writing and provide a detailed explanation of the circumstances necessitating the proposed substitutions. They 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 who have been reassigned, terminated or have otherwise become unavailable for the contract work is not reasonably forthcoming; or j

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

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Page 17 NRC-04-89-049 Section H (End of Clause) H.2 SAFETY, HEALTH, AND FIRE PROTECTION (MAR 1987) The Contractor shall take all reasonable precautions in the performance of the work under this contract to protect the health and safety of employees and of members of the public and to minimize danger from all hazards to life and property and shall comply with all applicable health, safety, and fire protection regulations and requirements (including reporting requirements) of the Commission and the Department of Labor. In the event that the Contractor fails to comply with these regulations or requirements, the Contracting Officer, may, without prejudice to any other legal or contractual rights of the Commfssion, 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. (End of Clause) H.3 DISSEMINATION OF CONTRACT INFORMATION (MAR 1987) The Contractor shall comply with the requirements of the attached NRC Manual Chapters 3202 and 3206 (See Section J for List of Attachments) regarding publications or dissemination to the public of any information, oral or written, concerning the work performed under this contract. Failure to comply with this clause shall be grounds for termination of this contract. (End of Clause) H.4 PRIVATE USE OF CONTRACT INFORMATION AND DATA (JUNE 1988) Except as specifically authorized by this contract, or as otherwise approved by the Contracting Officer, information and other data developed or acquired by or furnished to the Contractor in the performance of this contract shall be used only in connection with the work under this contract. (End of Clause) H.5 ORGANIZATIONAL CONFLICTS OF INTEREST (OMB CLEARANCE NUMBER 3150-0112) (JUNE 1988) a. Purpose. The primary purpose of this clause is to aid in ensuring that the Contractor: 1) Is not placed in a conflicting role because of current or planned interests (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and

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

Page 18 NRC-04-89-049 Section H 1 b. Scope. The restrictions described apply to performance or participation by the Contractor as defined in 48 CFR 2009.570-2 in the activities covered by this clause. c. Work for others. Notwithstanding any other provision of this contract, during the term of this contract, the Contractor agrees to forgo entering into consulting or other contractual arrangements with any firm or organization, the result of which may give rise to a conflict of interest with respect to the work being performed under this contract. The Contractor shall ensure that all employees under this contract abide by the provision of this clause. If the Contractor believes with respect to itself or any employee that any proposed consultant or other contractual arrangement with any firm or organization may involve a potential conflict of interest, the Contractor shall obtain the written approval of the Contracting Officer prior to execution of such contractual arrangement. d. Disclosure after award.

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

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

The NRC may, however, terminate the contract if termination is in the best interest of the Government. e. Access to and use of information. 1) If the Contractor in the performance of this contract obtains access to information, such as NRC plans, policies, reports, studies, financial plans, internal data protected by the privacy Act of 1974 (Pub. L. 93-579), or data which has not been released to the public, the Contractor agrees not to: j i (i) Use this information for any private purpose until { the information has been released to the public; (ii) Compete for work for the Commission based on the information for a period of six (6) months after either the completion of this contract or the release of the information to the public, whichever is first; (iii) Submit an unsolicited proposal to the Government based on the information until one year after the release of the information to the public, or i l

Page 19 NRC-04-89-049-- Section H t i (iv) Release the information without prior _ written approval by the Contracting Officer unless the information has previously been released to the public by the NRC.

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

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

f. Subcontracts. Except as provided in 48 CFR 2009.570-2(g), the Contractor shall include this clause, including this paragraph, in subcontracts of any tier. The terms." contract," " Contractor," and " Contracting Officer," must be appropriately modified to preserve the Government's rights. g. Remedies. For breach of any of the above restrictions or for intentional nondisclosure or misrepresentation of any relevant interest required to be disclosed concerning this contract or for such erroneous representations that necessarily imply bad faith, the Government may terminate the contract for default, disqualify the Contractor from subsequent contractual efforts, and pursue other remedies permitted by law or this contract. h. Waiver. A request for waiver under this clause must be directed in writing through the Contracting Officer to the Executive i Director for Operations (EDO) in accordance with the procedures outlined in 48 CFR 2009.570-9. (End of Clause) H.6 GOVERNMENT FURNISHED EQUIPMENT / PROPERTY - NONE PROVIDED (JUNE 1988) The Government will not provide any equipment / property under this contract. (End of Clause)

Page 20 NRC-04-89-049 Section I 1 s PART II - CONTRACT CLAUSES SECTION I CONTRACT CLAUSES I.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE NOTICE: The following solicitation provisions and/or contract clauses pertinent to this section are hereby incorporated by reference: FEDERAL ACQUISITION REGULATION (48 CFR CHAPTER 1) NUMBER DATE TITLE 52.202-1 APR 1984 DEFINITIONS 52.203-1 APR 1984 0FFICIALS NOT TO BENEFIT 52.203-3 APR 1984 GRATUITIES 52.203-5 APR 1984 COVENANT AGAINST CONTINGENT FEES 52.203-6 JUL 1985 RESTRICTIONS ON SUBCONTRACTOR SALES TO THE GOVERNMENT 52.203-7 OCT 1988 ANTI-KICKBACK PROCEDURES 52.215-1 APR 1984 EXAMINATION OF RECORDS BY COMPTROLLER GENERAL 52.215-2 APR 1988 AUDIT -- NEGOTIATION 52.215-22 APR 1988 PRICE REDUCTION FOR DEFECTIVE COST OR PRICING DATA 52.215-24 APR 1985 SUBCONTRACTOR COST OR PRICING DATA 52.215-31 SEP 1987 WAIVER OF FACILITIES CAPITAL COST OF MONEY 52.215-33 JAN 1986 ORDER OF PRECEDENCE 52.216-7 APR 1984 ALLOWABLE COST AND PAYMENT 52.216-8 APR 1984 FIXED FEE 52.219-8 JUN 1985 UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL DISADVANTAGED BUSINESS CONCERNS 52.219-13 AVG 1986 UTILIZATION OF WOMEN-OWNED SMALL BUSINESSES 52.220-3 APR 1984 UTILIZATION OF LABOR SVRPLUS AREA CONCERNS 52.222-1 APR 1984 NOTICE TO THE GOVERNMENT OF LABOR DISPVTES 52.222-3 APR 1984 CONVICT LABOR 52.222-26 APR 1984 EQUAL OPPORTUNITY 52.222-28 APR 1984 EQUAL OPPORTUNITY PREAWARD CLEARANCE OF SUBCONTRACTS 52.222-35 APR 1984 AFFIRMATIVE ACTION FOR SPECIAL DISABLED AND VIETNAM ERA VETERANS i

Page 21 NRC-04-89-049 Section I i 52.222-36 APR 1984 AFFIRMATIVE ACTION FOR HANDICAPPED WORKERS 52.222-37 JAN '.988 EMPLOYMENT REPORTS ON SPECIAL DISABLED VETERANS AND VETERANS OF THE VIETNAM ERA 52.223-2 APR 1984 CLEAN AIR AND WATER 52.227-1 APR 1984 AUTHORIZATION AND CONSENT 52.227-2 APR 1984 NOTICE AND ASSISTANCE REGARDING PATENT AND COPYRIGHT INFRINGEMENT 52.228-7 APR 1984 INSURANCE -- LIABILITY TO THIRD PERSONS 52.230-3 SEP 1987 COST ACCOUNTING STANDARDS 52.230-4 SEP 1987 ADMINISTRATION OF COST ACCOUNTING STANDARDS 52.232-9 APR 1984 LIMITATION ON WITHHOLDING OF PAYMENTS 52.232-17 APR 1984 INTEREST 52.232-22 APR 1984 LIMITATION OF FUNDS 52.232-23 JAN 1986 ASSIGNMENT OF CLAIMS ALTERNATE I l (APR 1984) 52.233-1 APR 1984 DISPUTES ALTERNATE I (APR 1984) 52.233-3 JUN 1985 PROTEST AFTER AWARD ALTERNATE I (JUN 1985) 52.242-1 APR 1984 NOTICE OF INTENT TO DISALLOW COSTS 52.243-2 AUG 1987 CHANGES -- COST-REIMBURSEMENT ALTERNATE I (APR 1984) 52.244-2 JUL 1985 SUBCONTRACTS (C0ST-REIMBURSEMENT AND LETTER CONTRACTS) 52.244-5 APR 1984 COMPETITION IN SUBCONTRACTING 52.245-5 JAN 1986 GOVERNMENT PROPERTY (C0ST-REIM-BURSEMENT, TIME-AND-MATERIAL, OR LABOR-HOUR CONTRACTS) 52.249-6 MAY 1986 TERMINATION (COST-REIMBURSEMENT) 52.249-14 APR 1984 EXCUSABLE DELAYS I.2 CLAUSES INCORPORATED BY REFERENCE (FAR 52.252-2) (JUN 1988) This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. (End of Clause) l I.3 PROMPT PAYMENT (52.232-25) (APR 1989) i Notwithstanding any other payment clause in this contract, the Government will make invoice payments and contract financing payments under the terms and conditions specified in this clause. 1 Payment shall be considered as being made on the day a check is dated or an electronic funds transfer is made. Definitions of i pertinent terms are set forth in 32.902. All days referred to in

Page 22 NRC-04-89-049 Section I ' this clause are calendar days, unless otherwise specified. (a) Invoice Payments (1) For purposes of this clause, " invoice payment" means a Government disbursement of monies to a Contractor under a contract or other authorization for supplies or services accepted by the Government. This includes payments for partial deliveries that have been accepted by the Government and final cost or fee payments where amounts owed have been settled between the Government and the Contractor. (2) Except as indicated in subparagraph (a)(3) and paragraph (c) of this clause, the due date for making invoice payments by the designated payment office shall be the later of the following two events: (i) The 30th day after the designated billing office has received a proper invoice from the Contractor. (ii) The 30th day after Government acceptance of supplies delivered or services performed by the Contractor. On a final invoice where the payment amount is subject to contract settlement actions, acceptance shall be deemed to have occurred on the effective date of the contract settlement. However, if the designated billing office fails to annotate the invoice with the actual date :f receipt, the invoice payment due date shall be deemed to be the 30th day after the date the Contractor's invoice is dated, provided a proper invoice is received and there is no disagreement over quantity, quality, or Contractor compliance with contract requirements. (3) The due date on contracts for meat and meat food products, contracts for perishable agricultural commodities, contracts for dairy products, edible fats or oils, and food products prepared from edible fats or oils, and contracts not requiring submission of an invoice shall be as follows: (1) The due date for meat and meat food products, as defined in Section 2(a)(3) of the Packers and Stockyard Act of 1921 (7 U.S.C. 182(3)) and further defined in Pub. L. 98-181 to include any edible j fresh or frozen poultry meat, an perishable poultry meat food product, fresh eggs, and any perishable egg product, will be as close as possible to, but not later than, the 7th day after product delivery. (ii) The due date for perishable agricultural commodities, as defined in Section 1(4) of the Perishable Agricultural Commodities Act of 1930 (7 U.S.C. 499a(44)), will be as close as possible to, but not later than, the 10th day after product delivery, unless another date is specified in the contract. (iii) The due date for dairy products, as defined in Section 111(t!) of the Dairy Production Stabilization Act of 1983 (7 U.S.C. 4502(e)), edible fats or oils, and food products prepared from i

Page 23 NRC-04-89-049 Section I edible fats or oils, will be as close as possible to, but not later than the 10th day after the date on which a proper invoice has been received. (4) An invoice is the Contractor's bill or written request for payment under the contract for supplies delivered or services performed. An invoice shall be prepared and submitted to the designated billing officer specified in the contract. A proper invoice must include the items listed in subdivisions (a)(4)(1) through (a)(4)(viii) of this clause. If the invoice does not comply with these requirements, then the Contractor will be notified of the defect within 7 days after receipt of the invoice at the designated billing office (3 days for meat and meat food products and 5 days for perishable agricultural commodities, edible fats or oils, and food products prepared from edible fats or oils). Untimely notification will be taken into account in the computation of any interest penalty owed the Contractor in the manner described in subparagraph (a)(6) of this clause. (i) Name and address of the Contractor. (di) Invoice date. (iii) Contract number or other authorization for supplies delivered or services performed (including order number and contract line item number). (iv) Description, quantity, unit of measure, unit price, and extended price of supplies delivered or services performed. (v) Shipping and payment terms (e.g., shipment number and date of shipment, prompt payment discount terms). Bill of lading number and i weight of shipment will be shown for shipments on Government bills of lading. (vi) Name and address of Contractor official to whom payment is to be sent (must be the same as that in the contract or in a proper notice of assignment). (vii) Name (where practicable), title, phone number and mailing address of person to be notified in event of a defective invoice. (viii) Any other information or documentation required by other requirements of the contract (such as evidence of shipment). (5) An interest penalty shall be paid automatically by the Government, without request from the Contractor, if payment is not made by the due date and the conditions listed in subdivisions (a)(5)(i) through (a)(5)(iii) of this clause are met, if applicable. An interest penalty shall not be paid on contracts awarded to foreign vendors outside the United States for work performed outside the United States. (1) A proper invoice was received by the designated billing office.

Page 24 NRC-04-89-049 Section I (ii) A receiving report or other Government documentation authorizing payment was processed and there was no disagreement over quantity, quality, or contractor compliance with any contract term or condition. (iii) In the case of a final invoice for any balance of funds due the Contractor for supplies delivered or services performed, the amount was not subject to further contract settlement actions between the Government and the Contractor. (6) The interest penalty shall be the rate established by the Secretary of the Treasury under Section 12 of the Contract Disputes Act of 1978 (41 U.S.C. 611) that is in effect on the day after the due date, except where the interest penalty is prescribed by other governmental authority. This rate is referred to as the " Renegotiation Board Interest Rate," and it is published in the Federal Register semiannually on or about January 1 and July 1. The interest penalty shall accrue daily on the invoice payment amount approved by the Government and be compounded in 30-day increments inclusive from the first day after the due date through the payment date. That is, interest accrued at the end of any 30-day period will be added to the approved invoice payment amount and be subject to interest penalties if not paid in the succeeding 30-day period. If the designated billing office failed to notify the contractor of a defective invoice within the periods prescribed in paragraph (a)(4) of this clause, then the due date on the corrected invoice will be adjusted by subtracting the number of days taken beyond the prescribed notification of defects period. Any interest penalty owed the Contractor will be based on this adjusted due date. Adjustments will be made by the designated payment office for errors in calculating interest penalties, if requested by the Contractor. (i) For the sole purpose of computing an interest penalty that might be due the Contractor, Government acceptance shall be deemed to have occurred constructively on the 7th day (unless otherwise specified in this contract) after the Contractor delivered the supplies or performed the services in accordance with the terms and conditions of the contract, unless there is a disagreement over ) quantity, quality, or contractor compliance with a contract provision. In the event that actual acceptance occurs within the constructive acceptance period, the determination of an interest penalty shall be based on the actual date of acceptance. The constructive acceptance requirement does not, however, compel Government officials to accept supplies or services, perform contract administration functions, or make payment prior to fulfilling their responsibilities. i (ii) The following periods of time will not be included in the determination of an interes.t penalty: (A) The period taken to notify the Contractor of defects in invoices submitted to the Government, but this may not exceed 7 days (3 days for meat and meat food products and 5 days for perishable agricultural commodities, dairy products, edible fats or oils, and

Page 25 NRC-04-89-049 Section I ' food products prepared from edible fats or oils). (B) The period between the defects notice and resubmission of the corrected invoice by the Contractor. (iii) Interest penalties will not continue to accrue after the filing of a claim for such penalties under the clause at 52.233-1, Disputes, or for more than 1 year. Interest penalties of less than $1.00 need not be paid. (iv) Interest penalties are not required on payment delays due to disagreement between the Government and Contractor over the payment amount or other issues involving contract compliance or on amounts temporarily withheld or retained in accordance with the terms of the contract. Claims involving disputes, and any interest that may be payable, will be resolved in accordance with the clause at 52.233-1, Disputes. (7) An interest penalty shall also be paid automatically by the designated payment office, without request from the contractor, if a discount for prompt payment is taken improperly. The interest penalty will be calculated as described in subparagraph (a)(6) of this clause on the amount of discount taken for the period beginning with the first day after the end of the discount period through the date when the Contractor is paid. (8) If this contract was awarded on or after October 1, 1989, a penalty amount, calculated in accordance with regulations issued by the Office of Management and Budget, shall be paid in addition to the interest penalty amount if the Contractor-(1) Is owed an interest penalty; (ii) Is not paid the interest penalty within 10 days after the date the invoice amount is paid; and (iii) Makes a written demand, not later than 40 days after the date the invoice amount is paid, that the agency pay such a penalty. (b) Contract Financing Payments (1) For purposes of this clause, " contract financing payment" means a Government disbursement of monies to a Contractor under a contract clause or other authorization prior to acceptance of supplies or services by the Government. Contract financing payments include advance payments, progress payments based on cost under the clause at 52.232-16, Progress Payments, progress payments based on a percentage or stage of completicn (32.102(e)(1)) other than those made under the clause at 52.232-5, Payments Under Fixed-Price i Construction Contracts, or the clause at 52.232-10, Payments Under Fixed-Price Architect-Engineer Contracts, and interim payments on cost type contracts. (2) For contracts that provide for contract financing, requests for payment shall be submitted to the designated billing office as l C____________._.______

Page 26 NRC-04-89-049 Section I ' specified in this contract or as directed by the Contracting Officer. Contract financing payments shall be made on the (insert day as prescribed by Agency head; if not prescribed, insert 30th day) day after receipt of a proper contract financing request by the designated billing office. In the event that an audit or other review of a specific financing request is required to ensure compliance with the terms and conditions of the contract, the designated payment office is not compelled to make payment by the i due date specified. (3) For advance payments, loans, or other arrangements that do ) not involve recurrent submissions of contract financing requests, i payment shall be made in accordance with the corresponding contract i terms or as directed by the Contracting Officer. i (4) Contract financing payments shall not be assessed an interest penalty for payment delays. (c) If this contract contains the clause at 52.213-1, Fast Payment Procedure, payments will be made within 15 days after the date of receipt of the invoice. (End of Clause) I.4 ELECTRONIC FUNDS TRANSFER PAYMENT METHODS (52.232-28) (APR 1989) Payments under this contract will be made by the Government either by check or electronic funds transfer (through the Treasury Fedline Payment System (FEDLINE) or the Automated Clearing House (ACH)), at the option of the Government. After award, but no later than 14 days before an invoice or contract financing request is submitted, the Contractor shall designate a financial institution for receipt of electronic funds transfer payments, and shall submit this designation to the Contracting Officer or other Government official, as directed. (a) For payment through FEDLINE, the Contractor shall provide the following information: (1) Name, address, and telegraphic abbreviation of the financial institution receiving payment. (2) The American Bankers Association 9-digit identifying number for wire transfers of the financing institution receiving payment if the institution has access to the Federal Reserve Communications System. (3) Payee's account number at the financial institution where funds are to be transferred. (4) If the financial institution does not have access to the I Federal Reserve Communications System, name, address, and telegraphic abbreviation of the correspondent financial institution through which the financial institution receiving payment obtains

^ c Page 27 NRC-04-89-049 Section I ] l wire transfer activity. Provide the telegraphic abbreviation and American Bankers Association identifying number for the correspondent institution. (b) For payment through ACH, the Contractor shall provide the following information: (1) Routing transit number of the financial institution receiving paymer.t (same as American Bankers Association identifying number used for FEDLINE). (2) Number of account to which funds are to be deposited. (3) Type of depositor account ("C" for checking, "S" for savings). (4) If the Contractor is a new enrollee to the ACH system, a " Payment Information Form," SF 3881, must be completed before payment can be processed. (c) In the event the Contractor, during the performance of this contract, elects to designate a different financial institution for the receipt of any payment made using electronic funds transfer procedures, notification of such change and the required information specified above trust be received by the appropriate Government official 30 days prior to the date such change is to become effective. (d) The documents furnishing the information required in this clause must be dated and contain the signature, title, and telephone number of the Contractor official authorized to provide it, as well as the Contractor's name and contract number. (e) Contractor failure to properly designate a financial institution or to provide appropriate payee bank account information may delay payments of amounts otherwise properly due. (End of Clause) I.5 DRUG-FREE WORKPLACE (FAR 52.223-6) (a) Definitions. As used in this clause, " Controlled substance" means a controlled substance in schedules I through V of section 202 of the Controlled Substances Act (21 U.S.C. 812) and as further defined in regulation at 21 CFR 1308.11-1308.15. " Conviction" means a finding of guilt (including a plea of nolo contendere) or imposition of sentence, or both, by any judicial body charged with the responsibility to determine violations of the Federal or State criminal drug statutes. " Criminal drug statute" means a Federal or non-Federal criminal statute involving the manufacture, distribution, dispensing, i f

7 Page '28 NRC-04-89-049 Section I ~ possession or use of any controlled substance. " Drug-free workplace" means a site for the performance of work done in connection with a specific contract at which employees of the contractor are prohibited from engaging in the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance. " Employee" means an employee of a contractor directly engaged in the performance of work under a Government contract. " Individual" means an offeror / contractor that has no more than one employee including the offeror / contractor. (b) The Contractor, if other than an individual, shall -- (1) Publish a statement notifying its employees that the unlawful manufacture, distribu. tion, dispensing, possession,-or use of a controlled substance is prohibited in the contractor's workplace and specifying the actions that will be taken against employees for violations of such prohibition; (2) Establish a drug-free awareness program to inform such employees about-- (i) The dangers of drua abuse in the workplace; (ii) The contractor's policy of maintaining a drug-free workplace; (iii) Any available drug counseling, rehabilitation, and employee assistance programs; and (iv) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace. 1 (3) Provide all employees engaged in performance of the contract with a copy of the statement required by subparagraph -(b)(1) of this clause; i (4) Notify such employees in the statement required by subparagraph (b)(1) of this clause, that as a condition of continued employment on this contract, the employee will -- (1) Abide by the terms of the statement; and (ii) Notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than five (5) days after such conviction 4 (5) Notify the contracting officer within ten (10) days after receiving notice under subdivision (a)(4)(ii) of this clause, from 1 an employee or otherwise receiving actual notice of such conviction; (6) Within 30 days after receiving notice under subparagraph

/ Page 29 NRC-04-89-049 Section I (a)(4) of this clause of a conviction, impose the following sanctions or remedial measures on any employee who is convicted of drug abuse violations occurring in the workplace: (1) Taking appropriate personnel action against such employee, up to and including termination; or (ii) Require such employee to satisfactorily participate in a drug abuse assistance or rehabilitation program approved for such purposes by a rederal, State, or local health, law enforcement, or other appropriate agency. (7)Makeagoodfaithefforttomaintainadrug-free.workplace through implementation of subparagraphs (b)(1) through (b)(6) of this clause. (c) The Contractor, if an individual, agrees by award of the contract or acceptance of a purchase order, not to engage in the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance in the performance of this contract. I (d) In addition to other remedies available to the Government, the Contractor's failure to comply with the requirements of paragraphs (b) and (c) of this clause may, pursuant to FAR 23.506, render the contractor subject to suspension of contract payments, termination of the contract for default, and suspension or debarment. (End of Clause) 1 ) i i

Page 30 i .e NRC-04-89-049 Section J 1 PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS SECTION J - LIST OF ATTACHMENTS 4 J. '1 ATTACHMENTS (MAR 1987) Attachment Number Title 1 Billing Instructions 2 NRC Contractor Organizational Conflicts of Interest (41 CFR Part 20) 3 NRC Manual Chapter 3202 l 1

o 4 PART 20-1 -- GENERAL Subpart 20-1.54--Contractor' Organizational Conflicts of Interest Sec. 20-1.5401 Scope and policy. 20-1.5402 De.finitions. 20-1.5403 Criteria for recognizing contractor organizational conflicts of interest. 20-1.5404 Representation. 20-1.5405 Contract clauses. 20-1.5405-1 General contract clause. 20-1.5405-2 Special contract provisions. 20-1.5406 Evaluation, findings, and contract award.. 20-1.5407 Conflicts identified after award. 20-1.5408 (Reserved) 20-1.5409 (Reserved) 20-1'.5410 Subcontractors. 20-1.5411 Waiver. 20-1.5412 Remedies. AUTHORITY: Sec. 8, Pub. L. 95-601, adding Sec.170A to Pub. L. 83-703, 68 Stat. 919, as amended (42 U.S.C. ch.14) 520-1.5401 Scope and Policy (a) It is the policy of the U.S. Nuclear Regulatory Comission (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 relationships with NRC (e.g., parties to a licensing proceeding) are not - covered by this regulation. This rule does not apply to the acquisition of consulting services through the personnel appointment orocess, NRC 4

E. p 7590-01 j i -(j). Potential conflict of interest" means that a factual situation i li., exists that suggests (indicates) that an actual conflict of interest may 1 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 perfomance. I20-1.5403 Criteria for recognizing contractor organizational conflicts of interest (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 4 i relation to its work for the NRC7 (2) May the contractor be given an-unfair competitive advantage based on the perfomance of the contract? The ultimate determination by NRC.as to whether organizational conflicts of interest exist will be made in light of 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 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 aren to any organization regulated by the NRC. (ii) Where the offeror or contractor provides advice to the NRC on the same or similar matter in which it is also providing assistance to any organization regulated by the NRC. (iii) Where the offeror or contractor evaluates its own products or services, or the products or. services of another entity where the offeror or contractor has been substantially involved in their development or marketing. (iv) Where the award of a contract would otherwise result in placing the offeror or contractor in a conflicting role in which its 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. ___

O-O 4 j 1 PART 20-1 -- GENERAL j Subpart 20-1.54--Contractor' Organizational Conflicts of Interest Sec. 20-1.5401 Scope and policy. 3 20-1.5402 De.finitions. 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. l 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,asamended(42U.S.C.ch.14) 120-1.5401 Scope and Policy (a) It is the policy of the U.S. Nuclear Regulatory Comission (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 intet est situations which might arise; however, examples are provided in these regulations to guide application of the policy. NRC contracting and program officials I must be alert to other situations which may warrant application of this policy guidance. The ultimate test is: Might the contractor, if awarded t the contract, be placed in a position where its judgment may be biased, or where it may have an unfair competitive advantage? o (c) The conflict of interest rule cor+ained in this subpart applies ter contractors and offerors only. Individuals or firms who have other relationships with NRC (e.g., parties to a licensing proceeding) are not - covered by this reculation. This rule does not apply to the acquisition of consulting services through the personnel appointment process, NRC - - _ _ - _

7590-61 agreements with other government agencies, international ' organizations. o . or state, local or. foreign governments; separate procedures for avoiding , conflicts of interest will be employed in such agreements, as appropriate. '520,1.54P* Definitions -(a) ~ 0rr,anizational 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 contracter to be given access to information which has not been made available to the public or proprietary infomation. 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-spons,or, partnership, corporation, affiliates thereof, or their successors in interest, including their chief executives, 1 directors, key personnel (identified in the contract), proposed consultants ) or subcontractors, which is a party to a contract with the NRC. (g) " Affiliates" means business concerns which are affiliates of each other when either directly or indirectly one concern or individual controls or has the power to control another, or when a third party controls or has the power to control both (41 CFR f 1-1.606-1(e)). ,(h)' " Subcontractor" means any subcontractor of any tier which performs work under a contract with the NRC except subcontracts for supplies and subcontracts in amounts of $10,000 or less. I (1) " 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. 2

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 conflicts of interest (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 NRC7 (2) May the contractor be given an unfair competitive advantage based on the performance of the contract? The ultimate determination by NRC as to whether organizational conflicts of interest exist will be made in light of corrnon 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 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: (1) 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 J placing the offeror or contractor in a conflicting role in which its judgment may be biased in relation to its work for the NR.C or may otherwise result in an unfair competitive advantage for the offeror or contractor. _ _ _ _ _ _ _ _ _ _.

7590-01 (2) The contracting 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) Where the offeror or contractor prepares specifications which I are to be used in competitive procurement of products or services covered by such specifications. l (ii) Where the offeror or contractor prepares plans for specific approaches or methodologies that are to be incorporated into competitive procurement using such approaches or methodologies. (iii) Where the offeror or contractor is granted access to information not available to the public concernirg NRC plans, policies, or programs which could form the basis for a later procurement action. (iv) Where the offeror or contractor is granted access to proprietary information of its competitors. j (v) Where the award of a contract might otherwise result in placing the offeror or contractor in a conflicting role in which its judgment may be biased in relation to its work for tne NRC or may otherwise result in an unfair competitive advantage for the offeror or contractor. (c) Policy application guidance. The following examples are illustrative only and are not intended to identify and resolve all contractor organizational conflict of interest situations. (1) Example. The XYZ Corp., in response to a request for proposal (RFP), proposes to i 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. l 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 wcil-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 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 projects for several different utility clients. None of the ABC Corp. projects have any relationship to the work called for in the RFP. Based on the NRC evaluation, the ABC Corp. is considered to be the best qualified company to perform the work outlined in the RFP. . I j

7590-01 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 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 wentioned in the example. (3) Example. As a result of operating problems in a certain type I of comercial nuclear facility, it is imperative that NRC secure specific l data on various operational aspects of that type of plant so as to assure adequate safety protection of the public. Only one manufacturer j has extensive experience with that type of plant. Consequently, that company is the.only one with whom NRC can contract which can develop and conduct the testing programs required to obtain the data in reasonable time. That company has a definite interest in any NRC decisions that might result from the data produced because those decisions affect the i reactor's design and thus the company's costs. Guidance. This situation would place the manufacturer in a role in which its judgment could be biased in relationship to its work for NRC. Since the nature of the work required is vitally important in tems 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 estab'.._hment 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 program. The ABC Co. has advised NRC that it intends to sell the new system to industry once its practicability has been demonstrated. Other companies in this business are using older systems fcr evaluation of the 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 infomation developed under the contract is proposed to be used. 1 4 ~. _ _. _ _ _ _. _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

759'0-01, (5) Example. The ABC Corp., in response to a RFP proposes to assemble a map showing certain seismological features of the Appalachian fold belt. In accordance with the representation in the RFP and 5 20-1.5403(b)(1)(i), ABC Corp. informs the NRC that it is presently doing seismological studies for several utilities in the Eastern United States but none of the sites are withir. the geographic area contemplated by the NRC study. Guidance. The contracting officer would normally 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 contr.act 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 conflicts of interest, or that a follcw-on procurement is not involved, or that a contract is awarded on a competitive or a sole source basis. 520-1.5404 Representation (a) The following procedures are designed to assist the NRC contracting officer in determining whether situations or relationships exist which may constitute organizational conflicts of interest with respect to a particular offeror or contractor. (b) Representation procedure. The following organizational conflicts of interest representation provision shall be 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 be included in tne resulting contract. This representation requirement shall also apply to all modifications for additional effort under the contract except those issued under the changes" clause. Where, however, a statement of the type required by the organizational conflicts of interest representation provision has previously been submitted with regard to the contract being modified, only an updating of such statement shall be required. l l l 1 l

7590-01 OP.GANIZATIONAL CONFLICTS OF INTEREST REPRESENTATION I represent to the best of my knowledge and belief that: The award to of a contract or the modification of an existing contract does ( ) or does not ( ) involve situations or relationships I of the type set forth in 41 CFR 520-1.5403(b)(1). 1 (c) Instructio* to offerors. The following shall be included in all NRC solicitation (1) If the representation as completed indicates that situations or relationships of the type set forth in 41 CFR 5 20-1.5403(b)(1) are involved, or the contracting officer otherwise detennines that potential organizational conflicts exist, the offeror shall provide a statement in writing which describes in a concise manner all relevant facts bearing on his representation to the contracting officer. If the contracting officer 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 5 20-1.5404(b) or upon request of the contracting officer the facts required by '520-1.5404(c), shall result in disqualification of the offeror for award. The nondisclosure or misrepresentation of any relevant interest may also result in the disqualification of the offeror for award; or if such nondisclosure or misrepresentation is discovered after award, the resulting contract may be terminated. The offeror may also be disqualified from subsequent related NRC contracts and be subject to such other remedial actions provided by law or the resulting contract. (d) The offeror may, because of actual or potential organizational conflicts of interest, propose to exclude specific kinds of work from the statements of work contained in a RFP unless the RFP specifically prohibits such exclusior.. Any such proposed exclusion by an offeror will be considered by the NRC in the evaluation of proposals. If the NRC considers the proposed excluded work to be an essential or integral part of the required work and its exclusion would work to the detriment of the competitive posture of the cther offerors, the proposal must be rejected as unacceptable. (e) The offeror's failure to execute the representation required by subsection (b) above with respect to invitation for bids will be considered to be a minor informality, and the offeror will be permitted to correct the omission. 5 20-1.5405 Contract clauses I 5 20-1.5405-1 General contract clause I j i - i

7590-01 I 1 All contracts of the types set forth in i20-1.5404(b) shall include the following clauses: (a) Purpose. The primary purpose of this clause is to aid in ensuring that the contractor: (1) Is not placed in a conflicting role because of current or planned interest (financial, contractual, organizational, or otherwise) which relate to the work under this contract, and (2) does not obtain an unfair competitive advantage over other parties by virtue of its performance of this contract. (b) Scope. The restrictions described herein shall apply to performance or participation by the contractor as defined in 41 CFR I 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 NRC plans, policies, reports, studies, financial plans, internal data protected by the Privacy Act of 1974 (Pub. L. 93-579), or data which has not been released to the public, the contractor agrees not to: (i) Use such information for any(private purpose until the information has been released to the public; ii) compete for work for the Commission based - _ _ _ - _ _ _ _ _ _ _ _ - _ _ _ _ _ _ - _ _ _ _ _

7590-01 on such information for a period of six (6) months after either the completion of this contract or the release of such information to the public, whichever is first, (iii) submit an unsolicited proposal to the government based on such information until one year after the release of such information to the public, or (iv) release the information without prior written approval by the contracting officer unless such information has previously been released to the public by the NRC. (2) In addition, the contractor agrees that to thi 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 (ED0) in accordance with the procedures outlined in 520-1.5411. 120-1.5405-2 Special contract provisions. (a) If it is determined from the nature of the proposed contract that organizational conflicts of interest exist, the contracting officer o may determine that such conflict can be avoided or efter obtaining a waiver in accordance with 120 1.5411, neutralized through the use of an appropriate special contract provision. If appropriate, the offeror may negotiate the terms and conditions of these clauses, including the extent and time period of any such restriction. These provisions include but are not limited to:

7590-01 ~ (1) Hardware exclusion clauses which prohibit the acceptance of production contracts following a related nonproduction contract previously performed by the contractor; (2) Software exclusion clauses; (3) Clauses which require the contractor (and certain of his key -personnel) to avoid certain organizational conflicts of interest; and (4) Clauses which provide for protection of confidential data and guard against its unauthorized use. i (b) The following additional contract clause may be included as section (i) in the clause set forth in5 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 under this contract on any of its products or services or the products or services of another firm if the contractor has been substantially involved in the development or marketing of such products or services. (2) If the contractor under this contract prepares a complete or essentially complete statement of work or specifications, the contractor shall be ineligible to 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 i

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 !20-1.5404(b) and other relevant,information. After evaluating this information against the criteria of f20-1.5403, 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, _

1 l: 7590-01 (b) Avoid or eliminate such conflicts by appropriate measures; or (c) Award the contract under t'he waiver provision'of $20-1.5411. e I20-1.5407 Conflicts identified after award. If potential organizational conflicts of interest are identified after award with respect to a particular contractor, the contracting officer determines that such conflicts do, in fact, exist and that it would not be in the best interests of the government to terminate the contract as provided in the clauses required by 520-1.5405, the contracting, officer will take every reasonable action to avoid, eliminate, or, after obtcining r waiver in accordance with 520-1.5411, neutralize the effects of the identified conflict. 520-1.5408 (Reserved) 520-1.5409 (Reserved) 520-1.5410 Subcontracts 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 with520-1.5405 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 the contracting officer with the advice and concurrence of the program office director and the Office of Executive Legal Director. Upon the recommendation of the contracting officer, and after consultation with the Office of the General Counsel, the EDO nwy waive the polig in specific cases if he determines that it is in the best interest of the United States to do so. Such action shall be strictly limited to those situations in which: (1) The work to be performed under contract is vital to the NRC program; (2) the work cannot be satisfactorily performed except by a contractor whose interests give rise to a question of conflict of interest; and (3) contractual and/or technical review and supervision methods can be employed by NRC to neutralize the conflict. For any such waivers, the justification and approval documents shall be placed in the Public Document Room.

7590-61 520-1. 5412 Remedies In addition to such other remedies as may be permitted by law or contract for a breach of the restrictions in this subpart or for any intentional misrepresentation or intentional nondisclosure of any - relevant interest required to be'provided for this section, the NRC may. debar the contractor from subsequent NRC contracts. Dated at Washinoton. D.Cthis 27th day of' March 1979. For the Nuclear Regulatory Commission Cdtuud\\ bhuk Samuel J. Chilk a Secretary of the Commission i . (E____________________

.' h ' l l: 1 ' / (REVISED - 7/88) J l 1 il l l BILLING INSTRUCTIONS FOR NRC COST-TYPE C0ffrRACTS General. The contractor shall submit vouchers for cost-reimbursement'- 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 subsit claims for reimbursement once each month unless otherwise authorized by the Contracting Officer. Form. Claims shall be submitted in the format depicted on the attached sample entitled " Voucher for Purchases and Services Other Than Personal." Additional copies of'the form are available from the Contracting Officer. 'The instructions for preparation and itemization of the voucher.are shown on the form. Task Ordering Contracts. The contractor shall provide detailed cost information for each task order with each invoice submission. This includes all applicable cost elements discussed in paragraphs (h) through (o) of the attached instructions, together with appropriate supporting information. Billing of Costs After Expiration of Contract. If costs are incurred during the contract period and claimed after the contract has expired, the period during which these costs were incurred must be cited. Currency. Billings may be expressed in the currency normally used by the contractor in maintaining his accounting records; payments will be i made in that currency. However, the U.S. dollar equivalent for all invoices paid under the contract may not exceed the total U.S. dollars authorized in the contract. I Supersession. These instructions supersede all previous billing instructions.

.. / VOUCHERS FOR PURCHASES AND SERVICES OTHER THAN PERSONAL i l L f Payor's Name and Address _ (a) Contract Number U.S. Nuclear Regulatory Commission Task Order No. (If Applicable). i 4 Division of Accounting and Finance ATTN: GOV /COM Accounts Section (b) Title of Project Washington, DC 20555 Payee's Name and Address (c) Voucher Number ' (d) Date Voucher Prepared (e) Total Estimated Cost of Contract Individual to Contact Regarding This Voucher: (f) Total Fixed-Fee

• ~ ~ '

No.: (g) This voucher represents reimbursable costs from thru Amount Billed (k) Current Period (1) Inception to Date (h) Direct Costs (1) Direct t. abor * (2) Fringe Benefits @ (if computed as percentaae) (3) Capitalized Nonexpendable Eouioment * (4) Materials. Supplies and Noncapitalized Ecuipment * (5) Premium Pay (6) Consultants * (7) Travel - Domestic

• Foreion *

(8) Subcontract * (9) Other Costs

• a Dkect Costs (i) INDIRECT COSTS A) Overnead

% of (Indicate Base) Subtotal B) General & Administrative Expense 0 of Cost Elements Nos. Total Costs (j) FIXED-FEE EARNED (Formula) (m) Total Amounts Claimed j (n) Adjustments Outstanding Suspensions (o) Grand Totals

• (REQUIRES SUPPORTING INFORMATION.)

(SEE ATTACHED.) 7/88

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. i 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. 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 nur.ber). (e) Contract Number - Insert the NRC contract nunber. Task Order No. (If Aeolicable) - Insert the task order. numoer. (b) Title of Project - List the full title of the project being performed uncer this contract. (c) Voucher Number - Insert the appropriate serial number of the voucner beginning with 001 for this contract. Contractors may also include individual internal accounting numbers in addition to the three digit number. (d) Date of Voucher - Insert the date the voucher is prepared. (e) Contract Amount - Insert the total estimated cost of the contract, exclusive of fixed-fee. (f) Fixed-Fee -Insert total fixed-fee (where applicable). (g) Billina Period - Insert the beginning and ending dates (day, month, and year) of the period in which costs were incurred and for which reimbursement is claimed. -__-__:_-_____

j (h) D_irect 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) Frince Benefits - This represents fringe benefits applicable to direct labor and billed as a direct cost. 1 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 costino $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 j in the contract.. (4) Materials, Supplies, and Other Expendable Items - i 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 ) incluce the name, hourly or daily rate of the J consultant, and reference the NRC approval (if not specifically approved in the original contract)... - _ _ _ _ _. _ _ _ _ _.. _ _ _ _ _ _ _. _. _ _ _ _ _ _

t (7) Travel - Domestic travel is travel within the United 2 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 br cost element and dollar arrount separately. - (i) Indirect Costs--Overhead - Cite the formula (rate and base) in effect during the time the ecst was incurred and for which reimbursement is claimed. 'j) Fixed-Fee - If the contract provides for a fixed-fee, it must be claimed at provided for by the contract. Cite the formula or method of computation. The contractor may bill for fixed-fee only up to 85% of total fee. (k) Amount Billed for Current Period - Insert the amount billed for the major cost elements, adjustments, and total amount for the period. (1) Cumulative Amount from Inception to Date of this Billing - Insert the cumulatine amounts billed for the major cost elements and adjusted amounts claimed during this cor. tract. (m) Total Amounts Claimed - Insert the total amounts claimed for the current anc cumulative periods. (n) Adjustments - This includes cumulative amounts billed thtt have Deen suspended er disallowed. (o) Grand Totals 1 l j

VOUCHERS FOR PURCHASES AND SERVICES OTHER THAN PERSONAL i Payor's Name and Address (a) Contract Number NRC. '.81-624 U.S. Nuclear Regulatory Commission Division of Accounting and Finance Task Order No. (If Applicable) 002 6 ATTH: GOV /COM Accounts Section (b) Title of Project " Study of Nuclear Waste Washington, DC 20555 Payee's Name and Address Concepts" ABC Corporation The National Bank 100 Main Street or Anywhere, U.S. A. (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 (f) To tal F1xed-Fee 517,500.00 Tel. No.: Elb-441-6bb4 (g) This voucher represents reimbursable costs from 3/1/82 thru 3/30/82 Amount Billed (k) Current Period (1) Inception to Date (1) Direct Labor * $2,400 56_R00 (2) Fringe Benefits @ Ab.b'a (if computed as percentace) 600 1,200 (3) Capital 12eo Nonexpendable Eauipment + 5,000 8,000 (4) Materials, Supplies and Noncacitalized Eauipment

• 2,000 4,000 (5) Fremium Pay 100 150 (6) Consultants
• 100 100 (7) Travel - Domestic
• 200 700 Foreion *

(8) Subcontract - 200 200 (9) Utner Costs - 4,000 9,000 (1) INDIRECT COSTS A) Overneaa 10CL of Total Direct Costs $13,600 $29,650 (Indicate Base) Subtotal 527,200 $59,300 B) General & Administrative Expense 12 % of Cost Elements Nos. 1-9.A 3,264 6,450 Total Costs $30,464 565.750 (j) FIXE 0-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 $30,287 567,450

• (REQUIRES SUPPORTING INFORMATION.)

(SEE ATTACHED.) 7/88 8 , SAMPLE SUPPORTING INFORMATION

1) Direct Labor - $2400 Labor Labor Hours Hours Cumulative Categorg 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 T2T56

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 Gloves,9 $150.00 = 52000.00

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

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

= $100

7) Travel Date Traveler Destination Purpose Costs From To From To 3/1/82 3/6/82 William King Chicago Wash.,

Meeting with $200 IL DC Project Officer I L-_ __

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 a to Boston MA Pmfit 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/B2. l ) i l 4 ) i l l l l 1

Form NRC.489 (1 76) U. S. NUCLEAR REGULATORY COMMISSION NRC MANUAL TRANSMITTAL NOTICE - CHAC. d. E-3202 PT:LICATION OF 'IECHNICAL REPORTS PREPARED BY NRC C0!CRAC7DRS, INCWDIN3 REPORTS PREPARED UNER OR P"RSUAW 70 IWERAGENCY AGREEMEN'PS SUPERSEDED: TRANSMITTED: Number Date Number Date TN 3200-21 Chapter NRC-3202 4/29/82 Chapter NRC-3202 8/29/6e Page Page Appendix m : 2'2 L/29/E2 Appendix E -3202 6/29/6a 2. REMARKS: Tr.is revision of Chapter 3202 expands the chapter fmm coverace of unclassified reports te include the rarkirs and handling of sensitive unclassified irtcmation (Official Use Cr.ly and Lirated Official Use Infomation, Safeguards Inforretion, Proprietary Infomation) and classified irferration (Top Secret, Secret, and Confidential). A se: tier has aise beer. added to set forth procedures for the handling cf unclassified repcrts en E cooperative pmgrams with foreim E:ve:=.er.ts Er.d. Tar.izati:r.s and with U.S. industry. 1

-- 7 i .) j e l'.S. NUCLEAR REGULATORY COMMISSION NRC MANUAL Volume: 3000 Information and Foreign Activities Part : 3200 Technical Information and Document Control ADM .1 1 I CHAPTER 3202 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 3202 COVERAGE - This chapter. and its appendix handbook. establish responsibilities, basic requirements, standards and procedures for the' documentation, production and dissemination of technical reports prepared by NRC consultants and grantees and by NRC contractors and their subcontractors, including reports prepared under or pursuant to interagency agreements or memorandums of understanding. These reports are hereafter referred to as contractor re-ports. This chapter does not cover NRC - staff-generated documents, NRC docket material, or the documents generated by NRC boards, panels. [ advisory committees and Offices that report to the Commission. '\\ 3203-02 OBJECTIVES l 0 21 to assure production and dissemination of technical reports as required by the Energy Reorganization Act of 19'i4 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 NBC. to assure that formal NRC contractor reports will carry the regis-024 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 _ ' Administration: develops and maintains, in consultation with Directors of Offices a. and Divisions and Regional Administrators, NRC standards, proce-( dures and guides for the production and dissemination of technical contractor reports. Approved: August 29, 1984 3

t 1 I PUBLICATION OF TECHNICAL REPORTS PREPARED BY l NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC-3202-032 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS l 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 j Control: a. develops and administers a central report control system for identi-fyin 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 l dissemination and public sale of unclassified contractor reports and controls duplication and printing of contractor reports to assure adherence to the Government Printing and Binding Regulations issued by the Joint Committee on Printing (JCP), Congress of the United States. e. in response to requests of Directors of Offices and Regional Administrators, establishes distribution data banks, maintains official standard distribution lists for automatic distribution of unclassified contractor reports and controls distribution to assure adherence to the Government Printing and Binding Regulations the Privacy Act, and the Freedom of Information Act. ~ 033 Directors of Offices and Regional Administrators: a. establish the contract or Standard Order for Work

• provisions, including those required by this chapter and its appendix; Chapter NRC-3203, Distribution of Unclassified NRC Staff-and Contractor-Generated Documents and its appendix; Chapter NRC-0260, Print-ing, Copying, Graphics and Photography and its appendix; and Chapter NRC-1102, Procedures for Placement cf Work with the Department off Energy. In the Statement of Work:

l (1) specify what reports will be reviewed for policy, management, I and legal issues by NRC staff in draft prior to printing and distribution. If the report is to be reviewed by NRC staff, l give the conditions under which the contractor may publish l documents in the event of unresolvable differences relative to l the draf t, including the type of disclaimer to be used in addi-tion to the standard government disclaimer (see Exhibit 6). l l In the case of DOE work, this is NRC Form 173, Standard Order for DOE Work. See Chapter NRC-Il02. Approved: August 29, 1984

w.. PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED c UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-034 Iu. (2) ' provide for the reviews necessary to insure that the national security, patent rights, copyrights, proprietary rights and rights in other sensitive unclassified information are not compromised by - the release or dissemination of the reports. If DOE contractors are to be authorized to make the reviews, ' designate the contractor officials who are authorized to sign NRC Form 426A prior to NRC distribution of ' reports (see Appendix, Part IV). Assure that sensitive ' unclassified and classified reports are marked and handled properly (see Appendix, Part V). (3) specify,that all formal reports carry NUREG/CR or NUREG/CP numbers as the prime identification, as illustrated. in the appendix. (4) specify whether formal reports shall be printed by NRC or 'ne contractor if the contractor has a JCP-authorized federal print-ing plant (see Appendix. Parts 11 and IV). (5) specify that all formal reports required by NRC shall be distributed.by NRC. ( E.) establish the number of copies the contractor may retain or request for internal and external distribution and charge against NRC. Written justification must be provided, and approval obtained of the NRC JCP representative (the Director. Division of Technical Information and Document Control) when the number exceeds the 50 copies authorized by JCP for unclassified reports. G) assure the prctection 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 renorts. 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 Infomation and Document Control. establish procedures for review of contractor's proposed press and e. other media releases. 034 The Office of the Executive feal Director-provides legal review and advice to NRC staff on questions regarding inventions, patents, proprietary information, use of copyrighted material, national security, and other sensitive unclassified and classified infomation. 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 _ _ _ _ _ _ - - _ _. _ - -. _ _ _ _ - - _ - - - _ -.... _. - _ - _ - - _ _ _ _ _ _.. ~. - - - - - - _. _. - _ _ - - - _ _ - - _ - - - - - - - -

y o._ PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED' 4 N R C-3202-036 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS _e 036 The Director. Division of' Security: a. administers the overall information ' security program which includes management of. the security classification program and other programs for the protection of sensitive unclassified information. b. advises staff. of NRC Offices and Regions on the preparation and handling of reports' containing classified, proprietary and other sen-sitive unclassified information. 037 The Director, Division of Contracts: a.. coordinates the flow of all reports to and from contractors (other than DOE contractors) where such reports may result in alterations in the terms and. conditions of applicable contracts as they pertain to report production and distribution. b. advises the contractor as to the source and method for obtaining reports required from the government for performance of the 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

• 04) 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.

• Words underscored in definitions are also defined in list.

Approved: August 29, 1984

t t ' PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR Pl'HSUANT TO INTERAGENCY AGREEMENTS N RC-3202-044 044 copyright - a form of protection provided by the laws of the United States (Title li. U.S. Code) to the authors of " original works of authorship" including literary, dramatic, musical, artistic, and certain other intel]ectual 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 (- SERs or ESs to be issued as NUREGs. Such material may be edited or modi-048 draft or final material for inclusion in " Safety Evaluation Reports" or " Environmental Statements" (ES) - written material requested for input to fied at the discretion of the NRC staff. 049 formal technical reports - the final product of research, an original investigation. c: 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 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 2 (Sections 2.740 and 2.790) and under 10 CFR Part 9 (Section 9.5); and other information submitted in confidence to the NRC by a foreign source and determined to be unclassified by the NRC. 0413 publicly available documents - information (reports and references) ( which is available in the NRC Pubbe Document Room (PDR) for public inspec-tion and copying or available in the public domain. Approved: August 29, 1984

m 1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY I NRC CONTRACTORS. INCLUDING REPORTS PREPARED N R C-3202-0414 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 0414 reproducible masters - camera-ready copy which includes (1) origi-l nals of line drawmgs (or prmts that can be copied), (2) glossy prmts of black and white photographs (colored photographs cannot be reproduced). (3) original typed or printed text, tables, cover, title page. contents and abstract, or (4) other forms of the materials listed in (1), (2) and (3) that a printer can reproduce. l 0415 technical reports - information on the technical aspects of contract work. These may be interim or final technical letter reports, draft or final forrral technical reports for publication in the NUREG/CR or NUREG/CP l series, or draft or fmal material for inclusion in SERs or ESs. l 0416 technical.}etter reports (also called technical evaluation reports) - interim. or fmal letters that provide information on the technical aspects of contract work. Interim technical letter reports may be required at various stages of a project. These reports usually are followed by a final technical letter report or a formal technical report. Final technical letter reports are usually specified in situations where the technical work is review and eval-uation of work of others or work to be used by the staff in the licensing and regulation process. Interim letter reports may include, but are not limited to, infomal (interim) progress report s, 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, pan els, 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 entitles that are to be given wide public dissemination. 052 Foms. NRC Form 426A, " Publication Release for Unclassified NRC Contractor and Consultant Reports" (Exhibit 5), NRC Form 335, "Biblio-graphic Data Sheet" (Exhibit 7), and NRC Form 190, " Cover Sheet for Reports Containing Proprietary Information" (Exhibit 19), shall be used as provided in the appendix. l 053 Appendix 3202. This appendix contains standards and procedures I for the preparation of reporting requirement portions of Statements of Work, ,) and for the documentation, production, and dissemination of technical reports prepared by contractors and other government agencies in accordance with ) contract requirements or interagency agreements. Approved: August 29, 1984

. PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-3202-054 054 Preparation Requirements Reports to be Printed by NRC. All contractor reports to be printed a. by NRC shall be prepared according to Appendix 3202. The repro-ducible masters for the requisite distribution shall be transmitted to the Division of Technical Information and Document Control accom-panied by completed NRC Form 426A and NRC Form 335. b. Reports Printed by Authorized Federal Printing Plants. All contrac-tor reports to be printed by the contractor (as specified by the contract, agreement, or standard order for work) shall be prepared according to Appendix 3202, and a reproducible master and suffi-cient copies for standard and incidental distribution shall be sup-plied to the Division of Technical Information and Document Control. accompanied by completed NRC Form 426A, signed by the authorized contractor official. Each such report shall include, as the last pa;;e. a completed NRC Form 335. 055 References. The NRC chapters referenced and NUREG-0794 (ref. j) and NL' REG-0650 (ref. i) are available from the Division of Technical Informa-tion and Document Con trol. The other publications are available from the Government Printing Office. Chapter NRC-0260. " Printing. Copying Graphics and Photography." a. l \\. b. Chapter and Appendix NRC-2101. "NRC Security Program." c. Chapter NBC-3203. " Distribution of Unclassified NRC Staff-and Contractor-Generated Documents." d. Chapter N R C-I l 0;'. " Procedures for Placement of Work with the Department of Energy." l e. Chapter NRC-3206. "NRC Contractor Speeches. Papers and Journal Articles on Regulatory and Technical Subjects." f. Chapter NRC-3207, " Conferences and Conference Proceedings. " g. Title 44, U.S. Code, "Public Printing and Documents." Government Printing Office. h. Government Printing and Binding Regulations of the Joint Committee on Printing. Congress of the United States, No. 24, April 1977 (JCP Regulations) Government Printing Office. i. Title 5. U.S. Code. " Government Organization and Employees." Government Printing Office. (. J j Approved: August 29, 1984

p 7-PUBLICATION OF TECHNICAL REPORTS PREPARED BY-( NRC CONTRACTORS. INCLUDING REPORTS PREPARED 'NRC-3202-055 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS n J. ," Technical Writing Style Guide." A. W. Savolainen et al., compilers. U.S. NRC Report NUREG-0650, November 1979, and Supplement 1. February 1982, 'k. " Protection of Unclassified Safeguards Information," D. J. Kasun. l' USNRC Report NUREG-0794, October 1981. 1. Chapter NRC-0255, " Mail Management," and' Appendix 0255, Part V. Annex A. I i ' Approved: August 29, 1984 1__z___._-.

r PUBLICATION OF TECHNICAL REPORTS PREPARED BY L' NBC CONTRACTORS. INCLUDING REPORTS PREPARED I, l'NDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 lV CONTENTS i PAGE PART I PREPARATION OF REPORTING-REQUIREMENTS PORTIONS OF STATEMENTS OF WORK FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR DOE WORK A. LIST OF TECHNICAL REPORT REQUIREMENTS......................... 1 B. REQUIREMENTS FOR FORMAL REPORT5............................... 2 C. REQUIREMENTS FOR DRAFT REPORT5................................ 2 D. PUBLISHING UNCLASSIFIED, NON-SENSITIVE INFORMATION IN OPEN LITERATURE AND PRESENTING PAPER 5...................... 3 E. TYP0 GRAPHY..................................................... 4 F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION........................................ 4 G. PUBLISHING UNCLASSIFIED PROCEEDINGS OF CONFERENCES AND WORK 5 HOPS................. 4 (g H. WRlilN3 AND PUBLISHING UNCLASSIFIED B00KS.......... 5 1. DISTRIBUTION OF REPORTS TO CONTRACTOR 5........................ 5 J. COORDINATION OF PRESS OR OTHER MEDIA RELEASES OF UNCL ASSIFIED INFORMATION..... 5 PART ll UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC... 7 7 A. DOCUMENTATION.. 7 1. Applicability........................................... 7 2. Front Cover and Title Page.............................. 9 3. Availability Information................................. l 9 4. Disclaimer............................................... 5. Previous Reports in 5eries............................... 9 9 6. Abstract................................................. 7. References and Bibliographies............................ 9 10 8. Bibliographic Data 5heet................................. B. PATENT AND SECURITY REVIEW5................................... 10 10 1. Patent Review............................................ 10 2. Security Review.......................................... i Approved: August 29, 1984

1 l 1 l A L PUBLICATION OF TECHNICAL REPORTS PREPARED BY-l NRC CONTRACTORS, INCLUDING REPORTS PREPARED ) NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS i ) CONTENTS (Continued) PAGE C. PROCEDURES FOR PRINTING AND DISTRIBUTING...................... 11 1. Printing................................................. 11 1 2. Reprinting................................................ 11 ) 3. Distribution of Reports................................. 11 EXHIBITS 1. Sample Cover for Unclassified Formal-Contractor-Prepared Reports. Excluding Those Printed by DOE Laboratories with JCP Authorized j Federa.1 Printing Plants....... 13 2. Sample Title Page for Unclassified Formal Contractor-Prepared Reports, Excluding Those Printed by DOE Laboratories with JCP Authorized Federal Printing Plants............... 14 3. Sample Cover for Unclassified Formal Reports Printed by DOE Laboratories with JCP Authorized Federal Printing Plants... 15 4. Sample Title Page for Unclassified Formal Reports Printed by DOE Laboratories with JCP Authorized Federal Printing Plants..................................................... 16 5. NRC Form 426A, Publications Release............................ 17 6. Disclaimer and Availability Statements............... 18 7. NRC Form 335, Bibliographic Data 5heet............................ 19 PART 111 UNCLASSIFIED TECHNICAL LETTER REPORT 5........................ 21 A. FORMAT........ 21 1. Applicability........................................... 21 2. Requirements............................................ 21 B. PATENT AND SECURITY REVIEW5................................. 21 1. Patent Review................................... 21 2. Security Review................. 22 PART IV UNCLASSIFIED FORMAL REPORTS TO BE PRINTED FOR THE OFFICE OF NUCLEAR REGULATORY RESEARCH BY DOE LABORATORIES WITH JCP-AUTHORIZED FEDERAL PRINTING PLANT 5...................... 23 A. DOCUMENTATION. 23 1. Applicability........................ 23 1 2. Front Cover and Title Page..... 23 Approved: August 29, 1984 11

y -- o PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 r l(. CONTENTS (Continued) PAGE 3. Availability and Price Information..................... 25 4. Disclaimer............................................. 25 5. Previous Reports in 5eries............................. 25 6. Abstract...............................................

25 7.

References and Bibliographies.......................... 26 8. Bibliographic Data 5heet............................... 26 B. PATENT AND SECURITY REVIEW5................................. 26 1. Patent Review........................ 26 2. Security Review........................................ 26 C. PROCEDURES FOR PRINTING AND DISTRIBUTING.................... 27 1. Printing............................................. 27 2. Reprinting............................................. 27 3. Distribution of Reports........ 27 PART V REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASSIFIED INFORMATION...................................... 29 [ A. APPLICABILITY... 29 h B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION...... 29 C. PROPRIETARY INFORMATION. 30 C. SAFEGUARDS INFORMATION.. 31 E. CLASSIFIED INFORMAT10N................................ 31 EXHIBITS 8. Sample Cover for a Contractor Report Containing Official Use Only Information.................................................. 33 9. Sample Title Page for a Contractor Report Containing Official 34 Use Only Information...... 10. Sample Back Cover for a Contractor Report Containing Official 35 Use Only Information.............................................. 11. Sample Cover for a Contractor Report Containing Limited Official Use Information.......................................... 36 12. Sample Title Page for a Contractor Report Containing Limited 37 Official Use Information.......................................... e V' iii Approved: August 29, 1984 I _m.____._..._.__

PUBLICATION OF TECHNICAL REPORTS -~ PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS - PREPARED. NRC Appendix 3202 ' l'NDER OR PURSUANT TO INTERAGENCY AGREEMENTS ( CONTENTS (Continued) j PAGE 13. Sample Back' Cover for a Contractor Report Containin Official Use Information...........................g Limited 38 14. Sample Cover for a Contractor Report Containing Proprietary Inf ormation Obtained f rom 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

17.

Sample Title Page fo'r a Contractor Report Containing Proprietary Inf ormation Obtained f rom a Foreign Source........... 42 18. Sample Back Cover for a Contractor Report Containing Proprietary Inf ormation. 43 IS. Cover Sheet f or Reports Containing Proprietary Information........ 44 . 20. Sample Cover for a Contractor Report Containing Unclassified Safeguards Information........... 45 21. Sample Title Page for a Contractor Report Containin Unclassified Safeguards Information................g 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 DRAFT 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 I E. MAILING TO PROGRAM PARTICIPANTS............................. 51 F. 5ECURITY..................................................... 51 Approved: August 29, 1984 iv l - ^ - ' '

c . Pl*BLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED .l'NDER OR PURSU ANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 CONTENTS (Continued) PAGE EXHIBITS 24 Sample Cover for a Draft Preliminary Report (Code) for Comment... 52 25. Transmittal Letter f rom Contractor to NRC Project Manager for Draft Preliminary Report (Code).............. 53 26. Transmittal' Sheet for Requesting Mailing to Cooperative Program Participants.................. 54 ( G. v Approved: August 29, 1984 j

PUBLICAT]ON OF TECHNICAL REPORTS PREPARED BY . NRC CONTRACTORS. INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 PARTI PREPAR ATION OF REPORTING REQUIREMENT PORT 3ONS OF STATEMENTS OF WORN FOR CONTRACTS, GRANTS AND STANDARD ORDERS FOR DOE WORN 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 through V. The following definitions describe the types of reports that may be specified: technical reports - information on the technical aspects of contract work. These may be interim or final technical letter reports, draft er 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 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 w2th. the financial number (FIN) assigned to the project. They are not to be identified with DOE registered report codes. The num-ber of copies to be prepared and the distribution of those copies will be specified by the project manager. formal technical reports - the final product of research. an original investigation or a significant compilation of information. This pro-duct is a formal technical report for publication in the NUREG/CR or NUREG/CP series. For extensive long-term projects. formal monthly, quarterly or semiannual and annual periodic technical reports may be required. A draft of the final or periodic report may be requested for comment prior to preparation of the camera-ready copy. e ts. 1 Approved: August 29, 1984 l

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED i Part 1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS ~ draft or final material for publication or inclusion in SERs. TN 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 er 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 workDig under an interagency agreement, or a DOE / facility or National Laboratory (con-tractor)' and subcontractors. B. REQUIREMENTS FOR FORMAL REPORTS If the contractor is to prepare a final formal technical report for publi-cation. state that it will be printed and distributed by NRC from camera-ready copy submitted by the contractor, unless the work is being done for the Office of Nuclear Regulatory Research by a DOE facility or Laboratory with a JCP-suthorized 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 should be handled in accordance with Parts IV and V of this appendix and/or Chapter 1102. C. REQUIREMENTS FOR DRAFT REPORTS If a draft is desired prior to completion of a final technical letter report, formal technical report, final material for inclusion in an SER or ES, or for comment by participants in cooperative programs with foreign gov-i ernments and organizations and with U.S. industry, state that require-ment and the time frame for delivering the final camera-ready copy after receiving NRC and/or participant comntents on the draft. State that all draft material should be submitted to the cognizant project manager. When the contractor is to submit draft material for comment prior to the preparation of the final report, state that if there are NRC program and/or participant comments the contractor will be asked to make changes. If agreement on the changes is reached, the NRC mansger will authoriae the contractor to prepare the final copy and submit it to the project manager, if it is a letter report or input to an SER or ES, or to the Director. Division of Technical Information and Document control, if it is Approved: August 29, 1984 2

t .s \\ ' PUBLICATION OF TECHNICAL REPORTS PREPARED BY 'NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS Part 1 lrk camera-ready copy for printing and distribution. This is to be done to

assure proper publication, handling, and distribution and, among other things, to preclude further changes that might nullify the agreement. If caveats were agreed to and the project manager wishes to check the final document for thcie presence, he/she should inform TIDC of that desire.

l - In that case, upon iseeipt of the caraera-ready copy by TIDC, the project manager will be infoimed and requested to prepare and sign the NRC Form 426A. Also state that if agreement on changes to a formal technical report to be issued in the NUREG/CR series is not reached, the NRC project manager may request the contractor to prepare the camera-ready copy with, in addition to the standard disclaimer required on all contractor formal reports (,ee Exhibit 6), any caveats deemed necessary to cover NRC objections. Such caveats may range from the "The views expressed in this report are not necessarily those of the U.S. Nuclear Regulatory Commission" to the addition of a preface setting forth the NRC opinion or footnotes at appropriate locations within the text. State that if NRC objections cannot be covered in this manner, NRC can refuse to publish the report. In the case of DOE / National Laboratory reports, the DOE Operations Office Manager responsible for that Jabora-tory should be informed by the NRC Office Director or Regional Adminis-trator of the decision and the reasons therefor, with a copy to the [ Laboratory Director. In the case of another Federal agency, a State, or g a private contractor, the person who executed the. contract should simi-larly be informed by the NRC Contracting Officer. The contractor is then free to publish without NRC identification of the report. Project manager or higher level decisions may be appealed to the NRC Executive Director for Operations. i 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 repor' 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 the open literature instead of submitting a final report and/or pre- ,( sent papers at public or association meetings at interim stages of the 5 work, if the article or paper has been reviewed by the NRC project 3 Approved: August 29, 1984

1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part 1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 1 manager in draft form and agreement has been reached on the con-tent. The. applicable procedures set forth in Chapters NRC-3206 or NRC-Il02-must be fouowed. If agreement is not reached, NRC may also ask that the paper include in addition to the standard statement " Work ' supported by the U.S. Nuclear Regulatory Commission," any caveats deemed necessary to cover NRC objections. If NRC objections cannot be covered in this manner, NRC can refuse to authorize publication in the~open litera-l ture and/or presentation of papers. ) In the latter casec NRC will inform the contractor of the decision, as stated above for formal reports (see Section C, paragraphs-3 and 4). The contractor.is then free to publish without NRC. identification of the information.. This ; will not affect payment of the contract work costs. Project manager or higher level decisions may be appealed to the NRC ' Executive. Director for Operations. If the contractor proposes to publish in the open literature or present I 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 shau 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 8\\ x ll-in. ' paper, unless otherwise specifically authorized. Occasionally, reports with many sym-bois and mathematical expressions may. require one and one-half spacir.g to provide for superscripts and subscripts. This spacing should be i l . allowed where needed, but should be considered an exception, not the ) I standard. { l F. REPORTS CONTAINING SENSITIVE UNCLASSIFIED AND CLASS!FIED INFORMATION Details of. the marking of reports designated Official Use Only, Limited Official U se, 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 public.ation of compilations of papers presented at meetings, conferences, and symposiums in which NRC Approved: August 29, 1984 4

~ - - - - - - 1 ~ PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part I e (' participates as a sponsor or cosponsor. Chapter NRC-3207, " Conferences and Conference Proceedings," provides general information and guidance for. this. More detailed guidance is available from TIDC upon request. L H. WRITING AND PUBLISHING UNCLASSIFIED BOONS NRC may, under certain circumstances, publish books prepared by grantees or ' contractors. For general information and guidance on book publishing, see Chapter NRC-3210, " Book Writing and Publishing." 1. DISTRIBUTION OF REPORTS TO CONTRACTORS Up to 50 copies of unclassified fonnal technical reports may be retained by or will be bulk shipped to the contractor.by NRC for internal use. If fewer than 50 copies are needed, indicate the desired quantity on NRC Form 426A. Single copies for specific individuals in organizations other than the contractor's organization who are not included in the distribution requested by the NRC project manager may be requested on a project basis or on a report-by-report basis. The request, with written justifi-cation, should be addressed to the NRC project manager, with a copy to NRC/TIDC. If the. additional distribution is approved by the NRC project manager, the contractor shall send these copies (if printing is done by the contractor) and address labels, even if printing is done by NRC. to NRC/TIDC, where the distribution will be made along with the standard distribution. Distribution of sensitive unclassified and classi-( fied reports will be made by the project manager on a case-by-case basis. J. COORDINATION OF PRESS OR OTHER MEDIA RELEASES OF UNCLASSI-FIED INFORMATION A contractor may request permission to issue a press or other media release on the work being done. Such request shall be made to the project manager, who will consult with his/her management and with the Office of Public Affairs. The contractor may not issue a press release on nonroutine information without this prior coordination. This coordination may be accomplished by telephone, with the NRC project manager respon-sible for expeditious handling. Decisions not to release information or delays in handling by the project manager may be appealed to the NRC Executive Director for Operations. $9 5 Approved: August 29, 1984

i,. ] PUBLICATION OF TECHNICAL REPORTS PREPARED BY

• NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 l

PART 11 UNCLASSIFIED FORMAL CONTRACTOR REPORTS TO BE PRINTED BY NRC A. DOCUMENTATION 1, Applicability The requirements of this part apply to contractor and inter-a. agency agreement reports that are to be printed by NRC. Contractors may not print reports prepared for NRC except those DOE laboratories with JCP-authorized printing plants and then only those reports prepared for NRC's Office of Nueb: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-tees which report directly to the Commission. ( \\ 2 Front 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.**

2) 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 copy of NRC Form 426A (Exhibit 5) with a request for a number. Reproducible copy of the cover of the perfoming organization may be sub-mitted; however, the data elements shown in Exhibit 1 must be included. These requirements meet the specifications of American National Standard i ANSI 239.38-1974, Guidelines for Format and Production of Scientific and ( Technical Reports, and ANSI Z39.23-1974, Technical Report Numbers. 7 Approved: August 29, 1984

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

l j PUBLICATION OF TECHNICAL REPORTS PREPARED BY l e l NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 11 3. Availability Information All formal reports will be made available for sale by NRC and by l 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. l t 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 l account of work sponsored by an agency of the United States Government. Neither the United States Government nor any agency thereof, or any of their employees, makes any warranty, expressed or implied, or assumes any legal liability. or responsibility for any third party's use, or the results of such use, of any information. appara tus, 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 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 issu-ance dates. Place this list on the back of the title page. 6. Abstract An abstract of 200 words or less shall be prepared for each formal { report. Within the report, the abstract shall appear on a separate { page between the list of previous documents in the series and the i contents page.* 7. References and Bibliographies ) Reports or other documents referenced in text, reference sections, bibliographies, and appendixes - of unclassified regulatory and ] technical reports in the NUREG series must be available to the public either in the public domain (as in a public library, at the i Government Printing Office, at the National Technical Information l Service, or at other reference or sales outlets) or in the NRC j Public Document Room. This means that references should not ] be made to personal communications and interviews, unpublished j l

• This preferred positioning of the abstract in the report need not be followed if the style manual of the origir,ating organization requires a different

( location. 9 Approved: August 29, 1984 1 i 1 i

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 security, official use only, etc.). If the unretrievable information is important and. unrestricted it can be quoted in the text. in footnotes, or in appendixes. If credit is due to individuals, they can be mentioned in the text or in an acknow-ledgement section. Availability may be stated collectively for all entries (see Exhibit 6). Guidelines for developing and presenting reference,, material are provided in NUREG-0650, " Technical Writing Style Guide. " published in November 1979 -(see Appendix A, pp. 19-23. for specific guidance) and Supplement 1 dated February 1982. 8. Bibliographic Data Sheet NRC Form 336 (Exhibit 7) shall be prepared and included in the camera-ready copy as the final right-hand page. 1 B. PATENT AND SECURITY REVIEWS 1. Patent Review Patent implications shall be consdered prior to approval of reports for public release so that disclo: ure 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 agency administer-ing the contract, the responsible NRC contracting officer shall be consulted, and the responsible NRC project manager shall consider the patent implications. If there is no need for patent review because of the certainty that the report contains no description of novel technical developments which may be of an inventive nature, NRC Form 426A may be completed with the statement "Not Appli-cable" or "N/A" in the space for the Patent Counsel's signature. If there is a possibility that there is disclosure of developments of an inventive nature, the contracting officer shall request assistance from the NRC Patent Counsel, Office of the Executive Legal Director. 2. Security Review In most cases, contractor reports will be unclassified. Should a report of sensitive unclassified or classified work be required. l

however, the NRC project manager must work with the NRC j

Division of Security to establish the appropriate procedures and l 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 w._~_---__.._-- o

n PUBLICATION OF TECHNICAL REPORTS PREPARED BY-NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 - UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part 11 LC C. PROCEDURES FOR PRINTING AND DISTRIBUTING <('- 1. . Printig Reproducible - masters - prepared in accordance with this appendix shall be transmitted to the Division of Technical Information and Document Control,. accompanied by completed NRC ' Form 426A (Exhibit 5). NRC Form 426A must be signed by the NRC. project manager or a contractor official authorized by the project manager. Such authorization shall be reported in writing to TIDC. The Division of Technical Information and Document Control will review the masters for adherence to the standards set forth in this - chapter and appendix and will arrange for printing and distributing the report. Unsatisfactory masters will be - reported to the ' NRC project manager for appropriate contractual action' by the contract-ing officer or, in the case of government agency or interagency - agreement work, the ' publications manager of the performing organization. 2. Reprinting Requests for reprinting any report subsequent to the initial print-ing require approval of the Division of Technical Information 'and i Document Control. Each _ request shall include a written justification and' the project manager's approval for reprinting along with ad-f dress labels for the recipients. 3. Distribution of Reports All copies of unclassified formal contractor reports will be distrib-uted by the Division of Technical Information and Document Control in accordance with instructions on NRC Form 426A (Exhibit 5).-The Division of. Technical Information and Document Control will also arrange automatic distribution of these reports to the NRC Docu-ment Control System, the NRC Public Document Room, the National Technical Information Service (NTIS), the Government Printing Office and the Depository Library Service. If any distribution is to be made other than, or in addition to, the standard distribution established for the report, written justification and the project manager's approval for printing additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control. Address labels for the additional distribution must be suppl.ied. Distribution of sensitive unclassified and classified reports will be made by the NRC ' project manager on a case-by-case basis. 11 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC' CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 ' UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 'c-EXHIBIT 1 SAMPLE COVER FOR UNCLASSIFIED FORMAL CONTRACTOR PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS l-NUREG/CR-1676 NRC Report No. NUSAC-566 Contractor Report No. (if any) Vol.1 Vol., Part, Rev., etc. (if any) Using Advanced Process Monitoring we to improve Material Control I Subtitle and Type of Report Final Report (Annual, Topical, etc.) September 1979 September 1980 Author (s) Peewee e, a t He.uns. m L Lynen. a r Lume Contractor NU$AC lacorporated r Regulatory r b 13 Approved: August 29, 1984 U~

PUBLICATION OF TECliNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED l Part 11 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 2 I SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL CONTRACTOR. PREPARED DOCUMENTS, EXCLUDING THOSE PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC REPORT No. NUREG 'CR 1676 Contractor Report No. (if any) NUSAC 566 Vol., Part, Rev., etc. (if any) V ' Distribution Category No. (if any) Using Advanced Process Monitoring Titie to improve Material Control Subtitle and Type of Report Finst Report (Annual, Topical, etc.) Septembe,1979 September 1980 Report Date and Bases u.,ef,ug.-e.;egr,.-o.. is.c Author (s), Editor (s), e..

e e,,,

Compiler (s), etc. Contractor Name s.s e. rw.- and Addtes: 3l,'if,J/64, NRC Sponsorship fa....e,o.,...... 1s r o....s s o..o, Dm n u s woes.,..,.... s......,...... . ~ a.g.i.i.,, comm.....a NPC Contract No. N$$U'e437 l i l J Approved: August 29, 1984 14

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC: CONTRACTORS, INCLUDING REPORTS PREPARED NBC Annandiv 3909 UNDER OR Pl*RSl' ANT TO INTERAGENCY AGREEMENTS . a.m. i k-EXHIBIT 3 SAMPLE COVER FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS I NRC Report No. NUREG/CR 1952 Contractor Report No. SAND 810151 Vol., Part,'Rev., etc. LOCA-Simulation Thermal-Shock Test of Sliding-Link Terminal Blocks / 4 Type of Report independent Verification Testing Program or Subtitle independent Verification Test 1 J A L'~'n T w G % t 5 Author (s), E ditor(s) '"**'" D' k ('(%,,,% ", "g**f,Zei C Contractor

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Sponsorship h'7'd*j,'*,',g,,g,,,, Commesson -(. 15 Approved: August 29, 1984

a PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED ' Part 11 l'NDER OR PURSl1 ANT TO INTERAGENCY AGREEMENTS EXHIBIT 4 SAMPLE TITLE PAGE FOR UNCLASSIFIED FORMAL REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Report No. Contractor's Report No. j i Vol., Part, Rev., etc. NUREG'CR 1952 Distribution {AND610151 Category { l Tim LOCA-Simulation Thermal-Shock i Test of Sliding-Link Terminal Blocks \\ $Ubittle l independent VerifsCatioe Testing Program Independent VerihCation Test 1 Report Dates u,.....,.,.......,,...., c..s eu. v Author (s), Editor (s) ...r,.. c. ' 'e 'a",,$..c, "a 'eg*,I.*,. [e : I ' ' ~ ^ a Controcter's s.-....:..,....~. Namt and Address NRC Sponsorship Preparee for Divesion of Resident and Regional Reactor inspection Orf ace of enspection end Enforcement U S Nucier Re wlatory Commission NRC FIN No. E!cD's3io$ Approved. August 29. 1984 16

PUBLICATION OF TECHNICAL REPORTS PREPARED BY N'RC CONTRACTORS, INCLUDING REPORTS PREPARED NRr' Appendix 3202 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Pret II e {' EXHIBIT 5 NRC FORM 426A, PUBLICATIONS RELEASE FOR UNCLASSIFIED NRC CONTRACTOR AND CONSULTANT REPORTS ..c ...c......6..w. ~. - PUBLICATIONS RILEA$f FOR UNCLAS$1FIED

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC. CONTRACTORS, INCLUDING REPORTS PREPARED l' art !! UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS

• EXHIBIT 8 DISCLAIMER AND AVAILABILITY STATEMENTS 18ACK OF COVER)

NOTICE Tsus esport aus puesred as sa sessunt of aerk spessymf by en enney of ses 9 deed Sisms Geeernment. seerther the Unrise Sessa Genernment ser any ageney teaseef. er any of goir easievess, make say marranty, e=N or imisessf. er senses any tagsl IIstE8ty of so-1 resale of essh iss. of any tidunmsden, scopetus. aserne+lety for any therd sorty's t s Peeust er peessa casteens en tem. e :p + or euremsnm that les ess by assh WarW party saidd r:st inNwise poeiely eened rights NOTICE Avedetslety of Rekrense hesterish Cned 6n NRC Publestens htoet soevaens cited en NRC subisstens unti to euestside Nom one of We testameng suuress.

1. Trw NRC Punisc Document Room,1717 M $ west. N W Washington DC 20566

2. The NRC/GPO Se6es Propam. U S Nucesse Repletory Commason.

Washenston, DC 20655 3 The National Technicet informeten $srves. $orwigfised. VA 2218 % ANhough the istin0 that follows repressets the moperity of escumenu cisse in NRC >46esesre et a not ensenese to be eshaustwo. Referensed eacupens avodstdo for iresseten and eseymg ter a fue Nem the feRC Pubiac Desu-ment Room oneWoe NR C eorremonsonce and miernet NRC memorenes. NRC ONes of leusseissa and Enforcement butietms cwculari, en%rmetoa notes. messeten end sneestagsten notes. Licomme E vont Reports. senaar repers and corrusoneerse Commenen sessrs. ens assiesent ens licenuse eocumenu and eerresentence The follomang documenu in the NUR EG apres are eueilstee 6er pureham from the NAC/GPO Sete Proyam: formet NRC swN ond sentractor repers. NRCesneered sentwense passmenp.eral N RC bookneu and brochures Atuo svedstne ore Raptsesry Guiens. NRC repostesse in the Cast of Fenderal Assularene, and AYcdser Aspderory Conwnemen lassassiL Doevaene owedoble from the testenst Toshnssel ladormecon Serves instude NUstEG seus repers and techacei reports repered by oper 8eenrol essresas and espera presored by the Aesmec Energy Cearnemen, forerunner aesrcy to We Deusesor Aspessary Cessnimen. ensunene eiedshee tem panic ens assist ashnises enreries behsde es som husense assia. seen es toeks. soumet end persedest artisess. and weressessa Fesise Augeur nesses tseeral and r som iussisten ens swipemensi repara son unssisy to eMesnad trem thus thrones. Desunene m ch es shoes, asurwoors. terelyueomre sad womessem. ens son 4 sac esuswoom pessmengt are essNames lor pusehus 8pom the orgsseaution geimertsg Wie gutenselon eased. Sme s cooes of NRC ereft reports are svedstne free, to the estest of sueely.eeen isratem esesset n l to the Dmoson of Techneset latermsten and Domsment Centrol. UL 8eustser Asplassry Com. l momen. wahnigion. DC sce66. Cooms of Wisierry seem and senderes und in a suessentas esever in the NaC eagdsesry posse are mornmined at the NRC Library,7320 herteek Aeonus. Deposes, henrytsad and ese essesses l Wiere for rekronce use by the putdec. Codes arW sounderes are seussy sepyripeng eng sesy to owretamed *om the onenetwis epresseen w. w voy are Anerosa homens siniewei.*om We Amoreen Notensi leneeres insertute.1 M Sressesy. 80su York. NY 1610. 000 omeus say, ones i A pprond - August 20, 1981 18

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D . PUBLICATION OF TECHNICAL REPORTS PREPARED BY l NRC CONTRACTORS INCLUDING REPORTS PREPARED i UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC Appendix 3202 (- 1 1 PART 111 { i UNCLASSIFIED TECHNICAL LETTER REPORTS j l A. FORMAT 1 1. Applicability i a. The requirements of this part apply t'o unclassified contractor technical letter reports. (See Part I. A for definition.) b. The requirements of this part do not apply to consultants and contractors to the NRC boards, panels, and advisory commit-tees which report directly to the Commission. 2. Requirements l Technical letter reports are prepared, duplicated and distributed in accordance with the requirements of the Statement of Work in the contract or in the Standard Order for DOE Work. Each such report must be identified with the financial number (FIN) assigned to the project. The number of copies to be prepared and the distribution / of those copies win be specified by the project manager. If unclas- { sified ' and non-sensitive, the NRC project manager is responsible for making such reports available in the NRC Public Document Room (PDR) by sending them to the PDR through the NRC Document Control System. B. PATENT AND SECURITY REVIEWS 1. Patent Review Patent implications shan 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 contractuaDy 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 shan be consulted, and the responsible NRC project manager shan consider the patent implications. If there is a possibility that there is disclosure of developments of an inventive nature, the NRC contracting officer shan request assistance from the NRC Patent Counsel, Office of the Executive Legal Director. { 21 Approved: August 29,.1984 _____.___-______m_

'O e 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 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 l Approved: August 29, 1984 22

.. 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 f which report directly to the Commission. \\ 2. Front Cover and Title Page Separate covers (of different paper than that of the text) and a. title page are required.* b. Items such as those shown in Exhibits 3 and 4 and discussed below shall appear on the front cover and title page, as appro-pria 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 a ( 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

I PUBLICATION OF TECHNICAL REPORTS PREPARED BY. l NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED' Part l\\' UNDER OR' PURSUANT TO INTERAGENCY AGREEMENTS be obtained by calling the Division of Technical Informa-L tion and Document Control or by submitting a copy of NRC Form 426A (Exhibit 5) with a request for a number. The NRC identification number will have the form: l NUREG/CR-XXXX or NUREG/CP-XXXX, The contractor's report number, if any, will be inserted t.elow the NUREG number on the title page and cover, as shown in Exhibits 3 and 4, if desired by the contractor. Whm a report consists of more than one volume or bind-ing or is issued in more than one edition, an appropriate volume, supplement, part, or revision designation shall appear immediately below the report number (s). NRC report numbers on covers and title pages shall be shown entirely on one line to facilitate computer processing. (2) Title and Subtitle (a) Use a brief title, which indicates clearly the subject matter covered in the report. (b) When a report is prepared in more than one volume, repeat the primary title on each volume. (c) If appropriate, show the type of report (e.g., annual report, final report, etc.) and the period covered as part of the subtitle. (3) Personal Author (s)' Name(s) (a) Authors' names should be given on the title page and cover unless this is impractical, as in the case of annual reports which have many contributors. If authors' contributions are as editors, compilers, etc., so indicate on title page and cover following the names. In addition, list affiliation of each author only if affiliated with an organization other than the organization generating the report. (b) Authors may be identified on backstrips (spines) of bound volumes. (4) Organization Identification (a) On the cover, provide the name of the contractor responsible for preparing the report, followed by " Prepared for the U.S. Nuclear Regulatory Commission." Approved: August 29, 1984 24 _1____________

PUBLICATION OF TECHNICAL REPORTS PREPARED BY , NRC ' CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV-k' (b) On the title page, provide information of the type iUustrated in Exhibit 4. (5) Basis for Report Dates (s) (a) The basis for dating may be shown along with the date on the title page. Various bases for dating are possible; e.g., date report completed, date reviews completed, date published, date distributed, etc. (b) More than one date, with the basis for each, may be shown where this is necessary. 3. Availability and Price Information AU formal reports wiU 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 United States Government nor any agency thereof, or 4' 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, produt or process disclosed, or represents that its use by such third party would not infringe privately owned rights." The follow-ing af ditional statement. "The views expressed in this report are I not ni.cessarily those of the U.S. Nuclear Regulatory Commission" wiU 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 shaU be prepared for each formal report. Within the report, the abstract shan appear on a separate page between the list of previous documents in the series and the contents page.* ,This preferred positioning of the abstract in the document need not be fol-( lowed if the style manual of the originating organization requires a different location. 25 Approved: August 29, 1984 i

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC ' Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED' - Part IV UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS 7 References and Bibliographies Reports or other documents referenced in text, reference sections, bibliographies.- and appendixes of unclassified regulatory and technical reports in the NUREG series must be available to the. public either in the. public domain (as in a public library, at the Government Printing Office, at the National Technical Information Service, or at other reference or sales outlets) or in the NRC Public Document Room. This means that references should not be made to personal communications and interviews, unpublished 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. Availabihty may be stated collectively for all entries (see Exhibit 6), Guidelines for developing and presenting reference material are provided in NUREG-0650, " Tee".nical 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 i responsible for the contractor should perform the patent review. l The results of suah review shall be reported by.the contractor on NRC Fonn 426A in item 11 (Exhibit 5). 2. Security Review In most cases, reports will be unclassified. Should a report of sen-sitive unclassified or classified work be required, however, the NRC project manager must work with the Division of Security to establish the appropriate classification procedures and inform the contractor. The standards for marking and handling such reports are given in Part V of this appendix and NRC Appendix 2101. l Approved: August 29, 1984 26 L

,. ~.... -..... _ q 1 o ) PUBLICATION OF TECHNICAL REPORTS PREPARED BY l'. NRC CONTRACTORS.-INCLUDING REPORTS PREPARED NRC Appendix 3202 i l'NDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part IV l C. PROCEDURES FOR PRINTING AND DISTRIBUTING ^ l 1. Printing Contractor reports may be printed only by a JCP-authorized print-1 ing plant and then only if prepared for the NRC Office of Nuclear Regulatory Research. Reports printed by the contractor and one reproducible master shall be submitted to the Division of Technical Information and Document Control,.with completed NRC Form 426A. The number of copies specified by the Statement of Work for stand-ard and. incidental distribution shall be provided. The appropriate i identifying number (NUREG/CR _) may be obtained as discussed in Section A.2.b.(1). 2. gprinting i 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 inchde a written justification and the projec managers approvai for the re-printing, along' with address labels for the recipients. 3. Distribution of' Reports f' All copies of unclassified formal contractor reports will be distrib-g- uted by the Division of Technical Information and Document Control in accordance with instructions on NRC Form 426A (Exhibit 5). NRC Form 426A must be signed by a contractor official authorized by the project manager. Such authorization shall be reported -in writing to the Division of Technical Information and Document Control. If any distribution is to be made other than, or in addition to, the standard distribution established for the report, written justification and the project manager's approval for printing additional copies shall accompany the reproducible masters when submitted to the Division of Technical Information and Document Control. Address labels for the additional distribution must be supplied. The Division of Technical Information and Document Control will arrange automatic distribution of these reports to the NRC Docu-ment Control System, the NRC Public Document Room, the National Technical Information Service (NTIS), the Government Printing Office and the Depository Library Service. Distribution of sensitive (unclassified) and classified reports will be made by the NRC project manager on a case-by-case basis. .c 27 Approved: August 29, 1984

g .. ~.... F 'P.UBLICATION 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 Appendix 2101. -g The reports covered are defined as sensitive unclassified or classified. l 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 Information that requires protection in one of the three classification categories described in Executive Order 12356: Top Secret, Secret or Confidential. The uses of each of the sensitive unclassified and classified categories and the markings required on reports are discussed and exhibited in the following sections. All sensitive unclassified and classified reports are to be sent directly to the project manager. B. OFFICIAL USE ONLY AND LIMITED OFFICIAL USE INFORMATION. NRC regulations require an Official Use Only marking to be placed on a ( report only when the originator or other holder believes the marking is s 29 Approved: August 29, 1984

o 1 PUBLICATION OF TECHNICAL REPORTS PREPARED BY I NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPAREQ i Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS I 1 I essential to ensure proper handling. Reports designated Official Use i 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, tre.nsmitting, protecting, and handling reports containing Official Use Only and Limited Official Use information and removing such reports from those categories are detailed in NRC Appendix 2101, C. PROPRIETARY INFORMATION Proprietary information is a specific type of Official Use Only informa-tion. Proprietary information includes: 1. trade secrets. 2. privileged or confidential research, development, commercial or financial information exempt from mandatory disclosure under 10 CFR Part 2. " Rules of Practice for Domestic Licensing Proceed-ings," Sections 2.740 and 2.790 and under 10 CFR Part 9, "Public Records," Section 9.5, " Exemptions." 3. information submitted in confidence to NRC by a foreign source, which has been determined by NRC to be unclassified. Unclassified NRC contractor reports containing proprietary information shall be marked as shown in Exhibits 14 through 18. In each instance, the optional wording that describes the material being presented should be selected. If a report contains both Official Use Only information and proprietary information, the front cover shall be niarked as proprietary information and may also be marked as Official Use Only infonnation, if necessary. Pages in the report that contain proprietary information may be marked accordingly, including, marginal or other indicators of the specific wording that is proprietary. Similarily, the pages that contain Official Use Only information without proprietary information may be marked Official Use Only Approved: August 29, 1984 30

e Q a. PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING' REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V Procedures for reproducing, transmitting, protecting and handling pro-prietary information reports and removing them from the proprietary information category are detailed in NRC Appendix 2101. A cover sheet (Exhibit 19) is to be placed on each hard copy of a report containing proprietary information. D. SAFEGUARDS INFORMATION l Safeguards information may be of three types: (1) classified informa-tion, which is marked and handled as inaicated in Section E, (2) un-classified information restricted under Section 147 of the Atomic Energy l Act, which is marked and handled as described in this Section, and (3) unclassified information, which is publicly available and handled as indicated in Parts 1 through IV. The saftguards information that is to be protected as described here is unclasuned information used in a report which specifically identifies 4 certain licensee's or applicant's detailed: 1. security measures for the physical protection of special nuclear material 2. security measures for the physical protection and location of certain plant equipment vital to the safety of production or utilization (, facilities. e' 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 s 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 l Appendix 2101. These procedures are too complex for summarizing here. ) Classification determinations regarding NRC information may be made solely by authorized classifiers designated by NRC or DOE. Authorized classifiers are responsible for insuring that reports they determine to be classified are marked and protected in accordance with the provisions of NRC Appendix 2101. k 31 Approved: August 29, 1984 E_______

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

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS. INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part V l EXHIBIT 8 l SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY NUREGICR XXXX (S) Title Subtitle and Type of Report Authorts t, [d'tortel ..f.d f or u s nuci.., n.es.iory commi.. ion f \\ w --o.naav ea.i: o s:tess i l OFilCIAL USE ONLY ( 33 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY - e NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part \\' l'NDER OR Pl*RSI' ANT TO INTER AGENCY AGREEMENTS EXHIBIT 9 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION 1 OFFICIAL USE ONLY NUREGiCR XXXX (S) Title Subtme and Type of Report o p..r c ....w. u.s.,w. e m... am.... i.n.. c., j p r.....e t o, SEE" ?L*",i :' argar "'""""'*" i NRC FIN ho l ) OFFICIAL USE ONLY Approved : August 29. 1984 34

u ] t PUBLICATION OF TECHNICAL REPORTS PREPARED BY l NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Ser V ~. EXHIBIT 10 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING OFFICIAL USE ONLY INFORMATION OFFICIAL USE ONLY ( \\ l i OFFICIAL USE ONLY (.\\. 35 Approved : August 29, 1984 j

i PUBLICATION OF TECHN! CAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part Y UNDFR OR PURSUANT TO INTERAGENCY AGREEMENTS EXHlBIT 11 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION .v LIMITED OFFICIAL USE { I I NUREGICR XXXX (S) Title 1 Subtitle and Type of Report b#' 2'*' " $ ciees Regulatory Comminion A SaaQt D saDY Pvt.iC D'$ 6C5v g a ( i LIMITED OFFICIAL USE l I, l l Approved: August 29, 1984 36 j. a______-_____-_- 1

a 7-PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED-NRC Appendix 3202 l UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS FaM Y < -(., EXHlBIT 12 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION LIMITED OFFICIAL USE NUREG/CR XXXX (S) Title Subtme and Type of Report ursacnot wee sore

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( EZ3"*' k* . weleer R ulatory Commiselon Weehington. D XM6 NRC FIN he. LIMITED OFFICIAL USE l l ? l lh. \\ l 37 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 13 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING LIMITED OFFICIAL USE INFORMATION I i LIMITED OFFICIAL USE LIMITED OFFICIAL USE Approved : August 29, 1984 38 l l

l L ~ PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Part V 1 EXHIBIT 14 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY lNFORMATION OBTAINED FROM A U.S. ORGANIZATION l l PROPRIETARY INFORMATION NUREGiCR XXXX (P) Title Subtitle and Type of Report Authons). Edmorts) Contra cto. Prepared for U $ Nuc6eer Regulatory Commlesion f\\ m:a=m. =~

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PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED Part Y UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 15 SAMPLE COVER PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE J PROPRIETARY INFORMATION NUREG/CR XXXX (Ps Title Subtitle and Type of Report Authortst, Editortst Contractor Prepared for U.5 Nuclear Reguletory Commission toegickis.somu o ios 2::.;m:r;r ~~'* .~.-..co-..,..,s...,~,.. -..o ece4:eeee winM060 FROM PutLIC O'SCLC5v t a is.,,,,, i..,. o o,o... l i PROPRIETARY INFORMATION Approved: August 29. 1984 40 1

o PUBLICATION OF TECHNICAL REPORTS PREPARED BY Nhc CONTR ACTORS, INCLULING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS PLM V EXHIBIT 16 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A U.S. ORGANIZATION PROPRIETARY INFORMATION l NUREGICR-XXXX (Ps Title Subtme and Type of Report u.~ e. C.mw so.i.

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9 PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 17 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING PROPRIETARY INFORMATION OBTAINED FROM A FOREIGN SOURCE PROPRIETARY INFORMATION NUPh6 Cf.-XXXX (P) Title Sutame and Type of Report at, wtp s m.a

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PROPRIETARY INFORMATION I Approved: August 29, 1984 42

e PUBLICATION OF TECHNICAL REPORTS PREPARED BY 'NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS ra r ( EXHlBIT 18 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING l PROPRIETARY INFORMATION PROPRIETARY INFORMATION /'i PROPRIETARY INFORMATION 43 Approved: August 29, 1984

.? PUBLICATION OF TECHNICAL REPORTS ' PREPARED BY NRC Appendix 3202 NRC CONTRACTORS. INCLUDING REPORTS PREPARED 'I Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENT 6 EXHIBIT 19 COVER SHEET FOR REPORT CONTAINING PROPRIETARY INFORMATION l 2 l PROPRIETARY INFORMATION NOTICE 4 TMt ATTACMED DOCUMENT CONTAINS " PRO *AltTART INFOa. WO A N M ULD NO BE D 5 t ADE AVAILASLt TO ANY PERSON NOT AIOuimiNG SUCM W80AMA. 5 08 T AN f aDAD 15805 O Sv M Cl* IN IN A MANNEA WMICM WILL ASSURI TMAT ITS CONTENT 5 ARE NOT MADE AvalLASLt TO UNagTMOat2ED Pan 50NS I COPY. DOCKET NO. CONTROL. REPORT. REC'D W/LTR DTD. ] i PROPRIETARY INFORMATION i A o M soime Approved: August 29, 1984 g A----_____-__x-_

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Annandiv 3907 UNDER OR PURSU ANT TO INTERAGENCY AGREEMENTS Pad V l EXHIBIT 20 SAMPLE COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEOUARDS INFORMATION NUREG'CR XXXX (SG) Title Subtitle and Type of Report Authertel. Editor (s) Contractor uclear R6guistory Commission \\

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m.-. m..o. ....no... h*i; ::,*e*L"C' '.?" i l SAFEGUARDS INFORMATION s 45 Approved: August 29, 1984

n PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTER AGENCY AGREEMENTS 1 EXHIBIT 21 SAMPLE TITLE PAGE FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION SAFEGUARDS INFORMATION NUREGICR XXXX (SG) Title Subtme and Type of Repon L' ii!,*." ! A 7. L ' O L..... j,gf.%**' yp; g.gg c mi..... i SAFEGUARDS INFORM ATION Approved: August 29, 1984 46 e

r PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Anoendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Par: Y + -I(. t EXHIBIT 22 SAMPLE BACK COVER FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION sAFEauARos INFORMATION i l \\ I SAFEGUARDS INFORMATION 47 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS' EXHISIT 23 COVER SHEET FOR A CONTRACTOR REPORT CONTAINING UNCLASSIFIED SAFEGUARDS INFORMATION ~t ., f.. ? h, A I i M SAFEGUARDS INFORMATION . ) ? *' ~ f,. 't' di y RA I m THIS DOCUMENT CONTAINS INFORMATION WHICH MUST BE PROTECTED FROM 1 7' UNAUTHORIZED DISCLOSURE.10 CFR 73.21 AND SECTION 147, ATOMIC ENERGY ACT OF 1954 APPLY. VIOLATIONS ARE SUBJECT TO CIVIL OR CRIMINt.L PENALTIES. i THIS DOCUMENT 15 NOT TO BE LEFT UNATTENDED OR ACCESSIBLE TO UNAUTHORIZED PERSONS. WHEN NOT IN USE, IT MUST BE STORED IN A LOCKED SECURITY STORAGE r CONTAINER. I IT IS YOUR RESPONSIBILITY TO PROTECT THE INFORMATION CONTAINED IN THIS DOCUMENT FROM COMPROMISE, THEFT OR UNAUTHORIZED DISCLOSURE. t b I r< s a e j SAFEGUARDS INFORMATION l \\ 1 l dn n-~. n--

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PUBLICATION OF TECHNICAL REPORTS PREPA' RED BY

~ s NRC CONTRACTORS, INCLUDING REPORTS PREPARED UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS NRC-Appendix 3202 r PART VI HANDLING OF UNCLASSIFIED INFORMATION ON NRC COOPERATIVE PROGRAMS WITH FOREIGN GOVERNMENTS AND ORGANIZATIONS AND WITH U.S. INDUSTRY j 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,l 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. i The interests of all NRC cooperative nuclear safety research program partici-pants are served best by early, rapid dissemination for comment of informa-j tion on-these programs developed for NRC by NRC contractors. This can be accomplished by distribution of " Draft Preliminary Reports (or Codes)" for. -/ comment for a specified period of time, followed by issue as formal NUREG/CR i reports, with the concurrence of the participants.. Specific procedures for accomplishing these goals and for transmitting information prepared by the N NRC andl DOE facilities and contractors and their subcontractors working on these-programs are presented in the following sections. The procedures de-tailed here have been agreed to by DOE ' and' have been provided to the responsible DOE Operations Officers and NRC Program and Project Managers as guidance. A. PREPARATION OF DRAFT PRELIMINARY REPORTS FOR COMMENT The first issuance of information by a contractor shall be designated '.'Draf t 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 f (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 reproduced, wholly or partially, unless written permission to do so has been obtained from the appropriate USNRC office. j y The recipient is requested to take the necessary action to ensure the protection of this report. 49 Approved: August 29, 1984

PUBLICATION OF TECHNICAL REPORTS PREPARED BY I KRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part V1 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS i 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 copies,specified by the project manager (in most instances this will be fewer than 20 copies). The contractor (DOE facility, contractor or subcontractor or other con-tractor) may retain copies only for internal use. DOE facilities and contractors and their subcontractors shall not distribute ' copies of this draft report to DOE /TIDC. Draft reports may be distributed to interested DOE program offices. Subsequent issues of the information shall also be designated " Draft Preliminary Report (or Code)" until the NRC project manager authorizes preparation of a NUREG/CR report. " Draft Preliminary Reports (or Codes)" shall not be identified as NUREG/CR rept-ts 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 Se rvice. ' 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 l The " Draft Preliminary Reports (or Codes)" will be uniquely identified l only by the Financial Identification Number (FIN) assigned by NRC and Approved: August 29, 1984 50

l PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI the appropriate periodic notation, if any, included in the title (Ex-hibit 24). They shall not be given standard report nomenclature until the NRC project manager authorizes publication as a NUREG/CR report. At that time, the contractor may add its own designation below the NUREG/CR number, as shown in Exhibits 3 and 4. E. MAILING TO PROGRAM PARTICIPANTS The physical transmission of reports from NRC to program participants shall be handled by the Document Management Eranch (DMB), Division of Technical Information and Document Control (TIDC), based on address labels of participants supplied by the project manager. The transmittal sheet shown in Exhibit 26 shall be used to transmit the documents and the labels to DMB. F. SECURITY If information included in the report or code has been determined to be sensitive unclassified or classified information (see statement of work) the procedures of Part V also apply. The report (or code) may not be classified solely for the purpose of limiting distribution to the partici-pants. l C 51 Approved: August. 29, 1984 L_____________._________.____..__.__.____

PUBLICATION OF TECHNICAL REPORTS PREPARED BY-NRC Appendix 3202 NRC CONTRACTORS, INCLUDING REPORTS PREPARED Part VI UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS EXHIBIT 24 SAMPLE COVER FOR A DRAFT PRELIMINARY REPORT (CODE) FOR COMMENT ORAFT 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 DOE Facility, Contractor and/or Subcontractors, if any) for U.S. Nuclear Regulatory Commission NOTICE THIS DRAFT PRELIMINARY REPORT IS ISSUED ONLY TO PARTICIPANTS IN THE DESIGNATED COOPERATIVE PROGRAM This report was prepared in contemplation of Commission action. It has not received patent review and may contain information received in confidence. Therefore, the contents of this report should neither be disclosed to others l 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 l

.~. ...-.s.. I PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED NRC Appendix 3202 UNDER OR PURSUANT TO INTERAGENCY AGREEMENTS Part VI + f (k EXHl81T 25 TRANSMITTAL LETTER FROM CONTRACTOR TO NRC PROJECT MANAGER FOR DRAFT PRELIMINARY REPORT TO: NRC Project Manager

SUBJECT:

ORAFT PRELIMINARY REPORT (CODE) ON j (PROGRAM TITLE) FOR COMENT 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 l the date of mailing of the draft to the participants. Upon resolution of the 1 comments after that period and with concurrence of the cooperative program participants, the NRC Program Manager will authorize publication of this ( report in the NUREG/CR series under the provisions c NRC Manual Chapter 1102 or 3202. DOE Facility or Contractor Representative ( 53 Approved: August 29, 1984

= PUBLICATION OF TECHNICAL REPORTS PREPARED BY NRC CONTRACTORS, INCLUDING REPORTS PREPARED .NRC Appendix 3202 + UNDER OR PURSPANT TO INTERAGENCY AGREEMENTS-Part VI EXHIBIT 26 TRANSMITTAL SHEET FOR REQUESTING MAILING TO COOPERATIVE PROGRAM PART]CIPANTS 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 foreigt, addresses
• C/ Surface mail to foreign addresses

~ (may require up to three (3) months) THIS MAILING CONTAINS NO PROPRIETARY INFORMATION OR OTHER SENSITIVE UNCLASSIFIED INFORMATION Special Instructions: Individual Requesting Mailing: Project Manager or High Authority

Enclosures:

1. Address labels 2. Documents to be mailed

• 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 1 54 Approved: August 29, 1984 'm m.}}